1. Introduction

Fig College welcomes the views of its apprentices (and their employers). It recognises, however, that there may be occasions when an apprentice (or employer) is dissatisfied with an aspect of their experience at Fig College. Fig College's policy is that such concerns are dealt with fairly and transparently and that all individuals' rights be respected. In operating the processes set out in this Procedure, Fig College will remain mindful of its legal obligations, including its duty of care and responsibilities under the Equality Act 2010, where appropriate, to make reasonable adjustments. This Complaints Procedure shall apply if an apprentice is dissatisfied with the standard of service provided by Fig College or with something Fig College has or has not done.

A complaint is usually:
- An expression of dissatisfaction with an aspect of the apprenticeship programme, such as a concern about something within Fig College's control.
- a specific action or lack of action taken by Fig College;
- About the standard of a service provided by or on behalf of Fig College.

This procedure does not cover allegations about apprentice or student behaviour, which are dealt with under the Student Misconduct Policy. If an apprentice has a complaint, they should inform their tutor in the first instance. Fig College hopes that where a problem has been identified, it can usually be resolved quickly and informally, where reasonable, to the satisfaction of the apprentice. However, Fig College recognises that there may be occasions where a mutually satisfactory resolution might not be readily achieved, and therefore, the Complaints Procedure needs to be followed.

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2. Principles underlying the procedure

2.1. Principles underlying the procedure: The procedure is based on fairness and transparency. It is set out to ensure:
i. A timely complaint resolution, emphasising local resolution at the earliest opportunity.
ii. that the process is evidence-based;
iii. that the processes, decisions and the reasons behind them are transparent, and there is an opportunity for independent review;
iv. that decisions made will be reasonable and, where required, provide appropriate redress;
v. that apprentices are supported will be notified early in the process if the remedy sought is beyond what Fig College can reasonably provide or what is in its power to provide.

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2.2. The "standard of proof" (the level of proof required) will be "the balance of probabilities", i.e., that it is more likely than not that something happened.

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2.3. Any apprentice making a complaint has the right to be accompanied by a member of the Students' Union, a current apprentice of Fig College or a current School staff member at any stage of this process. Neither the apprentice nor Fig College shall typically be represented by a legal practitioner at meetings or hearings.

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2.4. All information obtained during the appeal process will be held following Data Protection legislation and the Apprentice Privacy Notice.

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2.5. The complainant's identity will be kept confidential unless disclosure is necessary to progress the complaint, in which case the complainant's permission will be obtained before the disclosure. In submitting a complaint, relevant information will only be shared with the staff members responsible for investigating the matters raised. However, the content of the complaint may also need to be disclosed to other relevant staff for the complaint to be investigated and resolution sought. If there are elements of a complaint that are particularly sensitive and the apprentice has concerns about his or her confidentiality, the apprentice can raise this with the quality assurance manager or the head of the centre, who will discuss if / how disclosure can be minimised.

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2.6. Apprentices will be notified early in the process if the remedy sought within the complaint is beyond what Fig College can reasonably provide or what is in its power to deliver.

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2.7. Fig College's apprentices and staff have rights and responsibilities under this procedure. All parties involved must act reasonably, fairly and courteously towards each other and respect the processes.

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2.8. No apprentice will suffer any disadvantage or recrimination due to making a complaint in good faith, and his or her studies at Fig College will not be prejudiced due to making a complaint. However, suppose the complaint is found to be wholly unreasonable, vexatious, frivolous, abusive or malicious. In that case, Fig College reserves the right to include this finding in the apprentice's records and notify the employer.

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2.9. Outcomes of complaint hearings by the Complaints Committee will be recorded, anonymised, and reported to the Academic Standards Committee within Fig College.

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2.10. Fig College is mindful of its legal obligations under the Equality Act 2010 and will make reasonable adjustments to this process where appropriate.

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3. Grounds for complaint

3.1. Grounds for complaint Complaints can be made about:
- a non-academic service provided by Fig College;
- The administration or delivery of a course or module;
- The facilities or learning resources provided by Fig College;
- failure to meet obligations set out in programme or apprentice handbooks;
- failure to follow published regulations, procedures and policies;
- the conduct of a member of staff.

