Appeals and Complaints Policy


Appeals and Complaints Policy

Context & Scope
This policy relates to all activities of Swift ACI, referred to as “Swift” herein.
This policy includes all training provision provided by a Swift.
This Policy outlines the Complaints Procedure for Staff, Apprentices and Employers, with
specific detail for apprentices on how to appeal assessment decisions detailed in sections
5 to 9 below.

The Complaints Policy enables apprentices, employers and employees who have concerns
and/or complaints to have them addressed efficiently and effectively in the interests of
continually improving the service we offer.
Through the Complaints Procedure, Swift seeks to provide an accessible, fair and straight
forward system which enables individuals to raise concerns and which ensures an effective,
timely and appropriate response.
This will also enable Swift to monitor and manage the quality of service using feedback received
from apprentices, parents/carers, employers, visitors and other members of the community.

What is a Complaint?
A complaint is the formal expression of dissatisfaction at the service or conduct received
from Swift, its employees, apprentices or representatives.
Swift recognises that complaints can be made from any stakeholder and have trained all
employees to resolve a large variant of complaints effectively.
All complaints will be dealt with on a case-by-case basis and the individual aspects of each
situation will be thoroughly reviewed.
Safeguarding concerns or disclosures are not classed as complaints, and concerns relating
to Safeguarding should be raised using the Swift Safeguarding Policy which is available on
the Swift websites and Swift Operating System.

1. Complaints Policy
1.1 All apprentices have the fundamental right to learn, be assessed and work in an
environment that is free from discrimination, bullying and harassment at all times.
1.2 All apprentices have the fundamental right to have equal access to training and
assessment that enhances career progression and promotional opportunities through
continuous professional development opportunities.
1.3 All apprentices will receive full support and guidance within their learning,
assessment and working environment that recognises diversity, which promotes and
safeguards the apprentice’s wellbeing at all times.
1.4 This complaints procedure provides all apprentices and their delivery staff with a
formal and effective mechanism to complain without fear of victimisation and
1.5 Apprentices who believe they are being subjected to, or are suffering because of
victimisation, discrimination, bullying, harassment or being prevented from equality of
opportunity will be encouraged and supported to execute these procedures to seek
confidential guidance and support that is intended to resolve the issues that have
initiated the complaint.
1.6 If you feel you are being discriminated against, bullied or harassed you should do the
following and not remain silent: You should seek guidance and support immediately. Our
procedures offer such guidance and support and can ensure any approaches to our
employees will remain private and confidential.
1.7 We will also ensure staff are strictly discreet in their approach if you have a complaint or
concern. You should in the first place approach your trainer/assessor. If you do not feel you
can approach your assessor, you should contact your IQA Lead.
1.8 Swift Trainers/Assessors: Sara Lewis, Jemma Jones, Rachel Howard, Kerri Robinson,
Keith Breckles, Barry Gosling, Michael Elwell, Aretha Willis, Jenny Cashmore, Demi
Yeomans, Shantha Sampathkumar, Emma Rich, Lily Harrison, Abby Mitchell, Tanya Fearn.
Your IQA Lead: Sam Freeman (CC and DM)/ Phil Prosser (CI)
Academy Director (Childcare and Digital Marketing Provision): Jack Edwards
Apprenticeships Manager (Continuous Improvement Provision): Lisa Merricks
Quality and Compliance Director: Mark Darby
Quality Assurer: Claire Finucane
1.9 If you do not feel you can approach your assessor or IQA Lead you should contact the
Quality Assurer. The Quality Assurer may then escalate to the Quality and Compliance
Director. This is the individual with ultimate responsibility within the company for delivery of all
training and assessment. All apprentices are issued with the contact details for their
trainer/assessor and IQA at induction.
Whoever you contact will then investigate your complaint or concern with your permission and
extremely discreetly and in line with the Complaints Procedure outlined below.

