Appeals, Complaints and Compliments Policy

This policy covers complaints, appeals and compliments that learners, members of the public, employers, external funding and awarding organisations may wish to make in relation to staff, qualifications, assessments and associated services offered by Lean Education and Development Ltd.

 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. The complaints procedure provides a transparent, formal and effective means to complain without fear of victimisation and repression. Whatever the views on our performance, complaint, compliment or suggestion we want to hear them.

All learners will receive full support and guidance throughout their learning journey, a learning and working

environment that recognises diversity, which promotes and always safeguards the learner’s wellbeing.

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 guidance and support that is intended to resolve the issues that have initiated the complaint.

If you feel you are being discriminated against, bullied or harassed you should promptly do the following and not remain silent.

Seek guidance and support immediately; these procedures offer you with relevant and valuable guidance and support. You can be fully confident any approaches or disclosures to our coaches will always remain private and confidential and treated with the upmost confidence.

Appeals Procedures

 All learners have the right to equal and fair access to training and assessment that enhances their career

progression and enhances promotional opportunities through continuous professional development

opportunities. Aims and objectives:

  • To enable the learner to enquire, question and appeal against an assessment decision/judgement that’s been made.
  • To offer a process that enables the learner to reach an amicable agreement with their coach at the earliest opportunity.
  • To maintain and promote standardised procedures that allow all appeals to be investigated, discussed and evaluated providing accurate and valid Assessment Centre 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 centre.
  • This appeals procedure is designed to offer the learner a formal and systematic process to make an appeal against assessment decisions and judgments, the appeals procedure provides a mechanism that will allow any assessment decision, judgement to be revisited, investigated and rectified if required.

The processes, strategies and policies 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 learner with a time bound, systematic and documented procedure that the Centre, Internal Quality Assurers, Coaches and learners will implement and follow in the event of a formal appeal being made.

The LEAD Ltd Assessment Centre will:

  • Clearly communicate the appeals procedure at induction.
  • Record, monitor and validate all appeals.
  • Submit the appeal to the relevant awarding organisation if the learner continues to consider that the assessment decision disadvantages them after all internal centre appeals procedures have been exhausted
  • Keep accurate and legible records of all appeals for inspection by the relevant awarding organisation for a minimum of 18 months
  • Have in place within the centre a formal and structured appeals procedure
  • Take all appropriate action to protect the interests of the learner and the integrity of the centre and the qualifications being delivered
  • Have in place internal continuous professional development processes that support the centre assessment practices in the event of an appeal being upheld
  • Have 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 has been made against the evidence they have presented.
  1. The Coach: 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 programme 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 Lean Education and Development Ltd Appeals and Complaints Procedure, the details of which can be found in the Employee Support Workbook. The learner appeals

procedures are a systematic and staged process to determine 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 outcome.
  • 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.
  • 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  



 Occupational Awards Limited (OAL)

The Catalyst

Baird Lane


York YO10 5GA

Telephone: 01904 236 483



 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 Employer and/or the Apprentice has an issue or dispute relating to delivery of an apprenticeship, they should refer this using the procedure below.

Complaint 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.
  2. If you do not feel you can approach your coach, you should contact your dedicated site Internal Quality Assurer (IQA).
  3. If you do not feel you can approach your coach or Internal Quality Assurer (IQA), you shouldcontact the Head of Quality. This is the individual with ultimate responsibility within thecompany for delivery of all training and assessment.  Head of Quality –Gary Cooper  
  4. 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 shall can make the matter known. Write to us at:

 Maxine Jones

Managing Director

Lean Education and Development Ltd,

Unit 4 & 5 Hagley Mews,

Hall Drive, Hagley. DY9 9LQ


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 Managing

Director or, if your complaint is against the Managing Director the appeal should be made to the Board.

  • You also have the right to complain to the Education and Skills Funding Agency or the Secretary of State for Education. 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:

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

If you are unhappy with the decision you can write to the adjudicator to decide on your case if you’re unhappy with how the ESFA has dealt with your complaint:

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

If you’re 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:

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’ll 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:

Lean Education and Development 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 we 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 in which we handle your information, please refer to the Privacy Policy for the process.


LEAD Ltd will monitor complaints on a monthly basis 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.



HEAD OFFICE: 01562 883 657