This list is not intended to be exhaustive; where appropriate, the Complaints Procedure will consider other matters.

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3.2. Decisions that amount to "academic judgment*". Apprentices studying a degree apprenticeship who wish to raise an Academic Appeal against a decision of an Assessment Board or Panel or a Board of Examiners should refer to the Academic Appeals Procedure instead.

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* Academic judgement is a term in Part 2 of the Higher Education Act 2004. The Office of the Independent Adjudicator states that academic judgment is not any judgment made by an academic but a judgment made about a matter where only the opinion of an academic expert will suffice. For example, a judgment about assessment, a degree classification, professional suitability, research methodology, course content/outcomes, and how best to teach will typically be academic judgment.

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3.3. Apprenticeships have an end-point assessment (EPA) delivered by an independent end-point assessment organisation. Complaints relating to the EPA assessment process and outcome should be referred to the EPAO complaint process rather than this procedure.

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3.4. The scope of this procedure does not deal with complaints about employment issues (for example, where an apprentice may wish to make a formal complaint about their employer or vice versa). In this circumstance, the apprentice and/or their employer should follow their internal HR policies and employment contracts.

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3.5. Apprentices using the Complaints Procedure should raise concerns informally with staff at Stage 1 before formalising them as complaints at Stages 2 and 3 of the Complaints Procedure if not resolved.

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3.6. It is recognised that some cases can involve a combination of issues, where a number is related to a complaint, and others are not. Fig College will assess each case individually. In these circumstances, the complainant will be informed which issues will be considered under which procedure, and s/he will be directed to the appropriate alternative procedure to allow all matters to be considered. Where there is significant overlap, Fig College may decide to consider matters together if the apprentice agrees. For example, a joint investigation may be carried out if a complaint includes matters that could also be dealt with under other procedures, such as the Academic Appeals Procedure. In such cases, the apprentice will be informed where responsibility for the overall investigation lies and who will issue the final decision.

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4. Complaints Process

4.1. To be considered, a complaint must be received no later than three months after the incident that gave rise to the complaint. Fig College does not routinely extend time limits for making complaints. If a complaint is submitted outside the three-month deadline, it will typically be deemed out of time. In exceptional circumstances, some flexibility may be exercised when an apprentice makes a demonstrable case in writing that they cannot reasonably submit the complaint within three months. In such cases, the apprentice must have evidence to support the reason/s for making a late complaint.

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4.2. At all stages of the complaints process, an apprentice should avoid disclosing unnecessary personal information (e.g., medical conditions, etc.) unless they feel it is relevant to the issues raised. The complainant must also avoid disclosing the personal data of another person in the complaint unless they have been given written permission by the person to do so.

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4.3. The Complaints Process consists of three stages: an informal stage, a formal complaint, and a review.

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Stage One – Informal Discussion

4.4. An apprentice with concerns should first raise the concern/s with their Lead Tutor as soon as possible after the incident/s occurred. Informal concerns raised at this stage (and at Stage Two) more than three months after the incident/s may be deemed out of time and not considered. The lead tutor should make a brief record of the discussion and share it with the apprentice. This informal resolution of concern should usually be completed within five working days of the concern/s being raised.

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4.5. If an apprentice's concern is not satisfactorily resolved after the initial informal discussion with the Head of Department, they may lodge a formal complaint.

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Stage Two – Formal Complaint

4.6. If an apprentice is dissatisfied with the meeting outcome with the Head of Department or feels the issue cannot be reasonably resolved within the department, they may submit a formal complaint within ten working days from the meeting. The complaint must set out the grounds for the complaint in full and must be submitted electronically to Fig College's Registrar. The apprentice will need to:
- make clear the details of the complaint in writing;
- provide any evidence to support his or her complaint;
- outline clearly the outcome being sought
- confirm their contact details.

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4.7. An apprentice submitting a formal complaint more than ten working days after Stage One must explain why they could not submit it electronically within the required timescale.

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4.8. On receipt of the formal complaint, the registrar will undertake an eligibility check, which will determine the following:
- that the complaint falls under the scope of this procedure, in which case the complaint shall be put forward for further consideration;
- that the complaint is ineligible since it does not fall under the scope of this procedure;
- The complainant has failed to comply with the deadline for submitting a complaint and failed to demonstrate good reason for not meeting this deadline, in which case the complaint will be dismissed.

