SQA Awarding Body Complaints Handling Procedure

Valid from September 2017

1 Valid from September 2017 Foreword SQA is committed to ensuring that all our customers receive the best possible service from us, however we recognise that, sometimes, some of our customers will experience problems.

Our Awarding Body Complaints Handling Procedure seeks to resolve any customer dissatisfaction as soon as possible.

Thorough, impartial and fair investigations of customer complaints will be undertaken, where appropriate, so that we can make evidence-based decisions on the facts and circumstances of the case. The procedure complies with the Scottish Public Services Ombudsman’s (SPSO) model, and aims to help us to ‘get it right first time’.

Complaints give us valuable information we can use to improve customer satisfaction. Handling complaints consistently and well will enable us to address our customers’ dissatisfaction and gives us an opportunity to prevent the same problems happening again.

For our staff, complaints provide a first-hand account of our customers’ views and experience, and can highlight problems we may otherwise miss. Resolving complaints early saves money and creates better customer relations.

These are the promises we make to all customers who raise issues with us:

We will listen to you and make every effort to understand the reasons for your complaint. We will endeavour to resolve your problem at your first point of contact. We will take ownership of your complaint to ensure it is resolved. We will offer fair solutions quickly.

We also welcome positive feedback from customers about our services and staff.

Dr Janet Brown Chief Executive

2 Valid from September 2017 Contents

3 Valid from September 2017 Overview of SQA Awarding Body Complaints Handling Procedure This document sets out the internal process for handling complaints about our services and should be read in conjunction with the Customer Complaint and Feedback section of the SQA1 website. Complaints can come from centres, candidates or their representatives, or from others who have never used our services. The main aim of this document is to provide advice and guidance to those dealing with both straightforward complaints and complex complaints. The processes and procedures set out in this document are intended to provide a tool to aid thinking and provide a structure to dealing with complaints.

The language used in this procedure reflects its status as internal document with ‘we’ and ‘our’ referring to SQA Awarding Body.

The internal process for handling customer complaints is designed to enable us to keep our promises to: listen to people who have a complaint and make every effort to understand the reasons for their complaint endeavour to resolve the problem at their first point of contact, if possible take ownership of the complaint and ensure it is resolved offer fair solutions quickly

Handling complaints consistently and well, and learning from them, is consistent with SQA’s values: trusted, progressive, enabling.

The Customer Service Team provides a central hub for logging all complaints and responding to straightforward complaints. It links with a network of Complaints Co- ordinators within each directorate. These Co-ordinators receive specialist training on organising responses to complex complaints as they often have to collate contributions from across SQA. They act as critical friends to support specialist colleagues in preparing detailed personalised responses, ensuring that the handling of the complaint meets the requirements set out in this procedure.

We also need to ensure that our processes reflect the overarching legislative and regulatory requirements outlined by Scottish Public Services Ombudsman (SPSO), and where appropriate, regulatory requirements set by SQA Accreditation, Ofqual and Qualifications Wales. It should be noted that some complaints relating to commercial contracts may not fall within the scope of the SPSO.

Information on SQA qualifications and where to complain if something goes wrong is available online at www.sqa.org.uk and www.sqa complaints and feedback.

Appendix 1 summarises the internal processes for dealing with customer complaint issues within SQA.

1 SQA’ should be taken to mean ‘SQA Awarding Body’, except where SQA Accreditation is specifically mentioned

4 Valid from September 2017 SQA Complaints Handling Procedure

What is a complaint? In order to develop a more fully customer-centric culture in SQA it is important that we register and monitor all instances of customer complaints being made and processed.

SQA defines a complaint as an expression of dissatisfaction about SQA’s action or lack of action, or about the standard of service provided by or on behalf of SQA.

An ‘expression of dissatisfaction’ is an issue where a customer or member of the public is dissatisfied with an SQA product or service which is unable to be resolved through an on-the-spot apology and explanation if something has clearly gone wrong, and immediate action can be taken to resolve the problem.

A complaint may relate to: our failure to provide a service inadequate standard of service disagreement with a decision where the individual cannot use another procedure (for example an appeal) to resolve the matter SQA’s failure to follow the appropriate administrative process treatment by, or attitude of, an SQA member of staff, appointee or nominee

This list is not exhaustive and all expressions of dissatisfaction will be considered on a case by case basis.

