Handling of School-related Complaints

1. School Development Division / Central Team 3 Education Bureau 28.11.2012 Handling of School-related Complaints

2. Change ! • Socio-political environment • Public’s/Parents’ expectations • Role of • mass media • councillors • statutory bodies • other organisations

3. Be Alert ! Enquiry can turn into complaint • Verbal/phone enquiry leading to written complaint • Individual enquiry/complaint leading to group complaint

4. Escalation of Complaints • Teachers / Senior Teachers • Principal / SMC / IMC / SSB • EDB / Other govt dept/bureux • Unions / Teacher Unions • District Council / Legislative Council • Ombudsman / EOC / ICAC • SED / CS / CE • Mass Media

5. Complaint An expression of dissatisfaction that need a response Complainant is dissatisfied with • products / services • policies / measures • performance / achievement • staff • hardware / environment

6. Modes of Complaints • Verbal • Phone • Face to face • Written • Letter • Fax • e-mail • SMS

7. Common Types of School-related Complaints • Mal-administration • Poor performance • Poor manner • Misconduct • Enrolment • Discipline • Staff Appointment

8. Common Types of School-related Complaints • Students/parents against teachers/school on • teaching performance • test/exam results • student discipline and guidance • malpractices/maladministration • Teachers/staff against school/principal on • unfair treatment/appraisal • dismissal/termination of contract • malpractices/maladministration

9. Current Guidelines on Complaint Handling Aided Schools (also for reference of Caput & DSS schools) • School Administration Guide Sect 4.4 Strategies for Handling Complaints • 學校行政手冊 第4.4節 處理投訴的策略

10. Current Guidelines on Complaint Handling Government Schools • EDB Internal Circular No. 8/2009: Public Complaints Procedure • EDB Internal Circular No. 1/2003: Staff Complaints Procedure • Civil Service Branch Circular No. 7/2012: Reporting of Criminal Offences including Corruption-related Offences

11. Other Relevant Guidelines • EDB Circular No. 1/2012: Handling Child Abuse and Domestic Violence Cases • EDB Circular No. 33/2003: The Principle of Equal Opportunities • EDB Circular No. 2/2009: Amendment to the Sex Discrimination Ordinance (Cap. 480) • EDB Circular No. 25/2008: Race Discrimination Ordinance

12. Other Relevant Guidelines • EDB Circular No. 15/2007: Tendering and Purchasing Procedures in Aided Schools • EDB Circular No. 24/2008: Trading Operations in Schools and Corruption Prevention Best Practice • EDB Circular No. 14/2003: Acceptance of Advantages and Donations by Schools and their Staff

13. Handling of School-related Complaints by REOs Issues relating to school internal matters or day-to-day operation • REO requests school to provide investigation reports or responses • REO reviews reports from schools, conducts investigations if required and issues written reply to complainant • If complainant does not accept the results, the appeal will be handled and replied by another team/officer of REO

14. Handling of School-related Complaints by REOs Emergent/serious cases or violation of Education Ordinance, Code of Aid or EDB guidelines • REO conducts investigations direct and issue written reply to complainant • If complainant does not accept the results, the appeal will be handled and replied by another team/officer of REO

15. Handling of School-related Complaints by REOs Time frame for written replies to complainants Govt schools : 30 days Non-govt schools : 60 days

16. Current Arrangements Enquiries/complaints lodged to EDB Enquiries/complaints lodged to schools With consent from complainant, EDB refers the complaint to school for follow up Schools handle according to school based mechanism Schools handle according to school-based mechanism Designated staff/task force to conduct investigation /follow up Designated staff/task force to conduct investigation /follow up Schools submit reports/responses to EDB Schools reply to complainant(s) direct EDB examines reports/ responses and replies to the complainant 16

17. Handling of Complaints by School • Set up clear and efficient complaint handling procedures • Commitment from senior management • Establish school-based mechanism with clear guidelines setting out policies, procedures and performance standards • Be fair and objective • Consult teachers, parents and other stakeholders • Easy to assess and known to all

18. Handling of Complaints by School • Assign suitable post(s) to deal with complaints • Handling staff should be senior than the one being complained (e.g. if the Principal is the subject of complaint, the case should be handled by the SMC/IMC/SSB) • Investigation team can be formed and outside parties can be involved as appropriate • Training and support should be rendered to those who handle complaints

19. Handling of Complaints by School • To avoid possible conflict of interest and misunderstanding, any staff member who is the subject of a particular complaint should NOT • handle the case file concerned, • supervise the investigation, or • sign any correspondence to be directed to the complainant.