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4.9. In all cases, the apprentice will be informed in writing (generally within ten working days) of the outcome of the eligibility check. A Completion of Procedures letter will be issued to a complainant whose case has been dismissed.

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4.10. Once accepted, the registrar or nominee will investigate the complaint and ask the Head of Centre to comment. They will also meet with the apprentice to discuss the complaint. If the complaint concerns a staff member, they may also meet with the staff member/s concerned; in this case, it may be necessary to involve the Head of the Centre. If the complaint concerns another apprentice or student, they may also meet with them or the Head of Centre.

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4.11. Suppose the complaint concerns a staff member or an apprentice or student at Fig College. In that case, the registrar will ensure that the principle of 'right of reply' is upheld by allowing all parties to fully respond to the matters raised in the complaint through written statements and by minuted and verified individual interviews in support of or challenge to the complaint.

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4.12. On completion of the investigation, the registrar will refer the complaint to a meeting of the Complaints Committee for a decision or exceptionally recommend a Complaint Hearing.

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4.13. The apprentice will be provided with all written information to be used by the Complaints Committee in reaching a decision before the meeting. They will have an opportunity to provide a further statement if they wish to but should not provide further evidence.

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4.14. Having completed its consideration of the complaint, the committee shall determine one of the following outcomes:
- there is a reasonable justification for the complaint/s in which case the committee will consider appropriate redress following 4.14 below (if the complaint/s were about a member of staff or another apprentice or student, it might not be possible to disclose to the complainant the whole nature of the redress taken due to employment/data protection legislation);
or
- The complaint has no reasonable justification, and it should be dismissed.

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Redress

4.15. Redress is offered to the complainant if the investigation concludes that a remedy should be provided to address the problems raised. Redress will fit the circumstances of the case and may include one or more of the following:
- an apology from Fig College;
- an opportunity to repeat the experience under better circumstances (not applicable to academic assessment process or results which constitute academic judgment);
- the provision of a change to the organisation or nature of Fig College's service or facilities or regulations if found at fault;
- any other appropriate action.

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4.16. The apprentice will be notified of the outcome within five working days of making the decision. The apprentice should also be informed of any next steps s/he may need or want to take and their right to request a review of their concerns (see Section 5 below).

Complaint Hearings

4.17. When a complaint is to be decided by a complaint hearing (for example, in cases of substantial complexity), the Quality manager will arrange for the appointment of a Chair of the Complaints Committee.

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4.18. The Chair of the Complaints Committee will then:
- Convene within ten working days a meeting of the Complaints Committee (after this, referred to as a complaint hearing or hearing). If the hearing cannot be held within ten working days, it must be held within 28 working days upon receipt of the formal complaint.
- appoint members to the complaints hearing panel (see Section 6);
- invite staff members as appropriate to speak to the hearing;
- invite apprentices as appropriate to speak to the hearing;
- invite the apprentice to attend a complaints hearing to present their case at the earliest opportunity but no later than five working days before the hearing is due to take place;
- remind the apprentice that if they decide to attend the hearing in person, that they have a right to be accompanied by a current apprentice or current staff member;
- provide the apprentice no later than five working days before the hearing with information about the composition of the complaints hearing panel and a copy of the information relevant to his or her case that will be considered.

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4.19. Fig College reserves the right to carry out the complaints hearing without the apprentice present, especially in cases where it is deemed that the complaint should be dealt with urgently. For example:
- where there is a threat of serious harm;
- where the impact of the issues raised might harm the apprentice's health;
- where the apprentice is experiencing significant distress;
- if it relates to disability support;
- issues of a compassionate nature.

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4.20. If the apprentice demonstrates an excellent reason for being unable to attend the hearing in person, the Chair of the Complaints Committee may allow them to attend via video call.

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4.21. The apprentice and the panel members shall receive a copy of the complaints file before the meeting. This shall typically contain the following:
- the apprentice's formal complaint;
- any evidence submitted by the apprentice in support of their complaint;
- a copy of any written statements or minuted interviews from any staff members or apprentices who may be the subject of the complaint or who may have other information relevant to the complaint;
- a copy of the procedures that have been applied;
- other documents may also be included where appropriate.

