Handling of School-related Complaints

Handling of Handling of School-related School-related

ComplaintsComplaints

School Development Division /School Development Division /Central Team 3Central Team 3

Education BureauEducation Bureau28.11.201228.11.2012

Change !Change ! Socio-political environmentSocio-political environment Public’s/Parents’ expectationsPublic’s/Parents’ expectations Role ofRole of

mass mediamass media councillorscouncillors statutory bodiesstatutory bodies other organisationsother organisations

Be Alert !Be Alert !Enquiry can turn into Enquiry can turn into complaintcomplaint

Verbal/phone enquiry leading to Verbal/phone enquiry leading to written complaintwritten complaint

Individual enquiry/complaint Individual enquiry/complaint leading to group complaintleading to group complaint

Escalation of ComplaintsEscalation of Complaints Teachers / Senior TeachersTeachers / Senior Teachers Principal / SMC / IMC / SSBPrincipal / SMC / IMC / SSB EDB / Other govt dept/bureuxEDB / Other govt dept/bureux Unions / Teacher UnionsUnions / Teacher Unions District Council / Legislative CouncilDistrict Council / Legislative Council Ombudsman / EOC / ICACOmbudsman / EOC / ICAC SED / CS / CESED / CS / CE Mass MediaMass Media

ComplaintComplaintAn expression of dissatisfaction An expression of dissatisfaction

that need a responsethat need a response

Complainant is dissatisfied withComplainant is dissatisfied with products / servicesproducts / services policies / measurespolicies / measures performance / achievementperformance / achievement staffstaff hardware / environmenthardware / environment

Modes of ComplaintsModes of Complaints

VerbalVerbal PhonePhone Face to faceFace to face

WrittenWritten LetterLetter FaxFax e-maile-mail SMSSMS

Common Types of School-Common Types of School-related Complaintsrelated Complaints

Mal-administrationMal-administration Poor performancePoor performance Poor manner Poor manner MisconductMisconduct EnrolmentEnrolment DisciplineDiscipline Staff AppointmentStaff Appointment

Common Types of School-Common Types of School-related Complaintsrelated Complaints

Students/parents against teachers/school Students/parents against teachers/school onon teaching performanceteaching performance test/exam resultstest/exam results student discipline and guidancestudent discipline and guidance malpractices/maladministrationmalpractices/maladministration

Teachers/staff against school/principal onTeachers/staff against school/principal on unfair treatment/appraisalunfair treatment/appraisal dismissal/termination of contractdismissal/termination of contract malpractices/maladministrationmalpractices/maladministration

Current Guidelines on Current Guidelines on Complaint HandlingComplaint Handling

Aided SchoolsAided Schools(also for reference of Caput & DSS schools)(also for reference of Caput & DSS schools)

School Administration GuideSchool Administration GuideSect 4.4 Strategies for Handling ComplaintsSect 4.4 Strategies for Handling Complaints

學校行政手冊學校行政手冊第第 4.44.4 節處理投訴的策略節處理投訴的策略

Current Guidelines on Current Guidelines on Complaint HandlingComplaint Handling

Government SchoolsGovernment Schools EDB Internal Circular No. 8/2009:EDB Internal Circular No. 8/2009:

Public Complaints ProcedurePublic Complaints Procedure EDB Internal Circular No. 1/2003:EDB Internal Circular No. 1/2003:

Staff Complaints ProcedureStaff Complaints Procedure Civil Service Branch Circular No. 7/2012:Civil Service Branch Circular No. 7/2012:

Reporting of Criminal Offences includingReporting of Criminal Offences including

Corruption-related OffencesCorruption-related Offences

Other Relevant GuidelinesOther Relevant Guidelines

EDB Circular EDB Circular No. 1/2012: No. 1/2012: Handling Child Handling Child Abuse and Domestic Violence CasesAbuse and Domestic Violence Cases

EDB Circular No. 33/2003: EDB Circular No. 33/2003: The Principle The Principle of Equal Opportunitiesof Equal Opportunities

EDB Circular No. 2/2009: EDB Circular No. 2/2009: Amendment to Amendment to the Sex Discrimination Ordinance (Cap. 480)the Sex Discrimination Ordinance (Cap. 480)

EDB Circular EDB Circular No. 25/2008: No. 25/2008: Race Discrimination OrdinanceRace Discrimination Ordinance

Other Relevant GuidelinesOther Relevant Guidelines

EDB Circular No. 15/2007: EDB Circular No. 15/2007: Tendering and Tendering and Purchasing Procedures in Aided SchoolsPurchasing Procedures in Aided Schools

