Who can make a complaint?

Whilst the majority of complaints submitted are most likely to come from parents, guardians, or registered carers of pupils registered on roll at Roots Federation, other individuals, including members of the public, may make a complaint to Roots Federation, provided that the complaint revolves around the provision of facilities or services that we provide.  Roots Federation will confirm to you upon receipt whether or not your complaint falls under this policy and procedure and what will happen next if it does.  In cases where a formal complaint cannot be accepted under this policy and procedure, Roots Federation will write to you to confirm why and what process applies instead.

 

Definitions

• A concern is an expression of worry or doubt over an issue considered to be important, for which assurances are sought. 

• A complaint is an expression of dissatisfaction however made, about actions taken, or a lack of action, that requires an investigation and a formal response in writing.

• A pupil, even one who is not attending Roots Federation, remains a registered pupil until such time that they leave Roots Federation at the statutory leaving age, or their parent, guardian or registered carer decides to remove them from Roots Federation sooner than this, having made other suitable arrangements for their education.  They cease to be a registered pupil when Roots Federation removes their name from Roots Federation roll.

 

How to raise a concern

Concerns can be raised in person, in writing (by email or letter), or by telephone. They may also be raised by a third party acting on an individual’s behalf.  However, the third party must be able to demonstrate to Roots Federation that they have the appropriate consent to do so.  (If appropriate consent is not established, Roots Federation will not accept the concern from the individual).  Concerns will be directed to the most appropriate person identified by Roots Federation in the first instance for response. Should the issue remain unresolved, the next step will be to move to Stage 1 and initiate the formal stages of the complaints process.

 

Heath Lane Nursery

Heath Lane

Hemel Hempstead

Herts

HP1 1TT

01442 255 418

admin@heathlane.herts.sch.uk

 

Muriel Green Nursery

Church Crescent

St Albans

Herts

AL3 5JB

01727 891 111

admin@murielgreen.herts.sch.uk

 

Oxhey Nursery

Eastbury Road

Watford

Herts

WD19 4RL

01923 330 300

admin@oeyc.herts.sch.uk

 

How to raise a formal complaint

Formal complaints must be documented in writing and should be marked ‘Private & Confidential’.  If a complainant has any difficulty in submitting a written complaint, Roots Federation can offer assistance or will signpost the individual to other sources of support (e.g. POhWER – see next page). Subject to who is actually being complained about, the following applies:

• Complaints about school staff (except the Head of School or Executive Headteacher) must be addressed to the Head of School via the school office.

• Complaints about the Head of School must be addressed to the Executive Headteacher and submitted via the school office for forwarding on to the Executive Headteacher.

• Complaints about the Executive Headteacher must be addressed to the Chair of Governors (COG) and submitted via the school office for forwarding on to the Chair.

• Complaints about the COG, any individual Governor, the majority of the Governing Body, or the whole Governing Body must be sent to the school office marked for the attention of the Governance Professional Clerk (GPC).

 

Members of a pupil’s extended family, such as Grandparents and others who do not hold parental responsibility for them, do not have an automatic right to make a formal complaint about Roots Federation’s provision for the child.  Where an individual seeks to make a formal complaint in such circumstances, Roots Federation will require the individual to demonstrate that they have clear consent from someone who does hold parental responsibility, to make a complaint and receive a response from Roots Federation on their behalf. If clear consent is not established, Roots Federation will not provide a formal complaint response to the individual as the reply is likely to contain confidential information regarding the child and/or their immediate family.  Roots Federation may still look into the issues and liaise with the immediate family in case a response would be helpful or necessary.

 

Formal complaints cannot proceed to Stage 2, unless Stage 1 has been completed, as the DfE does not permit this. Any attempts to do so, will cause delays which Roots Federation will not be responsible for. To avoid delays, complainants must ensure the published process is followed:

• Initial concerns must be directed to Roots Federation <Roots Federation to insert detail as per local process>.

• Roots Federation governors must not be approached to raise a concern or complaint directly as they have no power to act on an individual basis and must remain impartial in the event of a complaint escalating to Stage 2.

