Purpose

• Provide clear procedures for investigating and recording feedback, concerns and complaints relating to volunteers and volunteer operations in accordance with SSAFA’s Complaints Policy.
• Enable a consistent approach to responding to complaints relating to volunteers and volunteer operations.
• Ensure complaints involving volunteers and volunteer operations are addressed sensitively, fairly and in a timely manner.
• Provide a means of identifying improvements and increasing beneficiary and stakeholder satisfaction.

Scope

• These procedures apply to all SSAFA volunteers and those who manage or support them, they apply to the activities undertaken by and for volunteer operations.
• Where the subject of a complaint or the complainant is an employee, the complaint process will adhere to the SSAFA Complaints Policy and Procedure (Employees)
• Exclusions apply and are listed in the Complaints Policy.

Definitions

Volunteer - A volunteer is someone who uses their time, skills, and expertise to support the work of SSAFA. Volunteers are unpaid. All volunteers must be registered on SSAFA’s volunteer management system.

Feedback - Minor issue where there is no safeguarding or wellbeing risk, no risk to beneficiaries, volunteers or staff and no reputational risk to SSAFA.

Concern - A concern may be defined as 'an expression of worry or doubt over an issue considered to be important for which reassurances are sought'. Concerns can be about a volunteer’s behaviour, or attitude, or their ability to undertake the role.

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.  A complaint may also be a formal process for more serious or repeated behaviours or actions or for when the informal concerns process has been unsuccessful.

Our approach

SSAFA makes a commitment through our values of commitment, understanding, integrity and compassion to:

• Commitment: Investigate any concern or complaint objectively, fully and swiftly, recognising the important role that behaviour and ability plays in setting SSAFA’s culture and delivering its mission.
• Understanding: Listen carefully to complaints, gathering all views and necessary information to fully comprehend and fairly judge a situation.  Appreciate that not all concerning behaviour is intentional or has malintent but that in deciding how to manage concerns or complaints, the safety and needs of beneficiaries, and supporting SSAFA’s mission is paramount.  
• Integrity: Approach all complaints with honesty and record, store and manage all complaints accurately and confidentially (where possible). Learn from complaints made to continually improve services for beneficiaries.
• Compassion: Approach concerns or complaints with respect and sensitively, knowing that being involved in a concern or complaint can be a difficult and upsetting experience.

Who can raise an feedback, concerns or complaints?

Anyone can raise feedback, concerns or complaints about a volunteer: an employee, another volunteer, a third-party organisation, supporter, beneficiary or member of the public. They may be received in writing, by email, via phone or in person.  Exclusions apply and these are listed in the Complaints Policy.

Where feedback, concerns or complaints are raised locally to a volunteer line manager or colleague the [email protected] should always be notified or guidance sought from the appropriate Volunteer Development Manager.  

Types of feedback, concerns or complaints

Feedback, concerns and complaints can vary substantially in nature and seriousness and our approach must take this into account. Addressing a minor day-to-day issue may be resolved with a short email whereas a complex concern will likely require a formal investigation.

The BRAVE standards bring our values to life and are the centre of everything we do:

Beneficiary focused

Respectful

Adapting to change

Valuing Diversity and Inclusion

Excellence in everything we do

SSAFA’s expectations of volunteers are laid out in the Volunteer Code of Conduct Policy and the Volunteer Tenure Policy.  

Safeguarding concerns

Where a complaint or incident involves a potential safeguarding concern, SSAFA’s Safeguarding team must also be notified in line with Safeguarding Policy and procedures.

The Principal Safeguarding Officer will decide about any need for safeguarding related referrals to external agencies and will be part of the complaints investigation to provide expert advice and guidance, for example, planning an investigation, attending interviews, and feeding into any final reports and decisions regarding safeguarding actions.

Before and during an investigation, it may become necessary to notify external agencies particularly where a serious incident has occurred e.g. Police, Health & Safety Executive, or another professional body.

This decision to refer to an external agency will be made following consultation with the relevant director or deputy director. Where required, SSAFA will pause internal investigative procedures to allow external bodies to complete theirs.

Whistleblowing

Where a concern is related to a whistleblowing matter then the Whistleblowing Policy must be followed and investigations under that policy supersede these procedures.

