Lean Education And Development Ltd


Appeals & Complaints Policy/Procedure


“Always Professional, Proactive, Prepared, Positive & Polite”




We pride ourselves on the level of service we offer to learners, employers, and all other key client groups.

All learners have the right to learn, be assessed and work in an environment that is free from discrimination, bullying and harassment. This complaints policy/procedure provides a transparent, formal, and effective method to complain and appeal without fear of victimisation discrimination and repression.


We believe that service users/learners have the right to equal and fair access to learning, development, training and assessment that enhances their career and life opportunities.

All service users/learners will receive full support and guidance throughout their learning journey, a learning and in their working environment that recognises the need for equality and recognises diversity, which supports and safeguards the persons health and wellbeing.

Any service users/learners who believe they are being subjected to, or are suffering because of victimisation, discrimination, bullying, harassment or being excluded from equality of opportunity will be encouraged and supported to execute these procedures and seek confidential information, advice and guidance and support that is intended to resolve the issues that have initiated the appeal or complaint.

If you feel you are being discriminated against, bullied, harassed, or unfairly treated you should promptly undertake the following course of action and not remain silent and seek support and guidance immediately.

This appeals and complaints policy and procedures provides relevant and important guidance and support, any persons who makes a complaint or appeal can be fully confident that any approaches or disclosures to our coaches will always remain private and confidential and treated with the upmost confidence and sensitivity.


This complaints and appeals policy and procedure ensures that all service users, learners, members of the public, employers/clients, external funding, and awarding organisations who may wish to make in relation to staff, qualifications, assessments and associated services offered by LEAD Ltd make a compliant or an appeal.


Appeals Procedures Aims and Objectives:


  • To enable the learner to enquire, question and appeal against any assessment decision/judgement that has been made.
  • To offer a process that enables the learner to reach an amicable agreement with their learning provider the earliest opportunity.
  • To maintain and promote standardised procedures that allow all appeals to be promptly investigated, discussed, and evaluated resulting in accurate and valid records of the processes followed.
  • To promote openness, fairness, and confidence in the assessment practices.
  • To facilitate a learner’s ultimate right to appeal to the relevant awarding organisation where appropriate.
  • To protect the interests of the learner and maintain the integrity of the Assessment Centre procedures and the assessment of the various qualifications being delivered by the learning provider.
  • This appeals and complaints procedure is designed to offer the learner a formal and structured process to make an appeal against assessment decisions and judgments, this policy and procedure provides a mechanism that will allow any assessment decision, judgement to be revisited, investigated, and rectified if required.

This policy and procedure are intended to promote and maintain assessment practices that are fair and consistent for all learners, preventing any learners becoming disadvantaged or treated unfairly through the decisions and judgements being made.

The appeals procedure is a mandatory and standardised process which provides the service user/learner with a time bound, systematic, and documented procedure that we the training provider, service users and learners will implement and follow in the event of a formal appeal or compliant being made.

The LEAD Ltd will:

  • Clearly communicate the appeals procedure at the enrolment, induction, and training sessions form in a critical element of information, advice, and guidance IAG services.
  • Record, monitor and validate all appeals and complaints.
  • Submit the appeal to the relevant organisation if the service user/learner continues to consider that a decision or occurrence disadvantages them after all internal appeals or complaints procedures have been exhausted.
  • Keep accurate and legible records of all appeals for inspection by the relevant organisation for a minimum of 18 months.
  • Have in place within the organisation/centre a formal and structured appeals procedure that is tested and workable.
  • Take all the required and appropriate action to protect the interests of the service user/learner and protect the integrity of the LEAD, the centre and the qualifications being delivered, assessed, and examined.
  • Have in place internal continuous professional development processes that support the centre assessment practices in the event of an appeal being upheld.
  • Have in place robust monitoring processes that routinely review the appeals procedure.