 

For ease of use, a formal complaint form has been included within this complaints policy and procedure (Appendix 2).  If you require help to complete the form, you should contact Roots Federation office.  You can also ask third party organisations like Citizens Advice or an Independent Advocate to help you.  Roots Federation will ensure that all formal complaints are documented in writing to ensure that the issues being complained about and the complainant’s desired outcomes are clear.  Complainants will be asked to submit their complaint in writing, either by sending an email or a letter via Roots Federation Office, or by completing Roots Federation’s formal complaint form.

 

Heath Lane Nursery

Heath Lane

Hemel Hempstead

Herts

HP1 1TT

01442 255 418

admin@heathlane.herts.sch.uk

 

Muriel Green Nursery

Church Crescent

St Albans

Herts

AL3 5JB

01727 891 111

admin@murielgreen.herts.sch.uk

 

Oxhey Nursery

Eastbury Road

Watford

Herts

WD19 4RL

01923 330 300

admin@oeyc.herts.sch.uk

 

In accordance with relevant equality legislation, as outlined above, Roots Federation will consider making reasonable adjustments if required, to enable complainants to access and complete this complaints process.  This includes providing information in alternative formats, assisting complainants in raising a formal complaint or holding meetings in accessible locations.  Please inform Roots Federation immediately if you require support to complete the form or to submit a written complaint.

 

If Artificial Intelligence (AI) is used, it should be used with caution.  AI doesn’t always get it right, for example, when citing legislation and can make a complaint more complex than necessary.  In the event Roots Federation has reasonable suspicion that AI may have been used to draft some or all of the complaint received and the complaint is not entirely clear, Roots Federation reserves the right to request clarification direct from the complainant.

​

If a complainant is unable or unwilling to submit their formal complaint in writing, Roots Federation will ensure that the issues being complained about and the outcomes being requested are documented in writing.  Roots Federation may do this in one of the following ways:

• The school office will send the complainant a copy of Roots Federation’s formal complaint form for completion – A member of staff in the school office will send the complainant a copy of the formal complaint form by email or post and request that they complete and return it to the school’s Complaints Coordinator (CC).

• The CC will write to the complainant to confirm Roots Federation’s understanding of the complaint(s) and any desired outcome(s) – The CC will document the issues being complained about and any desired outcomes (if specified) and request that the complainant replies to confirm their agreement with this.  If no desired outcomes have been indicated by the complainant, the CC will ask them to confirm if they have any.  The CC may do this by email, by letter, or through use of the formal complaint form.

• Signpost the complainant to independent support, such as Citizens Advice or Advocacy – Advocates provide qualified, independent support for people that have difficulty understanding information and advice, or who would like support in communicating their views.  Advocates can help complainants to formulate their complaint and then submit it on their behalf and support them through the complaints process.  POhWER was founded in Hertfordshire in 1996.  It is a free and impartial service.  Their contact details are as follows:

POhWER, Suite 4, Middlesex House, Meadway Corporate Centre, Stevenage SG1 2EF, Telephone: 0300 456 2370, Email: HertsAdvocacy@pohwer.net

 

Anonymous complaints

Roots Federation will not normally investigate anonymous complaints.  In such instances, the Executive Headteacher and/or the COG will determine whether the complaint warrants an investigation and will ensure that this is completed, if so.  The outcome of any investigation cannot be shared with the complainant, as Roots Federation will not know who they are and therefore, Roots Federation cannot ascertain whether or not the person is entitled to have confidential information shared with them.

 

Timescales

All complaints must be raised within three calendar months of an event or incident.  Where a series of associated matters have occurred, the complaint must be raised within three months of the last of these matters.  Roots Federation will consider exercising discretion to consider matters raised outside of this timeframe, only if Roots Federation deems that exceptional circumstances apply.  To enable Roots Federation to make this decision, the complainant will be asked to explain why they have taken longer than three calendar months to register their complaint.  Also, if more than one event or incident is being raised as a potential late complaint, as part of its decision making, Roots Federation will look to see whether it considers the events or incidents to be inextricably linked or not.  If the complainant does not provide any explanation, Roots Federation deems that the explanation given is not compelling or exceptional enough to warrant the issue(s) being investigated as a late complaint, or Roots Federation does not consider the events or incidents in question to be inextricably linked, Roots Federation will confirm this in writing and is not obliged to take any further action.