EDB Circular No. 24/2008: EDB Circular No. 24/2008: Trading Trading Operations in Schools and Corruption Operations in Schools and Corruption Prevention Best PracticePrevention Best Practice

EDB Circular No. 14/2003: EDB Circular No. 14/2003: Acceptance of Acceptance of Advantages and Donations by Schools and Advantages and Donations by Schools and their Stafftheir Staff

Handling of School-related Handling of School-related Complaints by REOsComplaints by REOs

Issues relating to school internal matters Issues relating to school internal matters or day-to-day operationor day-to-day operationREO requests school to provide REO requests school to provide investigationinvestigation reports or responsesreports or responsesREO reviews reports from schools, conducts REO reviews reports from schools, conducts investigationsinvestigations if required and issues written if required and issues written reply to complainantreply to complainantIf complainant does not accept the results, If complainant does not accept the results, the the appealappeal will be handled and replied by will be handled and replied by another team/officer of REOanother team/officer of REO


Emergent/serious cases or violation of Emergent/serious cases or violation of Education Ordinance, Code of Aid or Education Ordinance, Code of Aid or EDB guideEDB guidelineslines

REO conducts REO conducts investigationsinvestigations direct and direct and issue written reply to complainantissue written reply to complainant

If complainant does not accept the If complainant does not accept the results, the results, the appealappeal will be handled and will be handled and replied by another team/officer of REOreplied by another team/officer of REO


Time frame for written replies to Time frame for written replies to complainantscomplainants

Govt schoolsGovt schools :: 30 days30 days

Non-govt schoolsNon-govt schools : : 60 days60 days

Current ArrangementsCurrent Arrangements

16

With consent from complainant, EDB

refers the complaint to school for follow

up Schools handle

according to school based mechanism

EDB examines reports/ responses and replies

to the complainant

Schools reply to complainant(s)

direct

Schools handle according to school-based mechanismDesignated

staff/task force to conduct

investigation /follow up

Schools submit reports/responses

to EDB

Enquiries/complaints lodged

to schools


to EDB

Designated staff/task force to

conduct investigation

/follow up

Handling of Complaints by Handling of Complaints by SchoolSchool

1.1. Set up clear and efficient complaint Set up clear and efficient complaint handling procedureshandling procedures

Commitment from senior managementCommitment from senior management Establish Establish school-based mechanismschool-based mechanism with clear with clear

guidelines setting out policies, procedures and guidelines setting out policies, procedures and performance standardsperformance standards

Be fair and objectiveBe fair and objective Consult teachers, parents and other Consult teachers, parents and other

stakeholdersstakeholders Easy to assess and known to allEasy to assess and known to all


2.2. Assign suitable post(s) to deal with Assign suitable post(s) to deal with complaints complaints

Handling staff should be senior than the one Handling staff should be senior than the one being complainedbeing complained

(e.g. if the Principal is the subject of complaint, (e.g. if the Principal is the subject of complaint, the case should be handled by the the case should be handled by the SMC/IMC/SSB)SMC/IMC/SSB)

Investigation team can be formed and outside Investigation team can be formed and outside parties can be involved as appropriateparties can be involved as appropriate

Training and support should be rendered to Training and support should be rendered to those who handle complaintsthose who handle complaints


To avoid possible conflict of interest To avoid possible conflict of interest and misunderstanding, any staff and misunderstanding, any staff member who is the subject of a member who is the subject of a particular complaint particular complaint should NOTshould NOT handle the case file concerned,handle the case file concerned, supervise the investigation, orsupervise the investigation, or sign any correspondence to be sign any correspondence to be

directed to the complainant.directed to the complainant.


Where a complaint involves persons Where a complaint involves persons known in their private capacity to a staff known in their private capacity to a staff member responsible for handling the case, member responsible for handling the case, or concerns matters in which the staff or concerns matters in which the staff member has a vested interest, he/she member has a vested interest, he/she should should declare interestdeclare interest

If a case of conflict or potential conflict of If a case of conflict or potential conflict of interest is established, the staff member interest is established, the staff member concerned should be concerned should be denied further access denied further access to any information relating to that to any information relating to that complaintcomplaint


3.3. Respond to the complainants readily Respond to the complainants readily Complainant should be informed of the Complainant should be informed of the

result of the investigation and the proposed result of the investigation and the proposed remedial actions, if any, remedial actions, if any, as soon as possibleas soon as possible

Contact point(s) should be provided in the Contact point(s) should be provided in the replyreply

