Model Academy ComplaintsProcedure
(Multi-AcademyTrusts)
AcademyDate Adopted bytheBoard ofTrustees
Signed / (Chair):
(Headteacher):
Revised September2016
People Directorate: Children andFamilies
1. / Purpose of the ComplaintsProcedureThis procedure aims to reassure parents and others with an interest inthe academythat:
- any complaint against the academy will be dealt with in a fair, openand responsive way, with the aim of achieving a speedy andsatisfactory resolution;and
- the academy recognises that a willingness to listen to commentsand criticism and to respond positively, can lead to improvements inacademy practices and provision forpupils.
2. / Scope of theProcedure
2.1 The procedure takes account of the The Education (IndependentAcademy Standards) (England) Regulations 2010 and advice given by theEducation Funding Agency in 2013 with regard to dealing with academycomplaints
2.2Complainants may be anyone with an interest in the work of the academye.g. parents, carers, guardians, grandparents, neighbours of the academy.However, it is expected that it will be mainly parents or guardians who will make use ofthis procedure. The term 'parent' is therefore used throughout the procedure asa generic term but the procedure also applies in relation to any other typeof complainant
2.3A complaint is defined as a clear statement of dissatisfaction aboutany specified aspect of the academy'swork.
2.4This procedure covers all complaints about the provision of facilities orservices that a academy provides with the exceptions listed below, for which thereare separate (statutory) procedures:
2.5This procedure covers all complaints about the provision of facilities orservices that a academy provides with the exceptions listed below, for which thereare separate (statutory)procedures:
Exceptions / Who tocontactStatutory assessmentsof SpecialEducational Needs(SEN) / Concerns should be raised directly with local authority SENDteam SEND helpline: 01942486136
- Safeguarding
- Allegationsof professional abuse
- Staffgrievances anddisciplinary procedures
- Exclusionof childrenfrom academy
- Whistleblowing
- Complaintsabout servicesprovided by otherproviders who mayuse academypremises orfacilities.
3. / General
3.1The academy and/or parent may request advice or guidance fromWigan Council's People Directorate: Children and Families on the application ofthese procedures. However, it is the responsibility of the academy to investigatethe complaint and make any decisions on the outcomes. (See8.13)
3.2Records of all conversations and meetings with parents to resolvecomplaints should be kept. At a General Complaints Panel meeting, minutes will betaken. To help prevent recurring complaints, copies of correspondence and noteswill be kept on file in the academy’s records, but be held separate fromindividual pupilrecords.
3.3If at any stage in the procedure it becomes apparent that the complaintfalls outside the remit of these procedures, parents will beinformed.
3.4Complaints should be made as soon as possible after an incident arisesand usually within three months, however, exceptions may be made inextenuating circumstances.
3.5Extensions to time-lines will be at the discretion of the Chair of theTrustees.
4. / Serial or PersistentComplaints4.1If the complainant contacts the academy repeatedly about the same matterthen such communications may be viewed as ‘serial’ or ‘persistent’ and theacademy may choose not to respond. However, academies must not mark a complaintas‘serial’ before the complainant has completed theprocedure.
4.2The decision to stop responding should never be taken lightly. Anacademy needs to be able to say yes to all of thefollowing:
- The academy has taken every reasonable step to addressthecomplainant’sneeds;
- The complainant has been given a clear statement of theacademy’s position and their options (if any);and
- The complainant is contacting the academy repeatedly butmaking substantially the same points eachtime.
The case is stronger if the academy agrees with one or more ofthese statements:
- The academy has reason to believe the individual is contacting themwith the intention of causing disruption orinconvenience
- Their letters/emails/telephone calls are often or always abusiveor aggressive.
- They make insulting personal comments about or threats towardsstaff.
4.3The application of a ‘serial or persistent’ marking should be against thesubjector complaint itself rather than the complainant.
4.4Where the CEO and/or Chair of Trustees, judges a complaint to be serialor persistent, they should take appropriate action which may include rejectingthe complaint and/or restricting contact between the complainant and theacademy.
4.5The CEO or Chair of Trustees, as appropriate, should write to thecomplainant and explain this decision and the reasons for it and what action will follow,if applicable.
4.6Where a complainant seeks to reopen a matter which is the same as, orsimilar to, a matter previously considered under the procedure, the CEO or Chairof Trustees has the right to inform him/her that the procedure has beenexhausted and the matter isclosed.
4.7The Department for Education does not itself use the term ‘vexatious’whendealing with serial or persistent correspondents as it could potentiallybe inflammatory. However, it is a recognised term. In the context of Freedomof Information requests, ‘vexatious’ could be defined as the‘…manifestly unjustified, inappropriate or improper use of a formal procedure.’ Anexemptiontherefore exists in Section 14(1) of the FOI Act. However, this exemptioncan only be applied to requests themselves, and not the individuals whosubmit them.
More information about dealing with vexatious requests for informationis availableontheInformationCommissioner’sOffice(ICO)website.