 

If a complainant submits a Subject Access Request (SAR) or Freedom of Information Request (FOI) during a live complaints process and intends to use some or all of the information from such a request as evidence within their complaint, this is likely to cause a delay for Roots Federation in dealing with their complaint, e.g. if the complainant requests that the date of a Stage 2 Hearing is pushed back until after the fulfilment of the SAR or FOI.  Such delays will be down to the complainant, not Roots Federation.

 

Concerns and complaints received towards the end of term, at the end of term, or outside of term time.

The timescales for acknowledgement and response at the informal stage and Stages 1 and 2, as set out in this document, relate to ‘school days’ when Roots Federation is fully open and operational for all registered pupils. School holidays, inset days and occasional days do not count towards the timescales set out at each of the above stages.  For example:

• If a concern or complaint is submitted on the last day of school before half term, that is counted as day 1, and day 2 commences when school resumes after the holiday.

• For any concerns or complaints submitted during a school holiday period itself, day 1 for receipt and commencement of the process is when school officially reopens.

 

The timescales set out are not statutory deadlines – they are timescales that Roots Federation will endeavour to meet when dealing with concerns and formal complaints.  However, it must be recognised that on some occasions, the intended timescales set out within this document may not be met, e.g. due to the complexity of a particular complaint, the unexpected absence of a key member of staff, due to the complaint being independently investigated by an external Investigator, or a complainant taking longer than expected to provide evidence to support their complaint.  Whenever such situations arise, Roots Federation will write to the complainant to confirm that a time extension is being applied, the reason(s) for this, and the revised timescale for response. Equally, a complainant should alert Roots Federation to any delays from their perspective.

 

Scope of this Complaints Policy and Procedure

This policy and procedure only applies to complaints that revolve around the provision of facilities or services by Roots Federation.  Please read on for examples of which matters can and cannot be accepted by Roots Federation as a formal complaint under the terms of this document.

 

Examples of matters that can be accepted as a formal complaint:

• Issues from parents, guardians or registered carers of pupils who attend Roots Federation.

• Complaints regarding pastoral issues, including allegations of bullying.

• Other complaints regarding pupil welfare and wellbeing.

• Complaints regarding the behaviour of a member of staff.

• Complaints regarding the behaviour of a governor.

• A governor complaining about a member of staff.

• A member of staff complaining about a governor.

• A governor complaining about another governor.

• Complaints regarding SEND provision issues where a child does not have an Education, Health & Care Plan (EHCP) in place.

• Issues that qualify for acceptance as a formal complaint that have occurred within the last three calendar months.

• Complaints about confusing or misleading information being provided.

• Allegations that a policy or procedure has not been followed correctly or at all.

• Complaints regarding poor communication.

• Complaints from other individuals, including members of the public, about provision of facilities or services by Roots Federation.

 

 

The following matters cannot be accepted as a formal complaint:

• Complaints about pupil behaviour significantly outside of Roots Federation hours – e.g. over a weekend or during school holidays when pupils are the responsibility of their parent(s), guardian or registered carer.

• Complaints regarding third parties using or hiring Roots Federation premises – third parties must have their own arrangements in place for dealing with formal complaints and should be contacted by the complainant directly.

• Data protection and information rights related complaints, including Roots Federation’s handling of personal data, a Subject Access Request (SAR), or a Freedom of Information Request (FOI) – new legal requirements came into effect on 19th June 2026 arising from the Data (Use and Access) Act (DUAA) 2025. All organisations, including Roots Federations, are required to have clear arrangements in place for handling data protection related complaints internally before matters can be escalated to the Information Commissioner’s Office (ICO).  In line with the new requirements, complaints relating to data protection and/or information rights are no longer considered under Roots Federation’s standard Complaints Policy and Procedure and will instead be managed in accordance with Roots Federation’s separate Data Protection Complaints Process and such matters will be overseen by Roots Federation’s Data Protection Officer (DPO).

• Complaints about Roots Federation carrying out a statutory duty – e.g. submitting a Child Protection Referral to Children’s Services or making a referral to the Local Authority Designated Officer (LADO) – Roots Federation’s complaints process cannot be invoked to challenge or stop it from doing something it has a duty to do.

• Matters likely to require a Child Protection Investigation – such matters are handled under Roots Federation’s Child Protection Policy and in accordance with relevant statutory guidance.

