Complaints Policy & Procedure

POLICY

We want to offer our students the best possible service. It is College policy to handle complaints as part of the overall strategy to satisfy the needs of people using College services. Any expression of dissatisfaction will be treated as a complaint and dealt with accordingly.  Please see the summary leaflet Making a Complaint to the College which is available through the postit link.

1   Complaints should be handled:
a)  confidentially
b)  fairly
c)  promptly

2   Staff should endeavour to:
a)  be courteous to the complainant
b)  respond positively
c)  offer constructive solutions

3   Formal written complaints should be:
a)  recorded
b)  acknowledged within 3 working days
c)  notified to Senior Management

4   The complaints procedure should be:
a)  publicly displayed
b)  monitored regularly
c)  reviewed and evaluated periodically

COMPLAINTS HANDLING PROCEDURE

South Lanarkshire College’s complaints handling procedure (CHP) has been developed with reference to the model procedure published by the Scottish Public Services Ombudsman (SPSO). The definitions, principles, timescales and information contained in this complaints handling procedure (CHP) have been based on and/or adapted from the SPSO guidance.

South Lanarkshire College’s aim is get things right first time and therefore we value student comments and suggestions. We have devised an extensive range of customer consultation and feedback mechanisms to help us improve our levels of service. However, we do recognise that, on occasion, our service may fall short of expectations and we also value any complaints we receive.

We recognise that the fewer people who are involved in responding to a complaint and the quicker a response is given, the lower the cost of that complaint in terms of resources and redress and the higher the level of satisfaction for the student.

This CHP will be made available via the College website, staff Web Portal, student VLE, and in hard copy and alternative formats on request. The College CHP will inform students of their right to appeal to the SPSO.

South Lanarkshire College will produce a leaflet How to Complain which explains the College’s CHP procedures to students and informs them of their right of appeal to the SPSO. This leaflet will also be made available on the College website, at Reception, in the Advice Centre and in alternative formats on request.

Definition

A complaint is an expression of dissatisfaction by one or more members of the public about an organisation’s action or lack of action, or about the standard of service provided by or on behalf of the organisation. Requests for services or changes to services, comments and suggestions, focus group and questionnaire feedback and assessment / bursary / disciplinary appeals are not considered as complaints and therefore do not fall within this procedure.

Principles

The following principles underpin South Lanarkshire College’s complaints handling procedure to ensure that it is effective:

• User focused:  it puts the student at the heart of the procedure whilst managing occasional difficult behaviour.
  
• Accessible:  it is clearly communicated, easily understood and available to all.
  
• Quick and simple:  it has as few steps as necessary within an agreed and transparent timeframe.
  
• Objective and transparent:  it is evidence-based and driven by facts, not assumptions.
  
• Impartial, independent and accountable.
  
• Fair, proportionate and consistent:  it treats complainants equally, striking a balance between the need for consistency and the individual circumstances of each complaint.
  
• Seeks early resolution:  it aims to resolve complaints at the earliest opportunity, to the student’s satisfaction wherever possible and appropriate.
  
• Delivers improvement:  it is driven by the search for improvement, using analysis

Procedure

Frontline Resolution

We will make every effort to resolve a student’s complaint at the first point of contact.  Frontline staff, who could potentially be the first point of contact for a student wishing to make a complaint, will be trained and empowered to try to immediately resolve any complaint relevant to their area of service.  All complaints will be recorded in the relevant complaints log.

In the event that a member of staff is unable to deal with a particular complaint, they will signpost the student and/or the complaint received to the appropriate person for frontline resolution.

Frontline Issues
The types of issue we will try to resolve at the frontline are non-complex / non-contentious issues including the following:

A service that should have been provided and has not been provided.
A service that has not been provided to an appropriate standard.
A request for a service that has not been answered / actioned.
A complaint that a member of staff was rude or unhelpful.
A staff member who failed to attend a scheduled appointment.

Key Questions for Frontline Staff
Frontline staff receiving a complaint will consider four key questions:

1. What is the complaint?
   
2. What does the student wish to achieve by complaining?
   
3. Can I achieve this, or provide an explanation as to why not?
   
4. If I can’t resolve this, to whom can I refer the complaint for frontline resolution?

Staff involved in complaint resolution
Wherever possible, the member(s) of staff who are the subject of a complaint will not handle or respond to the complaint. Nor will frontline staff that may have a clear conflict of interest in the matter.

Timescale for Frontline Resolution
The aim for frontline resolution is to provide a quick informed response without the need for detailed investigation. Immediate resolution, face to face or on the telephone will be achieved within a short period of time; normally immediately or within 24 hours in the majority of instances. If it is necessary to obtain information from other departments, the timescale extends to no more than 5 working days before a response is given. In exceptional circumstances, and with authorisation from a senior manager, frontline staff may negotiate an extension of a further 5 working days with the complainant if the extension will increase the possibility of the complaint being resolved at the frontline stage.

Complaints Requiring Investigation

Any complaints which go to the investigation stage must be notified to the Senior Management Team by the investigator. The investigator will complete a complaint report. The investigator will aim to resolve the complaint by either meeting the student’s expectations or, where this is not appropriate, providing a full explanation of the College’s position.

The investigator will establish all the facts relevant to the complaint, ensuring that the information gathered is accurate and complete.  All points raised by the student and agreed at the start of the investigation will be fully investigated and considered in the final response.

The investigator will provide a full, objective and proportionate response that represents the College’s definitive position and outlines any action that will be taken and when.  Any decision / response made at this stage will be endorsed by the Principal or other member of the Senior Management Team. 

