The Term Customer Will Be Used to Cover Everybody Except Staff

Complaints

Procedure

Contents

Page
Overview
1Summary
2History
3Approval
4Review
PART A / 1
1
1
1
1
Procedure
1Purpose of the Procedure
1.2Statement
2Further Education Complaints
2.1Complainants are Informed
3Staff Receiving Complaints
4Have your say boxes
5Informal Complaints
6Formal Complaints Procedure
7Other Forms of Complaint
8Executive Secretary Responsibilities
9Managers Responsibilities
10Complaints Regarding Members of Staff
11Complaints against the Principal or the Corporation / 2
2
2
2
2
3
3
4
4
5
5
5
6
6
Appendices / 8
Appendix AComplaint Form / 8
Appendix BComplaint Investigation Form / 10
Appendix C Complaints Procedure Flow Chart / 11
Appendix DExecutive Secretary Flow Chart / 12
Appendix EManagers Flowchart / 13
Appendix FAcknowledgement Letter / 14
Appendix GDelay Letter / 15
Appendix HFinal Response Letter Template / 16
Appendix IHave Your Say / 17
Appendix JSuggestions/Complaints Survey / 18
PART B
Procedure
Higher Education Student Complaints
Appendices
HE1-Initial Investigation Stage Form (SCP1)
HE2-Student Complaint Investigation Report (SM1)
Appendix HE3Review and Appeal Stage Form (RAS1)
Appendix HE34Completion of Procedure Letter Template  / 19
19
22
22
24
25
27
March 2017 / Ref:POL0001

Complaints

Procedure

Overview

1Summary

This is an explanation for staff and students of the procedure for handling suggestions and complaints made by students, clients, employers, parents or other customers of the College according to the complaints procedure.

Throughout this document it should be noted that the term complaint is used even though the customer may not use that word. A complaint is therefore an issue raised which gives cause for concern and should be handled according to the complaints procedure.

The term customer will be used to cover everybody except staff.

Staff wishing to raise issues or grievances should use the College's Grievance Procedure or Policy on Harassment.

2History

This document was reviewed in June 2012 by the Associate Director Student Services and Associate Director QA (FE) and Staff Development. Further consultation included the Customer Services Team and the Student Council.

3Approval

The revised procedure was approved by theStudent Services Group, the Quality Group,and the Senior Management Team during January 2013.

This document was up-dated in October 2015. A new Section B has been added for the specific reference of Higher Education students.

4Review

This document will be reviewed bi-annually by the Assistant Principal Curriculum & Quality. 

March 2017 / Page - 1 - / Ref:POL0001

Complaints

Procedure

1Purpose of the Procedure

To ensure:

•Maximum and timely customer satisfaction.

•A consistent approach to handling suggestions and complaints.

•Complaints are monitored.

•Themes and trends are identified.

•Action is taken, complainants are notified of this, and their satisfaction surveyed.

1.2Statement

It is the policy of the College that all complaints made by identified students, clients, employers, parents or other customers of the College are responded to promptly and courteously according to the following procedures. Attempts will be made to resolve all matters in a mutually satisfactory manner, however where this is not possible then apologies and an explanation will be given. When determining action, the needs of others will be taken into account and decisions will be made on the basis of the general good of the College.

2Further Education Complaints

2.1Complainants are Informed

It is our intention wherever possible to provide our customers with a quality service and we give an assurance that all matters will be thoroughly investigated.

Should they make a formal complaint this will be acknowledged upon receipt and they will be notified of the initial progress of their complaint, or the final outcome within 20 working days.

If a letter of complaint is written to the Principal, this will be treated as a formal complaint and actioned accordingly.

If the complaintsare not resolved to the complainant’s satisfactionyou should appeal in writing to the Principal within 10 working days, the Principal’s decision is final.

Should you be dissatisfied in the way in which the College has dealt with your complaint, you have a right to take up the matter further. Where a student exhausts the College’s procedure, you have a right to complain to the local office against the College. A complaint to the Education Funding Agency/ Skills Funding Agency (EFA/SFA)is not a further stage of appeal. The EFA/SFA does not hear evidence or seek to substitute its own decision for that of the College.