• Complaints regarding internal management decisions – e.g. group/room allocations, teacher/keyworker allocations, the selection of volunteers, Roots Federation session time changes, and Roots Federation closures at short notice due to exceptional circumstances, such as extreme heat or snow, etc.  The Executive Headteacher and Senior Leadership Team are entitled to take such decisions in order to ensure that Roots Federation functions effectively from a logistical point of view and fulfils its many duties and responsibilities, including group/room organisation and health and safety.

• Complaints about a decision or process that has been subject to a full consultation and subsequently approved by the Full Governing Body (FGB) – the FGB will have already given the matter full consideration and respondents will have had the opportunity through the consultation process to air their views.

• A member of staff seeking to complain about another member of staff – such matters must be dealt with under Roots Federation’s Grievance Policy and Procedure instead.

• A member of staff seeking to complain about an action or a decision of Roots Federation’s FGB – the FGB will have already given the matter full consideration.

• Whistleblowing issues – must be dealt with in accordance with Roots Federation’s Internal Whistleblowing Policy and Procedure for all employees, including any temporary staff or contractors.  The Secretary of State for Education is the prescribed person for matters relating to Whistleblowing in education where an individual decides not to raise matters directly with their employer: www.education.gov.uk/contactus.

• Any matters for which a formal right of appeal through an independent review process exists – e.g. disputes in relation to the content of Sections B, F, or I of an EHCP.

• Attendance and absence recording – Such decisions will be made by staff in their professional judgement – and where necessary, the Head of School and/or Executive Headteacher – having considered any request, explanation or evidence submitted by the parent, guardian or registered carer.  The Executive Headteacher’s decision is final and there is no requirement for such decisions to be reviewed again by any complaints or appeals process.

• Any matters subject to past, present or pending Police involvement or investigation.

• Roots Federation’s response to a formal request for comment or information from another agency or statutory body – e.g. the Local Authority in relation to an EHC Needs Assessment or Child Protection enquiry, a Tribunal, the Police, or a Court.

• Traffic management and parking issues outside of Roots Federation, including parents’ driving and parking – it is the responsibility of the driver themselves to drive and park responsibly and legally.  In the event they do not so, this may potentially become an issue for the Police, or the local highways authority if the road is part of the adopted public highway network.

• Any matters that have already been considered through Roots Federation’s complaints process or a separate process of complaint or appeal – if an individual tries to submit a complaint where the substantive issue(s) at the heart of it have already been considered, Roots Federation is not obliged to investigate and respond to those issues again.  Such a situation may be considered vexatious (see Appendix 3 for more information).

• National Curriculum content complaints – must be directed to the Department for Education at: www.education.gov.uk/contactus.

• Term time holiday requests for those on term time only contracts – Head of School and/or Executive Headteacher’s cannot grant any leave of absence during term time unless there are exceptional circumstances. The Head of School and/or Executive Headteacher’s decision is final and there is no requirement for such decisions to be reviewed again by any complaints or appeals process.

• Complaints regarding the availability or delivery of Section F provision for a child with an EHCP in place – as Local Authorities with SEND responsibilities have a non-delegable legal duty to secure all of the provision set out within Section F of an EHCP.

• Any matters subject to past, present or pending legal proceedings – e.g. before a Court or Tribunal.

• Complaints about unsuccessful Roots Federation admission applications – because a formal right of appeal to an Independent Appeal Panel exists (most often arranged by the Local Authority).

• Complaints about Fixed-Term Suspensions from Roots Federation – as the DFE’s statutory guidance applies instead – Suspension and permanent exclusion from maintained Roots Federations, academies and pupil referral units in England, including pupil movement – Guidance for maintained Roots Federations, academies, and pupil referral units in England (Roots Federation suspensions and permanent exclusions - GOV.UK).  This link is to the current guidance, which may change from time to time, so always ensure that the most up-to-date guidance is being used.

• Complaints about Permanent Exclusions from Roots Federation – As above, the DFE’s statutory guidance applies instead.  In addition to this, Permanent Exclusions may ultimately be appealed to an Independent Review Panel (IRP).

• Complaints about the instigation of communication management measures and/or a ban from Roots Federation premises – Any individual(s) subject to such restrictions will be given the opportunity to have a representation considered by Roots Federation when the measures are introduced, and if the measures remain in place beyond this, on each occasion Roots Federation will commit to reviewing them again within a fixed time period.

