SSAFA Volunteer Knowledgebase

Complaints Policy

Updated on

Introduction

SSAFA, The Armed Forces charity is committed to providing a positive experience for people who work on behalf of and come in contact with the charity.

However, there may be times when they are dissatisfied with the organisation, or the support offered or provided and wish to make a complaint. Not all issues are part of a formal complaints process and sometimes people will simply want to record a comment or give a compliment; these are equally important.

We actively encourage feedback and use all feedback as an opportunity to learn about our strengths and to understand our weaknesses. This helps us to inform and improve the experience of those delivering and receiving support from us.

Purpose

The purposes of this policy are to set out the approach to handling complaints made against any part of SSAFA or individual working on behalf of SSAFA, and to ensure that all complaints are effectively dealt with.

Scope

This policy applies to:

  • Complaints by staff or volunteers working for SSAFA
  • Employees, who should also refer to the HR Grievance Policy
  • Complaints by external stakeholders, such as beneficiaries, donors; supporters, third party contractors/ service providers

Exclusions to this policy are as follows:

  • Complaints by SSAFA volunteers or employees about external stakeholders e.g. Benevolent Funds. Concerns should be discussed with Central Office first and then the relevant stakeholder’s complaints policy consulted.
  • Beneficiary dissatisfaction with a third-party provider e.g. related to funds or goods received. This is not a complaint about a SSAFA service. A distinction is made between the support that SSAFA provides and the funds and/or goods service provided by the third-party provider. In these cases, SSAFA will ask the complainant to complain directly to the relevant third-party provider.
  • Complaints made on behalf of another individual will be regarded as comments unless the complainant has provided written communication that ‘another’ will act as their formal advocate.
  • Anonymous complaints will be regarded as comments. Depending on the nature of the complaint, we reserve the right to investigate the matter in order to protect SSAFA’s interests. Or it may be dealt with under our Safeguarding Policy, if appropriate.
  • Complaints will be considered ‘out of time’ if the events to which they relate occurred more than 365 days previously. SSAFA email retention policy is limited to 365 days.
  • This Complaints policy is superseded if the complainant indicates an intention to take legal action. In this instance, external advice may be sought.
  • Complaints received relating to a closed complaint or by the same complainant related to an existing complaint.

Other matters that will not be treated as complaints include:

  • MP and Local Councilor enquiries
  • Ombudsman enquiries
  • Subject Access Requests and Requests for Erasure (Right to be Forgotten)

Aims:

The aims of this policy are to:

  • ensure fair and effective complaints procedures are in place which are clear and easy to use for anyone wishing to make a complaint
  • publicise the existence of our complaints procedure so that people know how to contact us to make a complaint
  • make sure that everyone at SSAFA knows what to do if they receive a complaint
  • make sure all complaints are investigated fairly and in a timely way
  • make sure that the relevant communications teams who are responsible for SSAFA’s reputation both internally and externally are kept informed
  • make sure that complaints are, wherever possible, resolved and that relationships are repaired
  • gather information which helps us to improve what we do

Definitions

Complaint

A complaint is defined as an expression of unresolved dissatisfaction, however made, about treatment, the standards of service, action or lack of action within an organisation –in this case SSAFA, the Armed Forces charity. Ultimately, whether we uphold the complaint as justified or not, it is irrelevant to the acceptance and handling of the complaint. Where it is unclear if dissatisfaction is a complaint or a concern, this should be clarified with the individual raising the matter.

Complainant

A complainant is the person making the complaint. Complaints can be received from anyone who is dissatisfied with the treatment, support or service they have received from SSAFA, whether that is a beneficiary, volunteer, employee or external stakeholder. An expression of dissatisfaction may be about an action (or lack of action) or about the standard of a service. It may be when we:

  • did something wrong or our actions are perceived to have been wrong;
  • did something that should not have been done;
  • failed to do something that should have been done;
  • treated someone unfairly or inappropriately, and;
  • failed to deliver what was promised.

Complaint Lead

The complaint lead is the individual given and taking responsibility for ensuring that a complaint is dealt with in accordance with this policy

Subject

Any individual who is the subject of a complaint when that is the nature of the complaint (i.e. a person against which the Complainant is making allegations). Subjects may also be dealt with in accordance with other policies, such as Disciplinary Policy (for employees) or the Volunteer Code of Conduct (for volunteers), dependent upon complaint investigation findings.

Subject Access Requests (SAR) and Request for Erasure (Right to be Forgotten)

These requests are not to be treated as complaints against SSAFA. Where a complaint has been made and there is a request for personal information (i.e. SAR), SSAFA will make a clear distinction between these and will deal with them separately, in accordance with our Data Protection Policy.

