Complaints Policy
This policy outlines the approach taken by the Civil Aviation Authority (CAA) to provide a framework to
ensure consistency in handling and resolving customer complaints.
CAP 2502
Published by the Civil Aviation Authority, 2023
Civil Aviation Authority
Aviation House
Beehive Ring Road
Crawley
West Sussex
RH6 0YR
First published 2023
Enquiries regarding the content of this publication should be addressed to: com[email protected]
The latest version of this document is available in electronic format at: www.caa.co.uk
CAP 2502 Contents
January 2023 Page 3
Contents
Contents 3
Introduction 5
Purpose 5
What is a complaint? 6
Exceptions 7
Making a complaints 8
Complaint handling standards 9
Complaint Process 11
Informal complaints – Service dissatisfactions 11
Stage one complaints 11
Escalating your complaint 12
Stage two complaints 12
If you remain dissatisfied 13
Complaints from a group or a petition 13
Anonymous complaints 13
Complaints about a regulatory decision 14
Making a request for a review of a decision 15
Internal Review 15
Referral to the Independent Review Panel 15
If you remain dissatisfied 16
Complaints relating ATOL claims 16
Complaints relating to Noise 17
Complaints relating to an airline or airport 18
Making a complaint 18
Airline and Airport complaint process 19
If you remain dissatisfied 19
Complaints relating to health matters 20
Unreasonable persistent complainants 21
CAP 2502 Introduction
January 2023 Page 5
Introduction
The CAA is committed to providing a high standard of service to everyone we deal with.
For this reason, we welcome any comments about our service, including when we get
things wrong. We will listen to complaints, treat them seriously, respond to them swiftly
and learn from them so we can improve our services.
The CAA aims to provide a good quality service to all our customers. When we fail to meet
these standards and commitments, we will:
▪ apologise,
▪ take action to put this right as quickly as possible,
▪ use your feedback to change and improve the way we deliver our services.
Purpose
The purpose of this policy is to ensure that there is a consistent and fair approach to
responding to customer complaints which aims to resolve the issue at the earliest
opportunity and is in line with the UK Central Government Complaint standards.
Any reference to ‘we’, ‘our’, ‘us’ or ‘the CAA’ refers to the Civil Aviation Authority. When we
use ‘you’ and ‘your’ we mean our customers.
CAP 2502 What is a complaint?
January 2023 Page 6
What is a complaint?
A complaint is defined as:
An expression of dissatisfaction, however made, about the standard of service,
actions, or lack of action by us, affecting an individual or group of customers /
stakeholders.
This policy covers complaints about:
▪ the standard of service we provide
▪ the behaviour of our staff
▪ any action or lack of action by our staff
▪ any unfair treatment of stakeholders by members of our staff (except where it
is considered that another process or a referral to the CAA’s Office of the
General Counsel is more appropriate).
▪ the administration of decisions we have made and the process we have
followed (except where the process is separately set out in legislation). Please
refer to the Exceptions section below.
▪ Where a colleague is specifically the subject of a complaint, they will be made
aware of the issue as soon as possible and will be given details on how to get
advice and support throughout the process.
Any communication which is not considered to be a complaint under this policy will be
treated as one of the Exceptions.
CAP 2502 Exceptions
January 2023 Page 7
Exceptions
A communication received by the CAA which raises an expression of dissatisfaction,
however made, about the standard of service, actions, or lack of action by us, affecting an
individual or group of customers / stakeholders will be reviewed and dealt with under this
policy or separated into one of the following exception categories:
▪ Matters where legal action is contemplated or has already commenced
against the CAA, any of its subsidiaries or the Air Travel Trust. In such
circumstances, the communication will be forwarded to the CAA’s Office of the
General Counsel.
▪ Complaints about access to information under the Freedom of Information Act
2000, the Environmental Information Regulations 2004 or the Data Protection
Act 1988-2018.
▪ Decisions in respect of licenses, authorisations or approvals as the review
procedures are set out in legislation, including but not limited to; Regulation 6
of the Civil Aviation Authority Regulations 1991 and Part 5 of the Civil Aviation
(Air Travel Organisers' Licensing) Regulations 2012, as amended.
▪ Regulatory decisions made by the CAA in accordance with its statutory
functions including the process we have followed to reach them.
▪ Complaints about the behaviour or actions of third parties or bodies we
regulate.
▪ CAA consultations or proposals where no decision has been published.
▪ Decisions made about, or outcomes of, consumer complaints.
▪ Complaints that are considered to be vexatious or attempt to raise the same
or materially similar issues to those already dealt with by the CAA through
separate correspondence.
This list is not exhaustive.