 

If other bodies are looking into aspects of a complaint, for example the Police, the Local Authority (LA) Safeguarding Teams or a Tribunal, this may impact on Roots Federation’s ability to meet the timescales set out within this policy and procedure, and may result in the process being suspended until the other relevant body has concluded its enquiries.  If a complainant commences legal action against Roots Federation in relation to their complaint or related matters that Roots Federation considers to be inextricably linked, we will consider whether to suspend the complaints process until the legal proceedings have concluded.  Roots Federation will only consider investigating the complaint after the conclusion of legal proceedings if Roots Federation considers that those proceedings did not address the issues at the heart of the complaint.

 

Responding to complaints

At each stage of this process, Roots Federation will try to resolve the complaint and/or provide clarity insofar as possible.  Wherever practical, Roots Federation will confirm whether the complaint is upheld, in whole, in part, or not at all. In addition to this, Roots Federation may offer one or more of the following if it is deemed appropriate and necessary:

• An explanation.

• An acknowledgement that the situation could have been handled differently.

• An explanation of the steps that have been taken, or will be taken, to try and ensure that the same issues do not recur and an indication of the timescales within which any steps will be implemented and by whom.

• An undertaking to review relevant Roots Federation policies and procedures in light of the complaint.

• An apology.

 

Withdrawal of a Complaint

If a complainant wishes to withdraw their complaint at either of the formal stages (1 or 2), they must inform Roots Federation as soon as possible.  Roots Federation will then ask them to confirm this in writing.  If they are unable or unwilling to do this however, Roots Federation will write to them instead to confirm that their complaint has been withdrawn, in accordance with their wishes.

 

Informal stage – concern

A concern is an expression of worry or doubt over an issue considered to be important, for which reassurances are sought.

 

Raising concerns in a timely manner is crucial in assisting Roots Federation to take swift action and provide a response. If a concern is not reported, Roots Federation staff are unlikely to be aware that there may be a problem.  Roots Federation will always attempt to resolve a concern informally. Where individuals have a concern, they are encouraged to raise it directly with Roots Federation (e.g. their child’s Class Teacher) as soon as possible to enable the member of staff look into the matter and respond within 5 School days.

 

Stage 1 – formal complaint

An expression of dissatisfaction however made, about actions taken, or a lack of action, that requires an investigation and formal response in writing.

 

Formal complaints must be made to the Head of School at Stage 1 via the school office (unless the complaint is about the Head of School. If you are unable to submit your complaint in writing by email or letter, Roots Federation will follow one or more of the steps set out on page 2 of this document.  Similarly, if any aspect of the complaint(s) and desired outcome(s) are unclear, the Head of School will seek clarification from the complainant using one or more of the steps set out on page 2.  Once the formal complaint and any desired outcome(s) have been confirmed by the complainant, Roots Federation will record the date the complaint was originally submitted and the date that confirmation was obtained from the complainant.  A formal complaint acknowledgment will then be sent out within 5 School days.

 

The Head of School can delegate the actual investigation of the issues that comprise the complaint to another member of Roots Federation staff, but not the decision(s) to be taken when concluding Stage 1.  During the investigation of the formal complaint, Head of School (or Investigator) will:

• Seek to meet those involved in the matter and/or those complained about, allowing them to be accompanied by another individual if they wish.  The decision in terms of who should be interviewed and how is up to the Head of School (or Investigator).  Those who wish to be accompanied must notify the Head of School (or Investigator) in advance of the name of the individual accompanying them and the capacity in which they will be attending the meeting.  Any individual whose attendance has not been confirmed in advance does not have to be admitted to the meeting. The Head of School will consider whether face to face meetings are the most appropriate way of doing this, whether to conduct meetings online (e.g. via Microsoft Teams), or whether to conduct enquiries by way of written representations (e.g. by email).

• Keep a written record of any meetings or interviews in relation to their investigation.

• Review all relevant documentation relating to the complaint.

• Refer to applicable Roots Federation policies and procedures (as appropriate).

 

Once the investigation has been concluded, the Head of School will provide a formal written response within 15 School days, either from the date of receipt of the complaint, or from the date that confirmation of the complaint (and any desired outcomes) was obtained by Roots Federation from the complainant.  If the investigation of the complaint is delegated to another member of Roots Federation staff, the Investigator will provide their findings to the Head of School, to enable the Head of School to write and send an outcome letter to the complainant that sets out the complaint findings and any actions arising.  If the Head of School is unable to meet the original timescale (within 15 Roots Federation days) for sending an outcome letter, they will provide the complainant with an update and a revised response date before the expiry of the original 15 School days timeframe.