An SQA complaint is not: a routine first-time request for a service a request for clarification or information about an SQA policy or process the expression of a view that a policy or process is inappropriate an attempt to reopen a previously concluded SQA complaint or to have a complaint reconsidered where we have already given our final decision disagreement with an SQA decision where a right of appeal exists an expression of dissatisfaction with a process for which another party is fully responsible, for instance, staffing issues within a centre a centre-related complaint escalated to SQA for regulatory action

Where a right of appeal exists, SQA’s appeal processes should be exhausted before the appellant can initiate a complaint on the same matter. More information about SQA’s Appeal Process is available in SQA’s Appeal Process: Information for Centres on our website.

5 Valid from September 2017 Who can make a complaint? Anyone who receives, requests or is affected by our services can make a complaint. Sometimes an individual may be unable or reluctant to make a complaint on their own. We will accept complaints brought by third parties as long as the individual has given their personal consent.

SQA receives complaints from centre staff, from candidates and representatives acting on their behalf (often parents) and from other members of the public expressing their views on our services.

All members of the community have the right to equal access to complain. Complainants who do not have English as a first language may need help with interpretation and translation services, and other complainants may have specific needs that we will seek to address to ensure easy access to complain. Complainants can submit complaints in Gaelic.

We must always take into account our commitment and responsibilities to equality. This includes making reasonable adjustments to our service to help customers where appropriate. Several support and advocacy groups are available to support customers in pursuing a complaint and customers will be signposted to these by an SQA staff member, as appropriate.

Complaints involving more than one service or organisation If a complaint relates to the actions of two or more of SQA’s services, the customer will be informed that they will get only one response covering all issues raised.

If a customer complains to SQA about the service of another agency or public service provider, but SQA has no involvement in the issue, the customer will be advised to contact the appropriate organisation directly. However, where, a complaint relates to a service provided by SQA and the service of another agency or public service provider, (for example a centre), and SQA has a direct interest in the issue, the complaint about SQA will be handled through the complaints handling procedure. If it is necessary to make enquiries to an outside agency in relation to the complaint SQA will always take account of data protection legislation and SQA guidance on handling our customers’ personal information. SQA’s guidance on handling our customers’ personal information has been written in accordance with the Information Commissioner’s detailed guidance on data sharing and the data sharing code of practice.

Time limit for making complaints There is a time limit of one year from when the individual first knew of the problem, within which time they may ask us to consider the complaint, unless there are special circumstances for considering complaints beyond this time. For NQ diet-related complaints following completion of an unsuccessful marking review, we will normally consider complaints received within one year of the date that the candidate was notified of the outcome of the marking review. It should be noted that only complaints relating to the marking review process will be considered.

6 Valid from September 2017 We will apply this time limit with discretion and will take account of the time limit within which a member of the public can normally ask the SPSO to consider complaints, which is twelve months from when the individual first became aware of the issue about which they are complaining.

Handling anonymous complaints We value all complaints. This means we treat all complaints including anonymous complaints seriously and will take action to consider them further, wherever this is appropriate.

Generally, we will consider anonymous complaints if there is enough information to enable us to make further enquiries. If, however, an anonymous complaint does not provide enough information to enable us to take further action, we may decide not to pursue it. Any decision not to pursue an anonymous complaint must be authorised by a senior manager. We will record the receipt of the anonymous complaint on the complaints register as well as the decision to take no further action.

If an anonymous complaint makes serious allegations, we will refer it to a senior officer immediately.

If we pursue an anonymous complaint further, we will record the matter as an anonymous complaint on the complaints register. This will help allow us to take corrective action where appropriate and ensure the completeness of the complaints data we record.

What if the customer does not want to complain? If a customer has expressed dissatisfaction in line with SQA’s definition of a complaint but does not want to complain, they will be advised that we do consider all expressions of dissatisfaction, and that complaints offer SQA the opportunity to improve services where things have gone wrong. The customer will be encouraged to submit their complaint and allow it to be dealt with through the complaints handling procedure. This will ensure that the customer is updated on the action taken and gets a response to their complaint.

