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Document owner	Responsible Officer
Approved by	Governing Body
Version	1.0
Effective date	June 2026
Review cycle	Annual, or earlier following complaint trends, regulatory change, adverse effect or governance review
Applies to	Learners, prospective learners, centres, centre staff, employers, staff, contractors, assessors, IQAs, EQAs and other stakeholders

1. Purpose

This policy sets out how Albion Awards will receive, record, investigate, resolve and learn from complaints. It supports fair treatment of learners, centres and stakeholders and helps Albion Awards protect qualification standards, learner interests and public confidence in regulated awarding activity.

Complaints will be handled promptly, fairly, transparently and proportionately. Albion Awards will use complaint evidence to identify corrective actions, prevent recurrence and escalate matters that may indicate malpractice, maladministration, a conflict of interest or an adverse effect.

2. Scope

This policy applies to complaints about Albion Awards, its staff, contractors, representatives, approved centres or activities connected with regulated qualifications. It covers complaints about:

information, advice or guidance provided by Albion Awards;
centre approval, monitoring or communication;
learner registration, assessment administration or certification administration;
customer service, delay, communication or accessibility;
conduct of Albion Awards staff, contractors, assessors, IQAs, EQAs or centre personnel where relevant to Albion Awards qualifications;
application of Albion Awards policies and procedures; and
any other matter that may affect learners, centres, standards, fairness, integrity or regulatory compliance.

This policy does not replace the Appeals Policy. Where a complainant is challenging an assessment decision, certification decision, reasonable adjustment decision, special consideration decision, centre approval decision or sanction decision, Albion Awards will consider whether the matter should be handled as an appeal, complaint or both.

3. Definitions

Term	Meaning
Complaint	An expression of dissatisfaction about the service, conduct, process, communication or action of Albion Awards or an approved centre in relation to Albion Awards qualifications.
Complainant	The person or organisation making the complaint.
Adverse effect	An act, omission, event or circumstance that has caused or may cause harm to learners, standards, public confidence or compliance with Ofqual requirements.
Corrective action	Action taken to remedy the complaint, protect learners, correct records, improve processes or prevent recurrence.

4. Principles

Complaints will be acknowledged and recorded.
Complaints will be investigated by a person with appropriate independence and competence.
Conflicts of interest will be declared and managed before investigation or decision-making.
Learners and centres will not be disadvantaged for raising a genuine complaint.
Evidence, reasons, decisions and actions will be recorded.
Where a complaint identifies a risk to standards or learners, Albion Awards will act promptly to contain and correct the issue.
Complaint trends will be reviewed by the Responsible Officer and reported to the Governing Body.

5. How to make a complaint

Complaints should normally be submitted in writing to Albion Awards. Where a complainant is unable to submit a written complaint because of accessibility needs, Albion Awards will make reasonable arrangements to receive and record the complaint by another suitable method.

A complaint should include:

the complainant name and contact details;
learner name and registration number where relevant;
centre name and qualification where relevant;
a clear description of the concern;
dates, people involved and supporting evidence where available;
the outcome or remedy sought; and
whether the matter has already been raised with a centre or other organisation.

6. Time limits

Complaints should normally be submitted within 20 working days of the matter becoming known. Albion Awards may accept a complaint outside this period where there is a good reason, where the issue is serious, or where the matter may affect learners, standards, integrity or regulatory compliance.

7. Complaints process

Stage	Action	Indicative timescale	Record required
1. Acknowledge	Acknowledge receipt and record the complaint.	5 working days	Complaint log entry
2. Triage	Decide whether the matter is a complaint, appeal, malpractice issue, data issue, conflict issue or adverse effect concern.	5 working days	Triage decision
3. Investigation	Gather evidence, speak to relevant parties and review policies, records and decisions.	20 working days	Investigation notes and evidence
4. Decision	Issue a written outcome with reasons and any corrective action.	Normally within 30 working days of acknowledgement	Outcome letter
5. Review	Where requested, review whether the complaint was handled properly and whether the decision was reasonable.	20 working days	Review outcome

8. Investigation

The investigator will be appointed by the Responsible Officer or an authorised senior person. The investigator must not have been directly involved in the matter under complaint and must declare any actual, potential, perceived or foreseeable conflict of interest.

The investigation may include:

review of learner, centre, assessment, EQA, certification or communication records;
review of applicable policies, procedures and centre agreements;
requesting evidence from the complainant, centre or relevant staff;
interviews or written statements;
review of audit logs, registers or system records; and
consideration of whether the issue may indicate malpractice, maladministration, a data breach, conflict of interest or adverse effect.

9. Outcomes and remedies

Possible outcomes include:

complaint upheld in full;
complaint upheld in part;
complaint not upheld;
complaint outside scope or redirected to another procedure;
further investigation required under malpractice, appeals, data protection or adverse effect procedures.

Possible remedies or actions include:

apology or explanation;
correction of records or communication;
review of a process or decision;
additional learner or centre support;
staff or centre training;
increased IQA or EQA scrutiny;
centre action plan, sanction or monitoring;
policy or procedure review;
notification to Ofqual where required; and
other proportionate corrective or preventive action.

10. Escalation and adverse effects

Where a complaint indicates a risk to learners, assessment standards, certification, centre integrity, public confidence or compliance with Ofqual requirements, the Responsible Officer will assess whether the matter has caused or may cause an adverse effect. Albion Awards will take prompt containment and corrective action and notify Ofqual where required.

11. Relationship with centre complaints

Approved centres must maintain their own complaints arrangements and should normally resolve centre-level complaints first. Albion Awards may require a centre to provide complaint records, evidence, outcomes and corrective actions. Albion Awards may take direct action where a centre complaint may affect regulated qualifications, standards, learner protection or compliance with Albion Awards requirements.

12. Confidentiality and data protection

Complaint information will be handled confidentially and shared only with those who need it to investigate, decide, escalate or resolve the complaint. Records will be retained in accordance with the Data Protection and Records Retention Policies.

13. Monitoring and reporting

The Responsible Officer will monitor complaints, outcomes, timescales, themes, recurring issues, centre-related concerns, corrective actions and any adverse effect indicators. Summary reports will be provided to the Governing Body at least annually and more frequently where risk requires.

14. Records

Albion Awards will retain complaint records including the complaint, acknowledgement, triage decision, evidence reviewed, investigation notes, decision, corrective actions, review outcomes and closure record. Records will be available for regulatory review where required.

15. Linked documents

Appeals Policy;
Malpractice and Maladministration Policy;
Conflict of Interest Policy and Procedure;
Assessment Policy;
Centre Agreement;
Centre Handbook;
Reasonable Adjustments and Special Considerations Policy;
Data Protection and Records Retention Policies;
Business Continuity Plan;
Scheme of Delegation;
Responsible Officer Role Description.

Complaints Policy and Procedure