 

Once complete and sent out, the Stage 1 formal complaint response will detail how the complaint has been investigated, the findings in respect of each part of the complaint, the reasoning behind them and any actions arising with a timeframe for completion.  The response will also set out how the complainant may escalate their complaint should they remain dissatisfied with the outcome of Stage 1.

 

If the complaint is about the Head of School, Executive Headteacher, or individual members of the Governing Body (including the COG or Vice-Chair of Governors (VCOG) or jointly about both of them), a suitably skilled Governor will be appointed to complete all of the required actions at Stage 1 as set out above.

 

Complaints about the Head of School, Executive Headteacher or a member of the Governing Body must be sent to school office marked for the attention of the Governance Professional.

 

If however, the complaint revolves around the majority of the Governing Body or the entire Governing Body, Stage 1 will be considered by an Independent Investigator appointed by the Governance Professional This person could be an external professional.  At the conclusion of their investigation, the Independent Investigator will inform Roots Federation of their findings and any identified actions arising, and Roots Federation will then confirm the outcome(s) to the complainant in a written response to conclude Stage 1.

If the complainant is dissatisfied with the Stage 1 response to their formal complaint and wishes to escalate it to Stage 2, they should request escalation in line with the process set out in the Stage 1 response, within 10 School days to enable Roots Federation to continue to deal with the complaint in a timely manner.  Roots Federation will not be responsible for any delays caused by escalation requests being made outside of this timeframe.  Complaints will only be progressed to Stage 2 if the complainant formally requests this.

 

Stage 2 formal complaint – Complaint Hearing by a Panel of Governors

In most instances, Stage 2 complaints will be heard by a panel of three impartial governors, usually from Roots Federation’s Governing Body if it is appropriate to do so.  In certain circumstances however, the COG may decide to source external impartial governors.  The COG’s decision on this is final.  The appointment of the Panel Chair is decided amongst the Panel Members themselves and confirmed in advance of the Hearing. Stage 2 is the final stage of Roots Federation’s complaints process.

 

Roots Federation will record the date the Stage 2 escalation request is received and will acknowledge receipt of the request in writing (either by email or letter) within 5 School days.

 

Stage 2 will only consider complaints that have already been lodged and investigated at Stage 1.  It is not an opportunity to raise new complaints.

 

The Governance Professional will write to the complainant to propose a date, time and venue for the hearing and will offer two further dates and times if necessary.  If the complainant rejects all three dates and times offered without good reason, Roots Federation will decide which of the three dates the hearing will take place on, as it is not always possible to reconcile every attendees’ availability.  Roots Federation will make every effort to try and convene a panel within 30 School days of receipt of the Stage 2 request and it should be noted a complaint hearing is permitted to proceed in the absence of the complainant, respondent, or both, on the basis that the parties are required to submit a written case to the panel in advance of the hearing itself. 

 

The panel will usually take place in person or online, with both parties present, or attending separately at different times.  On some occasions however, the panel may take place by way of written representations without the complainant and/or respondent being present.  The panel will decide in advance how the hearing will be held, and the arrangements will be confirmed in writing to the parties as soon as possible.  In reaching a decision on each occasion, the panel will take into account the circumstances of the complaint, and the needs and wellbeing of the parties involved.  When a complaint is heard by way of written representations, the parties will still have the opportunity to make such representations and to have them considered by the Panel within 30 School days.

 

In the event that a face-to-face hearing takes place, both the complainant and the respondent may bring a supporter or representative along with them.  This person could be a friend, relative or independent supporter.  Whilst not prohibited, neither Roots Federation nor the DFE encourages bringing a legal representative to the complaint hearing as it is not a Court of Law. Cross questioning is not therefore permitted.  All questioning throughout the hearing is conducted by the panel only.  Witnesses, including members of staff, may be invited to give evidence during the course of the hearing.  They may also be accompanied by a friend, relative or independent supporter.

