Complaints Proceedure

What is the policy about?

This policy outlines the procedure to be followed by apprentices and employers of apprentices to make a complaint about services provided by KnowledgeBrief.

We will make all individuals aware of the steps to follow should they wish to raise a concern, grievance or make a complaint.

Complaints relating to other policies, such as Safeguarding, may be processed in accordance to the Safeguarding Policy.

Why is it important?

KnowledgeBrief is dedicated to delivering a high-quality service and takes feedback from both apprentices and employers very seriously. It is KnowledgeBrief’s aim to settle complaints promptly, fairly and courteously in the best interest of all parties, and to address areas where improvement is required. KnowledgeBrief is keen to ensure that the interests and well-being of all those associated with a complaint are properly safeguarded.

KnowledgeBrief will:

be receptive to genuine expressions of dissatisfaction,
deal with complaints promptly and fairly,
learn from complaints and make changes where necessary,
promote equality and diversity.

Apprentices and employers can be assured that formal submission of a complaint will not prejudice any opinion of the apprentice or employer or be used to adversely affect any later dealings with the apprentice or employer.

Responsibility and implementation

The HR Manager has overall responsibility for the effective operation of the policy and for ensuring compliance with the relevant statutory framework.

Leaders and Managers have a specific responsibility to ensure the fair application of this policy and all employees are responsible for supporting colleagues and ensuring its success.

KnowledgeBrief aims to handle complaints in a manner which:

encourages informal conciliation nearest to the source of the complaint,
is efficient and fair,
treats complaints with appropriate seriousness, sympathy and confidentiality,
facilitates early resolution,
where relevant, ensures that KnowledgeBrief practice improves as a result.

For effective oversight of processes and provision, KnowledgeBrief’s Senior Management Team will monitor the complaints received to check for evidence of trends in failure of provision or delivery. An anonymised summary of complaints on record and how they have been managed will also be reported bi-annually to the Advisory Board.

Key Terms

An ‘informal complaint’ is defined as an issue which an apprentice or employer wishes to raise with a member of KnowledgeBrief staff, without using the formal complaints process. Informal complaints are usually quick to resolve and unlikely to require an in-depth investigation.

A ‘Complaint’ is defined as ‘an expression of dissatisfaction about KnowledgeBrief’s action or lack of action, or about the standard of service provided by, or on behalf of KnowledgeBrief’.

Application

Who can use the complaint procedure?

Apprentice or employer of apprentices on one of KnowledgeBrief’s apprenticeship standards may use this procedure.

A group of apprentices may use this procedure to make a collective complaint provided that one apprentice identifies him/herself as the main contact for purposes of communication.

Anyone wishing to make a complaint is encouraged to do so personally. Anonymous complaints will not be considered unless there are exceptional and evidence-based reasons to do so. In many circumstances, raising a concern anonymously could impede investigation and communication of the outcome.

Procedure

The process for raising a complaint by an apprentice or employer is detailed below:

Stage 1: Informal complaints

Where possible, complaints should be raised immediately. The quickest and easiest way for an apprentice or employer to raise a concern or make a complaint is do so via their Skills Coach. Complaints from an apprentice or employer can also be raised with the Head of Delivery Excellence ([email protected]) or via [email protected]. The aim is to resolve the problem directly and informally at the earliest opportunity. It is anticipated that the vast majority of complaints will be resolved in this manner.

Acknowledgement of the complaint will be provided within 48 hours, and a full response given within 10 working days.

Although Stage 1 is informal, a written outcome should be recorded by the Head of Delivery Excellence on the Customer Relationship Management (CRM) system.

If the apprentice or employer is unable to raise the complaint at the source, or is dissatisfied with the outcome, they should make a formal complaint (see Stage 2 below).

Stage 2: Formal complaints

To make a formal complaint an apprentice or employer should put the matter in writing to KnowledgeBrief by email to [email protected], ensuring the word ‘complaint’ is in the subject line, copying in the Head of Delivery Excellence Team ([email protected]).

The email should set out the details of the complaint in full and what would be an appropriate resolution. The apprentice or employer should provide evidence if appropriate.

The Head of Delivery Excellence will log the complaint on the Customer Relationship Management (CRM) system.

KnowledgeBrief will acknowledge receipt of the complaint within 48 hours, and the complaint will be forwarded to an ‘Investigating Officer’ who has not been previously involved with the complaint. The Investigating Officer will be a member of the Senior Management Team. The Investigating Officer will review all information submitted and meet with relevant members of staff to review the complaint. The Investigating Officer will also speak with the apprentice or employer complainant to clarify facts where required. As part of the process, mediation may be offered to resolve the complaint. If mediation is offered, revised timescales for the resolution of the complaint will be agreed in writing between KnowledgeBrief and the complainant.

A written response relating to the findings of the inquiry will be issued by the Investigating Officer within a maximum of 10 working days from the date of receipt of the original complaint.

If the apprentice or employer complainant is not satisfied with the action taken, he/she may proceed to Stage 3 of the procedure (see below).

Stage 3: Review

Where apprentices or employers are not satisfied with the response provided by KnowledgeBrief at Stage 2, upon request the complaint can be escalated for investigation to the board of Directors for review. A formal response will be sent within 10 working days to resolve the complaint or offer an Action Plan.

Stage 4: Complaints Adjudicator

If after exhausting this process the apprentice or employer complainant is still not satisfied, they can escalate their complaint to the Complaints Adjudicator at the Education and Skills Funding Agency (ESFA).

[email protected]
Telephone: 0800 015 0400 or 0247 682 6482

Please note that the ESFA will not usually investigate complaints more than 12 months after the original decision or action has been taken.

EN 2A KB Complaints policy v1.3, 07/11/2019