If, however, the customer insists they do not wish to complain, the issue will be recorded as anonymous feedback. This will ensure that the customer's details are not recorded on the complaints database and that they receive no further contact about the matter. It will also help to ensure the accuracy of the complaints data recorded and will still allow us to fully consider the matter and take corrective action where appropriate.

Maintaining confidentiality Confidentiality is paramount when handling complaints. It includes maintaining the complainant’s confidentiality and explaining to them the importance of confidentiality generally. We must always bear in mind legal requirements and relevant policies,

7 Valid from September 2017 particularly as provided for in data protection legislation when dealing with information about individuals.

What we will do when we receive a complaint Complaints can be received by a variety of methods. The list below is not exhaustive:

Telephone call direct to Customer Service Team E-mail direct to Customer Service Team Telephone call direct to any member of staff E-mail direct to any member of staff Electronic comment submission from SQA website (linked from: How do I complain?) Personal caller at any SQA reception point (including external events) Expression recognised from mail or press Communication via MP, MSP, local councillor or other representative body Freedom of information request2

Initial analysis of a complaint

When an SQA staff member recognises that an issue has become a complaint, it is important to record and handle the complaint appropriately, and to try to resolve the complaint at the earliest possible stage. To do this, the SQA staff member will need to understand:

What exactly is the individual’s complaint (or complaints)? It is important to be clear about exactly what is causing the individual to complain. The SQA staff member may need to ask the individual some questions in order to gain a fuller picture. It is helpful to be clear whether the individual’s dissatisfaction relates to an area where SQA or their centre has responsibility.

What does the individual want to achieve by complaining? At the outset, we will ask what outcome the individual is hoping to achieve. Of course, the individual may not be clear about this, so we may need to probe further to find out what they expect and whether we can achieve what they want.

If the individual is looking to change a matter of academic judgement, only an academic appeals process can achieve this. The complaints procedure will not be able to change an academic judgement. The responsibility for offering an academic appeal varies between SQA and centres for different types of qualifications.

2 A freedom of information request must be registered with the SQA FOI Co- ordinator, but may not be an expression of dissatisfaction. Conversely an expression of dissatisfaction may contain a freedom of information request even if not explicitly expressed. If you have any questions please ring the Compliance Manager on x5323 or e-mail [email protected]

8 Valid from September 2017 Individuals must exhaust any relevant appeals process in their centre or offered by SQA before they can register a complaint on the same matter. If the individual wants to complain about their experience with their centre, it is important to confirm that their centre’s complaints process has been exhausted before SQA can start looking at the complaint.

Can we achieve this, or explain why not? If we can achieve the expected outcome by providing an on-the-spot apology or explanation, we will do so.

The individual may expect more than we can provide. If the individual’s expectations appear to exceed what the organisation can reasonably provide, we will tell them as soon as possible in order to manage expectations about possible outcomes.

We may require to convey the decision face-to-face or on the telephone. If we do so, we are not required to write to the individual as well, although we may choose to do so. We will keep a full and accurate record of the decision reached and communicated to the individual, together with the basis for that decision.

If we can’t resolve this, who can help to resolve it? If the SQA staff member initially engaged with the complainant cannot deal with the complaint because, for example, they are unfamiliar with the issues or area of service involved, they will pass details of the complaint immediately to the Customer Service Team who will ensure that it is handled by the correct team. We will endeavour to pass the details of the complaint to the Customer Service Team within 24 hours of receipt.

Sending the details to the Customer Service Team Whether or not we have been able to fully resolve the complaint straight away, it is still important that these and any other relevant details are passed to the Customer Service Team as quickly as possible. This will mean that we can build a complete record of complaints and can improve our services based on this valuable feedback.

It is important to be clear when passing the details on to the Customer Service Team whether the SQA staff member considers that they have been able to close the complaint or whether the complainant is expecting a further response. The contact details for the Customer Service Team are: e-mail to [email protected]  telephone: (0345 279) 1000

Further detailed analysis of complaint The Customer Service Team will log all complaints received on the central complaints register, whether the complaint is open or closed.

9 Valid from September 2017 Closed complaints For closed complaints, no further response will be provided. Because the complaint has been logged, we will be able to spot any patterns and take appropriate action.