 

Representatives from the media are not permitted to attend a Stage 2 hearing and neither audio nor video recording are usually permitted unless all attendees present consent to this or if it is an agreed reasonable adjustment to enable an attendee to fully participate in the meeting.  In the event this happens, Roots Federation will arrange for the hearing to be officially recorded.  Requests for this as a reasonable adjustment will be considered; however, Roots Federation reserves the right to refuse the request if it considers that suitable alternative arrangements are already in place, such as appointing a GPC to take the official notes of the meeting of the hearing and allowing attendees to also take their own personal notes.

 

At least 12 school days before the hearing, the parties will be notified in writing of the confirmed final arrangements, including the date, time and venue for the hearing.  It will also be made clear that if either party decides to leave the hearing before it has finished, it is permitted to continue in their absence.  At the same time, the parties will be given the opportunity to submit any further evidence they wish to be considered by the panel, at least 7 school days before the hearing date.  Late evidence submitted after this time may not be accepted.

 

Written material submitted and received within the above timescale will be circulated to all parties at least 5 school days before the date of the hearing in the format of a panel pack.  This will be done by the Governance Professional. Roots Federation needs to ensure that any third-party information that may have been submitted for inclusion in the panel pack, e.g. by the complainant, is suitably redacted, before the panel packs are circulated to recipients.  Any witness statements submitted by either the complainant or respondent in support of their case, should be signed and dated by the individual.  The content of the panel pack cannot be challenged or complained about before or after the hearing as both parties will have the opportunity to comment on the content of it when presenting their case to the panel.  The panel will not normally accept as evidence any recordings of conversations that were obtained without the informed consent of all parties being recorded.  The panel will not review any new complaints at this stage or consider evidence unrelated to the initial complaint(s) that may have been included.  Any new complaints must be dealt with at Stage 1 of the complaints process first. 

 

The Stage 2 complaints panel hearing will be held in private.  Neither audio or video recording of the hearing will be permitted unless a complainant’s own disability or special needs requires a reasonable adjustment to be made.  Complainants cannot insist on a hearing being recorded without good reason.  Prior knowledge and consent of all parties attending must be sought and obtained before recording of the hearing can take place.  Any request to audio or video record the meeting and whether this was consented to or not by all parties present should be documented in the GPC’s notes of the hearing.  The final decision as to what reasonable adjustments will be made or have been made, if any, rests with Roots Federation, which when considering any such request, will also take into account the arrangements already in place and whether it deems them to be sufficient.

 

The Stage 2 complaints panel will consider the complaint and all of the evidence presented by both parties. The panel can:

• ‘Uphold’ the complaint in full or in part.

• ‘Reject’ the complaint in full or in part.

• Make a finding of ‘No Judgement’ if there is insufficient evidence to reach a definitive conclusion.

 

If the complaint is upheld in full or in part, the Stage 2 complaints panel will consider what actions may be required to resolve the complaint.  As part of this consideration, the panel will take into account any actions that may have already been implemented by Roots Federation, e.g. arising from Stage 1.  Once it has done this, the panel will decide whether to make any recommendations, such as changes or improvements to Roots Federation’s systems or processes, to try and prevent the same or similar issues from recurring in future.  Any recommendations made by the panel will then be considered as an agenda item at one of the upcoming meetings of Roots Federation’s Full Governing Body.  The FGB will endeavour to meet and consider any recommendations made within 5 school weeks.

 

The Chair of the panel will send an outcome letter to the complainant, with a copy also being sent to the respondent on behalf of Roots Federation, within 5 School days of the hearing taking place.  The outcome letter will confirm the panel’s findings in respect of the complaint(s) and the reasoning behind them. 

 

If the panel has made any recommendations due to upholding any aspects of the complaint(s) fully or partially, the initial outcome letter will state that some recommendations have been made and that a final outcome letter will follow once the Full Governing Body has met and formally considered the recommendations.  As stated above, the FGB will endeavour to meet and consider any recommendations made within 5 school weeks.

 

If no recommendations have been made by the panel, e.g. because the complaint has not been upheld, the outcome letter will confirm that Roots Federation’s complaints process has been exhausted and will include details of how the complainant may contact the Department for Education (DFE) in case they remain dissatisfied.

 

If a second and final outcome letter is required due to recommendations being made by the panel, the letter will confirm the recommendations approved by the FGB, the timescale(s) for implementation and who will lead on this.  It will also confirm that Roots Federation’s complaints process has been exhausted and will include details of how the complainant may contact the DfE in case they remain dissatisfied.

