Report Date

02/08/2024

Case Against

Estyn

Subject

Education

Case Reference Number

202207770

Outcome

Upheld in whole or in part

The Ombudsman received a complaint from a local authority in Wales, making a complaint on behalf of several individuals (“the Council”),regarding the way His Majesty’s Inspectorate for Education and Training in Wales (“Estyn”) had dealt with a complaint it had raised on behalf of several individuals. The complaint was about the professional conduct of one of His Majesty’s Inspectors (“the HMI”) employed by Estyn. We investigated the way in which Estyn handled the complaint referred to it by the Council, and particularly whether Estyn provided an impartial and balanced response.

The Ombudsman found that the Council’s complaint was investigated in line with Estyn’s internal complaints policy and accompanying guidance. The Investigating Officer was an appropriate person to consider the complaint and was suitably trained in complaint handling with no conflict of interest. The evidence considered was appropriate and proportionate to the seriousness of the allegations. There was no evidence that the Investigating Officer considered irrelevant evidence, and the Ombudsman was of the view that appropriate consideration was given to the feelings of the complainants and the witnesses, as well as to Estyn’s duty of care to the HMI. Apologies were offered for those elements of the complaint that were upheld and an internal action plan was drawn up to address the issues identified through internal and employment processes.

However, the Ombudsman noted that Estyn’s complaints policy rigidly required an absolute finding and did not allow for a more nuanced approach at times when this may be difficult to achieve in the absence of independent witnesses or corroborating evidence. We found that the Estyn’s balancing of the evidence should have also included a general assessment of the witnesses’ credibility, including the implications of the pattern of allegations and the power imbalance between the HMI and the complainants. Finally, the detailed information the Ombudsman received about Estyn’s action plan, and how identified issues were pursued internally, could have been outlined in the complaint response to the Local Authority while maintaining an appropriate level of confidentiality around employment matters.

The Ombudsman partially upheld the complaint and recommended that Estyn apologise for the shortcoming identified in relation to its Complaints Policy and that Estyn should review that Policy and its approach.