Open straightforward complaints – frontline response For open complaints, the Customer Service Team will quickly identify whether the complaint is straightforward enough that it can be fully addressed by issuing a frontline response. If so, the frontline response will be issued and the complaints register will be updated to show that the complaint has been closed. This procedure must be concluded within five working days after SQA received the complaint.

Open complex complaints For open complaints where the Customer Service Team identifies that the complaint cannot be fully addressed by issuing a frontline response, an acknowledgement will be sent – see Appendix 3. This will acknowledge receipt of the complaint and will indicate that although we are investigating the issue, we have not yet made a decision around the merits of the complaint.

Acknowledgements will be communicated using the most efficient and appropriate matched to the complainant’s requirement or preference, i.e. if received electronically this method should be used to acknowledge receipt. The complaint should be acknowledged within two working days of receipt.

As it is very important to record our acknowledgement, and thereafter our response, any open complaints which are notified to the Customer Service Team by telephone call or in person should, where possible, have the main detail confirmed in writing by the complainant.

Complainants can use the electronic complaints submission form available on SQA’s website http://www.sqa.org.uk/complaintform to help with this.

The Customer Service Team will allocate a complaint reference number to each individually reported issue. This number will be used to monitor and track progress of any response or resolution. It should also be quoted as a reference number to the complainant and to colleagues preparing the complaint response.

Co-ordinating responses to complex complaints Not all complaints can be resolved quickly. Some complaints are complex or require a detailed examination before we can reach a decision. In these cases, we aim to establish all the relevant facts relevant to the points made in the complaint, and to give the complainant a full, objective and proportionate response that represents our final position.

For open complaints where the Customer Service Team identifies that the complaint cannot be fully addressed by issuing a frontline response, the Customer Service Team Leader will identify and task an appropriate Complaints Co-ordinator to lead

10 Valid from September 2017 on preparing a substantive response to the complainant. This can include the lead Co-ordinator bringing together contributions from more than one SQA business area.

In addition to leading on the response and/or resolution of the issue, the Complaints Co-ordinator must ensure that all contact with the complainant is co-ordinated and appropriate in the circumstances.

An estimated resolution target date will be set and recorded on the register. This should not generally exceed 20 working days after SQA first received the complaint. Where it is anticipated that the investigation will exceed this timescale the complainant will be advised of the reasons for any extension together a new estimated resolution target date. The section Extended response timelines for complex complaints provides further information on timelines for responses.

Investigating complex complaints SQA Awarding Body’s approach to investigating complex complaints includes the following steps:

Agree the scope of the complaint and investigation Investigation — planning, gathering evidence, analysing and evaluating Reaching a decision — evaluating the information to identify any difference between what should have happened and what did happen, identify responsibility for any difference and any actions that can be taken to change the particular case or prevent a recurrence of the problem Securing senior level approval and communicating the decision — in a response that covers all the points made in the complaint and personalised to reflect the individual’s circumstances Follow-up actions required

Agree the scope of the complaint and investigation It is important to confirm our understanding of the nature of the individual’s complaint and the outcome they are seeking to achieve. An example e-mail/letter is available in Appendix 4. That example provides a framework for communication which will be tailored to the facts and circumstances of each case. As we cannot delay the start of the investigation to await a response from the complainant, it is important to consider and confirm the scope of the complaint as early as possible.

Investigation The aim of the investigation is to examine what should have happened in the individual’s situation and what did happen in their case. Having mapped out the individual’s grounds for complaint, it is helpful to plan out the relevant information and evidence (for instance, policy documents and case records, notes of discussions with relevant people) that will be needed to examine these grounds. Referring back to this plan as the evidence is gathered will help to ensure that the investigation stays focused.

11 Valid from September 2017 It is very important that Complaints Co-ordinators ensure that records relating to complaints are kept securely while responses are being considered, and that case files are retained centrally within the central complaints system for three years after SQA issues its final response.

When gathering evidence as part of an investigation, due regard will be given to information that may be confidential, sensitive, restricted or even covered by data protection legislation, with consent to access records being obtained where appropriate.

