Procedures for Handling Complaints

IMPROVING THE WORK OF THE EDUCATION AND TRAINING INSPECTORATE

Procedure for Responding to Comments, Enquiries,

Compliments or Complaints

The mission statement of the Education and Training Inspectorate in Northern Ireland is:

‘Promoting Improvement’.

The organisation’s vision is that:

‘The Inspectorate will be a highly regarded and influential body dedicated fully to the education and well-being of all learners; its members will treat with respect and consideration all those with whom they come into contact.’

CONTENTS

SectionPage

Foreword by Chief Inspector, MARION Matchett

1.TERMS USED IN THIS DOCUMENT

2.THE PRINCIPLES, STANDARDS AND VALUES

WHICH UNDERPIN THE INSPECTION PROCESS

3.HELPING TO IMPROVE THE INSPECTION PROCESS

4.THE COMPLAINTS PROCEDURE

5.THE COMPLAINTS PROCEDURE IN ACTION

Complaints by a Leader, Teacher, or Member of a Management Group
Complaints by Parents

APPENDIX 1 –Finding out about the Education and Training Inspectorate and the Inspection Process

APPENDIX 2 –Management Structure of the Inspectorate

APPENDIX 3 –Contact Details

APPENDIX 4 –Inspectorate Publications Available on Request

Foreword by Chief Inspector, MARION Matchett

Since the re-establishment of devolved government Northern Ireland (NI) in 2001, the Education and Training Inspectorate (the Inspectorate) provides inspection services and information about the quality of education, training and youth provision to:

The Department of Education (DE);

The Department of Culture, Arts and Leisure (DCAL)

The Department for Employment and Learning (DEL).

The purpose of inspection, as undertaken by the Inspectorate, is to promote the highest possible standards of learning, teaching, training and achievement throughout the education, training and youth sectors[1].

In order to improve inspection the Inspectorate evaluates regularly the quality of its work by seeking feedback from those who have been involved in inspection. As part of this evaluation, and the need for feedback on the inspection process, a complaints procedure, ‘Improving Inspection -Procedure for Handling Enquiries, Comments or Complaints’, was issued in November2002 to all the organisations which we inspect. In order to ensure that all those who are inspected are aware of, and have access to the complaints procedure, a resume of this document is provided for each organisation at the start of every inspection.

Since the publication of the complaints procedure, the organisation has received comments, compliments, enquiries and complaints about the inspection process. These responses from the organisations being inspected are analysed, and the outcomes of this analysis are used to build on the strengths of the organisation and improve further the service provided. A report on this analysis will be published and will be made available to all through the website and through Inspection Services Branch.

The analysis of all the responses allowed us also to evaluate the use of the complaints procedure, and provided helpful information for the revision of the procedures. The new procedures are outlined in this document, ‘Improving the Work of the Education and Training Inspectorate – Procedure for Responding to Comments, Enquiries, Compliments or Complaints’. To ensure that these new procedures are clear and easy to use, we consulted widely with the organisations we inspect, parents, and many organisations concerned with education, such as the Education and Library Boards, the Catholic Council for Maintained Schools and Unions.

I hope that if you have an occasion to use the procedures outlined to communicate a compliment, concern or complaint that you will find them clear and easy to use. We welcome all comments you wish to make, in order to help us to improve further the inspection process, which is designed to bring about improvement in the experiences of, and the standards achieved by, the children and young people of Northern Ireland.

Marion J Matchett (Miss)

1.Terms Used in this Document

In carrying out inspections, across the various sectors, the inspectors come into contact with different titles for posts within organisations,as well as for the young people attending these organisations.

For the purposes of this document the following general terms are used:

Inspectorate / The Education and Training Inspectorate in Northern Ireland.
Inspection Services Branch (ISB) / A branch within the Department of Education which administers and supports the Inspection Process.
Learner / A child, pupil, member, student or trainee in any of the organisations inspected.
Leader / The head of any organisation.
Organisation / For example a school, college, pre-school centre, including nursery school or class, organisation supplying training, employment or other learning programmes, or a youth centre/organisation or other government funded organisation.
Teacher / The person who works with the learners in an organisation as defined above, including lecturers, early years workers, trainers, tutors and youth workers.
Employing authority / The organisation which employs the leader and the teachers, and is responsible for all aspects of employment.
Inspector / The person carrying out an inspection in any phase.
Reporting Inspector (RI) / The RI is responsible for the management of the inspection by deploying the team, communicating with the organisation and ensuring the overall quality of the report.
Management group / The management or Board of Governors responsible for the organisation.

2.The Principles, Standards and Values which Underpin the Inspection Process

2.1The purpose of inspection is to promote the highest possible standards of learning, teaching, and achievement throughout the education, training and youth sectors in Northern Ireland.

