Complaints and Appeals Policy

This policy sets out how concerns, complaints, and appeals are handled, providing clear pathways for informal and formal resolution.

It covers all aspects of diploma delivery, including teaching, assessment, support, and service provision.

Policy Overview

BroadShield is committed to delivering high-quality diploma programmes and ensuring that learners and employers are treated fairly and consistently. This policy sets out how concerns, complaints, and appeals are handled, providing clear pathways for informal and formal resolution. It covers all aspects of diploma delivery, including teaching, assessment, support, and service provision.

Purpose and Scope

This policy applies to:

All learners enrolled on BroadShield diploma programmes.
Employers sponsoring learners.
All BroadShield staff, assessors, and contractors involved in qualification delivery.

It sets out processes for:

Complaints – expressions of dissatisfaction regarding services, conduct, or decisions.
Appeals – formal requests to review an academic or assessment decision.

This policy operates alongside:

BSQPDip006 Quality Assurance and Delivery Standards Policy
BSQPDip007 Assessment, Verification and Integrity Policy
BSQPDip004 Equality, Diversity and Inclusion Policy
BSQPDip002 Data Protection and Privacy Policy
BSQPDip005 Safeguarding and Learner Welfare Policy
BSQPDip008 Reasonable Adjustments and Special Considerations Policy

Principles

BroadShield’s approach is based on the following:

Fairness and impartiality in all decisions.
Accessible procedures that are easy to understand.
Confidential handling of information in accordance with data-protection legislation.
Clear communication of outcomes and reasons.
Timely acknowledgment and resolution within published timescales.
Commitment to continuous improvement informed by complaints and appeals.
Learners and employers will not be disadvantaged for raising a concern or appeal.

Informal Resolution

BroadShield encourages issues to be raised informally in the first instance.

Concerns should be raised with the relevant Tutor, Coach, or Assessor, who will aim to resolve the issue within 5-working days.
If unresolved, the matter may be referred to the Learning and Development Manager.
A brief record of informal outcomes will be maintained for monitoring purposes.

Where informal resolution is not possible, the formal procedure must be followed.

Formal Complaint Procedure

BSQPDip003 Complaints and Appeals Policy Website Table.png

If the complainant is dissatisfied, they may escalate to the Senior Management Team within 10 working days.

Appeals Procedure

Learners or employers may appeal:

An assessment or grading decision; or
The outcome of a formal complaint.

Stage 1 – Appeal Submission

Appeals must be submitted in writing to support@broadshield.co.uk within 10 working days of the decision and must state the grounds, which may include:

Incorrect application of assessment criteria.
Procedural error or irregularity.
Evidence overlooked in the original decision.
Unfair treatment or potential bias.
Extenuating circumstances that were not considered.

Learners with approved reasonable adjustments may request extended deadlines.

Stage 2 – Independent Review

The appeal will be reviewed by an Internal Quality Assurer or senior manager with no previous involvement in the decision and no conflict of interest.

A written outcome will be provided within 15 working days.

Stage 3 – Final Appeal / Awarding Body Escalation

If dissatisfied with the Stage 2 outcome, the complainant may escalate the appeal to the awarding organisation. BroadShield will provide the relevant contact details.

The learner must include BroadShield’s final internal response as part of their escalation.

Cases raising regulatory concerns may also be referred to Ofqual.

Confidentiality and Data Protection

All complaints and appeals are handled in line with BSQPDip002 – Data Protection and Privacy Policy.

Records are retained for at least three years and are shared only with those directly involved.

Malpractice and Maladministration

Concerns involving potential malpractice or maladministration will be managed in line with BSQPDip007 – Assessment, Verification and Integrity Policy and may be referred to the awarding body and, where appropriate, Ofqual.

Reasonable Adjustments and Accessibility

BroadShield will support learners who require assistance in raising a complaint or appeal. Support may include alternative formats, advocacy, or additional time.

Monitoring and Review

This policy is reviewed at least annually or sooner where there are changes in legislation, regulatory requirements, or organisational structure. Outcomes of internal or external audits, complaints, or incidents will inform revisions to ensure continual improvement in BroadShield’s data-protection and privacy practices.

Approved by: AC

Issue Date: November 2025 | Version: 1.0