Academies may wish to publish the Model Policy forUnreasonable Complainants as an addendum to this policy (Appendix1).
5. / Banning from SchoolPremises5.1Academies are private places, the public has no automatic right of entry. Ifanindividual’s behaviour is a cause for concern, a academy can ask him/hertoleave academypremises.
5.2In serious cases, the Head of School or CEO can notify them in writing thattheir implied permission to be on academy premises has been temporarilyremoved subject to a later review. If this decision is taken, academies are advisedto always put it in writing and explain how the decision can beappealed. Academies should also give the individual the opportunity to formallyexpress
their views on the decision to ban inwriting.
5.3The decision should then be reviewed and either confirmed or lifted. Ifthe decision is confirmed the individual should be notified in writing, explaininghow long the ban will be inplace.
5.4Anyone wishing to complain about being banned can do so, by letter or email,to the CEO or Chair of Trustees. However complaints about banning cannotbe escalated to the Department for Education. Once the academy procedurehas been completed, the only remaining avenue of appeal is through theCourts; independent legal advice must therefore besought.
6. / Withdrawal ofComplaints6.1Complaints may be withdrawn at any stage by the complainant by givingnotice inwriting.
7. / Stage 1 : InformalStage7.1On occasions, a parent may raise a concern directly with academy staffwithout any formality. At this stage, it may be unclear whether the parent is makinga complaint, seeking information or has misunderstood a situation. Regardlessof this, the academy will aim to resolve the concern at this point in a speedyand effectiveway.
7.2However, if the concern is not resolved immediately and the parentconfirms they wish the matter to be dealt with as a complaint, the opportunity todiscuss the matter with an appropriate member of staff will be given e.g. Head ofSchool, Key Stage Leader, or another member of the Senior Leadership Team. Inthe case of a complaint against the Head of School, the complainantshould, whenever possible, discuss their concerns with the Head of School in thefirst instance. However, should the complainant be unable to do this, then theymay proceed directly to Stage 2 of the procedure by writing to the CEO of theMulti- AcademyTrust.
7.3Complaints against the CEO should be directed to the Chair of the Boardof Trustees at Stage 2 of the procedure by writing to the Chair care oftheacademy, marking the letter “Private and Confidential”...
7.4If a parent raises a complaint with a Trustee then the Trustee should referthe complainant to the Head of School or CEO asappropriate.
7.5The member of staff will discuss the issue with the parent and those involvedin academy, with the aim of resolving the complaint as soon as possible.The
parent will be informed in writing of the outcome of the investigation andwhat action, if any, the academy proposes totake.
7.6It is anticipated that the majority of complaints will be resolved at thisstage. However, if the informal process has been exhausted and nosatisfactory solution has been found, the parent will be informed by the academy of howto progress the matter to Stage 2 of the Academy ComplaintsProcedure.
8. / Stage 2 : Referral to the CEO/Chair of Trustees for furtherinvestigation8.1If wishing to proceed with the complaint, the parent will be invited to putthe complaint in writing to the CEO or Chair of Trustees, via the academy usingthe form attached at Appendix 2. The form should be submitted within tenschool days of receiving the written response at Stage 1. A copy of the form shouldbe retained by the parent. Advice on how to complete the form may berequested from Wigan Council's People Directorate: Children and FamiliesGovernor Servicesteam.
8.2Where the complaint has been addressed by the Head of School at Stage1, Stage 2 will be undertaken by the CEO. Complaints against the CEO willbe investigated by the Chair of the Board of Trustees..
8.3The CEO or Chair of Trustees will acknowledge the written complaint withinfive school days of receipt and provide an opportunity to meet the parent todiscuss the complaint within the following ten schooldays.
8.4Following discussion with the parent, the CEO or Chair of Trusteeswill investigate the complaint and a written response will whenever possiblebe made within fifteen school days of the meeting. Where the parent refusesthe offer of such a meeting the CEO or Chair of Trustees will inform the parentof the outcome of their investigation within fifteen school days of receipt ofthe written complaint. If this is not possible, a letter will be sent explainingthe reason for the delay and providing a revised date by which they willrespond.
8.5The written response will include full reasons for the conclusions reached bythe CEO or Chair of Trustees and what action, if any, the academy proposes totake to resolve the matter. The written response will also inform the parent howto progress the matter to Stage 3 of the Academy Complaints Procedure ifthey believe that the matter has not been adequately resolved at Stage2.
9. / Stage 3 : Review by the Trustees' ComplaintsPanel9.1If the parent remains dissatisfied, they will be advised that, in order toprogress the complaint further to Stage 3, they must notify the Clerk to the Boardof Trustees in writing within ten school days of receipt of the written responseat
Stage 2, enclosing a copy of the original complaintform.
9.2Except in exceptional circumstances, should the parent not inform the Clerkto the Board of Trustees of their intention to proceed to Stage 3 withinten academy days of receipt of the written response at Stage 2, the complaintwill be consideredclosed.