2.2In conducting its work, the Inspectorate and ISB works to the following principles, standards and values which are outlined in ‘A Charter for Inspection’, published in October2002:

a recognition that the key priority must be the interests and well-being of the learners, in terms of the quality of education and training which they experience, and the outcomes they achieve;

objectivity and consistency in making evaluations, honesty in communicating findings, and openness in ensuring that evaluations reflect accurately the organisation’s achievements;

concern for accuracy, and reliance, in the main, on first-hand evidence based on observation;

fairness in dealing with individuals and groups;

sensitivity to the circumstances of the organisation, and tact and courtesy towards all with whom the inspector/s come into professional contact;

minimising stress by ensuring that queries are answered promptly and concerns dealt with, within a defined timescale; and

sensitivity to the effect on others of evaluations and reports, but without compromising the principles, values and standards set out above.

2.3The Inspectorate strives to ensure that these principles, standards and values underpin all the work carried out by the organisation. For its part, the Inspectorate anticipates that its members and ISB will be treated with respect and courtesy by those whose work is being inspected.

3.Helping to Improve the Inspection Process

3.1If there are particular strengths in the inspection process which the leader and his/her colleagues wish to indicate, it is important that the Inspectorate/ISB is made aware of these strengths so that they can be built upon. Similarly, if there are suggestions for improvement, or reservations about the nature and conduct of the inspection, these also should be brought to the attention of the organisation. The Inspectorate welcomes such suggestions and reservations as a means whereby the quality of the service can be improved. Comment can be made, in either written or spoken form, to any of the persons outlined in Appendix 2 or to any inspector.

3.2In pursuit of continuous improvement and increased openness, the Inspectorate appointed, in November2001, a firm of consultants to undertake, an independent evaluation of the inspection process, from January2002 to January 2003.

3.3The outcomes of the independent evaluation process were published in May 2003 by the firm of consultants, and describe the high levels of satisfaction with the work of the Inspectorate. (A copy of the report is available at services).

3.4Following the success of this project, the process of independent evaluation has, from September2003, become an integral part of the inspection process. Following each inspection, the individuals and organisations inspected are invited to provide feedback to the independent consultancy about their experience of the inspection process. The contact details for the independent consultancy firm are available at services.

4.The Complaints Procedure

4.1The Inspectorate is committed to providing a high quality service to the organisations inspected, as well as to ensuring transparency and openness in the inspection process. In circumstances where the quality of service provided to the organisations being inspected falls below the published standards of service, a comment or complaint is invited. All complaints to or about the Inspectorate are:

investigated thoroughly and fairly; and
handled in the strictest confidence.

The procedures used to handle complaints are outlined at paragraphs 5.1 and 5.2.

4.2To the end described at 4.1 above, the Inspectorate has published various documents which show how inspections are carried out, and which outline the characteristics of quality which inform inspectors’ evaluations. These documents, some of which are listed in Appendix4, are available, free of charge, from ISB; published inspection reports are also available from ISB. In addition, documents published from May 1997 are available on the Department of Education website:

4.3The complaints received are monitored on an annual basis to ensure that the procedures have been followed correctly and that, when possible, the complainants are satisfied with the outcomes. The complaints received are also used to support the review and improvement of the inspection processes and procedures.

5.The Complaints Process in Action

5.1If a difficulty arises before/during/after an inspection, how do I complain if I am a leader, teacher or member of a management group?

Preliminary Stage

Where a leader, teacher or member of the management group wishes to express a concern about a difficulty which has arisen during an inspection:

the concern, in the first instance, should be raised with the Reporting Inspector, either by the leader, the teacher or the member of a management group personally or on his/her behalf by the leader or a member of the management group. The concern or complaint could be raised, for example, during the daily liaison meeting with the RI;

the matter can also be raised with the inspector concerned, either by the leader, the teacher or a member of a management group personally or on his/her behalf by the leader or a member of the management group;

the Reporting Inspector, or the inspector, will work to resolve the matter, during, or immediately following, the inspection.



Stage 1

If, at the preliminary stage, it is not possible for the Inspectorate to address the matter to the individual’s satisfaction, the leader, teacher or member of the management group:

may complain in writing to the relevant Managing Inspector (MI), who will make enquiries, take appropriate action, and respond within 15 working days from the date when the complaint is received by the MI.

(The names (and contact address) of the MIs are listed at Appendix 3, and their respective roles and responsibilities are set out in Appendix 2).



Stage 2

If it is not possible for the MI to resolve the matter to the individual’s satisfaction, the leader, teacher or member of the management group:

may complain in writing to the relevant Assistant Chief Inspector (ACI) who will make enquiries, take appropriate action, and respond within 15 working days from the date when the complaint is received by the ACI.

(The names (and contact address) of the ACIs are listed at Appendix 3, and their respective roles and responsibilities are set out in Appendix 2).



Stage 3

If matters are still not resolved at that stage, the individual should:

write to the Chief Inspector (CI) stating the reason for their continued dissatisfaction. (The contact address is available at Appendix 3).

The Chief Inspector will review the relevant information, investigate the matter further if necessary, and decide how best to resolve the situation.

The CI’s enquiry will be completed, and the findings communicated to the individual, and to the relevant member of the Inspectorate, within 15 working days from the date when the complaint is received in the CI’s office.