If a complainant requires information accessed through a SAR to be included in their complaint, it is the complainant’s responsibility to provide any relevant information to the complaint lead. Vexatious complaints and aggressive behaviour SSAFA reserve the right to refuse to deal with complaints that are pursued unreasonably or in an aggressive or abusive manner. We also reserve the right to deal with a complaint differently (outside the normal procedures) if circumstances require this. In such a rare case, we record why we have dealt with the complaint differently and inform the complainant.

Responsibilities

All SSAFA volunteers and employees involved in a complaint which is subject to this policy have a responsibility to act within the framework of this policy and conduct themselves under SSAFA values and principles within our Volunteer Code of Conduct and our Employee Handbook.

They also have a responsibility to inform the PR Team who are responsible for SSAFA’s reputation and will coordinate tracking across print, online and social media, advise on wording for any responses and deal with any media enquiries, the PR Team would also be responsible for confidential briefings and background.

Trustees

Are ultimately responsible for the governance of SSAFA. They set the strategic direction for complaints handling and ensure that appropriate resources are in place to implement our approach across the Charity. Collectively as Council, they monitor compliance with this policy and the outcomes of the processes. Trustees will also consider Complaints Appeals when required.

National Chairman and Controller

Are responsible for leadership and involvement in Complaints Appeals when required. Delegate the implementation of this policy to the Executive Team (Directors).

Executive Team (Directors)

Policy compliance, implementation, resourcing and accountability across their areas of responsibility, including the SSAFA branch and service committee network. Directors may supplement this policy with procedures that align with their operations.

Directors are responsible for ensuring that complaints received and dealt with by their area of responsibility are recorded on the SSAFA central register of complaints.

Complaint Lead

For ensuring that all complaints are handled in a sensitive and thorough manner in accordance with procedure as set out by their Director. To ensure that the complainant is informed of the procedure and outcomes in a timely manner and to seek advice and guidance where necessary. When appointing others to investigate a complaint they are responsible for ensuring the required resources and skills are available.

Complaint Lead

Also responsible for ensuring that the required information is recorded on the SSAFA Complaints Register, for all complaints.

The PR Team

The PR Team is responsible for managing SSAFA’s reputation and will coordinate tracking across print, online and social media, advise on wording for any responses and deal with any media enquiries. The PR Team would also be responsible for confidential briefings and providing relevant background.

Those investigating complaints

Responsible for conducting thorough and fair investigations and presenting their findings and recommendations.

Data Governance Manager

For managing a central Complaints Register.

Complaints Handling

In all cases, SSAFA employees and volunteers should try to resolve any issue causing dissatisfaction immediately at the point of enquiry. We welcome the opportunity to address concerns informally, which can sometimes be quicker and less stressful for all involved. We aim to resolve the complaint at the earliest Stage possible.

This is when the PR Team should be involved, either via email or by phone [email and phone number pending].

When volunteers, beneficiaries or other stakeholders remain dissatisfied, we recognise they have the right to request that the matter be treated as a formal complaint.

Complaints can be initiated in person, by letter, phone, e-mail, social media, via a media enquiry or through the SSAFA website. To initiate the complaints process, we request that a complaints form is completed to clarify the issue and identify the complainant’s preferred outcome (Appendix 1), though it is not mandatory that a complainant be required to complete a form.

We operate a transparent complaints policy, in that:

  • The name of the person dealing with the complaint is given to the complainant.
  • The named SSAFA contact is responsible for communicating this policy, ensuring associated forms are completed and following the complaints procedure (which may be specific to their department/function or programme, for example VolOps, Fundraising or PSSWS-RAF).
  • Complaints are managed within timescales that ensure that they are fully investigated and that the person making the complaint receives a response within a specified period.
  • We aim to acknowledge complaints within five working days of receipt and provide at each Stage a response to the complainant within 25 working days.
  • Our approach to complaints is thorough, appropriate and proportionate redress.
  • We explain to the complainant about next steps that they can take if they think that their complaint is not suitably resolved.
  • All complaints are treated confidentially in line with our Equality, Diversity and Inclusion policy, our Information Management and Retention policy, our Social Media policy and our Data Protection policy.
  • Complaint interviews may take place to understand the issues better.
  • Both the complainant and those involved in a complaint can be accompanied by a supporter, when invited to an interview.
    • Unless acting as a formal advocate (with written permission provided by the complainant), the supporter will not be requested to provide evidence.
    • The supporter must not be a legal representative, as our SSAFA complaints process does not constitute a legal procedure.

Where complaints are upheld or partially upheld, additional SSAFA policies may be triggered; for example, the Disciplinary policy and procedures or Volunteer Tenure policy. Procedures within these policies are confidential to SSAFA and details of actions in line with these procedures shall not be shared with complainants.

Complaints Procedure

The procedure shown at Annex A is to be followed across SSAFA. This procedure may be supplemented with further detailed procedures and appropriate guidance by Directors and appropriate subject-matter experts as they deem necessary, whilst ensuring that this policy continues to be complied with.