Conflict of interest

It is the responsibility of all SSAFA volunteers and employees to declare a conflict of interest related to their role in the procedures and guidance detailed in this document.  This must be logged via [email protected]

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 for example, by the assignment of an alternative complaints lead.

WHEN A COMPLAINT WILL NOT BE ACTIONED

In some circumstances SSAFA will not action a complaint or respond to a complainant. This may happen but is not limited to, when:

• a complaint is submitted anonymously. Whilst the complaint may still be considered the anonymous nature of it will prevent a response being given;
• a complaint is about something with which SSAFA has no direct connection.
• someone unreasonably continues to pursue a complaint which SSAFA has already considered and responded in line with this Policy;
• anyone is abusive, prejudiced or offensive in their manner or harasses a volunteer, employee, trustee or anyone connected with the Charity;
• a complaint is incoherent or illegible or forms part of a “round robin” or group mailing.
• In the rare event a complaint is found to be malicious or vexatious, the SSAFA complaints lead will reject the complaint and notify the complainant in writing.
• Where criminal activity is suspected to have occurred, the complainant will be encouraged to engage with the relevant statutory agencies as appropriate, although this does not prevent SSAFA undertaking its own investigations in an appropriate way.

Where a complainant persists in pursuing a complaint despite their complaint having been considered and addressed in line with this Policy, SSAFA will not continue to direct charitable resources to resolving the complaint. If the complainant continues to raise complaints and is a volunteer, SSAFA may choose to invoke the Tenure Policy.

Managing feedback, concerns and complaints informally

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

We encourage employees and volunteers wherever possible to raise concerns directly with their line manager or named volunteer manager the person who is their main point of contact and support. Where it is unclear if dissatisfaction is a complaint or a concern, this should be clarified with the individual raising the matter.

When a complainant remains dissatisfied, we recognise they have the right to request that the matter be treated as a formal complaint.

In circumstances where a formal complaint is not raised but behaviour or ability has fallen short of SSAFA’s expectations, an investigation and/or further action may still be required in line with the Safeguarding Policy, the Volunteer Tenure Policy, the Volunteer Code of Conduct Policy or SSAFA’s HR Policies.

Feedback

Feedback could identify a low level, day-to-day minor issue, which would be dealt with informally and can prevent further issues, and escalation and be less stressful for everyone involved.

This informal approach is appropriate when there is evidence of:

• Problematic behaviour which is not a breach of policy or procedures.
• A first-time breach of policy or procedures which has limited impact on others, or the organisation and/or for which it is thought that advice or guidance will likely provide effective recourse.
• First-time conduct which does not align with SSAFA’s values or standards, but which has limited impact on others, or the organisation and for which it is thought that advice or guidance will likely provide effective recourse.

This can usually be dealt with through a conversation and resetting expectations.

Concerns

A concern may be raised about an individual’s behaviour, attitude or actions which requires a more thorough approach, including, but not limited to a conversation, additional support being put in place or revisiting training.  

Examples of this type of behaviour are:

• Being late to or missing a beneficiary meeting for the first time.
• Missing a pre-agreed support/supervision meeting with a volunteer manager without notice.
• Not understanding a recent change in casework guidance leading to a mistake which has minor consequences.
• Not completing mandatory training within required timescales with no reasonable explanation, for the first time.
• An individual exhibits irrational behaviour that causes upset to another but is not characteristic and does not form a pattern of behaviour.

Any concerns of this nature should first be brought to the attention of the volunteer’s assigned volunteer manager. They will address these types of concerns as part of regular support or supervision or organise a conversation with the volunteer.  

Where appropriate, the manager should inform whoever reports a concern that appropriate action has been taken to address it.

It is recommended that a written record containing an outline of the concern, discussion and any agreed actions be made by the manager.

The Informal Meetings Procedure should be followed when dealing with concerns.

Serious concerns about behaviour or ability

In the following situations, whether progression to a formal complaint is made or not, concerns must be escalated immediately to Stage 2 leads (see Appendix 5) and the relevant director or deputy director e.g. Director of Volunteer Operations or the Director of Fundraising, Marketing and Communications to enable an assessment of actions required under suitable policy and procedure.

• there are concerns of illegal activity
• there are safeguarding concerns
• there are concerns that SSAFA regulations are not being upheld.

