Complaints Policy and Procedures Document Author: Approving Body: David Devlin Membership Development Manager Board of Trustees Date of approval: Review date: Document History Version Date Changes 1 5/7/2016 - 1.1 1.2 8/8/2016 20/9/2016 - Reason Document creation CEO changes CEO Changes Author DD DD DD Policy Outline This policy contains the policy and procedures on how to make a Complaint to and about SAUWS. SAUWS’ complaints policy and procedure is intended to ensure that all complaints are handled fairly, consistently, appropriately and wherever possible resolved to the complainant’s satisfaction. You should read this policy if: You would like to make a complaint about SAUWS, one of our staff, officers, volunteers or services that we provide. You are dealing with a complaint and need to review the processes. Informal complaints can be raised at any time by speaking to the line manager of the service or staff member that you are dissatisfied with. Please note that this policy is not suitable to used for complaints regarding SAUWS elections. Complaints of this nature should be sent in writing to the Depute Returning Officer at [email protected] SAUWS Complaints Policy and Procedure SAUWS is committed to providing an excellent service to its members and other stakeholders, working in an open and accountable way that builds trust and respect. We have developed a Complaints Policy and Procedure that explains our approach to receipt and handling of complaints. We aim to ensure that: Making a complaint is as easy as possible We treat a complaint as a clear expression of dissatisfaction with our service which calls for an immediate response We deal with it promptly, politely and when appropriate confidentially. We will respond in the appropriate way – for example with an explanation or apology or information on any action taken. We will learn from complaints both upheld and not upheld and use them to improve the services that we offer. We will regularly review our complaints policy and procedures. SAUWS recognises that some concerns raised may be informal in nature, and we aim to deal with these quickly. In the first instance we would expect a complaint to be raised directly with the individual, or manager concerned. But if concerns cannot be resolved informally to the satisfaction of both sides, then the formal complaints procedure will be followed. Definition SAUWS defines a complaint as any expression of dissatisfaction with our services, staff, elected officers, volunteers or trustees, whether justified or not. Responsibilities SAUWS’ responsibility will be to: Acknowledge the formal complaint in writing. Respond within a stated period of time. Deal reasonably and sensitively with the complaint. Take appropriate action where required. The complainants’ responsibility is to: Raise their complaint promptly and directly with the person concerned, if this is appropriate and where their complaint cannot be resolved satisfactorily informally, then the formal complaints procedure should be followed. Explain the complaint as clearly and as fully as possible, including any action they have taken to date. Allow SAUWS a reasonable amount of time to deal with the matter as detailed in the formal complaints procedure. Recognise that some circumstances may be beyond SAUWS’ control. 2 Monitoring and Reporting Trustees of SAUWS will receive an annual anonymised report of complaints made and their outcomes and recommendations. Confidentiality Except in exceptional circumstances, every attempt will be made to ensure that both the complainant and SAUWS maintain confidentiality. However, the circumstance giving rise to the complaint may be such that it may not be possible to maintain confidentiality. Should this be case, the situation will be explained to the complainant. Scope of the Complaints Policy The SAUWS complaints policy is based on a three stage process (as detailed in the Complaints Procedure). The Complaints Policy will apply to all services, staff, elected officers and Trustees that SAUWS has or provides, with the exception of our elections process. If at any time during the investigation of a complaint matters arise that warrant investigation under disciplinary proceedings, or through a criminal investigation, the complaints procedure will be suspended until those investigations are concluded. Similarly the complaints procedure should be suspended if a complainant is actively seeking legal redress. Where a complaint is against a member of staff, elected officer or Trustee they should be informed of the support services available to them. The appropriate manager should be informed of the receipt of a stage 1 formal complaint. A complete record of the entire process should be kept. A copy of all reports, transcripts of interviews and other relevant information should be forwarded to the Manager for immediate review. You can find a list of managers at www.sauws.org.uk/union/contactus SAUWS may, at any stage of the formal complaints procedure, review a complaint and give a decision, without a formal investigation, where a member of the management team deem the complaint to be deliberately repetitive of vexatious. Examples of such complaints being unsubstantiated or repetitive complaints against an individual or service, or where a complaint has previously been investigated and appropriate action already taken. When appealing against a complaint outcome, the complainant will be asked to state why they are dissatisfied with how their complaint was handled and the outcome. 3 Please note: It is not appropriate for the formal complaints procedure to be used when dealing with complaints regarding elections. Such complaints should be sent to the Depute Returning Officer at [email protected] Formal Complaints Procedure SAUWS operates a three stage complaints procedure. The process for each stage is outlined as follows. Stage 1 1.1 If you are unable to resolve the issue informally and wish to make a formal complaint, you should request a copy of SAUWS’ formal Complaints Policy and Procedures from the contact details below. This will be sent to you within 5 working days. If we hear nothing further by 28 calendar days from this date we will regard the complaint to be closed. 1.2 Upon receipt of SAUWS’ Complaints Policy and Procedure, you should write a formal of complaint to the contact details below,. 1.3 In your complaint, you should set out the details of your issue, the consequences for you as a result, and the remedy you are seeking. 1.4 You can expect the complaint to be acknowledged within 5 working days of receipt. SAUWS will strive to respond with an outcome within 10 working days. 1.5 All complaints should be sent to the Administrative Assistant. If your complaint is regarding the SAWUS Administrative Assistant then your complaint should be addressed to the SAUWS Chief Executive. If your complaint is regarding the CEO it should be addressed to the Chair of the Trustee Board. 