CAP 2502 Making a complaints
January 2023 Page 8
Making a complaints
Before making a complaint, customers are encouraged to get in touch with the relevant
business area to let them know about their concern. It may be the issue can be resolved
quickly without using the Complaints Policy.
Once a complaint is raised any communication with the business area should cease whilst
investigations are undertaken to allow the team the time to carry out a full review, avoid
confusion and duplication of work.
Complaints can be made in writing by email, letter, or via our online form. If you need any
support or assistance in making a complaint then please let us know so that we can
support you, or if you prefer, we can provide you with the details of other organisations that
can help. We will make all reasonable adjustments to the complaints process to ensure
that you are not disadvantaged in making your complaint.
If your complaint is related to a regulatory decision made by the CAA, you will be directed
to our Independent Review Panel (IRP) process if the decision is within the scope of the
IRP. This review is entirely independent of the CAA. This process is not an alternative to,
nor a replacement for a request for a Regulation 6 review, which is also managed outside
the scope of this policy - Regulation 6 and Independent Review Panel | Civil Aviation
Authority (caa.co.uk)
If a complaint is raised via social media, we will reply directing you to our complaint’s
procedure, asking you to message us through that route so that we can log your complaint
formally. We will not comment beyond this to ensure that confidentiality and privacy is
maintained. Please note our Media & External Affairs Team cannot assist with complaints.
If you raise a complaint directly with our CEO or Chair, this will be re-directed to our
External Information Services team, and will be dealt with in line with the process that we
have set out below. Our CEO and / or Chair will be kept informed throughout.
Confidentiality will be observed where appropriate, and we will carefully consider any
requests for a complaint to be handled confidentially. In deciding how to proceed we would
consider the nature of the complaint made, whether it would be possible to investigate it
fully on a confidential basis, and any protective measures that could be put in place. Our
central complaints handling team are fully trained in matters such as the protection of
personal data.
A complaint can be expressed from any person who has used the CAA services or a
representative of any people, such as a relative or an advocate, who is authorised by the
complainant to make a complaint on their behalf. However, this does not include a person
that you have appointed in a legal capacity unless they have been appointed due to your
incapacity or disability (for example, they have a Power of Attorney).
CAP 2502 Making a complaints
January 2023 Page 9
If you raise a complaint with the CAA, your ability to corresponded with us on regulatory
matters will not be impaired.
Complaints should be made within a reasonable timeframe. We will not normally accept a
complaint about a matter which occurred over 3 months ago, however there may be
exceptions and each case will be assessed accordingly. If the problem is a recurring issue,
we will consider any older reports as background to the complaint.
Complaint handling standards
Our standards for handling complaints:
▪ A complaint can be expressed in writing via email, our online form, or letter
▪ We will make all reasonable adjustments to the complaints process to ensure
that you are not disadvantaged in making your complaint
▪ We will treat all complaints seriously
▪ We will treat you fairly and courteously
▪ We will deal with your complaint promptly
▪ We will acknowledge initial receipt of a complaint within 5 working days of
receipt
▪ We will send you a full reply within 20 working days of receipt of the complaint
unless you are notified otherwise and reasons behind our delay will be
explained.
▪ All complaints will be logged so that we can monitor the types of complaints
received and the time taken to respond to them, and identify the best way of
dealing with them
▪ We will use our complaints as an opportunity to learn from your experiences to
develop and improve our services.
▪ We will publish information in our annual report and provide regular reports to
our Executive Team & Board on our complaint handling performance.
▪ We will handle your personal information in accordance with the requirements
of the EU General Data Protection Regulation and Data Protection Act 2018.
We reserve the right to reject with reasons complaints that are considered to be vexatious
or attempt to raise the same or materially similar issues to those already dealt with by the
CAA through separate correspondence.
We reserve the right to reject with reasons complaints that are considered to be outside
the scope of the roles and functions of the CAA.
CAP 2502 Making a complaints
January 2023 Page 10
If we decide not to accept a complaint an explanation will be provided setting out the
reason why the matter is not suitable for our complaints process. If you are unhappy with
this decision, you will have the right to request an escalation to the ICA or approach the
Parliamentary & Health Service Ombudsman via your MP.
Issues that are not covered by this complaints policy may not follow these standards
entirely and details of different handling standards are provided in the Exceptions section.
CAP 2502 Complaint Process
January 2023 Page 11
Complaint Process
The CAA has a two-stage procedure that is designed to support the effective management
of complaints. If possible, staff should remedy or deal with complaints informally before
they reach the stage of a formal complaint.