Where appropriate, expert advice and support will be sought from relevant departments (e.g. Safeguarding or the People Team) and SSAFA’s controller will retain the right to intervene in an investigation - either directing a change in investigation lead or escalate to trustees for review/enforcement of investigation decisions.

Support for people involved in this process.

Raising a concern or making a complaint should be accessible for everyone. At the start of the complaints process, the complaints lead should ask all parties if any additional support or reasonable adjustments are required so they are able to fully participate in an investigation.

It is recognised that involvement in a complaint can be stressful. Employees and volunteers who are involved in a complaint should seek support from their line manager or volunteer manager where appropriate.

Volunteers who are involved in a complaint can request that someone support them throughout the process. This person may be a SSAFA employee not involved in the complaint, usually a Volunteer Development Manager from outside their area of volunteering activity or a fellow volunteer.

People who are asked to attend a meeting as part of the complaint process can bring their own supporter with them.

Concerns and complaints involving employees.

When a concern or complaint is raised or made against an employee, the employee’s line manager should be informed and a decision should be made between the line manager and the next in line of authority with regards to any need to invoke an investigation under SSAFA’s HR policies (which would supersede these procedures). Where further guidance is required, the People Team should be consulted.

Where the complainant is an employee, and the nature of the complaint could be considered a grievance, the People Team should be consulted.

Concerns and complaints where there are ongoing investigations.

Concerns or complaints received about an issue already being investigated under the Complaints Policy must be dealt as a separate concern or complaint if the complainant is a different person.

Should a complaint be made regarding an issue already being investigated as a concern under a different policy for example, Safeguarding Policy, Volunteer Tenure Policy or Volunteer Code of Conduct Policy, the complaints procedure should be aligned with any ongoing investigation. This will enable a coordinated approach to any investigation and will limit duplication of time and resources.

Where this situation arises [email protected] should be informed and kept up to date about the agreed investigation.

The decision to unify investigations will be made through discussion between the allocated complaint lead and person(s) leading the other investigation(s). Where a way forward is disputed then the relevant director will make the final decision.  

Suspending a volunteer

SSAFA will consider the need to suspend volunteers before, during and after any concern or complaint. This will depend on the seriousness of the issue and the likelihood of the volunteer exposing themselves, SSAFA or anyone else to risk of harm if they continue in their role during or after an investigation.  This is in line with the Volunteer Tenure Policy section 6 Volunteer Suspension.  A decision to suspend a volunteer is made without prejudice and does not influence the outcome of the complaint investigation.

Non-engagement

Best efforts will be made to include volunteers in the concerns and complaints processes and to achieve a mutually agreeable outcome.

Where a volunteer refuses to meet or engage meaningfully in the process, discussions and decisions can be made in their absence. The volunteer should be sent a written copy of the summary of these discussions and decisions.

Formal Complaints

The formal complaints process is appropriate when:

• Low-level feedback or concerns have not been resolved via informal means, despite reasonable attempts.
• Repeated failure to follow policy, procedures, and guidance despite advice.
• Any failure to follow policy, procedures and guidance which has had, or could have a significant impact on service delivery, people’s safety, wellbeing or experience, or the organisation's reputation.
• Conduct that consistently falls short of SSAFA’s values or standards regardless of impact.
• Any failure to uphold SSAFA’s values or standards, that impacts, or could impact the safety or wellbeing of others, or the organisation’s reputation.

The formal process includes the option of a formal meeting or an investigation.

Formal meeting

The purpose of a formal meeting is to ensure accountability and to provide a forum through which to present the subject with the complaint raised, to help understand any support needed, and to decide upon any actions required to prevent concerns from reoccurring.

A formal meeting is appropriate when:

• The nature of the complaint is clear, for example, it does not require the involvement of third parties to understand the risks involved or to determine the seriousness of the concern.
• The seriousness and impact of the complaint is low to moderate for example, there are no concerns about illegal activity, and no-one is at risk of harm, or has come to harm.

Investigation

An investigation may take place to understand and address more serious or complex complaints, gather available evidence, establish the full circumstances behind the complaint and to make recommendations via a formal report.

An investigation is appropriate when:

• Complaints are of a serious nature including:

-Fraud or financial anomalies

-Any illegal activity

-Significant risk of harm to any individual or SSAFA’s reputation.

-Threatening or abusive behaviour; physical, verbal or written

-Breach of Health and Safety Policy, putting people at risk

-Bullying or harassment

-Any discriminatory behaviour.

