1 Purpose
This document defines the process required for ensuring a standardised method of dealing with all complaints from members of the candidates, stakeholders, client customers.

2 Scope
The document covers the activities involved in dealing with complaints from External Stakeholders. The procedure applies to all staff who may, as part of their job, receive negative or positive feedback by phone, email or in writing or on-line enquiry. It is the responsibility of the employee to ensure the procedure is followed and maintained accordingly.

3 Requirements
Complaint Handling
Provided below is a summary of the main Utility & Construction Training (UCT) Limited requirements in relation to customer complaint handling.

• All complaints should be recorded.
• All complaints should be treated as serious
• All complaints should be treated in a courteous and empathic manner
• A competent person shall ensure that complaints are investigated at the appropriate level
• All complaints will be acknowledged appropriately within 3 working days
• All complaints will be closed out within 10 working days
• A route is made available through which formal complaints can easily be made and resolved.
• A competent person or persons’ are designated to handle all formal complaints relating to their contract.
• Upon receipt of the formal complaint full details must be recorded and verified
• As a minimum the following information must be recorded:

Date Complaint made
Responsible Manager
Source / Originator
Origin of Complaint
Complaint Details
Action Agreed and taken
Date of Close out
Contact details of Complaint

• Full details of the complaint should be referred to the Internal Quality Assurer.
• Full details of the complaints should be acknowledged to the complainant in an appropriate manner
• Every effort should be made by the Internal Quality Assurer to ensure that the complaint is resolved to the satisfaction of the complainant within 10 days. If this is not possible the complainant should be informed, when a resolution can be expected
• Complaints which cannot be resolved in this time should be escalated appropriately
• Full details of the resolutions should be recorded appropriately

• A follow up call to the complainant should be made by a competent person designated to handle
formal complaints to ensure the complaint is fully resolved
• Confirmation of the call should be recorded appropriately
• Identified Complaints reports must then be stored along with appropriate evidence where possible, or detail, to show the Complaints have been closed out effectively
• Monthly reviews must be undertaken of the register to assess the effectiveness of corrective and preventive actions. This will include identifying any trends in relation to the different Complaints types. This will be included as part of the Management Board Reviews.
• Trend Analysis of the register must be undertaken monthly and include the cause of the Complaints, corrective action and preventive action taken
• The monthly review and trend analysis must be included in the management Board review and documented accordingly
• Results of these checks should be documented and recorded

4. Company Complaints Process
The complaints procedure will be involved when a stakeholder deems him/herself to be aggrieved. This may be due to:

• Dispute with training staff
• Harassment or bullying
• Quality of provision
• Discrimination on the grounds of gender, race, disability, marital status, nationality, religion, sexual orientation or age

Where this is the case, the following procedure will apply:

Stage 1

• Informal discussion between the complainant and Trainer or UCT representative as soon as practicable in the form of discussion in the first instance for resolution.

Stage 2
• If the complaint cannot be resolved amicably at stage 1 the complainant will put the complaint in writing, clearly stating the nature of the grievance to the Internal Quality Advisor at UCT within 10 days of the original complaint.

Stage 3
• The Internal Verifier will contact the complainant within 14 days of receiving the complaint having investigated the cause the complaint. The claimant has the right to have a witness present. Details of the meeting will be recorded in writing.

Stage 4
• Where amicable resolution is not reached at stage 3, a panel consisting of the UCT Management Board will be called upon to adjudicate. The complainant will also be provided with the opportunity to contact the Awarding Organisation.
• The decision made by the Chair will be notified in writing within 14 days to the complainant.
• If any complaint is upheld UCT will consider any impact on other learners and the delivery of future training. This impact may result in the business taking action to improve the quality of the provision which may involve:

1. Act on the instruction or recommendations of the Awarding Organisation.
2. Impose actions with specified deadlines in order to prevent recurrence.
3. Amend aspects of our training/assessment and/or monitoring arrangements.

For regulated qualifications the candidate will be informed that there are additional stages of appeal:

• Complain to the awarding organisation once the UCT appeals procedure has been exhausted.
• Complain to awarding organisation SQA accreditation, Ofqual or Qualifications Wales if the candidate feels that UCT and/or awarding organisation has not dealt with the appeal appropriately. Awarding organisation SQA accreditation, Ofqual or Qualifications Wales cannot overturn assessment decisions but may investigate the effectiveness of the UCT and/or the awarding organisation appeals process and require corrective action.

5. Definitions

Complaint Any expression of dissatisfaction made about the standard of service, actions or lack of actions which affect someone in or adjacent to the area of our training delivery.
Informal Complaint Complaint made on site in person which can be resolved immediately

Formal Complaint A complaint (as defined above) which is referred to UCT by phone, fax, e-mail or letter either direct by the complainant or through a third party.

Any external person who is affected by our delivery
Competent Person Person who has the skills and experience to deal with customers, in person, in writing and over the phone. In particular has highly developed interpersonal and negotiation skills and is able to handle difficult situations.