1.6 Our Contact details are: SAUWS The Students Union Storie Street Paisley PA1 2HB Telephone Number: 0141 849 4151 E: [email protected] Web address: www.sauws.org.uk Stage 2 2.1 If you are dissatisfied with the stage 1 response to your complaint, then you should write to the person outlined in section 1.5. You can expect your request to be acknowledged within 5 working days of receipt. 2.2 A stage 2 complaint will be coordinated by a member of the Management Team, 4 or other delegated member of staff, who will respond within 20 working days with a full written response, giving details of the further stage in the complaints policy. 2.3 SAUWS aim is to resolve all matters as quickly as possible however, if a matter requires more detailed investigation, you will receive an interim response describing what is being done to deal with your complaint and when a full reply can be expected and from whom. Stage 3 3.1 If you are not satisfied with the response from stage 2, you then have the option of asking for a review of your complaint in writing to the Chief Executive of SAUWS, stating the reason why you are dissatisfied with the outcome of your complaint. You should do this within 10 working days of receiving the written response from stage 2. 3.2 The Chief Executive, in conjunction with the Chair of the Board of Trustees will respond normally within five working days to inform you of the action which will be taken to investigate the complaint, and the expected timescale of the investigation. 3.3 If your original complaint is against the Chief Executive then the Chair and the Vice-Chair of the Board of Trustees will handle the final appeal stage. 3.4 The relevant history of the complaint will be made available to the Chief Executive, and or the Chair/Vice-Chair so that a full investigation can be carried out. That investigation may include interviews with the complainant, any staff involved, and any witnesses and will also include documentation evidence where appropriate. 3.5 The outcome of the investigation will be communicated to the complainant in writing with details of any action taken and time-scale for implementation (if applicable and appropriate). All appropriate members of staff will also receive a copy of this report, which will also be presented to the Board of Trustees. 3.6 Appropriate Staff concerned should report back to the Chief Executive within ten working days of their receipt of the outcome of the Stage 3 complaint, explaining how they have implemented any recommendations. 3.7 Should a complainant still be dissatisfied with the outcome of the stage 3 complaint, they will be informed of their right to seek further redress. 3.8 If the initial complaint is regarding how the Students’ Association, as a charity is run, you can seek further redress from the Office of the Scottish Charity Regulator. The contact details are outlined in section 3.10 3.9 If the initial complaint is about democratic or representational matters, you can write to the University, as our governing body under the Education Act 1994. The contact details are outlined in section 3.10 5 3.10 Contact details for further redress: Office of the Scottish Charity Regulator (OSCR) 9 Riverside Drive Dundee DD1 4NY Director of Corporate Support University of the West of Scotland High Street Paisley PA1 2BE www.oscr.org.uk www.uws.ac.uk 6 Complaints flow chart The formal complaints procedure should only be followed if the complaint cannot be resolved informally. STAGE ONE The complainant requests a copy of SAUWS Complaints Policy & Procedure. This will be dispatched within 5 working days. If a formal letter of complaint is not received within 28 calendar days from dispatch of the Complaints Policy & Procedure the complaint will be regarded as closed. Formal letter of complaint received by appropriate Manager Complaint acknowledged within 5 working days Formal letter of complaint received by appropriate Manager Investigation and response to g days complaint within 10 working days (Include complainant’s right to have the complaint and response reviewed) Complete record of the complaint to be retained (Copy to be sent to the Chief Executive) Complainant satisfied with response. Complainant not satisfied with response. (Any feedback on how the complaint was handled is to be encouraged) (10 days to ask for further consideration) End of Process Stage 2 process begins 7 STAGE TWO Complainant requests further consideration (Complainant to write to the manager who responded to the complaint stating the reason why they are dissatisfied with the outcome of stage one and ask for further consideration. This must be done within 10 days of receipt of response from stage 1 Request acknowledged within 5 working days Formal letter of complaint received by appropriate Manager Manager Informed Manager or other delegated staff member Further consideration of the g days complaint and response to be carried out within 20 working days or in the case of a more detailed investigation an interim response to be given with timescales (Include complainant’s right to appeal) Complete record of the complaint to be retained (Copy to be sent to the Chief Executive) Manager to review any actions Complainant satisfied with response. Complainant not satisfied with response. (Any feedback on how the complaint was handled is to be encouraged) (10 days to ask for a Review of the Complaint from Chief Executive) End of Process Stage 3 process begins 8 STAGE THREE The Complainant ask for a review Chair of the Board of Trustees informed. (complainant to ask for a review of their complaint in writing to the Chief Executive of SAUWS, stating the reason why they are dissatisfied with the response to their complaint. This must be done within ten working days of receiving the written response from stage 2) Chief Executive to inform appropriate manager of the review outcome and recommendations for action Appropriate staff to report back to chief executive within ten working days of the receipt of the outcome explaining how they have implemented any recommendations The Chief Executive in conjunction with the Chair of the Board of Trustees to respond within five working days, detailing what action to be taken to investigate the complaint and the expected timescale Investigation of the complaint and responses given to be carried out and the outcome given to the complainant in writing as per the timescale given Complete record of the complaint to be retained Complainant satisfied with response. History of complaint to be supplied to Chief Executive The Chief Executive in conjunction with the Chair of the Board of Trustees All appropriate members of staff and the Board of Trustees to receive a copy of the review response Complainant not satisfied with response. (Any feedback on how the complaint was handled is to be encouraged) End of Process Further Redress options (section 3.7 onwards) 9 10
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