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Complaints Procedure

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. This document is available online at: https://www.knowledgebrief.com/about/policies

Complaints relating to other policies, such as Safeguarding, may be processed in accordance to the Safeguarding Policy which is also available online at: https://www.knowledgebrief.com/about/policies

The purpose of this policy is to set out KnowledgeBrief’s procedures for:

  • improving services because of the concern raised
  • bringing matters of dissatisfaction to the attention of KnowledgeBrief
  • investigating and responding to those concerns

Policy Statement

The Complaints Policy is intended to enable any person(s) to bring matters of dissatisfaction or concern to the attention of KnowledgeBrief, so that those concerns can be investigated with the aim of reaching a satisfactory resolution and instigating changes which lead to improved services.

KnowledgeBrief operates a four-stage compliant procedure.

Stage 1 is informal and enables the complainant to address their concerns with the Quality Manager who will raise this directly with the person(s), department or Directorate.

Stage 2 is the formal complaints process where KnowledgeBrief will respond to such a complaint fairly and promptly with:

  • An acknowledgment response provided within 2 working days of receipt of the complaint.
  • A further, more detailed response made within 10 working days.
  • A meeting may be offered between the parties involved if appropriate.

Stage 3 is the appeals stage of the process. This is where a complainant (person making the complaint) is dissatisfied with the outcome they receive. They may put in writing their grounds for appeal within 10 working days to the Quality and Operations Director. The appeal will be forwarded to the Board of Directors if appropriate for final investigation.

Information on how to take the complaint further via an external agency will be provided if the complainant remains dissatisfied with the Board of Directors final findings or response. This is the fourth and final stage of the process.

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 Quality 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

The Board of Directors is responsible for ensuring that the Complaints Policy is operating effectively and may become directly involved if a complaint is directed at the CEO or members of The Board. The Board of Directors also approve any changes to the policy.

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’.

Procedure

Complaints will be dealt with at the appropriate level and may go directly to either Stage 1 or Stage 2 depending on the nature of the complaint.

Stage 1: Informal complaints

It is recommended that complaints are dealt with informally wherever possible. In the first instance, issues are to be raised to the Quality Manager via [email protected] who will forward on to the relevant staff member concerned or another relevant staff member, for example Skills Coach, Apprentice Manager or Client Services Manager.

If the staff member is unable to resolve the complaint, or it does not specifically relate to a particular person, the complaint should be raised with the relevant Department Manager who will investigate and respond directly to the complaint copying in the Quality Manager.

Ideally, the complainant should make their complaint as soon as possible, to enable KnowledgeBrief to investigate and respond to their complaint in a timely manner. The complaint must be made within three (3) months of the matter that prompted their complaint.

If the complaint is resolved at this level, it must be recorded on the complaints log and documentation retained for 2 years. Where the complaint is not satisfactorily resolved at this level, the complaint may be escalated by the complainant to Stage 2 (Formal).

Stage 2: Formal complaints

A complaint must be escalated immediately to Stage 2 (Formal) where any part of it relates to:

  • Equality and Diversity (i.e. discrimination, bullying or harassment)
  • Safeguarding
  • Health and Safety
  • A Senior Member of staff or Board Director

Where complaints do not relate to any of the above criteria, they can only be escalated to Stage 2 if they cannot be resolved at Stage 1. However, before submitting a formal complaint the complainant must feel confident that sufficient attempts to resolve the concerns informally have been made. Stage 2 concerns should be raised within three months of exhausting Stage 1.

Formal complaints should be submitted in writing either by letter or emailing [email protected] Providing the following information:

  • Name
  • Contact details
  • The facts supporting the complaint and reasons for escalation to Stage 2
  • What outcome is being sought

All formal complaints are systematically referred to the Quality Manager. All letters and emails of complaints sent to the CEO or Board of Directors will be forwarded to the Quality Manager to action at either Stage 1 or 2 depending on the nature of the complaint.

The Quality Manager will nominate the appropriate Director/Manager to investigate (Investigating Officer).

Where a complaint involves the Quality Manager, the Quality Operations Director will lead the investigation.

Investigation aim:

  • Dismiss the complaint as unfounded, providing reasons.
  • Propose an amicable resolution.
  • Uphold or partially uphold the complaint, offer an apology, and take appropriate steps to address the issue to avoid a similar problem arising in the future.

The Investigating Officer will:

  • Acknowledge receipt of a complaint within three (3) working days.
  • Seek further clarification, if required.
  • A response detailing the outcome of an investigation will be provided within 10 working days.
  • Where it is not possible to provide an outcome with 10 working days, the complainant will receive regular updates until a final written response outlining the outcome can be provided.

If the nature of the complaint is of a serious nature and could constitute gross misconduct by a member of staff, the matter will be referred to the HR Manager for investigation. Examples may include theft, inappropriate behaviour, bullying/harassment, discrimination, bribery, fraud, breach of safeguarding, breach of legislation or procedures, etc.

All Stage 2 complaints received are analysed and reported on with the actions for improvement monitored through the Performance Review Board. Recommendations resulting from investigations will be formally recorded and monitored by the Quality Manager to ensure that all actions are clearly owned and fulfilled.

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: Appeal

The complainant will be advised of the right to appeal if they are dissatisfied with the outcome or response. The appeal to the CEO via the Quality and Operations Director is the final stage of the Complaints Procedure within KnowledgeBrief and must be done in writing, by emailing [email protected] within 10 working days of receiving the final written response. The grounds for appeal must be clearly stated.

To lodge an appeal against the decision following a complaints investigation, there must be evidence of one or more of the following:

  • KnowledgeBrief has not followed the formal procedure as described in this policy.
  • Incorrect evidence has been used during the investigation of the complaint or new evidence has arisen.
  • The Investigating Officer did not fully consider your personal circumstances.
  • The circumstances of the complaint were not fairly considered.

The Director of Quality and Operations will make the decision as to whether an appeal meets the criteria as set out above. If the appeal does meet the criteria, then the appeal is forwarded to the CEO to consider. If it does not, the appeal will be rejected, and the complainant will be informed in writing within 10 working days with details as to the reasons why not.

Stage 4: Complaints Adjudicator

If at Stage 3 (Appeals) the complainant remains dissatisfied, they will be advised as to which external agency is most appropriate for the complaint to be referred to. This may include such organisations as the Education and Skills Funding Agency (ESFA) or Chartered Management Institute (CMI).

  • Complaints Adjudicator
  • Education and Skills Funding Agency
  • Cheylesmore House
  • Quinton Road
  • Coventry
  • CV1 2WT
  • Chartered Management Institute
  • Management House
  • Cottingham Road
  • Corby
  • Northamptonshire
  • NN17 1TT

Or via email: [email protected]

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.

Support

KnowledgeBrief recognises that for a learner making a complaint, the process can be daunting and stressful and thereby makes provision for a learner to seek advice and support. Support can be accessed through the Department Managers. Where the complaint relates to a staff member, support will be provided for the staff member through HR/People Operations.

Related Policies & Procedures

EN 2A KB Complaints policy v4.1, 20/03/2024

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