Reviewing your academy’s complaints procedure

With policy reviews often taking place over the summer, we send out a reminder of what is required in an academy’s complaints policy, and some tips to effectively handle parental complaints.

The requirements

Academies and independent schools are required by law (The Education (Independent School Standards) Regulations 2014) to draw up and implement a complaints procedure. It must be:  

• in writing;
• made available to parents of pupils;
• set out clear time scales for managing the complaint;
• have an informal stage (sometimes called ‘Stage 1’);
• have a formal stage (sometimes called ‘Stage 2’); and
• where the parent is still not satisfied, have provision for a panel hearing (sometimes called ‘Stage 3’). 

For ‘Stage 3’

• the panel should consist of at least three people not directly involved in the complaint;
• one panel member must be independent of the management and running of the school (so they should not all be governors);
• the parent should be allowed to attend and be accompanied if they wish; and
• the panel should make findings and recommendations, which should be provided to the complainant and, where relevant, the person complained about, and be made available for inspection on the school premises by the proprietor and head teacher.

Written Record

A written record must be kept of all formal complaints (i.e. ‘Stage 2’ onwards) showing:

• whether they were resolved following a formal procedure, or proceeded to a panel hearing; and
• the action taken by the school as a result of those complaints (regardless of whether they are upheld). 

Correspondence, statements and records relating to individual complaints are to be kept confidential, except where the Secretary of State, or certain bodies conducting an inspection, request access to them.
The procedure should make it clear how the school will deal with complaints from people who are not parents of attending pupils. Schools can use the same procedure or adopt a different one. Please note, there are additional requirements for EYFS providers.

Hints and tips

We also suggest being mindful of: 

• A complaint may be received in school holidays – will your time limits apply only during term time? 
• Who will handle a complaint against the ordinary person for that stage, for example a complaint against the Head at Stage 2?
• Do you want your procedure to say it would not usually be appropriate for parents to have legal representation at a panel hearing? 
• Have you considered who could be an independent panel member? 
• Do staff have sufficient training to spot if a Subject Access Request is made during the course of a complaint? For example, it may not be phrased explicitly as a Subject Access Request. 
• Be aware of third party data in the documents (such as data of staff or other pupils). Seek data protection advice if required.