Reaching a decision The following points could be considered when evaluating the evidence you gather:

Authenticity — is the evidence genuine and of certain origin? Credibility — does the evidence contain error or distortion? Genre — what type of evidence is it (for example, a letter is likely to carry a different set of implications compared to a report)? Relevance — is the evidence relevant to the issues under investigation? Meaning — is the evidence understandable? Representation — is the evidence representative of its kind or a one-off? Sufficiency — do you have enough evidence to answer the core questions raised in the investigation?

Communicating the decision It is important appropriate senior level approval is secured for the decision taken, and for the drafting of the response to the individual. The response should: be personalised to the individual’s circumstances address all points raised and give a detailed explanation which is customer focused and demonstrates empathy and understanding of the impact the issue raised on the complainant irrespective of whether a fault has been identified use plain language as much as possible, avoiding technical terms and the use of acronyms be structured to help readers navigate their way around the response ensure that the information given is accurate reach a conclusion — it should be clear what conclusion has been reached and this should flow clearly and logically from the relevant information and evidence gathered apologise, if appropriate — ensure the response makes a meaningful and sincere apology if errors or problems have been identified or agreed include contact details in case the complainant needs to clarify any points in the response include information about the complainant’s right to refer matters to the SPSO (and other regulators if relevant) if they remain dissatisfied

12 Valid from September 2017 have dates, names, spelling and grammar double-checked by the relevant Complaints Co-ordinator to give the reader confidence that we have investigated properly be recorded by the Customer Service Team —all correspondence relating to the investigation including a copy of the finalised response will be retained (indicating the complaint outcome, whether the complaint has been fully upheld, partially upheld or not upheld) by the Customer Service Team to ensure a full record of the complaint has been logged.

A final response letter example is available in Appendix 5. That example provides a framework for communication which will be tailored to the facts and circumstances of each case.

Reporting Complaints details are analysed for trend information to ensure we identify service failures and take appropriate action. Regularly reporting the analysis of complaints information helps to inform management of where services need to improve.

This information is reported quarterly to our senior management team.

The Customer Complaint Report will be completed and returned to the Customer Service Team to facilitate reporting requirements along with the copy of the final response to be issued to the complainant.

The Customer Complaint Report is available in Appendix 6.

Follow-up It is important that any improvement actions identified following investigation of a complaint are put into place. Every three months, Complaints Co-ordinators will summarise patterns of complaints and resulting actions for management review, to help make sure that lessons are being learned.

Extended response timeline for complex complaints

Frontline resolution

In exceptional circumstances, where there are clear and justifiable reasons for doing so, an extension of no more than five working days may be agreed with the customer. This must only happen when an extension will make it more likely that the complaint will be resolved at the frontline resolution stage.

When an extension is requested, authorisation must be sought from the appropriate senior manager, who will decide whether an extension to effectively resolve the complaint is necessary. Examples of when this may be appropriate include staff being temporarily unavailable. If, however, the issues are so complex that they cannot be resolved in five days, it may be more appropriate to escalate the complaint straight to the investigation stage. An explanation must be provided to the customer about the reasons for the delay, and when they can expect a response.

13 Valid from September 2017 If the customer does not agree to an extension but it is unavoidable and reasonable, a senior manager must decide on the extension. The customer must be informed about the delay and the reason for the decision to grant the extension must be explained to them.

It is important that such extensions do not become the norm. Rather, the timeline at the frontline resolution stage should be extended only rarely. All attempts to resolve the complaint at this stage must take no longer than ten working days from the date the complaint was received.

Complex complaints

SQA should provide a response to the complaint as soon as possible but not later than 20 working days from the time the complaint was received for investigation. If it is not aware of a response having been issued before this, the Customer Service Team will confirm with the Complaints Co-ordinator on day 15 that the response is on track to be issued by day 20. The central complaints log will be updated to record progress at this stage.

There may occasionally be cases where it becomes apparent that it will not be possible to provide a full response in 20 days. As soon as this is known, a revised target response date should be agreed between the Complaints Co-ordinator and the Customer Service Team. The Customer Service Team will contact the complainant to apologise and explain the delay, and to let them know when they should now expect the response.

The revised target response date should be fixed for the earliest possible date when the lead Co-ordinator is confident that SQA will be in a position to issue a full and considered response. SQA must continue to progress the complaint response as a priority. The response should be sent as soon as it is ready, even if this is before the revised target response date.