20. Handling of Complaints by School • Where a complaint involves persons known in their private capacity to a staff member responsible for handling the case, or concerns matters in which the staff member has a vested interest, he/she should declare interest • If a case of conflict or potential conflict of interest is established, the staff member concerned should be denied further access to any information relating to that complaint

21. Handling of Complaints by School • Respond to the complainants readily • Complainant should be informed of the result of the investigation and the proposed remedial actions, if any, as soon as possible • Contact point(s) should be provided in the reply • If more time is needed for investigation, the complainant should be informed of the delay and the reason for it • Also respond to the media promptly if the case has been reported in the media

22. Handling of Complaints by School • Make referral whenever necessary

23. Handling of Complaints by School • Solicit suggestions from the complainants • Complaints should be encouraged to suggest ways for improvement • Communication enhances mutual understanding and collaboration

24. Handling of Complaints by School • Keep confidentiality for all complaint cases • Complaints should be handled in accordance with the Personal Data (Privacy) Ordinance • Only those who need the information to investigate and respond to a complaint should have access to the case information • Information gathered during investigation should only be used for internal purposes to respond to the complaint and to implement remedial measures

25. Handling of Complaints by School • Document the information properly • All complaints, including verbal complaints, should be properly documented • A complaints register should be maintained for • monitoring progress • recording case background, investigation methods, findings, recommendations and follow-up actions

26. Handling of Complaints by School • Provide channel of appeal • Complainants should be informed of the channel of appeal if they do not accept the investigation results • Appeal cases should be handled by a different team/staff

27. Complaint Handling Tasks • Identify allegations • Collect information and evidence • Interview complainant and concerned parties • Check documents/records/reports • Compile investigation report • Allegations substantiated or not • Recommendations • Reply to complainant • Follow-up / Remedial measures (if any)

28. School Development Division /Central Team 3 Responsible for tasks relating to the implementation of a strengthened procedure for handling complaints against schools • Development of guidelines and procedures • Consultation with stakeholders • Organization of publicity and training programmes • Supporting the Ad Hoc Committee on Complaint Handling in Schools

29. Ad Hoc Committee on Complaint Handling in Schools To recommend to the Permanent Secretary for Education a mechanism for handling complaints in schools

30. Pilot Scheme on Revised School Complaint Handling Arrangement Time :2012/13 school year Schools :80 Aided / DSS schools Purpose To try out the revised complaint handling mechanism recommended by the Ad Hoc Committee on Complaint Handling in Schools

31. Current Arrangements Enquiries/complaints lodged to EDB Enquiries/complaints lodged to schools With consent from complainant, EDB refers the complaint to school for follow up Schools handle according to school based mechanism Schools handle according to school-based mechanism Problems indirect, time-consuming, communication breakdown, not in focus, causing repeated complaints Designated staff/task force to conduct investigation /follow up Designated staff/task force to conduct investigation /follow up Schools submit reports/responses to EDB Schools reply to complainant(s) direct EDB examines reports/ responses and replies to the complainant 31

32. Revised School Complaint Handling Arrangement Complaints about the Education Ordinance, education polices, or EDB services • Handled by EDB Complaints relating to daily operations and internal affairs of schools • Handled by school

33. Revised School Complaint Handling Arrangement • Some complaints may remain unsettled after the investigation and appeal stages • Complainants or schools/EDB may request for a review of the complaint cases • A Panel on Review of School Complaints will be set up by EDB which is composed of independent persons from education and non-education sectors • The Panel may form several Review Boards to review different complaint cases

34. Revised School Complaint Handling Arrangement • The Review Board will examine • complaint handling procedures • investigation results • The Board will make recommendations to the Permanent Secretary for Education on whether to • close the case • settle the disputes through mediation • take any follow up / remedial measures • initiate a re-investigation

35. Revised School Complaint Handling Arrangement The proposed procedures are not applicableto: • complaints lodged by school staff (staff complaints) • complaints relating to ongoing legal proceedings • complaints under the jurisdiction of other organisations / government departments • complaints governed by other ordinances / legal requirements in HK

36. Revised School Complaint Handling Arrangement Schools may not handle: • anonymous complaints • complaints not made personally / with written consent of the aggrieved person(s) (except for those who are minor or intellectually disabled) • complaints involving any incidents which occurred more than one year ago • complaints with insufficient information

37. Revised School Complaint Handling Arrangement • Handling Unreasonable Behaviours • Include policy against complainant’s unreasonable behaviours in the school-based complaint handling mechanism • Stakeholders should be consulted and informed of the policy on unreasonable behaviours • Designated staff define whether a complainant’s behaviour is unreasonable and decide what measures should be taken, e.g. cease handling the case or refer the case to the police

38. Summing Up Handling of Complaints by School: • Set up clear and efficient complaint handling procedures • Assign suitable post(s) to deal with complaints • Respond to the complainants readily • Make referral whenever necessary • Solicit suggestions from the complainants • Keep confidentiality for all complaint cases • Document the information properly • Provide channel of appeal

39. Summing Up Preventing Complaints • Transparent mechanism • everyone knows his/her role and position clearly • Well established communication system • avoid misunderstanding • Clear procedures and guidelines • facilitate handling of enquires and complaints • Well trained staff • positive attitudes and better interpersonal skills • Emphasis on initial contact • assign appropriate gate keepers

40. Summing Up A Proactive Stance • Attitude • Communication • Transparency • Fairness • Acceptance • Sensitivity • Tactic

41. Thank you !