Appeals Procedure Responsibilities:

  1. The Learner: Will initiate the appeals procedure within the agreed time frames when they believe they have a reason to appeal about or against an assessment decision/judgement that been made against the evidence they have presented.

  1. The Coach/Assessor: Is responsible for providing the learner with accurate and constructive feedback regarding their achievements and basis for their assessment decisions and judgements have been made.

The coach will firstly discuss the nature of the appeal with the learner, which will always remain.

confidential, seeking a satisfactory solution with any issues that have led to the appeal. When any appeal becomes formal it is the coach’s responsibility to process the appeal within the agreed time frames.

  1. The Internal Quality Assurer (IQA): Is solely responsible for judging whether the assessment decisions, judgments are valid, fair, and unbiased.

  1. The Head of Quality: Is solely responsible for submitting the appeal in writing to the relevant awarding organisation, if the learner remains dissatisfied with the outcome of the centres internal appeals process the LEAD Ltd Head of Quality will engage and initiate the following systematic stages of this procedure.


The learner induction into their development program will clearly communicate the principles and concepts of appeals procedures making up the elements of information, advice, and guidance available to them. This can be discussed with the coach or you can refer to the LEAD Ltd Appeals and Complaints Procedure the details can be found in the Employee Support Workbook.

The learner appeals procedures are a systematic and staged determining whether the coach 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.

The Appeals procedure Definitions:

  • Informal: Learner consultation with the coach within a defined period.
  • Review: Of assessment decisions/judgements by the Internal Quality Assurer (IQA) and Head of Quality. The learner is formally notified of the appeals findings and agrees or disagrees in writing with the


  • Appeal hearing: The Head of Quality will appraise the appeal and make informed decisions to forward the appeal to the relevant awarding organisation.
  • External appeal: The Head of Quality will formally report the appeal to the relevant awarding.

organisation, defining the grounds and reasons for the appeal and providing any relevant supporting.

documentation that displays the assessment decisions/judgements made. This formal external appeal will be submitted to the relevant awarding organisation within the agreed procedure time frames.

Formal Appeal Stages:

  • Stage 1: The learner must appeal in writing to the coach, clearly stating the points of the disagreement and the evidence in their portfolio which the learner believes is sufficient in meeting the requirements of the performance criteria, knowledge, and range for claiming competence. The coach will meet with the learner within 10 working days and go through the assessment process, clearly explaining how they have arrived at their conclusions. The coach will confirm the findings to the learner in writing within the

following 5 working days.

  • Stage 2: Learners who are not satisfied with the outcome of Stage 1 can then appeal in writing to their Internal Quality Assurer (IQA). The appeal does not have to contain the detail given before as the

documents from Stage 1 should be passed to the Internal Quality Assurer (IQA). The Internal Quality

Assurer will meet with the learner and the coach within 5 working days and will confirm the findings in writing to learner and the coach within 5 working days.

  • Stage 3: The Head of Quality will consider the appeal using all information gained from the learner, the Assessor and the Internal Quality Assurer who are involved in the appeal. The Head of Quality will make informed decisions and judgements to report the appeal to the relevant awarding organisation and inform the learner of the decision in writing within 10 working days.

  • Stage 4: The LEAD Ltd Head of Quality on behalf of the learner with their authorisation will have.

submitted the appeal to the relevant awarding organisation. The learner will receive confidential.

communications both verbally and in writing from the awarding organisation regarding the appeals

procedures outcome.

  • Stage 5: All learners will have to opportunity to escalate any complaints or appeals directly to the relevant awarding organisation, directly. If the learners making the compliant or appeal remains dissatisfied with the outcomes from both the Centre and the Awarding Organisation, further complaints/appeals can be made directly to OFQUAL the qualifications regulator.

  • Summary: At this point the Awarding Organisations appeals procedure will be followed and will involve the use of all the reports from Stages 1, 2 and 3. Your coach can provide you with details of this procedure if needed and will usually involve an investigation by the relevant External Quality Assurer (EQA) and at least one independent person.