If it becomes apparent that the agreed revised target response date will not be achieved, the Customer Service Team will escalate the issue within the Complaint Co-ordinator’s reporting line.

14 Valid from September 2017 Governance of complaints handling

Roles and responsibilities Overall responsibility and accountability for the management of complaints lies with the Chief Executive.

Our final position on any complaint must be signed off by an appropriate senior manager and we will confirm that this is our final response. This ensures that our senior management are accountable for the decision. It also reassures the customer that their concerns have been taken seriously.

Chief Executive The Chief Executive provides leadership and direction in ways that guide and enable SQA to perform effectively across all services. This includes ensuring that there is an effective Complaints Handling Procedure with a robust investigation process that demonstrates how we learn from the complaints we receive. The Chief Executive may take a personal interest in all or some complaints, or may delegate responsibility for the procedure to senior staff. Regular management reports inform the Chief Executive of the quality of our complaints handling.

On the Chief Executive’s behalf, SQA directors may be responsible for: managing complaints and the way we learn from them overseeing the implementation of actions required as a result of a complaint investigating complaints deputising for the Chief Executive on occasion

Directors Directors may decide to delegate some elements of complaints handling (such as investigations and the drafting of response letters) to other senior staff. Where this happens, directors should retain ownership and accountability for the management and reporting of complaints. They may also be responsible for preparing and signing decision letters to complainants, so they should be satisfied that the investigation is complete and their response addresses all aspects of the complaint.

Heads of Service Heads of Service may be involved in the operational investigation and management of complaints handling. As senior officers they may be responsible for preparing and signing decision letters to complainants, so they should be satisfied that the investigation is complete and their response addresses all aspects of the complaint.

Complaints Co-ordinators Complaints Co-ordinators support Directors and Heads of Service by organising the preparation of complex complaint responses, often collating contributions from across SQA. They are trained to act as a critical friend to support specialist colleagues in preparing detailed personalised responses, ensuring that the handling of the complaint meets the requirements set out in this procedure. Complaints Co-

15 Valid from September 2017 ordinators should ensure that complaint-related records are kept securely while responses are being prepared, and that complaint case files are retained centrally for three years after SQA issues its final response. Every three months, Complaints Co- ordinators will be asked to summarise any themes emerging from complaints considered within their directorate, and actions taken as a result, for management review.

The Customer Service Team provides a central hub for logging, tracking and ensuring service level compliance for all complaints as well as providing a response to straightforward complaints.

Learning from complaints At the earliest opportunity after the closure of the complaint, the complaint handler will always make sure that the customer and staff of the department involved understand the findings of the investigation and any recommendations made.

Senior management will review the information gathered from complaints regularly and consider whether our services could be improved or internal policies and procedures updated.

As a minimum, SQA must: use complaints data to identify the root cause of complaints take action to reduce the risk of recurrence record the details of corrective action in the complaints file, and systematically review complaints performance reports to improve service delivery.

Where SQA has identified the need for service improvement: the action needed to improve services must be authorised an officer (or team) should be designated the 'owner' of the issue, with responsibility for ensuring the action is taken a target date must be set for the action to be taken the designated individual must follow up to ensure that the action is taken within the agreed timescale where appropriate, performance in the service area should be monitored to ensure that the issue has been resolved SQA must ensure that staff learn from complaints.

To monitor and improve the quality of our complaints handling, SQA regularly reviews the handling of a small sample of complaints.

Quarterly management review of complaints volumes, outcomes and actions resulting from complaints allows SQA to identify trends and take appropriate actions to improve our services. There is further scrutiny of SQA Awarding Body Complaints Handling Procedure through annual reporting to the SQA Audit Committee.

16 Valid from September 2017 Complaints about staff From time to time, we may receive complaints about the attitude, behaviour or perceived competence of an SQA staff member. These complaints can be difficult to handle. We will ensure that these complaints are investigated fairly, objectively and where applicable, taking account of existing policies and procedures in place to deal with such issues. It is important to be mindful of matters relating to confidentiality and it will normally not be possible to inform complainants of the outcome of an investigation as it relates to the individual.