Dissatisfaction with this policy and procedure

It is our hope that for most complaints a mutually satisfactory outcome is met. If the complainant is unhappy with the outcome or the way the complaint has been processed, they have the right to complain to the relevant regulator.

Regulators that are relevant to SSAFA include:

Confidentiality and Data Protection

All complaints are to be dealt with in confidence. This means that only those who need to be involved in investigating the complaint will have access to the relevant information, this includes relevant members of the communications team. This will include employees and volunteers, who may be involved with and support the process, as well as anyone else who is the subject of the complaint.

However, if the complaint relates to any form of criminal offence or any other activity about which SSAFA is required to notify a statutory authority, then SSAFA reserves the right to involve others where appropriate.

SSAFA will retain data and information related to a complaint investigation in accordance with its Information Management and Retention Policy (currently 3 years) and our Data Protection Policy.

Information retained will include but may not be exclusive to; names of those involved, complaint notes, investigation documents and the outcome of the complaint.

Non-Compliance with this policy

It is the responsibility of all volunteers and employees involved in a complaint that is subject to this policy to act within the framework of this policy and conduct themselves under SSAFA’s values and principles. This includes taking appropriate and prompt action in relation to complaints, participating in investigations and meeting with SSAFA leads and complainants when requested to do so.

Failure to follow this policy is a serious matter and may be dealt with under the Disciplinary Policy (for employees) and the Volunteer Tenure Policy (for volunteers).

References

Supplementary Complaints Procedures

(Note: these are in existence as either policies or procedures – they need to be rewritten as procedures that comply with this policy)

Complaints Procedure

It is the responsibility of all SSAFA volunteers and employees to declare any conflict of interest related to the complaints procedure. This must be declared to their line manager or volunteer manager. A conflict of interest is when someone’s judgement or actions are - or could be - affected by something unconnected with their role. This includes any circumstances that affect - or could be seen to affect - someone’s independence or impartiality. SSAFA may choose to adjust the procedure when conflict of interest is noted.

Acknowledgement of complaint

We aim to acknowledge complaints within five working days of receipt. To initiate the complaints process, a complaints form should be completed to clarify the issue and identify the complainant’s preferred outcome (Appendix B). The complainant will be provided with a copy of this complaints policy, where possible.

Stage 1  Local resolution

On receipt of a completed complaint, it enters Stage 1 of the complaint’s procedure. We aim to conclude and respond to the complaint at Stage 1 within 25 working days of receipt.

A named Stage 1 complaint lead is allocated and shared with the complainant. The Stage 1 complaint lead will:

  • Draw up a set of Terms of Reference (TOR) for the investigation based on the completed complaints form (Appendix B).
  • Inform the PR Team (minimal information needed)
  • Conduct investigation.
  • Decide on the outcome.
  • Communicate the outcome to the complainant.
  • Rule on release of the Stage 1 investigation to the other parties involved.

NB: In the following situations, completed complaint forms must be escalated immediately to Stage Two leads to enable an assessment of suitable policy and procedure to take place.

  • There are concerns about illegal activity;
  • There are safeguarding concerns, and;
  • There are concerns that SSAFA regulations are not being upheld.

Outcome

To conclude local resolution, the Stage 1 complaint lead will respond to the complainant verbally or in writing. A written response is preferred. When given verbally, contemporaneous notes must be taken and where possible, confirmed back to the complainant in writing to act as a written record of the discussion. The resolution response to the complainant should include:

  • A summary of the complaint.
  • The outcome of the complaint against the resolution requested by the complainant.
  • Details of appropriate and proportionate action planned/taken to prevent re- occurrence.
  • How to take the complaint to the next Stage  within 25 working days of receipt - if the complainant is dissatisfied with the response and/or resolution offered.

Notes and documents from Stage 1: local resolution will be filed within a complaints file and retained for three years.

Stage 2  Formal resolution

It is hoped that in most complaints a mutually satisfactory outcome is found at Stage 1, but this will not always be the case. Complainants wishing to escalate their complaint must do so within 25 working days of receiving notice of local resolution. When a complainant is dissatisfied and wishes to process their complaint from Stage 1 to Stage 2, they will be asked to complete a Stage 2 Escalation Form (Appendix C). Information requested includes:

  • examples of the initial complaint that have not yet been resolved;
  • what outcome is being sought;
  • why the local resolution decision was not appropriate;
  • any aspects of local resolution that did not follow SSAFA’s policy;
  • any concerns about SSAFA regulations not being upheld, and;
  • any evidence available relating to the above.

Stage 2 investigation requests will be reviewed by the relevant Stage 2 decision maker within SSAFA, who will reply in writing to inform the complainant as to whether a Stage 2 will be undertaken or if not deemed necessary. This needs to include the reason(s) why this Stage 2 - formal resolution will not be carried out.