In considering a complaint, the EFA/SFAwould undertake an enquiry to consider whether the College had followed its own procedures and advise the College accordingly. The EFA/SFA would only ask the College to review the decision itself if it appeared to the EFA/SFA that the decision was totally unreasonable.

The address of the office of the EFA/SFAis:

Central Intervention Team
Education Funding Agency
Earlsdon Park
53-55 Butts Road
COVENTRY
CV1 3BH
March 2017 / Page - 1 - / Ref:POL0001

Complaints

Procedure

3Staff Receiving Complaints

Please remember when faced with a complaint you must:

Acknowledge the customer's feelings and apologise appropriately.
Inform the customer of your name and post.
Attempt to rectify the matter if able to do so without detriment to anyone else and provided that you have the authority to take the necessary actions.
Ask the complainant if they wish to make a formal complaint. Complete a Complaint Form on behalf of the customer and ensure that the customer knows what will happen as a result.

Pass the form to Executive Secretary for processing. 

4Have Your Say Boxes

Comments can be made on the “Have Your Say Cards” located with the red “Have Your Say” boxes throughout the College.

Completed cards should be left in one of the boxes. Cards are also available in, and can be returned to, Customer Services.

The AdminTeam collects cards every week. They are forwarded to the Quality team, processed and responded to by the relevant Manager if appropriate.

Have Your Say Boxes and cards are positioned around the College campus as determined by the Quality Group.
Supplies of cards and boxes are maintained by the Quality Team
Completed cards are collected from all boxes every week in term time by the AdminTeam and forwarded to Quality Admin.
During holiday periods boxes will be checked regularly.
All collected cards are logged, ie given a number and nature of comments summarised.
The Quality Team will forward the comments, if appropriate, and reply, or note ‘no-action’.
All comments referred to the relevant manager for actionwill be forwarded immediately and should be returned to the Quality Team within 20 working days.
Formal complaints, determined by the Quality Team will be forwarded to the Executive Secretary.
The Executive Secretary will up-date the database with the outcome detailson a confidential system.
The response is communicated back to the person making the suggestion/complaint/compliment.
The database will be maintained by the Quality Team to allow for termly/yearly Complaints Reports to be produced.
Any anonymous Have Your Say Cards are destroyed and not processed further.
Any cards that could be deemed to be offensive are not processed. If the author is identifiable disciplinary action may be taken if the contents contravene the College’s guidelines. Advice will be sought in the first instance, regarding any such occurrences from Quality Team.
A follow-up procedure exists to monitor satisfaction and effectiveness of complaints. 

March 2017 / Page - 1 - / Ref:POL0001

Complaints

Procedure

5Informal Complaints

Any complaint received through one of the following will be classed as an informal complaint unless the complainant states they wish to make a Formal Complaints:

Student Focus Groups
Via the Intranet/Moodle
In the Student Comments Book
Progression & Achievement Coach Session
Diary Room.

All informal complaints will be recorded.

If an informal complaint is deemed serious, this can be escalated to a formal complaint by the complaints panel.

In the instance of complaints being made at meetings eg student groups, action plans will be prepared and appropriate action taken.

Where students make comments in the Student Comments Book, this will be discussed and recorded at course team meetings. Feedback will be given to students via the tutorial session and will also be recorded in the comments book.

On occasions where comments are made in writing, on the Parental perception survey form for example, these will be recorded and forwarded to the appropriate Manager/Associate Director for a written response to be made. A copy will be kept of the comments made, date received in College and date of response.

Comments made via the E-Forms on the Intranet will be forwarded by the Executive Secretarywho will record and process.

6Formal Complaints Procedure

A formal complaint is when a person who expresses their concerns in writing which needs further investigation.

Any complaint which needs further investigation or referral should be recorded on a Complaints Form which is available from Customer Services, staff and student Intranet and the College main website and should be returned as instructed on the form. These are processed and responded to as appropriate.

Customers will receive a complaint acknowledgement letter within 5 working days from the Executive Secretary.

If a letter or e-mail of complaint is received it should be forwarded to the Executive Secretary for processing.