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4.22. If any of the documents in the complaints file contain sensitive information, the Chair may wish to limit who sees all the evidence if it does not affect the fairness of the procedure.

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Conduct of Panel Hearings

4.23. Panel hearings are typically conducted as follows (in exceptional cases, the panel may decide to vary the following procedures according to the circumstances of the particular case):
i. The panel members hold a preliminary discussion amongst themselves in private.
ii. All parties are invited to the hearing. The Panel Chair introduces the panel members and explains the hearing's role and format.
iii. The apprentice is invited to present their case with whatever supporting evidence they wish to offer.
iv. If the complaint concerns a staff member, another apprentice, or a student, they are invited to present any supporting evidence to challenge the complaint.
v. Any person/s accompanying the apprentice is invited to speak.
vi. When all the evidence has been presented, the panel members may ask the apprentice and/or staff or students questions if the complaint involves them.
vii. The Chair will invite anyone present to ask questions or provide further information.
viii. The apprentice is invited to make a brief final statement.
ix. All parties in attendance, except the panel members and the Secretary (and Clerk, if one is appointed), are asked to leave the room while the panel deliberates and reaches a decision.

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4.24. After considering the arguments of the apprentice concerned and any other person who has appeared before the hearing panel, the panel determines the outcomes described in 4.13 above.

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4.25. The apprentice will be notified of the outcome within 5 working days of making the decision. The apprentice should also be informed of any next steps they may need or want to take and their right to request a review of their concerns (see Section 5 below).

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Stage Three: Review

4.26. An apprentice who considers that their complaint has not been given full and proper consideration can request a review of their concern/s. Any request for a review should be made within ten working days of receiving the outcome of the complaint hearing.

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4.27. A review may be requested on one or more of the following grounds only:
- there has been a material procedural irregularity which has demonstrably affected the outcome of the Stage 2 complaint;
- the outcome at Stage 2 is unreasonable given the facts of the case;
- There is new material evidence that the apprentice could not provide information when the Stage 2 complaint was made for valid reasons, which would have significantly affected its outcome.

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The apprentice will need to:
- Make a formal request for a written review to the Director of Curriculum.
- make clear which of the three grounds for a review under the Section they wish the review to be held under and provide evidence that a review is justified;
- provide the Director of Curriculum with a copy of the Stage 2 complaint and evidence;
- make clear the remedy sought;

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4.28. Upon receipt of a request for a review from an apprentice, the Director of Curriculum should:
- Write to the apprentice to acknowledge receipt of the request for a review;
- inform the apprentice when they might expect to hear the outcome of the review, which should typically be within ten working days;
- undertake a review of all the evidence and documents supplied by the apprentice and the Complaints Committee. The Head of the Centre reserves the right to ask one or more school staff members to assist in the review.

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4.29. Having completed the review, the Director of Curriculum will decide:
- that the apprentice's complaint was justified and shall arrange for its redress (if the complaint/s were about a member of staff or another apprentice or student, it may not be possible to disclose to the complainant the whole nature of the redress taken due to employment/data protection legislation)
or
- that the complaint was not justified and be dismissed.

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4.30. The Director of Curriculum will then contact the apprentice, inform them of the decision, and arrange for a Completion of Procedures Letter to be issued to the apprentice.

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4.31. All apprentices have the right to take their complaint to the Office of the Independent Adjudicator for Higher Education (OIA). Once a Completion of Procedures Letter has been issued, an apprentice may apply for external review of their concern by the OIA, per the scheme.

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5. If an apprentice is unhappy with the outcome:

5.1. An apprentice can complain to the Education and Skills Funding Agency (ESFA) about handling their complaint.

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5.2. The ESFA does not deal with complaints about employment issues (for example, a problem with an apprenticeship employment contract).

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5.3. You must contact the ESFA within 12 months after the issue happened.

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5.4. Email or post the complaint to the ESFA complaints team:
complaints.ESFA@education.gov.uk

Complaints team Education and Skills Funding Agency
Cheylesmore House
Quinton Road
Coventry
CV1 2WT

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The ESFA will reply to let you know what will happen next.

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Policy update date: 01/11/2024