If more time is needed for investigation, the If more time is needed for investigation, the complainant should be informed of the delay complainant should be informed of the delay and the reason for itand the reason for it

Also Also respond to the media promptlyrespond to the media promptly if the if the case has been reported in the mediacase has been reported in the media


4.4. Make referral whenever Make referral whenever necessarynecessaryNature Referred to

Corporal Punishment Corporal Punishment Medical doctors Medical doctors PolicePolice SWDSWD

Child/Sexual AbuseChild/Sexual Abuse PolicePolice

SWDSWD

DrugDrug PolicePolice

CorruptionCorruption ICACICAC


5.5. Solicit suggestions from the Solicit suggestions from the complainantscomplainants

Complaints should be encouraged to Complaints should be encouraged to suggest ways for improvementsuggest ways for improvement

Communication enhances mutual Communication enhances mutual understanding and collaborationunderstanding and collaboration


6.6. Keep confidentiality for all complaint Keep confidentiality for all complaint cases cases

Complaints should be handled in accordance Complaints should be handled in accordance with the Personal Data (Privacy) Ordinancewith the Personal Data (Privacy) Ordinance

Only those who need the information to Only those who need the information to investigate and respond to a complaint should investigate and respond to a complaint should have access to the case informationhave access to the case information

Information gathered during investigation Information gathered during investigation should only be used for internal purposes to should only be used for internal purposes to respond to the complaint and to implement respond to the complaint and to implement remedial measuresremedial measures


7.7. Document the information properlyDocument the information properly All complaints, including verbal complaints, All complaints, including verbal complaints,

should be properly documentedshould be properly documented A A complaints registercomplaints register should be maintained should be maintained

forfor monitoring progressmonitoring progress recording case background, investigation recording case background, investigation

methods, findings, recommendations and methods, findings, recommendations and follow-up actionsfollow-up actions


8.8. Provide channel of appealProvide channel of appeal Complainants should be informed Complainants should be informed

of the channel of appeal if they do of the channel of appeal if they do not accept the investigation results not accept the investigation results

Appeal cases should be handled by Appeal cases should be handled by a different team/staffa different team/staff

Complaint Handling TasksComplaint Handling Tasks

Identify allegationsIdentify allegations Collect information and evidenceCollect information and evidence

Interview complainant and concerned Interview complainant and concerned partiesparties

Check documents/records/reportsCheck documents/records/reports Compile investigation reportCompile investigation report

Allegations substantiated or notAllegations substantiated or not RecommendationsRecommendations

Reply to complainantReply to complainant Follow-up / Remedial measures (if any)Follow-up / Remedial measures (if any)

School Development School Development Division /Division /Central Team 3Central Team 3

Responsible for tasks relating to the Responsible for tasks relating to the implementation of a implementation of a strengthened strengthened procedure for handling complaints against procedure for handling complaints against schoolsschools

Development of guidelines and proceduresDevelopment of guidelines and procedures Consultation with stakeholdersConsultation with stakeholders Organization of publicity and training Organization of publicity and training

programmesprogrammes Supporting the Supporting the Ad Hoc Committee on Ad Hoc Committee on

Complaint Handling in SchoolsComplaint Handling in Schools

Ad Hoc Committee on Ad Hoc Committee on Complaint Handling in Complaint Handling in SchoolsSchools

To recommend to the To recommend to the Permanent Secretary for Permanent Secretary for Education a mechanism for Education a mechanism for handling complaints in handling complaints in schoolsschools

Pilot Scheme on Revised School Pilot Scheme on Revised School Complaint Handling ArrangementComplaint Handling Arrangement

TimeTime :: 2012/13 school year2012/13 school year

SchoolsSchools :: 80 Aided / DSS schools80 Aided / DSS schools

PurposePurpose

To try out the revised complaint To try out the revised complaint handling mechanism recommended handling mechanism recommended by the Ad Hoc Committee on by the Ad Hoc Committee on Complaint Handling in SchoolsComplaint Handling in Schools

Current ArrangementsCurrent Arrangements

31

With consent from complainant, EDB

refers the complaint to school for follow

up Schools handle

according to school based mechanism

EDB examines reports/ responses and replies

to the complainant

Problems

indirect, time-

consuming, communication breakdown, not in focus,

causing repeated

complaintsSchools reply to complainant(s)

direct

Schools handle according to school-based mechanismDesignated

staff/task force to conduct

investigation /follow up

Schools submit reports/responses

to EDB


to schools


to EDB

Designated staff/task force to

conduct investigation

/follow up

Revised School Complaint Revised School Complaint Handling ArrangementHandling Arrangement