Informal complaints – Service dissatisfactions
We encourage any customers who has a concern or suggestion about a particular service
to contact us straight away. We will try to resolve the matter there and then, or, if we
believe the issue can be resolved with just a few straightforward actions, we will propose
that this is dealt with informally. We will agree this with you, but if you want to raise as a
formal complaint, you can.
An informal complaint will normally be dealt with by the person who receives the report
unless it falls outside of their remit. We will ask you to explain why you are unhappy, the
outcome you are seeking and how best to contact you. We will confirm with you what
actions we will be taking and when you can expect to hear from us again.
If you are unhappy with the outcome of the actions taken, then you can ask for the matter
to be considered at Stage 1 of our formal complaints process.
Stage one complaints
Upon receiving a stage 1 complaints our External Information Services team, who manage
our complaint handling service, will aim to acknowledge your complaint within 5 working
days of receipt.
Your complaint will be logged onto a complaint database, and you will be provided with a
case reference number, which should be quoted in all future correspondence relating to
the complaint.
All complaints are allocated to the relevant business complaint handler who will review,
make a decision about your case, and provide our External Information Services team with
a response. On occasions, depending on the nature of the complaint, the business area
manager may respond directly.
The complaint handler may request a telephone call, face-to-face or teams meeting to
assist in their review of your complaint.
Our aim is to provide you with a response within 20 working days. If this is not possible, we
will notify you as soon as possible, explain why and provide a revised timescale as to
when you can expect a full response. This should not exceed a further 10 working days.
We recognise that complaints can be resolved in several different ways and as part of our
response to your complaint we will offer a remedy that reflects the extent of any service
CAP 2502 Complaint Process
January 2023 Page 12
failure(s) and the level of detriment this may have caused, considering all the
circumstances. This may include acknowledging where things have gone wrong, providing
an explanation, apologising, taking action to correct the issue, offering refunds of monies
paid to the CAA, and using the feedback to inform improvements or changes to our
services.
If there are further actions that we need to take as part of the remedy to your complaint we
will inform you of these within the formal response. The complaint investigation case will
be closed but the proposed remedies will be monitored as part of a live action plan. We will
contact you if we run into any difficulties and confirm when all actions have been
completed.
Escalating your complaint
If you are unhappy with the response provided you can email Complaints
([email protected]) to express your concerns so that we can either explore if there is
anything further that can be done, or you can request for your complaint to be escalated to
Stage 2.
When requesting for your complaint to be escalated we will require you to set out in writing
the reasons why you are unhappy with our response and the outcome that you are
seeking.
If you want to escalate your complaint you need to let us know within 28 working days of
receiving our Stage 1 response. If you do not let us know within this timeframe, then we
will not normally re-open your complaint unless there are exceptional circumstances.
There may be occasions when it would not be appropriate to escalate the case to Stage 2,
for example if the outcome being sought was not within our power or ability to deliver. In
cases such as these we will either do a light touch review of your stage 1 complaint with
the relevant business area and provide an additional response, or we will write to you and
explain why the complaint will not be escalated and what options are available to you.
Stage two complaints
All stage two complaints will be reviewed by a manager of the relevant department or
team.
The reviewing manager will be provided with the complaint file and any other relevant
information to assist them in their review.
The reviewing manager may request a telephone call, face-to-face or teams meeting to
assist in their review of your complaint.
Our aim is to provide you with a response within 20 working days of you having requested
escalation of the complaint. If that is not possible, we will contact you and let you know
why we are not able to do this and when we will provide the response. This should not
exceed a further 20 working days.
CAP 2502 Complaint Process
January 2023 Page 13
If you remain dissatisfied
The outcome letter that is sent to you following the conclusion of Stage two will be the
CAA’s final response to your complaint.
If you remain dissatisfied, you can contact our Corporate Complaints Specialist by
emailing [email protected] requesting for your complaint to be referred to the
Independent Complaint Assessor (ICA). You must have completed all CAA’s internal
complaints stages.
Our aim is to provide the ICA with your complaint file within 15 working days of you having
requested escalation of your complaint. Once the ICA have decided how to best deal with
your case, they will contact you directly.
The ICA aim to review a case within three months and will contact you if they require more
time. Once their review is completed the ICA will contact you directly with their findings
and any recommendations, they consider appropriate to you and us.
If, following the ICA review, you are not happy with their outcome, you can contact your
Member of Parliament (MP) and ask for your complaint to be referred to the Parliamentary
& Health Service Ombudsman (PHSO).
The PHSO can carry out independent investigations into complaints that injustice has
been caused by maladministration on the part of UK government departments and some
public bodies, including the CAA.