2. Complaints Procedure
2.1 Complaints may be made in a variety of ways (telephone, email, face to face and letter) .
Contact details for making complaints can be found in section 2.12 at the end of this policy.
3. Complaints should be made to your trainer/assessor and will then be passed to The Quality
Assurer who will determine the best approach to handle the complaint. The Quality Assurer
may escalate to the Quality and Compliance Director. If you do not feel comfortable
submitting your complaint to your trainer/assessor or the Quality Assurer, then you may
contact the Quality and Compliance Director directly.
3.1 Complaints should include the following information:
- Name of complainant (person & organisation if appropriate)
- Address
- Telephone number
- Training the complaint relates to
- Details of complaint
- Any specific action/outcome requested
3.2 Complaints will be acknowledged in writing to the complainant within 3 working days of
3.2 If a complaint is escalated to the Quality and Compliance Director they will inform the
Managing Director that a complaint has been received and is being investigated upon
receiving the complaint.
3.3 Swift aim to resolve and close the complaint in full within 10 working days of acknowledging
receipt to the complainant. Where this is not possible, the complainant will be advised and a
revised timescale will be provided.
3.4 If the complaint is about a member of staff, HR will be informed, and the appropriate HR
action wil ill be invoked if appropriate.
3.5 The person investigating the complaint will:
- Record their findings
- Identify the actions that need to be taken to resolve the complaint
- Put in place an action plan to address the issues raised
- Confirm any actions required with HR if the complaint is about a staff member
- Respond in writing to the complainant to detail the outcome of the
investigation and the resulting actions to the complainant.
3.6 Any response to the complainant must be reviewed and authorised by The Quality
and Compliance Director.
3.7 If actions have been identified and an action plan put in place, it is the
responsibility of The Quality and Compliance Director to ensure that the actions have
been completed and to confirm this to the complainant.
3.8 Feedback about Swift can be given at any time via email to the email address This email address is monitored and managed by The Quality
and Compliance Director and the Quality Assurer.
3.9 Complaints can also be escalated directly to the ESFA by contacting their
Apprenticeship Service Support on 08000 150 600 or by emailing:

1. Referral and Review
1.1 Where a complainant is not satisfied with the outcome of their complaint, they must
respond and confirm why they are unhappy with the result.
1.2 This referral should be passed to the Quality and Compliance Director who will carry
out a further investigation within 10 working days.
1.3 If the complaint remains unresolved at this point, it will be referred to the Managing
Director for further investigation.
1.4 Where a complainant still remains dissatisfied with the resolution to their complaint,
and where this concerns education specifically, they can contact the ESFA as detailed in
the Contacts section below,
1.5 Learners also have the right to complain directly to their Awarding Body if they
remain dissatisfied with Swift's resolution of their concern.

2. Reflecting and Improving
2.1 Any complaints and investigations and resolutions resulting from these should, where
appropriate, be reflected in the Swift Quality Improvement Plan to ensure they are used to
inform future planned improvements and drive forward the quality of provision in the spirit
of continuous improvement.

3. Appeals procedure
3.1 This appeals procedure is designed to offer apprentices with a formal and systematic
process to make an appeal against an assessment decision and allow the assessment
decision to be revisited, investigated and rectified.
3.2 The assessment processes, strategies and policies are intended to promote and
maintain assessment practices that are fair for all apprentices and prevent any
apprentice becoming disadvantaged through the assessment decisions and
judgements being made.
3.3 The appeals procedure is a standardised process which provides apprentices with a time
bound, systematic and documented procedure that the centre, internal quality assurers,
assessors and apprentices will implement and follow in the event of an appeal being

4. Responsibilities
4.1 The apprentice: Will initiate the appeals procedure within the agreed time frames when
they believe they have a reason to complain about or question an assessment
4.2 The assessor: Is responsible for providing the apprentice with accurate and constructive
feedback regarding their achievements and basis for their assessment decisions and
judgements. The assessors will firstly discuss the nature of the appeal, which will remain
confidential at all times, with the apprentice. The assessor will seek a satisfactory
rectification to the appeal. When appeals become formal it is the assessor’s responsibility to
process the apprentices appeal within the agreed time frames.
4.3 The IQA Lead: Is solely responsible for judging whether the assessment decisions are valid,
fair and unbiased.
4.4 The Quality and Compliance Director / Apprenticeships Manager: is solely responsible
for submitting the appeal in writing to the relevant awarding organisation, if the apprentice
remains dissatisfied with the outcome of the centres internal appeals process will engage in
the following systematic stages of this procedure.

5. Procedures
5.1 The apprentices’ induction into their development programme will clearly communicate the
principles and concepts of appeals procedures making up the elements of information,
advice and guidance available to them.
5.2 The apprentices’ appeals procedures are a systematic and staged procedure which will
determine whether the assessor has used assessment practices that are consistent with the
internal and external assessment strategies agreed through the relevant awarding
organisations. It will determine whether assessment practices have been applied correctly
and fairly to arrive at fair and consistent assessment decisions/judgements about the
evidence presented.

Version: 2
Board Approval:
Managing Director Name: Gregory Morrall
Reviewed on: 14/11/2022
Review Due: 14/11/2023
Reviewed by: Jayne Hipkiss (approved by Mark Darby)