Investigation

On receipt of confirmed Stage 2 escalation, a complaint enters Stage 2: formal resolution. We aim to conclude and respond to the complaint at Stage 2 within 25 working days.

A named Stage 2 complaint lead will be allocated and shared with the complainant. The Stage 2 complaint lead will:

  • Draw up a set of Terms of Reference (TOR) for the investigation based on the investigation report form.
  • Select a suitably experienced and independent employee or volunteer to conduct the investigation as complaint investigator.
  • Confirm who should be interviewed by the investigator.
  • Receive the investigation report and decide on the outcome.
  • Communicate the outcome to the complainant.
  • Rule on release of the investigation report to the other parties involved.

The complaint investigator will investigate the complaint under the TOR and provide a confidential report to the Stage 2 Complaint Lead to assist in reaching an outcome relating to the complaint.

The aim is to respond to a complainant in writing within 25 working days of the start of Stage 2 investigation.

When a complaint is unable to be concluded within this target timeframe, the complainant will receive fortnightly updates on progress from the Stage 2 complaint lead.

Outcome

The Stage 2 complaint lead will communicate the outcome of Stage 2 formally in writing to the complainant but will also endeavour to communicate personally, either face to face, by telephone or via a Microsoft Teams call. Other parties may also be informed of the outcome at the discretion of the Stage 2 complaint lead. The resolution response to the complainant will include:

  • A summary of the complaint.
  • The outcome of the complaint against the resolution requested by the complainant.
  • Details of appropriate and proportionate action planned/taken to prevent re-occurrence.
  • How to appeal a complaint  within 25 working days of receipt - if the complainant is dissatisfied with the response and/or resolution offered.

Notes and documents from Stage 2: formal resolution will be filed within a secure O365 central complaints file and retained in accordance with the Information Management and Retention Policy (3 years).

Appeal

Complainants who are not satisfied by the outcome of Stage 2 are able to appeal the decision on the following limited criteria:

  • Specific aspects of the original complaint had not been addressed.
  • The SSAFA Complaints Policy had not been followed correctly.

Where a new issue arises that is not related to the initial complaint, this will be considered as a separate complaint and the process initiated again at Stage 1. Complainants must initiate an appeal request within 25 working days of receiving the Stage 2 outcome.

For an appeal to be considered, complainants must complete an appeal request form (Appendix 4).

Requests for an appeal will be considered by an allocated appeal lead and assessed against the appeal criteria above.

The appeal lead will reply by email to inform the complainant as to whether an appeal will be undertaken or if not deemed necessary, along with the reason(s) why.

Should the appeal lead confirm that an appeal is warranted, an appeal panel will be constituted and meet within 25 working days of accepting the appeal request.

Appeal panel

The appeal panel is formed by the appeal lead. The panel will consist of a minimum of two further members. It is the appeal lead’s discretion to the formation of the panel.

An appeal panel will be provided with all the relevant complaint, escalation and appeal forms, the investigation report and a brief from Stage 2 complaint lead explaining the rationale for the Stage 2 outcome.

The appeal panel may reach their determination based on the written information alone. However, they may wish to hold an appeal hearing (in person or via a Microsoft Teams call) and hear from the complainant and/or from other parties involved. They may also wish to hear from other expert witnesses and they are free to decide how they wish to reach a determination, including initiating a further investigation. Complainants and other parties who attend a hearing may be accompanied; details included in the ‘Complaints Handling section of this policy.

Outcome

The Panel will outline their determination in writing and communicate the outcome to the complainant and other parties as required.

The complainant will receive a written (email) outcome from the appeal Panel within 25 working days. If this is not possible, the complainant will be notified and given progress reports thereafter on a fortnightly basis.

Complaint closure

Complaint closure is the conclusion of a complaint. When a complaint is closed it will not be investigated any further by SSAFA. Closure of a complaint will be communicated and/or confirmed in writing to the complainant, along with the detailed reason for the closure of the complaint. A complaint can be closed when any one of these situations occurs:

  • SSAFA is notified by the complainant at any point during the complaint process that the complainant is satisfied with our response.
  • Complainants do not provide the information SSAFA need to take things further or they stop contact completely. The complaint will close 25 working days after no contact from the complainant.
  • The Appeal Panel or Director deems that SSAFA have acted proportionally and within the resources of the Charity. Further investigation would not be a reasonable or good use of charity finances or resources.
  • The Appeal Panel or Director deems that the complainant’s desired outcome is not achievable through appropriate and proportionate redress.

The Appeal Panel or Director, at any point during the complaint process, deems the complainant to not be acting in good faith or is being malicious or vexatious.

Previous Article Safeguarding Policy
Next Article Social Media Policy