Guidance

DAO complaints policy

Updated 17 November 2022

Context

The Defence Awarding Organisation (DAO) is located at the Defence Academy of the UK in Shrivenham and was set up in 2014 to provide vocational qualifications to members of the armed forces (regular and reserve) and Ministry of Defence civil servants. The DAO’s vision is to be recognised as the awarding organisation of choice for the Defence community.

The DAO develops and provides nationally and internationally recognised qualifications from levels 2 to 7 on the Regulated Qualifications Framework (RQF). The DAO approve centres to deliver its regulated qualifications through education and training programmes; and is responsible, reporting annually, to the Office of Qualifications and Examination Regulation (Ofqual).

Scope

The DAO takes all complaints seriously. This policy and associated procedures are aimed at individuals regarding dissatisfaction with DAO actions, products, services and or the application of our policies by any stakeholders. This provides a formal process by which individuals can report complaints to DAO and provides DAO with a process to handle failures or potential failures identified by Ofqual or other Awarding Organisations.

DAO has separate policies and procedures for dealing with:

Enquiries and appeals

Enquiries - DAO Centres or Learners who have a valid claim can make an enquiry into the DAO regarding assessment decisions affecting their Learners’ results and other decisions affecting Centres and/or Learners, including:

• enquiries on assessment decisions

• decisions regarding Reasonable Adjustments and Special Considerations (see separate policy)

• decisions relating to any action to be taken against a Learner or a Centre following an investigation into malpractice or maladministration

Appeals - appeals are raised whenever a Centre or Learner does not agree with an assessment or other decision made by the DAO which affects them.

Malpractice and maladministration

• malpractice - actual or suspected negligence or misconduct in carrying out an activity or a practice

• maladministration - a lack of care, judgement, or honesty in the management of processes or procedures

If after reasonable discussions with the DAO the complainant remains dissatisfied with the outcome of the resolution, they can progress this through the appeals process. This is detailed within the Enquiry and Appeals Policy.

Definitions

Complaints are defined as any feedback provided by individuals or Ofqual regarding an actual or potential failure not covered by the policies listed within the Scope above. Qualification users are defined as persons who have legitimate interest in the qualification or type of qualification made available by DAO and may include:

• learners and Learners’ representatives • assessment Centres • employers and employers’ representatives • further and higher education establishments • government departments and agencies • professional bodies

Purpose

The purpose of this policy and its associated policies and procedures is to:

• provide a formal process by which Qualification users can feedback any complaints to DAO

• provide a complaints policy and procedure detailing timescales involved that Qualification users clearly understand

Provide DAO with a formal process through which:

• complaints are recorded

• complaints are given serious consideration

• mitigating action can be taken, which may include reviewing the approach to the development, delivery and award of qualifications following feedback from Qualifications users, other awarding organisations or Ofqual

Comply with the requirements of any complaints policy established or revised by Ofqual. Where, in the case of a Learner, the complaints process leads to the discovery of a failure in the assessment process, the DAO will take all reasonable steps to:

• identify any other Learner who has been affected by that failure

• correct or, where it cannot be corrected, mitigate as far as possible the effect of the failure, and

• ensure that the failure does not recur

When the Ofqual notifies DAO of failures that have been discovered in the process of another Awarding Organisation, the DAO will review whether a similar failure could affect its own assessment process. Where failures have been identified by DAO, the same actions will be taken as if the failure had been identified through the complaints procedure or notified by Ofqual.

Complaints procedure

Complaints should be sent by email to DEFAC-DAO@mod.gov.uk or by post to:

The DAO Responsible Officer,
Defence Awarding Organisation Defence Academy of the UK
Room TF08
Trenchard
Swindon
SN6 8LA

Confirmation of receipt will be sent within 5 working days. All complaints will be investigated within 10 working days of the complaint, during normal periods of work.

The complainant will be informed of proceedings/outcome to ensure clarity and transparency and all complaints are logged by the DAO in accordance with GDPR.

Review of the policy

The policy will be reviewed annually and revised as necessary in response to customer feedback, changes in legislation and guidance from Ofqual.