Awarding Organisation Policies

We work with the following awarding organisations with their own policies therefore it is important that both learners and centre staff involved in the management, delivery, assessment and quality assurance of qualifications are fully aware of their contents and location. In addition, centres must have their own internal arrangements which learners can easily access if they wish to appeal against a decision.

EAL (Excellence, Achievement & Learning Ltd) is registered in England and Wales (02700780).

Registered office: Unit 2, The Orient Centre, Greycaine Road, Watford, Herts, WD24 7GP

Telephone: +44 (0) 1923 652 400 Fax: +44 (0) 1923 652 401

Email: customer.care@eal.org.uk

Website: www.eal.org.uk


Occupational Awards Limited (OAL)

The Catalyst

Baird Lane


York YO10 5GA

Telephone: 01904 236 483

Email: info@oawards.co.uk

Website: www.oawards.co.uk


Highfield Qualifications

Highfield House

Heavens Walk


Doncaster DN4 5HZ

Email: info@highfield.co.uk

Website: www.highfieldqualifications.com    


The Awarding Organisations decision will be final, and the appeal will be deemed to be closed.

Complaints and Disputes


Lean Education and Development Ltd has overall responsibility for resolving any issues and disputes arising in relation to the delivery of the apprenticeship.

Where the service user, employer and/or the learner has an issue or dispute relating to delivery of a learning and development programme, apprenticeship, they should refer this using the procedure below.

Complaints Procedure:

  1. If this is a complaint, what action do you feel might resolve the problem at this stage? If you have a

compliment, suggestion, or concern, you should in the first instance approach your dedicated coach on site.

  1. If you do not feel you can approach your coach, you should contact your dedicated site Internal Quality Assurer (IQA).
  2. If you do not feel you can approach your coach or Internal Quality Assurer (IQA), you should.

contact the Head of Quality. This is the individual with ultimate responsibility within the

company for delivery of all training and assessment.  Head of Quality – Darren Wilson,


  1. Where the Employer and/or the Apprentice has an issue or dispute relating to the provision of the delivery of services undertaken by, the Employer will make the matter known. Write to us at:


Maxine Jones


Lean Education and Development Ltd,

Unit 4 & 5 Hagley Mews,

Hall Drive, Hagley. DY9 9LQ

Email: maxinejones@leadltd.co.uk

Telephone: 01562 883657 8:30am to 5pm, Monday to Friday         

How your complaint will be handled:

  • All complaints will be investigated as fairly and fully as possible.
  • We will acknowledge your complaint within 5 working days of receipt of the complaint in writing.
  • We will endeavour to respond fully to your satisfaction within 10 working days. If a full response is not possible within the time, you will be told how your complaint is being handled.
  • Every effort will be made to put right the situation leading to the complaint.
  • If you are not satisfied with the outcome of your complaint, you should write directly to the CEO or, if your complaint is against the CEO the appeal, compliant should be made to the Board of Directors.
  • You also have the right to complain to the Education and Skills Funding Agency or the Secretary of State for Education or OFSTED. Should a complaint still be unresolved concerning the quality of education provided then you can refer to:

In respect of further education provision:  

The ESFA will acknowledge a complaint within 5 days and will let you know what will happen next.     

Complaints team
Education and Skills Funding Agency
Cheylesmore House, Quinton Road
Coventry, CV1 2WT

or by email to complaints.esfa@education.gov.uk

For a copy of the agency’s procedure on investigating complaints about training providers,

please refer to:

Adjudicator to decide on your case if you’re unhappy with how the ESFA has dealt with your complaint.

Complaint’s adjudicator
Legal and information compliance
Education and Skills Funding Agency
Cheylesmore House, Quinton Road
Coventry, CV1 2WT

If you are unhappy with the ESFA response you can contact the Department for Education if you’re unhappy with how the ESFA has dealt with your complaint.


