Definition

A complaint is any expression of dissatisfaction, whether justified or not, about any aspect of the
work undertaken within our End Point Assessment services. A complaint can be received verbally, by
phone, by email or in writing. If it is to be investigated further, then the complaint needs to be in
writing.

Overview

We view complaints, compliments and feedback as an opportunity to learn and improve for the
future. In the case of a complaint, it is a chance to put things right for the apprentice, their
employer, our independent assessors or the member of our staff who has made the complaint. This
complaints policy applies to the services surrounding our End Point Assessment provision only.
Where an apprentice or their representative wishes to complain about the outcome of an
assessment – for example, the grade received – this falls under our Appeals Policy, and should be
raised via the process explained therein.

Aims of this Policy

1. To publicise the existence of our complaints, compliments and feedback procedure so that
people know how to contact us
2. To provide a fair complaints procedure which is clear and easy to use for anyone wishing to
make a complaint.
3. To make sure our staff, instructors and assessors know what to do if a complaint,
compliment or feedback is received.
4. To make sure all complaints are investigated fairly and in a timely way.
5. To handle all complaint information sensitively, telling only those who need to know and
following any relevant data protection or safeguarding requirements.
6. To make sure that complaints are, wherever possible, resolved and that relationships are
repaired.
7. To gather information which helps us to improve what we do.
8. To ensure, in the case of compliments, that this is fed back to any individuals cited, and
where possible, fed into appraisal and performance review.
9. To review the policy annually and update as required, or whenever other information comes
to light which prompts us to review the terms of this policy at other times (for example,
following feedback from the regulator).

Procedure

Overall responsibility for this policy and its implementation lies with the Chief Executive of SFL,
however it is the responsibility of the direct recipient of a complaint, compliment or feedback to
take responsibility for it, so that wherever possible it is handled as close to the source as possible to
avoid unnecessary escalation and reduce the risk of the complaint further damaging the relationship
with the complainant.

In the event of a formal complaint, the following stages will be followed:

Stage 1 - 

1. Complaint is received by SFL and acknowledged as received within 7 working days by Skills
for Logistics (SFL). These should be sent to the Director of Operations, and include the
following details:
a. The name of the complainant and contact details
b. The nature of the complaint
c. Any relevant accompanying evidence wherever possible
d. If the complaint is about a specific person, these specific details about whom the
complaint refers
(NB. If the complaint refers specifically to the Director of Operations then the complaint
should be directed to the Chief Executive, ie. directly to Stage 2 of this process). This is to
ensure that if the recipient (who deals with the complaint) is the person being complained
about, then the complaint will be handled independently.
2. SFL will have 10 working days to investigate the complaint and provide a written outcome
response. The result will either be the complaint is upheld, or not upheld, with reasons given
for either outcome.

Stage 2 - 

1. If the complainant is not satisfied with the outcome of Stage 1, they have a further
opportunity to raise their complaint with the SFL Chief Executive, providing information on
why they disagree with the outcome of Stage 1.
2. Upon receipt, the Chief Executive will review both the process and Stage 1 outcome, and
provide a written response to the complainant within 7 working days from receipt of the
Stage 2 request. The result will either be the complaint is upheld, or not upheld, with
reasons given for either outcome.

Stage 3 - 

3. If the complainant remains unhappy with the outcome of Stage 2, they have a further final
internal opportunity to request a review from the independent Governing Board (a named
non-executive member, not employed by SFL, and with the remit for ensuring SFL maintains
compliance with regulatory requirements). The complaint, and all processes previously
completed, will be reviewed by the independent board member, and a final written response given within 7 working days.
If the complainant is still unhappy with response, SFL will inform the relevant External Quality
Assurance body and make all relevant information available including decision-making evidence and
any records of meetings and discussions.
Records of all complaints will be kept including complaint decisions, outcomes and the response
from the complainant. These records will be made available to any authority and will, where
appropriate be entered into SFL’s Quality Improvement Plan where issues with service have been
identified.
Where a complaint is deemed, upon review by the Governing Board, to be of such seriousness that it
could constitute an Adverse Effect, this will be reported to the appropriate authorities in line with
regulatory requirements.
Where any such disclosures are required, any identifiable personal data will be treated in strict
accordance with the relevant data protection legislation (please refer to SFL’s Data Retention and
Privacy policies).
Contact information
For further information on the content of this policy, please contact: epa@skillsforlogistics.co.uk

 

Approval date: 4th January 2021
Validity: One Year
Review Date: 10 March 2022
Job Title of person responsible for policy: Head of Quality & Assessment
Name of person responsible for policy: Gary Mackay

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