-Serious breach of data protection or confidentiality

-Refusal to accept a “directed change of volunteer role” or any recommended restrictions or conditions on volunteer activity.

• The nature or seriousness of complaints are difficult to determine, requiring gathering information and/or involving information from multiple sources.

The Chair of the Regional Chairs Committee, the Governance Committee, the Controller, the Director of Volunteer Operations or Director of Fundraising, Marketing and Communications may direct that an investigation is appropriate at any time.

Stage 1

On receipt of a completed complaints form (see appendix 4), a complaint enters Stage 1 of the complaints process. We aim to conclude and respond to the complainant at stage 1 within 25 working days.

A named stage 1 complaint lead is confirmed and their name and contact details shared with the complainant.

The stage 1 complaint lead will:

• In line with the Complaints Policy, email the Data Governance Manager at [email protected] with information about the complaint for inclusion on the central SSAFA complaints register. Copying in [email protected].
• Draw up a set of Terms of Reference (TOR) for the complaint based on the completed complaints form and using the Volunteer Operations Complaint Investigation Terms of Reference Template (see appendix 6) and email a copy to [email protected].
• If appropriate, ensure that a confidential note is placed on the volunteer’s electronic volunteer record alerting to an ongoing complaint.
• Conduct investigation in line with the Guide to Stage 1 Complaints (see appendix 10)
• Decide on and communicate an outcome (see full procedure below).

Stage 2

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 to stage 2, they will be asked to complete a Stage 2 escalation form (see appendix 8). Information requested includes:

• 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.

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 and/or procedures have 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.

Complaint closure

Complaint closure is the final 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 occur:

• 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 the Controller or their delegated individual such as Director of Volunteer Operations/Director of Fundraising Marketing and Communication deems that SSAFA have acted proportionally and within the resources of the Charity. Further investigation would not be a good use of the Charity finances or resources.
• The appeal panel or the Controller or their delegated individual such as Director of Volunteer Operations/Director of Fundraising Marketing and Communications deems that the complainant’s desired outcome is not achievable through appropriate and proportionate redress.
• The appeal panel or the Controller or their delegated individual such as Director of Volunteer Operations/Director of Fundraising Marketing and Communications, at any point during the complaint process, deems the complainant to be vexatious.
• If legal action is commenced.
• If a complaint is received 12 months following the alleged incident.

Information sharing and confidentiality.

Information about concerns and complaints must be treated in line with SSAFA's Data Protection policy. Information should only be shared with relevant parties on a need-to-know basis, and with the aim of addressing the issues effectively, completing a thorough investigation, and keeping the volunteer, or others safe through ensuring any agreed actions are completed, or outcomes upheld.

Volunteers who are the subject of a concern or complaint should be told enough information to allow them to respond to the issues raised. Full details need not be shared and where a witness, or person raising a concern or complaint has asked to remain anonymous to the subject of the complaint or others involved in the complaints process this will be upheld to the best of our ability.

Retention of data

Details relating to volunteer concerns and complaints and their outcomes will be held in line with SSAFA’s Data Retention Policy.

PROCEDURES for managing feedback, concerns and complaints.

1. Raising and receiving a concern
2. Informal Meeting Procedures
3. Formal Meeting Procedures
4. Raising and receiving a complaint
5. Assigning a Complaint Lead
6. Stage 1  Local Resolution
7. Stage 1  Communicating the outcome
8. Stage 1  Taking forward the outcome recommendations
9. Stage 2  Investigation
10. Stage 2  Outcome
11. Appeals

Procedure for raising and receiving a concern.

Any person with a concern should send a completed concerns form (see appendix 2) to [email protected] to trigger the concerns process.

This inbox acts as a single point of contact for all concerns and complaints. It allows concerns to be centrally recorded and tracked.

Where possible and appropriate, the person raising the concern should let the subject of the complaint know they are raising a formal concern.