Ministerial and Public Communications Division

Department for Education

Piccadilly Gate

Store Street

Manchester M1 2WD   Telephone: 0370 000 2288

Apprentices and employers can contact the apprenticeship helpline regarding apprenticeship.

concerns, complaints, and enquiries using the contact details below.

Apprenticeship helpline e-mail: nationalhelpdesk@apprenticeships.gov.uk

Telephone: 0800 015 0400 8am to 10pm, 7 days a week

To complain about a training provider Ofsted inspects or regulates:


The first step is always to raise any issues with the school, service or provider by completing.

their full complaints procedure. Most issues can be resolved in this way.

Ofsted may not be able to accept your complaint if you have not done this already.


Gives employers the chance to give your views on us as a training provider. Employer View asks for your opinion on a range of five aspects. These include – would you recommend this provider to other employers and do employees receive the support, feedback, and employability skills they need to help them progress? By sharing your views, you will be helping us to improve.


Learner View gives learners the chance to tell Ofsted what they think about us as a training provider.

Learner View asks for your opinion on a range of 10 aspects: from whether the lessons/training sessions are well taught to if you would recommend the provider to a friend.


How we use your data:


LEAD Ltd is committed to the development of positive policies to promote equal opportunities for all people regardless of age, disability, gender (including gender reassignment), relationship status, pregnancy/maternity, race, religion/belief, or sexual orientation. The information provided is confidential and will be used only to monitor the effectiveness of this policy. Data Protection Act 2018: Personal data that LEAD Ltd receive as a compliment/complaint/suggestion in writing or in other ways, will be used by LEAD Ltd as a way of listening to our key clients, to respond to issues raised and to improve services. Data may be shared with other organisations to respond to specific issues that may be raised. Data will not be used for purposes other than the purpose set out above.

How should I raise my concern about how LEAD Ltd has handled my information?

You have the right to be confident that we handle your personal information responsibly and in line with good practice. If you have a concern about the way LEAD Ltd is handling your information, for example, if LEAD Ltd:

  • is not keeping your information secure.
  • holds inaccurate information about you.
  • has disclosed information about you.
  • is keeping information about you for longer than is necessary; or
  • has collected information for one reason and is using it for something else,

You should contact the Data Protection Officer in writing or by email.

Data Protection Officer

Simon Riley

Units 4/5, Hagley Mews, Hall Drive, Hagley, Stourbridge, DY9 9LQ


www.leadltd.co.uk   This data protection policy can also be found on our website.

How your complaint will be handled:

  • All complaints will be investigated as fairly and fully as possible.
  • We will acknowledge your complaint within 5 working days of receipt of the complaint in writing.
  • We will endeavour to respond fully to your satisfaction within 10 working days. If a full response is not possible within the time, you will be told how your complaint is being handled.
  • Every effort will be made to put right the situation leading to the complaint.
  • If you are not satisfied with the outcome of your complaint, you should write directly to the Managing.

Director or,

  • If you are unhappy with their response or if you need any advice, you should contact the Information.

Commissioner’s Office (ICO).



Telephone: 0303 123 1113

Textphone: 01625 545860

Monday to Friday, 9am to 4:30pm

Information Commissioner’s Office

Wycliffe House Water Lane


Cheshire, SK9 5AF


LEAD Ltd will monitor complaints monthly and bring them to the attention of the senior management team and monthly board. We monitor learner and employer satisfaction throughout the learning journey and share best practice internally at standardisation meetings following root cause analysis. As an organisation committed to continuous improvement it is part of our culture.


Assessment Strategy

Bullying and Harassment Policy

Data Protection, Confidentiality and Security Policy

Disciplinary, Capability and Grievance Policy

Equal Opportunities

Employee Support Workbook

Fair Access to Assessment Policy

Special Considerations and Reasonable Adjustments Policy


All Lean Education and Development Limited Policies, Procedures and Strategies will be monitored and reviewed by the designated owner. For additional advice and guidance or to notify of any changes contact the owner by email.

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