You can write to your MP at:
House of Commons
Westminster
London SW1a 0AA
Complaints from a group or a petition
If we receive a complaint from as a petition or from a group of customers / stakeholders,
then this would be dealt with in line with the process that we have set out above. We will
require you to nominate a lead person who is the main point of contact, and all our
correspondence will be with them.
Anonymous complaints
A judgement will be made on a case-by-case basis as to whether to investigate an
anonymous complaint. Normally anonymous complaints will not be investigated. When an
anonymous complaint is made it will obviously not be possible for a response to be
provided.
CAP 2502 Complaint Process
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Complaints about a regulatory decision
If your complaint relates to a formal challenge to the decisions made relating to regulatory
processes, you may have the option of a review by the Independent Review Panel (IRP).
Please note this does not replace a request for a Regulation 6 review which is managed
outside the scope of this policy.
The IRP sits outside of the CAA, it is overseen by the Department for Transport (DfT) and
is available for review requests following referrals made by individuals about a process by
which the CAA has made decisions that affects them.
All IRP requests will be managed by our External Information Services team and should be
made via the IRP online form - Request for a Referral to the Independent Review Panel
(caa.co.uk).
You must be eligible to request a review, where a decision has been made after 1 May
2022 and must be within scope.
You may be able to request an IRP when a CAA official has advised you of a refusal to
issue, or a proposal to vary, provisionally suspend, suspend, or revoke any of the following
licences or authorisations issued in relation to:
▪ Flight crew licensing (including licensing action as a result of an airspace
infringement, as well as licensing decisions taken by entities, we delegate
authority to)
▪ Aircraft maintenance engineers
▪ Air traffic controllers
▪ Rating and endorsements for instructors and examiners
▪ Medical Fitness decisions
▪ Aeromedical examiners
Any requests relating to medical fitness decisions should go through the medical review
process first, which sits outside of the complaints policy.
The following will not be in scope:
▪ A complaint about a service or member of staff, this should follow the CAA
complaints process that we have set out above.
▪ Judgement on level and / or amount of education or retraining relating to
airspace infringements.
▪ An unregulated person or organisation.
▪ Decisions made about an outcome of service complaints, consumer
complaints or complaints relating to third parties.
CAP 2502 Complaint Process
January 2023 Page 15
▪ Decisions relating to requests for information made under the Freedom of
Information Act, Environmental information Regulations or the Data Protection
Act.
▪ A decision that is currently being considered under Regulation 6 of the Civil
Aviation Regulation 1991.
▪ A matter that is under investigation or subject to enforcement action by the
CAA.
Making a request for a review of a decision
If a decision has been made by the CAA that affects you and is eligible, an internal review
will be undertaken.
Internal Review
The Internal Review will be undertaken by an appropriate and independent CAA
employee, who has had no previous involvement in the decision-making process.
This review will be a procedural review only. If this review finds that the correct process
was not followed a full merits review will be undertaken, if relevant, which could take
longer.
It is important that all options are considered to ensure your best course of action. You
may decide that a review of the decision under Regulation 6 of the Civil Aviation Authority
Regulation 1991 instead. Please note, by entering the internal review process first will not
affect your rights to request a review under Regulation 6.
All claims must be submitted via the IRP online form and your eligibility should be checked
before submission. Please note, you may be asked to provide supporting documentation
once your request has been considered.
If the full merits review finds that an incorrect decision has been made, we will:
▪ Accept responsibility
▪ Explain what went wrong and why
▪ Put things right by making the necessary changes required
If you are unsatisfied with the outcome, you can then request a referral to the Independent
Review Panel (IRP).
Referral to the Independent Review Panel
You must have completed the full internal review stage before requesting an IRP review.
All requests for a referral for an IRP review must be submitted using the online form.
There is no cost to you in having your case assessed by the IRP.
CAP 2502 Complaint Process
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The panel will consider your case, based on the information provided in the request form,
and decide if there are reasonable and appropriate grounds to suggest that the CAA did
not follow procedure when making a decision that impacted you. They cannot look at
whether the CAA used the right judgement to make that decision.
The panel will need to see all documents relating to your case, which we aim to send to
them within seven working days of a referral being requested.
Reviews relating to a medical fitness decision, must have been through the existing
medical secondary and final appeals process before requesting a review by the IRP.
The IRP will aim to review your case within 28 days of receiving all relevant information
and will contact you and let you know should they need more time to consider your case.
Once their review is completed the IRP will contact you directly with their findings and any
recommendations, they consider appropriate to you and us.
If you remain dissatisfied
If, following the IRP review, you do not agree with the outcome, there are two routes you
can consider.