Stage 4

If the complainant remains dissatisfied s/he can refer matters to the Northern Ireland Ombudsman at:

33 Wellington Place

Belfast

BT1 6HN

Telephone: 028 9023 3821

Tel no – 0800 343424

The Northern Ireland Ombudsman is independent, and investigates complaints of maladministration against any public body. The Northern Ireland Ombudsman, however, will expect complainants to have made full use of the Inspectorate’s procedures before carrying out any investigation.

5.2If a difficulty arises during an incidental visit by an inspector, how do I complain if I am a leader, teacher or member of a management group?

Preliminary Stage

Where a teacher, leader or member of the management group wishes to express a concern about a difficulty which has arisen during an incidental visit:

the concern, in the first instance, should be raised with the inspector, either by the leader, the teacher or member of the management group personally or on his/her behalf by the leader or a member of the management group;

the inspector will work to resolve the matter during, or immediately following, the visit.



Stage 1

If, at the preliminary stage, it is not possible for the Inspectorate to resolve the matter to the individual’s satisfaction, the leader, teacher or member of the management group:

may complain in writing to the relevant Managing Inspector (MI), who will make enquiries, take appropriate action, and respond within 15 working days from the date when the complaint is received by the MI.

(The names (and contact address) of the MIs are listed at Appendix 3, and their respective roles and responsibilities are set out in Appendix 2).



Stage 2

If it is not possible for the MI to address the matter to the individual’s satisfaction, the leader, teacher or member of the management group:

may complain in writing to the relevant Assistant Chief Inspector (ACI) who will make enquiries, take appropriate action, and respond within 15 working days from the date when the complaint is received by the ACI.

(The names (and contact address) of the ACIs are listed at Appendix 3, and their respective roles and responsibilities are set out in Appendix 2).



Stage 3

If matters are still not resolved at that stage, the individual should:

write to the Chief Inspector (CI) stating the reason for their continued dissatisfaction. (The contact address is available at Appendix 3).

The CI will review the relevant information, investigate the matter further if necessary, and decide how best to resolve the situation.



Stage 4

If the complainant remains dissatisfied s/he can refer matters to the Northern Ireland Ombudsman at:

33 Wellington Place

Belfast

BT1 6HN

Telephone: 028 9023 3821

Tel no – 0800 343424

5.3How do I complain if I am a parent?

5.3.1If a parent wishes to comment, enquire or complain, personally on behalf of a learner, about any aspect of inspection or a visit by an inspector s/he should contact ISB in the first instance, and a branch official will refer the enquiry to the relevant member of the Inspectorate; the address, telephone number and e-mail address of ISB are given in Appendices 1 and 3.

5.3.2It is important to know that the Inspectorate does not pursue/investigate individual complaints about an organisation, for example, on the part of parents. The organisation will have procedures for handling complaints/enquiries and it is important that any concerns are brought, in the first instance, to the attention of the leader of the organisation, the management group or the employing authority. If a parent does not know whom to contact in the management group or the employing authority, details may be obtained from the organisation, or ISB will try to help if a parent cannot obtain such details.

5.3.3If the complaint concerns the welfare or safety of learners, the Inspectorate, working within the Inspectorate’s own procedures for Child Protection, will forward the complaint to the named institution and the relevant authority for the protection and welfare of children. It will also copy the complaint to Pupil Support Unit in the Department of Education.

5.3.4The Inspectorate has published various documents which show how inspections are carried out, and which set out the characteristics of quality which inform inspectors’ evaluations. These documents, some of which are listed in Appendix4, are available, free of charge, from ISB; published inspection reports are also available from ISB. In addition, documents published from May 1997 are available on the Department of Education website:

APPENDIX 1

Finding out about the Inspectorate and about the Inspection Process

Enquiries about the work of the Inspectorate or about the arrangements for inspection should be addressed to:

Liz Wells

Inspection Services Branch (ISB)

Department of Education

Rathgael House

43 Balloo Road

BANGOR

Co Down

BT19 7PR

Telephone: 028 9127 9726

e-mail: services@deni/gov.uk

Staff within the Branch will seek to respond immediately to telephone enquiries or, if the query requires a written response, within 15 working days.

APPENDIX 2

Management Structure of the Inspectorate

Managing Inspectors

/ Assistant Chief Inspectors
MI (Pre-School)
Ffiona Crawford
MI (Primary)

Tom Bratton

/ ACI Pre-16

Loretto Watson

/
MI (Post-Primary)

Brian Speirs

MI (Post-16)

Maureen Bennett

MI (Training)

Gerry Murray

/ ACI Post-16

Vivian McIver

MI (Higher Education and Teacher Education)

Si Gordon

MI (Special & Alternative Education Provision

John Hunter

/ / Chief Inspector

Marion Matchett

/ ACI Special and AEP
Youth/Community/Special/ Culture/Arts/Leisure

Paul McAlister

/
MI (Youth/
Community & Culture/Arts/Leisure

Betty Robinson

MI (Policy & Planning)

Faustina Graham

/ ACI Policy/Planning & Improvement

Stanley Goudie

MI (Improvement)

Wilma Weise

/
ISB

(Any changes in roles and responsibilities will be updated regularly on the ETI website at services.)