 

If the complaint revolves around the majority of the Governing Body or the entire Governing Body, Stage 2 will be heard by a panel of independent governors sourced by the COG.  On some other occasions, the COG may also deem it appropriate to source a panel of independent governors to hear a complaint.  They will decide based upon the circumstances of the case.  In the event an independent panel is convened, once it has heard the complaint, the same process as set out above will be followed in terms of informing the parties of the findings and any recommendations arising.

 

Stage 2 – Governor Review – Complaints involving a child who no longer attends Roots Federation and whose name is no longer listed on Roots Federation roll.

The purpose of this complaints process is to ensure that if an error has been made, or an injustice has occurred, action can be taken to try and provide a remedy.  Where the complainant has removed their child from Roots Federation, it is impossible for Roots Federation to provide a remedy that will directly benefit them or their child.

 

However, as Roots Federation has a duty of care to pupils who remain on roll, where a child has already left Roots Federation, it will ensure that the circumstances of any qualifying complaint made are reviewed so that it can be assessed whether or not Roots Federation acted appropriately and proportionately and that the relevant policies and procedures were followed correctly.  Through this process, changes or improvements may be identified and implemented for the benefit of current and future pupils.

 

Under this policy and procedure, where a child no longer attends Roots Federation and their name is no longer listed on Roots Federation roll, the COG has the discretion to commission a Stage 2 Governor Review or a Complaint Hearing by a Panel of Governors in the event that the complainant requests escalation to Stage 2 after receiving a response at Stage 1.  The Chair of Governors will choose one of the two options, to ensure that the complaint is investigated and responded to appropriately and that the published complaints process is completed.  Their decision on this is final and entirely at their discretion and cannot be challenged through the formal complaints process.

 

If a decision is taken to commission a Governor Review instead of a Panel Hearing, the COG will appoint a governor who has had no prior involvement in the matters being complained about to undertake this.  If a governor cannot be appointed from Roots Federation’s own Governing Body (e.g. due to sickness, other commitments, or a conflict of interest), an external governor will be sourced.

 

Once a governor has been appointed, they will review the original complaint, the investigation and response completed at the previous stage, the complainant’s reply to this (including their escalation request) and any further related evidence the complainant has submitted (this must relate to the complaint and cannot be in relation to new matters).  They will also review relevant records and applicable policies and procedures from Roots Federation, as well as any further related evidence from Roots Federation.  The governor may decide to invite relevant individuals to meet with them to discuss the complaint further, or to submit a statement about it.  However, the governor may instead decide that meeting with individuals and gathering statements from them is not necessary, depending on the extent of the investigation and response already completed at Stage 1 and other records pertaining to the complaint.  The governor’s decision in this respect is final and cannot be challenged through the formal complaints process.

 

When the review is complete, the governor who conducted it will file their findings and any identified actions arising with the COG, who will then confirm the outcome(s) to the complainant in a written response to conclude Stage 2.  If the COG is unable to do this for any reason, another member of the Governing Body will do this, in order to complete Roots Federation’s complaints process. 

 

The response will set out the finding(s) reached and the reason(s) for them.  Where appropriate, the reply will include details of actions Roots Federation will take to try and resolve matters and prevent the same issues from recurring for current and/or future pupils.  The complainant will also be advised of their further recourse in case they remain dissatisfied.

 

Further recourse

If the complainant believes that Roots Federation did not handle their complaint correctly in accordance with this complaints policy and procedure, or that it acted unlawfully or unreasonably in exercising its duties under education law, they can approach the DFE once they have exhausted Roots Federation’s published process.  The DFE will not normally re-investigate the substance of a complaint or overturn any decisions made by Roots Federation.  They will consider whether Roots Federation has adhered to education legislation and any statutory policies relevant to the complaint.  The DFE will not substitute its decision for that of the Stage 2 Complaints Panel or Governor Review simply because the complainant disagrees with it and wants it to be changed.  The complainant can contact the DFE about their complaint online at https://customerhelpportal.education.gov.uk, by telephone on 0370 000 2288, or by writing to:

 

School Complaints Compliance Unit,

Department for Education,

Piccadilly Gate,

Store Street,

Manchester,

M1 2WD​​​​​​​