Legal
Complaints and Appeals Policy
Overview
This policy establishes fair and transparent procedures for handling complaints and appeals related to the LII Certification programme. LII is committed to treating all complainants and appellants with fairness, respect, and confidentiality. No person will be discriminated against or prejudiced for making a complaint or appeal in good faith.
1. General Principles
Accessibility
Open to All Participants
- Clear information about all processes is provided to all participants
- Multiple submission channels are available
- Support is available for those requiring assistance
- No discrimination for making a complaint or appeal
Fairness
Objective and Consistent
- All cases are evaluated objectively and without prejudice
- Every complainant or appellant has the right to representation
- Timely resolution is a core commitment
- Decisions are consistent with LII Assessment Decision Rules
Confidentiality
Secure and Discreet
- All information is handled securely and with appropriate discretion
- Access to case information is limited to those directly involved
- Documentation is protected in accordance with LII's data protection obligations
- Outcomes are communicated only to the parties directly concerned
2. Complaints Procedure
Informal Resolution
Before a formal complaint is submitted, candidates and stakeholders are encouraged to raise concerns informally with their candidate liaison or the relevant LII staff member. Many issues can be resolved quickly at this stage.
- Initial discussion with the relevant party is sought within 5 working days of the concern being raised
- Immediate action is taken where possible and appropriate
- The outcome of informal resolution is documented
- If the matter cannot be resolved informally, the complainant is advised to proceed to Stage 2
Formal Complaint
A formal written complaint may be submitted at any time. Submission requirements:
- Completed written complaint form
- Supporting evidence relevant to the complaint
- A clear statement of the desired outcome
- A timeline of the events giving rise to the complaint
Processing and investigation:
- Acknowledgement of receipt within 5 working days
- Initial assessment and assignment to an investigator
- Evidence gathering, interviews where necessary, and document review
- Regular written updates to the complainant throughout the process
- Written resolution including any action plan required within 30 working days
3. Appeals Procedure
Grounds for Appeal
A formal appeal against an assessment decision or other LII decision may be submitted on one or more of the following grounds:
A procedural irregularity that materially affected the outcome
New evidence that was not available at the time of the original decision and that is material to the outcome
Evidence that the candidate was treated unfairly during the assessment process
Evidence that assessment criteria were applied incorrectly
A decision that is disproportionate to the circumstances
Submission Requirements
- Submitted in writing within 20 working days of the notification of the decision being appealed
- Completed appeal form with clear grounds for appeal
- All supporting evidence to be included at the point of submission
Appeal Panel
All appeals are heard by an Appeal Panel comprising a minimum of three independent members with relevant expertise. No member who had prior involvement in the original decision may sit on the panel. All members are required to make a declaration of interests before proceeding.
Investigation and Decision
- Review of the original decision and all evidence submitted with the appeal
- Consideration of any new evidence
- Procedural review to confirm the original process was correctly followed
- Stakeholder consultation where appropriate
- A written panel decision, including an implementation plan where the appeal is upheld
Final Appeal
Where a complainant is unsatisfied with the outcome of the Appeal Panel, a Final Appeal may be submitted to the LII Governance Board Chair in limited circumstances. The Final Appeal is an external review process.
The decision of the Final Appeal is binding on all parties.
4. Timeframes
Complaints
| Stage | Timeframe |
|---|---|
| Informal resolution attempt | 5 working days of concern being raised |
| Acknowledgement of formal complaint | 5 working days of receipt |
| Full written resolution | 30 working days of receipt |
Appeals
| Stage | Timeframe |
|---|---|
| Deadline for appeal submission | 20 working days of decision notification |
| Acknowledgement of appeal | 5 working days of receipt |
| Panel hearing and written decision | Communicated at acknowledgement stage |
5. Monitoring and Review
Record Keeping
- A central complaints and appeals register is maintained by the Head of Assessment
- All stages of each case are documented
- Evidence is retained in accordance with LII's data retention schedule
- Outcome data is tracked and reviewed quarterly
Analysis and Reporting
- Quarterly review of all cases is conducted by the Head of Assessment
- Trend analysis is applied to identify systemic issues
- Improvement recommendations are submitted to the Governance Board
Policy Review
This policy is reviewed annually for effectiveness. Updates are informed by case analysis, stakeholder feedback, regulatory changes, and best practice developments. Material changes are published to all stakeholders with 30 days' notice.
6. How to Submit a Complaint or Appeal
To submit a complaint or appeal, use the general enquiry form on the Contact page and select the relevant category, or write directly to certifications@lii.institute with the heading "Formal Complaint" or "Formal Appeal" as appropriate. LII will acknowledge receipt within 5 working days and initiate the relevant procedure.