On receipt of the concerns form, Volunteer Operations will:

• Acknowledge the concern within 5 working days of receipt of the initial concern being raised.
• Consider any immediate actions required based on the information received for example, referrals to external agencies or the need to suspend a volunteer to manage risk and/or carry out a fair investigation.
• May contact, or ask an appropriate volunteer or employee to contact, the complainant to establish further details of the concern and, if possible, resolve it informally.
• Based on the information received through the form and from discussion with the complainant and/or volunteer’s volunteer manager decide if a formal meeting or an investigation is required.
• If appropriate notify the People Team, i.e. if the complaint is from or about an employee.
• Check for any ongoing investigations which would impact action taken under these procedures e.g. safeguarding or complaints investigations.
• Consider the need to email the PR team with a relevant summary of the concern.
• Pass to the assigned manager to deal with if they are aware of the concern, checking if any informal intervention has taken place. If so, no further action may be required.
• Record the concern in the volunteer concerns log, marking the concern with a reference number in line with the process in use e.g. 2024-01.2024-02, 2024-03.
• Set up a new folder to store all information about the concern in the confidential volunteer concerns folder on Teams and label the folder with the concern reference number.

Informal meeting procedures

The meeting can be held in person or via online video call e.g Teams. Ideally meetings should take place within two weeks.

The line manager should:

• Contact the volunteer advising them that a concern has been raised, explain that a meeting will be held how this will work and provide details of the concern. Request to meet at a mutually agreeable time.
• Advise the volunteer they can bring a supporter/friend to the meeting.
• Consider if a second SSAFA representative should attend the meeting to act as an observer and/or note taker.
• In advance of the meeting, gather sufficient information to ensure a clear picture of the concern(s); this may involve speaking to the person who raised the concern or accessing information from the volunteer’s digital record.
• Allow the volunteer to respond fully to the concern.
• Present clearly to the volunteer any changes in behaviour/actions that SSAFA hopes they will make in order for them to meet expectations and prevent recurrence of concerns.
• If required, present and agree with the volunteer an action plan outlining how the volunteer can achieve these expectations.

To conclude the meeting the line manager will respond to the person who is the subject of the concern in writing with the outcome of the meeting. The email should include:

• A summary of the concern.
• The outcome of the formal meeting.
• Details of any actions planned, or taken, to prevent re-occurrence alongside time scales.
• Consequences of not following the agreed plan.

Assigned leads must send the outcome and any agreed action plan to [email protected] where they will subsequently be filed within a confidential volunteer concerns file on SharePoint and retained in line with the Data Protection Policy. The outcome must also be updated on the volunteer concerns log.

Information about the meeting and outcomes should be shared only with those people involved in supporting the volunteer and on a need-to-know basis.

If the meeting indicates that the concern is more serious than first understood, then the formal complaints process may be started.

Formal meeting procedures

The procedure below applies to volunteers only; please refer to the Grievance Policy for the procedure which applies to employees.

The meeting can be held in person or via online video call e.g. Teams. Ideally meetings should take place within two weeks of the complaint having been received and acknowledged.

The line manager should:

• Contact the volunteer advising them that a concern has been raised, explain that a meeting will be held, how this will work and provide details of the concern. Request to meet at a mutually agreeable time.
• Advise the volunteer that they can bring a supporter/friend to the meeting.
• Consider if a second SSAFA representative should attend the meeting to act as an observer and/or note taker.
• In advance of the meeting, gather sufficient information to ensure a clear picture of the concern(s); this may involve speaking to the person who raised the concern or accessing information from the volunteer’s digital record.
• Allow the volunteer to respond fully to the concern.
• Present clearly to the volunteer any changes in behaviour/actions that SSAFA hopes they will make in order for them to meet expectations and prevent recurrence of concerns.
• If required, present and agree with the volunteer an action plan outlining how the subject can achieve these expectations.

To conclude the meeting the line manager will respond to the volunteer who is the subject of the concern in writing with the outcome of the meeting. The email should include:

• A summary of the concern.
• The outcome of the formal meeting.
• Details of any actions planned, or taken, to prevent re-occurrence alongside time scales.
• Consequences of not following the agreed plan.

Assigned leads must send the outcome and any agreed action plan to [email protected] where they will subsequently be filed within a confidential volunteer concerns file and retained in line with the Data Protection Policy. The outcome must also be updated on the volunteer concerns log.

Information about the meeting and outcomes should be shared only with those people involved in supporting the volunteer and on a need-to-know basis.

If the meeting indicates that the concern is more serious than first understood, then the formal complaints process may be started.

Raising and receiving a complaint

Complaints can be submitted in person, by letter, phone, e-mail, social media, via a media enquiry or through the SSAFA website.

