Managing complex parental complaints

We are seeing an increasing number of complaints progress to Stage 3 complaint panel hearings, many of which have complex elements. Although it can be unpleasant to receive a parental complaint, there are various ways to make it a smoother process for all involved. We have included some top tips below.

Note: this article applies to independent schools. There are different laws and nuances for handling complaints in maintained schools / academies, for which separate advice should be sought.

Why should a complaint be managed well?

1. Legal compliance – A school’s complaints procedure must comply with the requirements of Part 7 of the Education (Independent School Standards) Regulations 2014 (“ISSRs”). Your school’s inspectorate (either ISI or Ofsted) inspect the school against these requirements, so inspectors may check to see how a complaint was handled. While the inspectorate cannot compel the school to alter its decision on a complaint, they can take regulatory action to address any failure to meet the ISSRs.
2. Current parents – Complainants will often be a current parent. A fair, reasonable and thorough complaints handling process will help demonstrate to parents that their concerns are being taken seriously, are being dealt with appropriately and will in turn help to mitigate any souring of the school-parent relationship.
3. Reputational reasons – An aggrieved complainant may publically voice their concerns (such as via social media), which can attract attention from the media and others. For schools which are charities, this may in turn prompt consideration of any reporting duties i.e. to the Charity Commission, where the situation may cause serious harm to the reputation of the charity. Effective management of a complaint can help to mitigate against this and/or provide evidence of a school properly managing concerns..

​Top tips

1. Policies and procedures: A school’s complaints policy should be kept under regular review to ensure it is clear, practicable and provides sufficiently flexibility in practice to allow the school to effectively and efficiently manage complaints (including during school holidays). The procedure should of course also comply with the ISSRs. It is also worth considering whether your policy applies to permanent exclusions appeals or whether there is a separate process for this under the exclusions policy, as it is important that the processes are clear and consistent between the relevant policies.
   
   A complaints policy should be reviewed on receipt of a complaint (to avoid any uncertainty during the process) and on conclusion of a complaint (to consider whether the policy requires any amendment).
    
2. Manage communications / expectations: Complainants should be kept informed and updated throughout the process, particularly where published timescales may need to be adjusted and extended e.g. where further investigation may be required.
    
3. Ensure the Chair and Panel members understand their role, remit and function: Effective management of a Stage 3 hearing, including ensuring Panel members understand their role and remit, is essential: Terms of Reference for the Panel, a clear process and a direction to reach a final decision within the published timescales should promote an effective process. The Panel should also give consideration to the format of the hearing, bearing in mind the nature of the complaint and what will likely be conducive to resolving the parents’ concerns. Ultimately, the format is for the Chair to determine, ensuring a fair and transparent process is followed which allows parents to fully present their complaints and is consistent with the school’s published policy and what has been communicated to all parties.
   
   Any concerns by parents about the composition of the Panel should be carefully considered, bearing in mind the requirements of the ISSRs and the importance of conducting the hearing impartially and fairly (and the importance of preserving parents’ trust and confidence in the process).
   
   Panel members should not make findings on points of law. However, it can be helpful for the Panel to be aware of any relevant legal matters so that they understand the context of the school’s actions and consider the complaint fully.
4. ​Record keeping: When processing complaints records, schools should note the requirements for record keeping in the ISSRs, their data protection obligations and the importance of confidentiality. Where a Stage 3 Panel makes recommendations, schools should note any action taken in response as evidence that appropriate action was taken. Schools should also ensure that records are kept of the steps taken to investigate a complaint, including minutes of meetings and the Stage 3 Panel hearing. Disputes can arise as to the alleged accuracy of records, such as minute of meetings: these should be reviewed to see if there is any inaccuracy and, if any subsequent amendments are required, a note should be made on the file of any differing views.
5. Take advice: If necessary, legal advice should be sought at an early stage particularly where there is suggestion or threat of a claim e.g. for breach of contract, duty of care and/or discrimination. This can be helpful to avoid the school inadvertently adding fuel to the fire, while also helping to manage and mitigate against such claims. Consideration should also be had as to notifying insurers, to avoid jeopardising any cover under the terms of insurance.