Concerns & Complaints Policy

Last Updated: 9 March 2026

1. Policy Statement and Purpose

Study Mind is committed to providing a high-quality service and educational provision. We recognise that formal concerns or complaints may arise and are committed to resolving them efficiently, fairly, and transparently at the earliest stage possible.

This policy sets out the procedure for all formal and informal complaints made by learners, parents/carers, staff, and commissioning bodies concerning any aspect of Study Mind’s service, provision, or the conduct of its personnel.

Guiding Principles

Fairness: All complaints will be treated seriously and investigated objectively, without prejudice or bias.
Confidentiality: Information relating to the complaint will be handled with discretion and shared only as necessary for the investigation.
Timeliness: Complaints will be addressed within established timescales.
Resolution: The focus is on achieving a satisfactory resolution and improving future practice.
Whistleblowing: This policy is distinct from the Whistleblowing Policy (for staff reporting serious wrongdoing) and the Safeguarding Policy (for reporting harm to a child).

2. Definitions

Term	Definition
Concern	An expression of worry or doubt about a specific issue that can usually be resolved quickly and informally by the staff member involved or a low-level manager.
Complaint	A formal expression of dissatisfaction requiring a structured investigation against this policy, where the complainant believes an initial concern was not resolved or the matter is serious.
Complainant	The person making the concern or complaint (e.g., parent, commissioner, staff member).
Designated Complaints Officer (DCO)	The member of Study Mind management responsible for overseeing the formal investigation of Stage 2 and 3 complaints.

3. Scope and Exclusions

3.1 What this Policy Covers

This policy covers complaints regarding:

The quality or delivery of educational provision.
The conduct of staff, tutors, or partners (excluding serious misconduct—see Exclusions below).
Administration, procedures, or the application of Study Mind policies.

3.2 What this Policy Excludes (Referral to Other Policies)

Area of Concern	Relevant Policy / Procedure	Rationale
Allegations of harm or abuse against a child or staff member	Safeguarding and Child Protection Policy (Report immediately to DSL/LADO)	Statutory duty takes precedence; requires immediate external referral.
Staff grievances against employment conditions	Staff Grievance Procedure	Governed by employment law and internal contract terms.
Staff reporting serious illegal activity or malpractice	Whistleblowing Policy	Requires legal protection and specialised handling under the Public Interest Disclosure Act (PIDA).
Appeals against permanent student expulsion	Admissions/Exclusions Policy	Handled by a senior review panel outside the standard complaints procedure.

4. Complaints Procedure (Three Stages)

Complaints will typically be handled in three consecutive stages to encourage early resolution. In exceptional circumstances (e.g., very serious matters), the Designated Complaints Officer (DCO) may fast-track the complaint to Stage 2 or 3.

Stage 1: Informal Resolution (Tutor/Staff Level)

Objective: To resolve the concern quickly and amicably.
Procedure: The complainant should first raise the concern directly with the tutor or staff member involved, or with the tutor’s immediate manager/Study Mind admin.
Timescale: The staff member/admin must acknowledge the concern immediately and provide an oral or written resolution proposal, where possible, within 5 working days.
Outcome: If the complainant is satisfied, the matter is recorded and closed. If not satisfied, the complainant may proceed to Stage 2.

Stage 2: Formal Investigation (Management Level)

Objective: Formal investigation by a manager not directly involved in the issue.
Procedure: The complaint must be submitted to the Designated Complaints Officer (DCO) in writing (email or formal letter), clearly stating:
- The nature of the complaint.
- When and where the events occurred.
- Why Stage 1 was unsatisfactory.
- The desired resolution.
Timescale:
- Acknowledgement: Within 3 working days of receipt.
- Investigation: The DCO will investigate the complaint, interviewing relevant parties and gathering evidence.
- Written Response: The DCO will provide a full written response, including findings and any proposed resolution/remedial action, within 15 working days of acknowledgement. If an extension is required (e.g., due to complexity or staff absence), the complainant will be notified and given a new timeframe.
Outcome: If the complainant accepts the findings, the complaint is closed. If still dissatisfied, the complainant may proceed to Stage 3.