Any complaint requiring further investigation or referral will be recorded on a Complaints Form.
These are available from Customer Services, staff and student Intranet and the College main website and should be returned as instructed.
Upon receipt of a Formal Complaint. The Executive Secretary will acknowledge receipt by sending the customer an acknowledgement letter within 5 working days. (This includes more detailed information of the suggestion and complaints procedure). 

March 2017 / Page - 1 - / Ref:POL0001

Complaints

Procedure

Any letters of complaint or e-mails received will be attached to a Complaints Form and treated in the same manner.
All Complaint Forms will be forwarded to the Executive Secretary to be logged.
The Executive Secretary will then forward the Complaint Form to the relevant manger for investigation.
Any manager receiving a complaint should investigate the incident and complete the action and outcome section of the form indicating clearly all relevant details.
Forms should be returned to the Executive Secretary within 20 working days.
The Executive Secretary will up-date the complaints database with the outcome details; all complaint forms will be stored in an appropriate, confidential area.
The complaints database will be maintained by the Executive Secretaryto allow for termly/yearly Complaints Reports to be produced.
Progress of complaints will be monitored by the Complaints Panel.
A follow-up procedure exists to monitor satisfaction and effectiveness.
Completed forms may only be accessed by staff and managers as appropriate.

The Executive Secretary will have oversight of the complaints procedure in liaison with the Quality Team. In the Executive Secretary’s absence - The Head of Quality Improvement will advise regarding referral for investigation where appropriate. In their absence –Quality Assurance Co-ordinator.

7Other Forms of Complaint

Comments will also be reviewed via a number of mechanisms such as Student Focus Groups, Diary Room and Surveys. These comments will be considered by the Complaints Panel which will meet fortnightly during term-time.

The complaints panel will consider each comment and decide whether it should be informal or formal and direct through the appropriate channel. The panel will be made up of the Head of Quality Improvement and Quality Assurance Co-ordinator.

8Executive Secretary Responsibilities

The Executive Secretary will process all Formal Complaints received, record them on the database and pass on to the relevant manager for further investigation, this includes corresponding with the complainant as prescribed herein.

Upon receiving the closed complaint the Executive Secretary will up-date the database with the outcome.

9Managers' Responsibilities

You may be forwarded a complaint form from the Executive Secretaryfor further investigation. If you receive a formal written complaint you should record it on the complaints form and follow the same procedure. Forms can be obtained by telephoning Customer Services. 

10Complaints Regarding Members of Staff

Complaints identifying a member of staff will be referred initially to Head of HR for advice regarding the most appropriate procedure. Complaints identifying a senior postholder will be referred to the Principal. Complaints about the Principal will be referred to the Clerk to the Corporation.
Certain documents identifying staff may not be held by the Executive Secretary but kept by the College Leadership Team. A Complaints Form containing sufficient details for monitoring purposes but ensuring confidentiality will be kept.

11Complaints against the Principal or the Corporation

A complaint against the Principal or the Corporation or an individual member of the Corporation should be addressed to the Clerk to the Corporation who will deal with the matter as appropriate. The response to such a complaint will include details of the arrangements for pursuing the matter with an independent body. A complaint against the Clerk to the Corporation should be forwarded to the Chair of the Corporation.

Procedure

1.A complaint against the Principal or the Corporation, a member of the Corporation or the Clerk to the Corporation may be made by an individual, business or an organisation.

2.Complaints against the Corporation or a member of the Corporation should preferably be made in writing and addressed to the following:

The Clerk to the Corporation

NorthLindseyCollege

Kingsway

Scunthorpe

North Lincolnshire

DNI7 IAJ

3.The complainant will be expected to state clearly the nature of the complaint, and if appropriate, provide copies of any related documentation.

4.The Clerk to the Corporation will

acknowledge receipt of the complaint within five working days

investigate the complaint

endeavour to provide a response to the complaint within 20 working days and if this is notpossible provide the complainant with an interim statement.

5.The written response of the Clerk to the Corporation will include details of any arrangements for pursuing the matter with an independent body (eg. Auditors or the Education Funding Agency/Skills Funding Agency).