9.3Complaints only rarely reach Stage 3. However, when the need arises,theTrustees’ General Complaints Panel will consider complaints at thisstage. (See Appendix3)
9.4A written acknowledgement of the complaint and the request for it to be heardat Stage 3 of the procedure will be sent to the parent by the Clerk to theTrustees within five schooldays.
9.5The letter will inform the parent that the complaint will be heard by theGeneral Complaints Panel (GCP) within twenty school days of receiving thecomplaint. Any request, by either party, to extend this time limit must be put in writing tothe Clerk to the Board of Trustees. The letter will also inform the parent of theright to submit any further documents other than the complaint form and thatthese must be made available to the Clerk within five aschool days of receipt ofthe acknowledgement letter. The right of the parent to be accompanied bya companion of their choice and the right to call witnesses to the meeting,subject to the approval of the Chair of the GCP, will also be explained in the letter.The Clerk to the Board of Trustees should be informed of the names ofany witnesses being called and their relevance to thecomplaint.
9.6The Clerk to the Governing Board will send a copy of the letterof acknowledgement to the complaint to the Chair of Trustees and/orHeadteacher and will request that a copy of the written response made at Stage 2, andany other documents for consideration at the hearing be submitted withinfive school days of receipt of the letter. The right to call witnesses to themeeting, subject to the approval of the Chair of the GCP, will also be explained inthe letter. The Clerk to the Board of Trustees should be informed of the namesof any witnesses being called and their relevance to thecomplaint.
9.7The Clerk to the Governing Board will then convene a GCP meeting,having consulted with all parties on convenient times. The date, time and venue forthe meeting will then be confirmed at least ten school days inadvance.
9.8The Education (Independent Academy Standards) Regulations 2010 Part7 stipulates that the appeal panel in academies must comprise of at leastthree people, one of whom is independent of the management and running ofthe academy.
9.9All relevant documents provided by both parties will be forwarded by the Clerkof the GCP to: the parent; the Chair of Trustees and/or Headteacher; andeach
panel member. These will be provided as soon as possible and, in any event,at least five academy days prior to themeeting.
9.10The meeting will be held following the procedures for hearing acomplaint detailed in Appendix3.
9.11Failure by the parent to attend the hearing without reasonable cause couldresult in the hearing going ahead and a decision being made in their absence.The decision to proceed with the hearing without the presence of the parent will beat the discretion of theGCP.
9.12A written decision will be sent to the parent and the Chair of Trusteesand/or CEO by the Chair of the GCP within ten academy days of thehearing.
9.13The letter will give details of the decision of the GCP and confirm thatthe decision of the panel isfinal.
9.14If a complaint procedure has been exhausted and the complainantremains dissatisfied, they have the right to refer their complaint to the EducationFunding Agency (EFA). EFA has a duty to consider all complaints raised howeverwill only act where the Board of Trustees has acted unlawfully or unreasonablyand where it is expedient or practical to doso.
The Education Funding Agency’s powers, in respect of academies inEngland, are delegated to the Ministerial and Public Communications Division. Theywill examine if the complaint policy and any other relevant statutory policieswere followed in accordance with the provisions they set out. The Ministerialand Public Communications Division also examines policies to determine ifthey adhere to legislation. However, they will not normally re-investigatethe substance of the complaint. This remains the responsibility of theacademy.
9.15The EFA will not overturn an academy’s decision about a complaint exceptin exceptional circumstances where it is clear the academy has acted unlawfullyor unreasonably. If the EFA finds that the academy has not handled a complaintin accordance with its procedure, the academy may be required to re-considerthe complaint.
Further information about EFA’s procedure for dealing with complaintsabout academies can be foundat
9.16The Local Authority has no role in reviewing the application by the academyof its complaintsprocedures.
10. / Complaints concerning aTrustee10.1Complaints concerning a Trustee or the Chair ofTrustees
In the case of a complaint made against a Trustee, the Chair of Trusteeswill investigate the matter and then decide on any appropriate action.Where appropriate this could include making a recommendation to the Boardof Trustees about possible suspension. Where the complaint is against theChair of Trustees the Vice –Chair will undertake the investigation and reacha decision. The Chair or Vice-Chair will write to the complainant giving detailsof their decision within fifteen academy days of receipt of thecomplaint.
The complainant can appeal against the decision of the Chair orVice-Chair within a maximum of ten academy days of receipt of the decision letter.The Board of Trustees can either delegate the appeal to the complaintscommittee, or may, where they think it appropriate, appoint three other Trustees to forma complaints panel to investigate and make a recommendation bymajority decision to the GoverningBoard.
Appendix1 / Sample Policy for UnreasonableComplainantsXX Academy is committed to dealing with all complaints fairly and impartially, andto providing a high quality service to those who complain. We will not normally limitthe contact complainants have with the academy. However, we do not expect our staffto tolerate unacceptable behaviour and will take action to protect staff fromthat behaviour, including that which is abusive, offensive orthreatening.