Account will be taken of any specific needs of the complainant and the response will be made in a manner which is acceptable to the complainant.  The final response will tell the complainant about their right to complain to the SPSO should they be dissatisfied with the outcome of their complaint within 12 months of becoming aware of the issue which gave rise to the complaint.

Issues Requiring Investigation
The types of issue which will require investigation include the following:

1. Frontline resolution was attempted, but the student remains dissatisfied.
2. The student refuses to engage with the frontline resolution process.
3. The issues raised are complex and will require detailed investigation.
4. The complaint relates to issues that have been identified as serious / high risk / high profile involving:
   

• a death or terminal illness
  
• homelessness
  
• a vulnerable person
  
• child protection issues
  
• equality/discrimination issues
  
• major delays in service provision
  
• repeated failure to provide a service
  
• press interest
  
• a risk to the organisation has been identified

A complaint based on discrimination against an individual or group falling within one of the following protected characteristics should be notified to the Depute Principal: age, disability, race, religion or belief, gender reassignment, sex, sexual orientation, pregnancy or maternity. The Depute Principal will assign the investigator in these cases.

Key actions for Staff Investigating a Complaint
Staff involved in investigating a complaint will also be aiming to get it right first time. The investigator will provide the student with their name and contact details as a single point of contact as soon as possible after the decision has been made to investigate the complaint.

The investigator is responsible for undertaking a thorough but proportionate investigation: establishing what information is required; gathering that information; ensuring the information gathered is of a suitable quality and accuracy; preparing a full and informed written report and response. The investigator should seek to establish:

• what should have happened?
  
• what did happen?
  
• what was the cause of any identified failings?
  
• what can be done to rectify any failings?

The investigator will give due regard to information that may be confidential, sensitive, restricted or covered by data protection legislation, with consent to access / share information being obtained where appropriate.

Staff Investigating a Complaint
Wherever possible, the investigator will not have been involved in the issues of the complaint. The member of staff appointed to investigate the complaint will be independent and will have a thorough understanding of College CHP and a reasonable knowledge of the procedures of the department or function they are investigating. As such, they will normally be a member of the College Management Team or the Curriculum/Operational Management Team. They will be trained in how to plan and conduct investigations, including how to obtain and analyse evidence. They will have the authority and support of senior management to resolve complaints within pre-determined boundaries.

Timescale if Investigation is Required
Complaints requiring investigation will be acknowledged within 3 working days. A full written response will be provided within 20 working days. If the complaint is complex, or where there are clear and justifiable reasons for extending the timescale, an extension may be negotiated with the student, who will be kept updated of the reason for the delay and the revised timescale. If, in special circumstances, the investigation has to be suspended for any reason, the decision to suspend for a defined period will be formally recorded.

Unacceptable Actions by Students

We recognise that people may be angry and upset when making a complaint and that a person may act out of character in times of trouble or distress. However, we will not accept unreasonable behaviour towards College staff. We record all incidents of unacceptable actions by complainants.

Unreasonable demands
A demand becomes unacceptable when it starts to (or when complying with the demand would) impact substantially on the work of the section or department. for example: repeatedly demanding responses within an unreasonable timescale insisting on seeing or speaking to a particular member of staff when that is not possible repeatedly changing the substance of a complaint or raising unrelated concerns

Unreasonable level of contact
The level of contact becomes unacceptable when the amount of time spent talking to a complainant on the telephone or responding to, reviewing and filing emails or written correspondence impacts on the work of the section or department. For example: a number of calls in one day or one hour repeated long telephone calls resending copies of information that has previously been submitted resending copies of information that is irrelevant to the complaint

Unreasonable use of the complaints process
It would be considered unreasonable for students to attempt to use the complaints process instead of the appropriate means of communication through for example: the Course Team Review, Bursary Appeal, Assessment Appeal or Disciplinary Appeal processes.

Abusive or aggressive behaviour
Behaviour or language (whether verbal or written) that may cause staff to feel afraid, threatened or abused will not be accepted. We will not accept unreasonable behaviour including violence, threats, verbal abuse, derogatory remarks and rudeness towards staff. How we will deal with unreasonable, aggressive or abusive behaviour The threat or use of physical violence, verbal abuse or harassment towards College staff is likely to result in a termination of all direct contact with the student and incidents may be reported to the police, particularly if physical violence is used or threatened.

We will not accept any correspondence by letter, fax or electronic means, that is abusive to staff or contains allegations that lack substantive evidence. The student will be told that their language is offensive, unnecessary and unhelpful and they will be asked to stop. They will be told that we will not respond to their correspondence if the action or behaviour continues.

College staff will end telephone calls if they consider the caller aggressive, abusive or offensive. College staff have the right to make this decision, to tell the caller that their behaviour is unacceptable and to end the call if the behaviour persists. They will record and inform their line manager of the action they have taken and the reason why it was taken.

In certain circumstances we may decide to: limit contact to telephone calls from the student at set times / set days restrict contact to a nominated member of College staff see the student by appointment only restrict contact with the student to writing only

A decision to restrict contact will only be made by a senior member of College staff. The College will always make it clear in writing what action we intend to take and we will give the reason for the decision. This decision and the reasons for it will be recorded on the student’s file.

Any appeal regarding restricted contact will be heard by a senior member of staff who was not involved in the decision to restrict contact. The Senior Management Team will review the status of all complainants with restricted contact arrangements on a regular basis.