Managing unacceptable behaviour While complaints can be a valuable source of information to help us improve our services, at times complainants’ behaviour can make it difficult for us to help them. SQA has adopted an Unacceptable Actions Policy, based on guidance from the SPSO that sets out our approach to dealing with problematic behaviour from complainants.

Independent external review Once SQA Awarding Body has communicated its final decision in relation to the complaint, the customer often has the right to contact the SPSO if they remain dissatisfied. It should be noted that some complaints relating to commercial contracts may not fall within the scope of the SPSO.

The SPSO considers complaints from people who remain dissatisfied at the conclusion of our complaints procedure. The SPSO will consider matters of service failure and maladministration (administrative fault), as well as the way we have handled the complaint. Our final response letter example in Appendix 5 includes wording to inform complainants of their right to ask SPSO to consider their complaint; this information must be included in all final complaint response letters, with the exception of complaints relating to commercial contracts.

Regulated qualifications For qualifications regulated by SQA Accreditation, the customer may have the right to approach SQA Accreditation if they remain dissatisfied with SQA Awarding Body’s response to their complaint. The circumstances in which they have the right to approach SQA Accreditation are explained on the ‘how to complain’ page of the SQA website. Where this right applies, SQA Awarding Body’s complaint response letter must let them know about it.

The ‘how to complain’ page of the SQA website also explains that complaints related to centres outwith Scotland may also have a right to approach a relevant regulator if they remain dissatisfied with SQA Awarding Body’s response to their complaint. Where this right applies, SQA Awarding Body’s complaint response letter must let them know about it.

For qualifications regulated in England, the regulator is usually Ofqual.

17 Valid from September 2017 For qualifications regulated in Wales, the regulator is usually Qualifications Wales

Retention of records SQA Awarding Body must retain records, including all materials and evidence, until the complaint has been resolved. Thereafter, records for complaints should be retained within Ivanti the central complaints system for three years.

Appendix 1: Summary

Date of first report

Time of first report

18 Valid from September 2017 Name (of complainant) Contact details: name address telephone number e-mail address (as appropriate) Name of centre / centre number (if appropriate) General description of dissatisfaction (include here any update information)

Owning department

Name of receiver

Target clearance date (agreed)

Date escalated Lessons learned report advised (Yes or No) Lessons learned report completed (date)

Appendix 2: Request to log a complaint form This form should be used to inform the Customer Service Team of complaints received. The Customer Service Team will record, track and monitor complaints using the central complaints system

Appendix 3: Acknowledgement letter template

Dear [name of complainant]

Thank you for your correspondence received on [date/month/year]

19 Valid from September 2017 Your correspondence has been passed to the relevant business area to investigate and provide a response.

Our target is to provide you with a response no later than [date/month/year]. If we are unable to meet this date we will keep you informed.

Yours sincerely,

Appendix 4: Complaint agreement letter template

Complaint about [issue] After our recent telephone conversation/correspondence of [date], I am writing to say what we have agreed I will be looking into and the result you are looking for. or:

I am writing about the complaint you have brought to us about [issue].

20 Valid from September 2017 Complaint From the information you have given, I understand that your complaint is:

[1 Detail the areas of complaint to be examined chronologically. 2 If possible, any areas of ambiguity should be discussed prior to confirming the complaint. 3 Any remaining area of ambiguity should be discussed within this letter and confirmation or supporting documentation/evidence requested from the complainant.

If necessary include…]

Having reviewed your complaints I have found areas that I am not able to look into.

[Explain why you cannot look into them — for example another organisation is responsible or the events happened too long ago.]

The result you are looking for From our telephone conversation/your letter, I understand that what you are looking for from your complaint is [detail your understanding of the outcome sought].

[1 Detail what you might be able to do first. 2 Follow this by explaining what we cannot do and why.]

If I do not hear from you, I will assume that I have accurately described your complaint and I will proceed with looking into your complaint in line with our normal procedures. If you have any questions about this letter, please contact me on the number above.

Yours sincerely

21 Valid from September 2017 Appendix 5: Final decision letter template

Complaint about [issue] You contacted [name and position of contact, eg Dr Janet Brown, SQA’s Chief Executive,] on [Date] to complain about [issue].

I have management responsibility for these areas and [contact] has asked me to investigate your concerns. I have now completed my investigation of your complaint. In this letter I will explain what I have found out during my investigation, what my conclusions are and what actions I am going to take to address your concerns.[If no actions, delete this last part of the sentence.]