Stage 3: Final Review and Appeal (Senior Management/External Review)

Objective: Final review of the procedure and findings by a senior leader or independent person.
Procedure: The complainant must write to the Senior Leadership Team (SLT) within 10 working days of the Stage 2 response, explaining why the findings are still unacceptable.
Review Body: The SLT will commission a final review, usually conducted by a senior member of Study Mind Management or, if deemed necessary due to complexity or legal sensitivity, an independent external reviewer.
Focus: The review will focus on whether:
- All procedures were followed correctly (procedural fairness).
- All relevant evidence was considered.
- The outcome was reasonable given the findings.
Timescale: A final determination, detailing the conclusion and rationale, will be issued within 20 working days.
Outcome: This decision marks the conclusion of Study Mind’s internal complaints procedure.

4a. Suspension or Termination

If complaints reach Stage 2: Formal Investigation, the member of staff will be temporarily suspended from duties until the matter is resolved or a review deems the member of staff not fit to continue employment.

Where staff are undertaking administrative duties, these duties will be temporarily disseminated to other members of the team until resolution is reached. If the member of staff has employment terminated, appointment of a replacement will commence.

Where staff are undertaking teaching/tutoring, a replacement tutor will be appointed and a senior member of staff will complete a handover to ensure the student receives continued support. In this instance, communication to the following groups will occur:

Parents/Guardians (and students if appropriate): Parents and guardians will be notified of a replacement tutor. Depending on the nature of the complaint, they may or many not be told the reasons for the replacement.

Local authorities: The local authority case worker (and in certain cases the LADO) will be made aware of the temporary replacement of teacher in the case of Alternative Provision and will be notified of the reason (where appropriate to allow for unbiased judgement in the case of a temporary suspension).

5. Record Keeping and Monitoring

All formal complaints (Stages 2 and 3) must be logged centrally.
Records will include the written complaint, all correspondence, investigation notes, and the final outcome/resolution.
Records will be retained for a minimum of 6 years in compliance with UK GDPR and best practice.
The SLT will monitor anonymised complaint statistics quarterly to identify trends, training needs, and procedural failures, ensuring continuous service improvement.

6. Staff Responsibilities

Tutors/Staff: Must handle Stage 1 concerns professionally and promptly. They must escalate any matter immediately if it involves allegations of gross misconduct, safeguarding, or if the complainant is dissatisfied.
Designated Complaints Officer (DCO): Ensures procedural fairness, timeliness, and objective investigation at Stages 2 and 3.
Duty to Cooperate: All staff must cooperate fully and truthfully with any formal investigation under this policy. Failure to do so may result in disciplinary action.

7. Next Steps for Dissatisfied Complainants

Study Mind’s internal process concludes after Stage 3.

If the complainant remains dissatisfied with the final outcome, they may seek recourse through external avenues, such as alternative dispute resolution (ADR), or specific regulatory bodies depending on the nature of the complaint (e.g., the Information Commissioner’s Office (ICO) for data breaches, or legal advice).

8. External Complaints Processes

Study Mind Ltd. are accredited by and work with a series of external partners. If you feel your complaint has not been satisfied by Study Mind’s complaints process, you may also log a complaint with the following partners.

PASS – Functional Skills

Study Mind Ltd. is a registered training provider for PASS Functional Skills. You can contact them here: https://passfunctionalskills.co.uk/contact-us/

BAC (British Accreditation Council)

As of March 2026, Study Mind Ltd. are undergoing accreditation with the British Accreditation Council. Once accredited, students and parents/carers dissatisfied with any of the summer programmes accredited by BAC, they can log a complaint with BAC by following the procedure listed on their website: https://www.the-bac.org/bac-complaints-procedure/

9. Glossary of Terms

Term	Definition in the Context of this Policy
ADR	Alternative Dispute Resolution. Methods (like mediation) used to resolve disputes outside of the court system.
DCO	Designated Complaints Officer. Study Mind manager responsible for overseeing formal complaint investigations.
DSL	Designated Safeguarding Lead. Must be informed immediately if a complaint raises a child protection concern.
ICO	Information Commissioner’s Office. The UK’s independent authority for upholding information rights (e.g., if the complaint involves a data breach).
LADO	Local Authority Designated Officer. Must be informed if a complaint involves an allegation of harm against a child made against a member of staff.
PIDA	Public Interest Disclosure Act 1998. UK law that provides legal protection for whistleblowers (staff reporting serious wrongdoing).
SLT	Senior Leadership Team. The body responsible for commissioning the final review (Stage 3) and monitoring policy effectiveness.
Working Day	Monday to Friday, excluding UK bank holidays.