To initiate the formal complaints process, a complaints form (see Appendix 4) should be completed by the complainant and sent to [email protected]. This form can be completed on behalf of the complainant if necessary. Where a complainant choses not to complete the complaints form, they will be requested to provide the information covered in the form through a medium accessible to them (e.g. by phone or email).

The [email protected] inbox acts as a single point of contact for all complaints. It allows all complaints to be centrally recorded and tracked.

The inbox is overseen by Volunteer Operations.

Any employee or volunteer receiving a complaint which they deem meets the criteria set out above should;

• Acknowledge receipt of the complaint, share a copy of the Complaints Policy, and ask the complainant to complete a complaints form, if they have not already.
• Email [email protected] as soon as possible with all of the information they have received, confirming if they have acknowledged the complaint or not, and confirming if they have shared a copy of the complaints form and policy.

On receipt of the complaints form, Volunteer Operations will:

• Acknowledge the concern within 5 working days of receipt of the initial concern being raised.
• Consider any immediate actions required based on the information received for example, referrals to external agencies or the need to suspend a volunteer to manage risk and/or carry out a fair investigation.
• May contact, or ask an appropriate volunteer or employee to contact, the complainant to establish further details of the complaint and, if possible, resolve it informally.
• Check that the complaint reaches the threshold of a complaint as set out in this guidance and if it does not, recommend that the complaint is dealt with as a concern allowing for an informal resolution.
• Check the issues raised within the complaint do not fall within any of the exclusions within the Complaints Policy, and therefore can be investigated using that policy and these procedures.
• Check for any ongoing investigations which would impact action taken under these procedures e.g. safeguarding or complaints investigations.
• Notify the People Team if appropriate, i.e. if the complaint is from or about an employee.
• Email the PR team with a relevant summary of the complaint.
• Record the complaint in the volunteer complaints log, marking the complaint with a reference number in line with the process in use e.g. 2024-01.2024-02, 2024-03.
• Set up a new folder to store all information about the complaint in the confidential volunteer complaints folder and label the folder with the complaint reference number.
• Send a copy of the Complaints Policy (if this has not yet happened).
• Set up a new folder to store all information about the complaint in the confidential Volunteer Operations Complaints folder on SharePoint and label the folder with the complaint reference number.
• Allocate a complaint lead in line with the procedure below.
• In line with the Complaints Policy, consider who else may need to know information about the complaint, outside of those handling it.
• Notify the Data Protection & Governance Manager of a logged complaint, including the Vol Ops reference number.

Assigning a complaint lead

Complaint leads for each stage of the complaint process are included within Appendix 5. Complaint Leads are expected to familiarise themselves, and work in line with, all SSAFA policies.

Where the designated complaint lead is not available, the post is gapped, or the complaint is about the complaint lead, an alternative suitable lead will be allocated by the Director of Volunteer Operations, Director of Fundraising, Marketing and Communications or the Deputy National Chair.

For any given reason, including a conflict of interest, the complaint lead may request that they transfer their responsibilities to a suitable, alternative complaint lead. This request, alongside the reasons, should be made to the next in line of authority, copying in [email protected].

Identifying and appointing an alternative complaint lead will be undertaken by the original lead’s next in line of authority (see appendix 5) in collaboration with the potential alternative lead’s line manager/volunteer manager.  

The complaints inbox should be emailed with details of any change of complaint lead so the complaints log and file can be updated.

Complaint leads can request additional support with their responsibilities while maintaining their lead role in the process. This additional support should be requested via the next in line of authority and copying in the [email protected].

The Controller, Director of Volunteer Operations, Director of Fundraising, Marketing and Communications or the Deputy National Chair can direct a change of complaint lead at any time where a conflict of interest is suspected or identified or where a complaint is not progressing as required.

Stage 1

On receipt of a completed complaints form (see appendix 2), a complaint enters Stage 1 of the complaints process. We aim to conclude and respond to the complainant at stage 1 within 25 working days.

A named stage 1 complaint lead is confirmed and their name and contact details shared with the complainant.