The complaints you agreed with [me/ Customer Service Team etc] on [date] and that I have investigated are:

1 [Enter all complaints in order of severity of impact to complainant.] 2 [Next complaint] 3 [Next complaint]

Background [Insert relevant facts leading to the complaint including brief timeline if helpful.]

Investigation I have carried out an investigation in line with SQA’s Complaints Handling Procedure.

[Provide brief background to investigative process — eg I have reviewed the documentation you provided, sought views of relevant staff, studied computer records etc.

If relevant, outline a timeline of key events and communications in chronological order — eg I spoke to Mr X on this date and Mrs Y on that date.

Refer to any policies, processes, guidance and relevant legislation you have consulted in the course of your investigation.

More details can be attached if needed.]

Complaint 1: [Describe first/most serious point of complaint.]

What did happen

22 Valid from September 2017 [List the relevant information you have considered — if appropriate and relevant this should include any differing views.

Discuss the evidence presented and available from the complainant/ in the records/ discussed with staff.

Remain objective — not subjective.]

What should have happened [Discuss the evidence presented and available from the complainant/ in the records/ discussed with staff.

Identify relevant policy, internal process/ procedure that should have been taken into account in relation to the issue of complaints (ensure all relevant policies and procedures are current and are available on file).

Provide any other factual evidence relevant to the complaint — eg expert opinion.]

Conclusion for complaint 1 [The conclusion should summarise the complaint, state the arguments presented and combine factual points that identify areas of poor practice or service failure.

Identify key areas where failings have already been identified and/or remedial action has already taken place as a result of the complaint.]

Complaint 2: [Describe second/ next most serious point of complaint.]

[Set out what did happen, what should have happened and your conclusion in the same way.]

[Set out the information in the same way for any subsequent points of complaint.]

Overall conclusion [Re-state areas of compliance and good practice identified through the investigation. Summarise key areas where failings have been identified and/or remedial action has been taken or is planned as a result of the complaint. Apologise for any service failings and the resulting inconvenience or distress.]

Summary of action/learning points for your complaint

Action Target completion date

What happens next

23 Valid from September 2017 I will follow-up to ensure that the action points I have identified are completed. If there is anything in this letter that you would like to discuss, please contact me. My contact details are shown at the start of this letter.

[For regulated qualifications where certain circumstances apply, the complainant may have a right to refer their complaint to the appropriate regulator. Where this right applies, the letter should include text explaining this at this point.]

If you remain dissatisfied with this response you have the right to ask the (SPSO) to look at your complaint. Please note that the SPSO cannot normally look at complaints more than one year after you became aware of the issue about which you are complaining and cannot look at complaints that have been or are under consideration in a court of law. Further, the SPSO will not consider complaints about academic decisions, such as the outcome of an assessment. You can contact SPSO on Freephone 0800 377 7330 or go to their website www.spso.org.uk or write to them at Freepost SPSO.

Yours sincerely

24 Valid from September 2017 Appendix 6: Customer complaint report

Complaint Customer ref. no: name: Business Date area: received: Complaint Response Co- date: ordinator: Complaint outcome (Please choose from: Reason Upheld, Partially Upheld, Not Upheld)

Definition of outcome SQA’s response to the complaint included an acknowledgement that: SQA procedures were not followed in this instance, where they should have been An Upheld SQA’s decision in this instance was wrong, although procedures were followed status is where: there was another type of failure on SQA’s part This outcome should be selected where SQA was found to be at fault for all of the key points made in the complaint. A complaint includes multiple key points, and (as above) SQA has been found to be at fault for at least one of the key points made in the complaint — however, for A Partially the other key points either: Upheld status is a fault was found on the part of another organisation (e.g. an SQA centre failing to where: follow our procedures), or no fault was found on the part of SQA or any other organisation (e.g. centre) SQA has not been found to be at fault for any of the points of the complaint, whether: A Not Upheld a fault was found on the part of another organisation (e.g. an SQA centre failing to status is where: follow our procedures), or no fault was found on the part of SQA or any other organisation (e.g. centre)

Lessons learned

25 Valid from September 2017