Complaints about the Education Complaints about the Education Ordinance, education polices, or EDB Ordinance, education polices, or EDB servicesservices

Handled by EDBHandled by EDB

Complaints relating to daily operations Complaints relating to daily operations and internal affairs of schoolsand internal affairs of schools

Handled by schoolHandled by school


Some complaints may remain unsettled Some complaints may remain unsettled after the investigation and appeal stagesafter the investigation and appeal stages

Complainants or schools/EDB may request Complainants or schools/EDB may request for a review of the complaint casesfor a review of the complaint cases

A A Panel on Review of School ComplaintsPanel on Review of School Complaints will be set up by EDB which is composed will be set up by EDB which is composed of independent persons from education of independent persons from education and non-education sectorsand non-education sectors

The Panel may form several The Panel may form several Review Review Boards Boards to review different complaint to review different complaint casescases


The Review Board will examine The Review Board will examine complaint handling procedurescomplaint handling procedures investigation resultsinvestigation results

The Board will make recommendations to The Board will make recommendations to the Permanent Secretary for Education the Permanent Secretary for Education on whether toon whether to close the caseclose the case settle the disputes through mediationsettle the disputes through mediation take any follow up / remedial measurestake any follow up / remedial measures initiate a re-investigationinitiate a re-investigation


The proposed procedures are The proposed procedures are not applicablenot applicable to:to:

complaints lodged by school staffcomplaints lodged by school staff(staff complaints)(staff complaints)

complaints relating to ongoing legal complaints relating to ongoing legal proceedingsproceedings

complaints under the jurisdiction of other complaints under the jurisdiction of other organisations / government departments organisations / government departments

complaints governed by other ordinances / complaints governed by other ordinances / legal requirements in HKlegal requirements in HK


Schools may Schools may notnot handle: handle: anonymous complaints anonymous complaints complaints not made personally / with complaints not made personally / with

written consent of the aggrieved written consent of the aggrieved person(s) (except for those who are person(s) (except for those who are minor or intellectually disabled)minor or intellectually disabled)

complaints involving any incidents which complaints involving any incidents which occurred more than one year agooccurred more than one year ago

complaints with insufficient information complaints with insufficient information


Handling Unreasonable Behaviours Handling Unreasonable Behaviours Include policy against complainantInclude policy against complainant’’s s

unreasonable behaviours in the school-based unreasonable behaviours in the school-based complaint handling mechanismcomplaint handling mechanism

Stakeholders should be consulted and informed Stakeholders should be consulted and informed of the policy on unreasonable behavioursof the policy on unreasonable behaviours

Designated staff define whether a complainantDesignated staff define whether a complainant’’s s behaviour is unreasonable and decide what behaviour is unreasonable and decide what measures should be taken, e.g. cease handling measures should be taken, e.g. cease handling the case or refer the case to the policethe case or refer the case to the police

Summing UpSumming Up

Handling of Complaints by School:Handling of Complaints by School:1.1. Set up clear and efficient complaint Set up clear and efficient complaint

handling procedureshandling procedures2.2. Assign suitable post(s) to deal with Assign suitable post(s) to deal with

complaints complaints 3.3. Respond to the complainants readily Respond to the complainants readily 4.4. Make referral whenever necessaryMake referral whenever necessary5.5. Solicit suggestions from the complainantsSolicit suggestions from the complainants6.6. Keep confidentiality for all complaint cases Keep confidentiality for all complaint cases 7.7. Document the information properlyDocument the information properly8.8. Provide channel of appealProvide channel of appeal


Preventing ComplaintsPreventing Complaints Transparent mechanismTransparent mechanism

everyone knows his/her role and position everyone knows his/her role and position clearlyclearly

Well established communication systemWell established communication system avoid misunderstandingavoid misunderstanding

Clear procedures and guidelinesClear procedures and guidelines facilitate handling of enquires and complaintsfacilitate handling of enquires and complaints

Well trained staffWell trained staff positive attitudes and better interpersonal skillspositive attitudes and better interpersonal skills

Emphasis on initial contactEmphasis on initial contact assign appropriate gate keepersassign appropriate gate keepers


A Proactive StanceA Proactive StanceAAttitudettitudeCCommunicationommunicationTTransparencyransparencyFFairnessairnessAAcceptancecceptanceSSensitivityensitivityTTacticactic

Thank you !Thank you !

Handling of School-related Complaints

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