The stage 1 complaint lead will:

• In line with the Complaints Policy, email the Data Governance Manager at [email protected] with information about the complaint for inclusion on the central SSAFA complaints register. Copying in [email protected].
• Draw up a set of Terms of Reference (TOR) for the complaint based on the completed complaints form and using the Volunteer Operations Complaint Investigation Terms of Reference Template. (see appendix 6)
• Ensure that a confidential note is placed on the volunteer’s electronic volunteer record alerting to an ongoing complaint.
• Hold a formal meeting or conduct investigation in line with the Guide to Stage 1 Complaints (see appendix 10.
• Decide on and communicate an outcome (see procedure below).

Stage 1  Communicating the Outcome

To conclude local resolution, the stage 1 complaint lead will respond to the complainant verbally or in writing.  A written response is preferred using the Complaints Resolution template (see appendix 7). 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 the complainant can 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.

Complaint leads must update the data governance manager to advise of conclusion of stage 1 so the SSAFA Central Complaints Register can be updated in line with the Complaints Policy.

Complaint leads must also send the outcome, notes, report and documents from the stage 1 to [email protected], including the complaint reference number.

The information received will be filed in the relevant confidential volunteer operations complaints folder on SharePoint, where it will be retained for three years. They will also update the Volunteering Complaints Log with the outcome.

Stage 1  Taking forward recommendations or actions from the Outcome.

The outcomes of a Formal Meeting and/or Investigation aim to prevent identified matters from reoccurring. Outcomes should be proportionate and can range from no further action to a recommendation that SSAFA ends the volunteer relationship.

The Volunteer Tenure Policy should be used in conjunction with these procedures to aid decision making with regards to outcomes.

Outcomes from formal processes can include:

• No change to the volunteer’s role and no action required.
• Formal written advice or feedback e.g. recommendation to take a break.
• The decision to carry out an investigation if this has not happened.
• Formal support plan outlining changes or improvements required and any further meetings or progress review dates e.g. additional meetings with a volunteer manager/peer support/retraining.
• Recommendation for suspension until certain actions are undertaken.
• Agreement to temporarily or permanently change role or a recommendation for a directed change of role where there is no agreement (including temporary or permanent restrictions/changes to the volunteer's role e.g. reduced responsibility or a directed break).
• Agreement to leave SSAFA or a recommendation for a directed end to the volunteer relationship where there is no agreement.

When the outcome of the formal process includes recommendations for:

• Directed change of volunteer role
• Suspension
• SSAFA ending the volunteer relationship.

These actions will not automatically take place following recommendation. The Volunteer Tenure Policy should be consulted and the process and procedures for authorising these outcomes must be followed as the next step.

Outcomes relating to employees will be undertaken in line with SSAFA’s HR policies and in consultation with the People Team.

Stage 2

Stage 2 investigation requests will be reviewed by the relevant stage 2 decision maker within SSAFA (see appendix 5), who will reply by email to inform the complainant as to whether a stage 2 process will be undertaken or if it is not deemed necessary. This email needs to include the reason(s) why the stage 2 - formal resolution will not be carried out.

Stage 2 - 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 their details shared with the complainant.

The Stage 2 complaint lead will:

• Draw up a set of Terms of Reference (TOR) (see appendix 6) for the investigation based on the stage 1 investigation report form and outcomes.
• Select a suitably experienced and independent employee or volunteer to conduct the investigation as a 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. Complete the investigation report (see appendix 11).

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.

Stage 2 - Outcome

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

Complaint leads must send outcome, notes and documents from the stage 2 process to [email protected] where they will be filed within the relevant complaints file in the confidential volunteer operations complaints folder on SharePoint and retained for three years. The outcome will be updated on the Volunteering Complaints log and the Central Complaints Log.

The complaint lead must also update the data governance manager by email to advise of the conclusion of stage 2 investigation as per the Complaints Policy.

When the outcome of the formal process includes recommendations for:

• Directed change of volunteer role
• Suspension
• SSAFA ending the volunteer relationship.

These actions will not automatically take place following recommendation. The Volunteer Tenure Policy should be consulted and the process and procedures for authorising these outcomes must be followed as the next step.

Outcomes relating to employees will be undertaken in line with SSAFA’s HR policies and in consultation with the People Team.

Appeals

For an appeal to be considered, complainants must complete an appeal request form (see appendix 9).

Requests for an appeal will be considered by an allocated appeal lead (see appendix 5) 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 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 by an advocate or supporter.

Appeal 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.  When this is not possible, the complainant will be notified and given progress reports thereafter on a fortnightly basis.