AW-20 — Non-Academic Complaints Handling

1. Purpose and scope

Purpose. To ensure that anyone dissatisfied with an IoL service, the conduct of its staff, its facilities or its administration can complain easily, is acknowledged, has the matter looked into by someone independent of it, receives an outcome with reasons and a remedy where one is due, and can escalate to MBRU. The consequential point is independence: a complaint investigated by the person it is about is not an investigation, and ISO 21001 assessors will ask to see the evidence that it was not.

Scope statement. This procedure manages a non-academic complaint from receipt to closure, including escalation, the capture of learning and the reporting of trends.

Applies to. Complaints from learners, CPD participants, placement partners, suppliers, visitors and members of the public about IoL service, staff conduct towards them, facilities, communications, administration, events or data handling.

Does not apply to. Academic appeals and academic complaints (assessment, progression, supervision, integrity), which are WF-11; staff grievances and staff discipline, which are AW-09; complaints about MBRU or Dubai Health services outside IoL, which are forwarded to the owning function with the complainant told; safeguarding, harassment or discrimination allegations, which are logged here and transferred the same day to the MBRU function named in policy [IoL to confirm].

2. Trigger, boundary and interfaces

3. Roles and accountability

Process owner. IoL Quality Lead or equivalent, acting as Complaints Officer [IoL to confirm].

[CONTROL] Segregation. The investigator is not the subject of the complaint, not in the subject's reporting line, and not involved in the matter. The decision maker is not the investigator. A complaint about the Senior Director, or about the Complaints Officer, goes directly to the MBRU complaints function.

4. Procedure

1. Receive and log. Every complaint enters the complaints log [IoL to confirm system] within 1 working day with complainant, channel, date, subject and area. An expression of dissatisfaction is a complaint whether or not the word is used. [CONTROL] A matter settled in conversation is still logged with its outcome.

2. Acknowledge. Within 2 working days, in writing, with the reference number, the stage, the expected timescale and a link to this procedure. Anonymous complaints are logged and assessed; they cannot be given an outcome, but the learning is captured.

3. Categorise and confirm the boundary. Category from the controlled list: service; staff conduct; facilities; communications; administration; events; data handling. Decision point. If the substance is academic, transfer to WF-11; if it is a staff grievance, to AW-09; if it concerns safeguarding, harassment or discrimination, transfer the same day to the MBRU function in policy; if it concerns a data-protection or safety matter, also raise the AW-16 or AW-17 incident. The complainant is told of any transfer within 2 working days.

4. Stage 1: local resolution. The Head of the area complained about attempts resolution with the complainant within 10 working days: an explanation, an apology, or a practical fix. [CONTROL] Where the Head is the subject, stage 1 is skipped. The outcome and the complainant's acceptance or otherwise are recorded in the log.

5. Stage 2: formal investigation. If the complainant is not satisfied, or the matter is serious, the Senior Director appoints an Investigating Officer who meets the segregation rule. The investigator gathers the complainant's account, the staff account and the records; the subject of a conduct complaint is told what is alleged and given the chance to respond. [CONTROL] The investigator's independence is recorded in the log before the investigation starts.

6. Decide the outcome and remedy. The Senior Director decides on the investigation report whether the complaint is upheld, partly upheld or not upheld, and what remedy applies: an apology, a corrected record, a refund or fee adjustment through AW-12 within delegation (AW-05), a change to practice, or a referral of staff conduct to AW-09. [CONTROL] A financial remedy is approved at the AW-05 level for its value and paid through AW-11 or AW-12, never by the Complaints Officer.

7. Communicate. The Complaints Officer writes to the complainant within 5 working days of the decision with the finding, the reasons, the remedy, and the stage 3 route with its time limit [IoL to confirm the MBRU time limit]. The staff involved are told the outcome that concerns them.

8. Stage 3: escalation. A complainant who remains dissatisfied may ask the MBRU complaints function for a review. IoL supplies the complete file within 5 working days of the request and implements MBRU's decision. Decision point. MBRU may also direct that a complaint be handled at MBRU from the outset where the subject or seriousness warrants it.

9. Capture the learning. Every upheld or partly upheld complaint, and any not-upheld complaint that exposes a weakness, generates a corrective action in AW-24 with an owner and a date. [CONTROL] A complaint is not closed until the AW-24 entry exists or the Complaints Officer records why none is needed.

10. Report trends. Each quarter the Complaints Officer reports to AW-25: volumes by category and area, time to close against standard, outcomes, remedies, recurring themes and open corrective actions. Individuals are not identified in the trend report.

Exception routes. Vexatious or repeated complaints on a decided matter: the Senior Director may close without further investigation, with reasons in writing and the stage 3 route stated. A complaint that reveals an immediate risk to a person: AW-17 is invoked before this procedure continues.

5. Service standards

Where a standard cannot be met, the complainant is told the new date and the reason before the standard expires.

6. Records, retention and controls

Key controls. (1) Every complaint is logged, including those resolved informally. (2) The WF-11 and AW-09 boundary is decided on substance and recorded. (3) The investigator is independent of the subject, the decision maker is not the investigator, and independence is recorded before the investigation starts. (4) The subject of a conduct complaint is given the allegation and the chance to respond. (5) Financial remedies follow AW-05 and are paid through AW-11 or AW-12. (6) No closure without an AW-24 entry or a recorded reason. (7) The complainant is always told the next stage.

OBEF touchpoint. None.

7. Performance measures

8. Change control