March 2017 / Page - 1 - / Ref:POL0001

Complaints

Procedure

6.The Clerk to the Corporation will keep the Chair informed of the situation, and will provide the Corporation with a written statement of the nature of the complaint and the response at the next meeting. Such a report shall be circulated to members within ten working days of the response of the Clerk to the complainant so that members are aware of the situation.

7.A complaint against the Clerk to the Corporation should be forwarded to the Chair of the Corporation for investigation and response. Letters for the attention of the Chair of the Corporation to be addressed to:

The Chair of the Corporation

NorthLindseyCollege

Kingsway

Scunthorpe

North Lincolnshire

DNI7 1AJ

8.The approach to be adopted by the Chair of the Corporation in investigating and responding to a complaint will be similar to that outlined above with regard to complaints against the Corporation and individual members of the Corporation. 

March 2017 / Page - 1 - / Ref:POL0001

Appendix A

Complaint Form

North Lindsey College is committed to responding to all complaints promptly and constructively to ensure high standards and the continuous improvement of College services.

March 2017 / Page - 1 - / Ref:POL0001

Appendix A

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Appendix B

Complaint Investigation Form

FOR OFFICIAL USE ONLY

Date Received: / Log No: / Acknowledgment Letter Sent:
Referred to: / Date Referred: / Date Returned:

Category of Complaint:

Accommodation &
Facilities / Admissions/Enrolments/
Course Information / Course Provision &
Related Resources / Equal Opportunities/ Harassment
Miscellaneous / Staff / Other
March 2017 / Page - 1 - / Ref:POL0001

Appendix C

Complaints Procedure

Flow Chart

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Appendix D

Executive Secretary’s Procedure – Flow Chart

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Appendix E

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Appendix F

[Enter Name]

[Enter House Number]

[Enter Street Name]

[Enter Town/City]

[Enter County]

[Enter Post Code]

Date as postmarkOur Ref: NLC/letter1/ [Log no]

Dear [name]

Complaint Log no: [Enter Log No]

Thank you for your complaint which was received on [insert date].

I am most sorry to learn that you have been dissatisfied with the service we have provided and can confirm that we will be conducting a thorough investigation into your concerns.

I have referred the matter to a member of the College Leadership Team, who will be investigating your complaint and contacting you with a written response directly.

It is College Procedure that you should expect to receive a written response within 20 working days of us receiving your complaint.

If you do not receive a reply within that time, or receive a letter outlining the delay please let me know by contacting me by:

Telephone No:

Email:

Once again thank you for bringing this matter to our attention and I hope we can resolve the issue to our mutual satisfaction.

Yours sincerely

[Enter Name]

[Enter Job title]

March 2017 / Page - 1 - / Ref:POL0001

Appendix G

[Enter Name]

[Enter House Number]

[Enter Street Name]

[Enter Town/City]

[Enter County]

[Enter Post Code]

Date as postmarkOur Ref: NLC/letter2/ [Log no]

Dear [name]

Complaint Log no: [Enter Log No]

Further to my letter of [date of latest correspondence], I am still investigating the detail of your complaint. This is due to [insert reason for delay].

I apologise for the delay, and thank you for your patience. I will write to you again as soon as possible, and at latest within eight weeks of the date we received your complaint.

If you need to contact me in the meantime, please do not hesitate to do so. My contact details are below.

Yours sincerely

[Enter Name]

[Enter Job title]

March 2017 / Page - 1 - / Ref:POL0001

Appendix H

[Enter Name]

[Enter House Number]

[Enter Street Name]

[Enter Town/City]

[Enter County]

[Enter Post Code]

Date as postmarkOur Ref: NLC/letter3/ [Log no]

Dear [name]

Complaint Log no: [Enter Log No]

Further to your complaint dated [date of complaint], I have now investigated your complaint fully and would like to apologise for the inconvenience/distress this may have caused you.

Please find below the findings of my investigation.

[Enter final response]

Please note that, under the terms of our Complaints Procedure, this is our final response. If you are dissatisfied with the outcome, you may appeal in writing to the Assistant Principal.-Quality Improvement & Student Support. You need to do this within 10 working days from the date of this letter.