▪ The first is to request a review under Regulation 6 of the Civil Aviation
Authority Regulation 1991. Regulation 6 and Independent Review Panel | Civil
Aviation Authority (caa.co.uk)
▪ Alternatively, you can contact your Member of Parliament (MP) and ask for
your case to be referred to the Parliamentary & Health Service Ombudsman
(PHSO).
The PHSO can carry out independent investigations where there is a case to suggest that
injustice has been caused by maladministration on the part of UK government
departments and some public bodies, including the CAA.
You can write to your MP at:
House of Commons
Westminster
London
SW1a 0AA
Complaints relating ATOL claims
If you have an ATOL claim, due to the unique nature of the failure of an ATOL (Air Travel
Organiser’s Licence) holder, there is a separate policy and procedure should you wish to
make a claim. Details on how to make an ATOL claim can be found here.
CAP 2502 Complaint Process
January 2023 Page 17
Any complaints relating to CAA staff, processes, and services are dealt with in line with the
CAA complaints process as set out above.
Complaints covered under ATOL, which may be in respect of repatriation to the UK or the
process of claiming a refund, include:
▪ The standard of service provided following the failure of the ATOL holder
▪ The administration of ATOL operations and processes followed following the
failure of the ATOL holder
▪ The behaviour of staff
There are some exceptions that cannot be covered by this policy, and these include:
▪ Matters that have already been fully investigated through this complaint’s
procedure
▪ Appeals against decisions made
▪ Complaints about the behaviour or actions of a third party, this includes travel
service providers such as ATOL holders, travel agents, airlines, and hotels.
Complaints relating to Noise
The CAA has no authority over aircraft noise as currently not a statuary nuisance. It is not
covered by the Environmental Protection Act 1990 or the Noise Act 1996.
All aircraft noise complaints should be directed to the airport concerned directly, as they
have a duty to investigate and respond. Often, unusually loud noise can be a result of a
flight not operating as planned: the airport may be able to tell you if that was the case, and
why.
Decisions around when an airport is allowed to be open for flights, whether aircraft can
operate at night, and how many aircraft are allowed to fly on any given day are often set
out as part of the planning process approving the airport's construction or expansion. In
most cases, this process is run by the local authority where the airport is located. They
may be able to provide more information about the conditions imposed on it.
Government policy on the control of aircraft noise is the responsibility of the Department
for Transport (DfT).
Military aircraft are covered by different rules and if you wish to complaint about military
aircraft noise you will need to contact the Ministry of Defence (MOD).
If your complaint relates to CAA staff, processes and services following a complaint about
airport noise, then this would be dealt with in line with the CAA complaints process as set
out above.
CAP 2502 Complaint Process
January 2023 Page 18
Complaints relating to an airline or airport
Airlines and airports have their own complaints policies and procedures; therefore, you
should take your complaint directly to the airline or airport concerned.
If you have already approached the airline or airport and are dissatisfied with their
response you can refer your complaint to:
▪ An Alternative dispute resolution | Civil Aviation Authority (caa.co.uk) (ADR)
body
▪ The CAA’s Passenger Advice and Complaints Team (PACT) if the airline or
airport do not have an agreement with an ADR
▪ Or take legal action
Making a complaint
Complaints can be made by:
▪ phone – 0330 022 1961
▪ email – [email protected],
▪ letter – Passenger Advice & Complaints Team, Aviation House, Beehive Ring
Road, Crawley, West Sussex, RH6 OYR or
▪ Online form
We will only deal with complaints relating to:
▪ UK261 – Delayed and cancelled flights, downgrade and denied boarding
▪ UK1107 – Assistance for disabled and reduced mobility passengers
▪ The Montreal Convention – cases of lost, delayed, or damaged baggage
To help us deal with your complaint efficiently it is important to set out clearly your
concern, provide as much information as possible, this includes:
▪ Copies of letters or emails to the airline / airport
▪ Copies of letters or emails the airline / airport sent you
▪ Details of your flight (flight number, date, time, route, airline reference, number
of passengers on the booking)
▪ For expense claims, copies of receipts
For baggage claims specifically:
▪ Proof of address
▪ Copy of your Property Irregularity Report (if you have one).
CAP 2502 Complaint Process
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▪
If your bag was delayed:
a list of the first need, essential items that you
purchased while without your delayed baggage, along with associated dated
and itemised receipts (if your banking details are visible, please ensure they
are redacted).
▪
If your bag was lost:
a list of the lost items with associated dated and
itemised receipts (if your banking details are visible, please ensure they are
redacted). If you no longer hold receipts for these items, please provide
information relating to the manufacturers name, product name, product cost,
age of the item and further product information from the website of the
manufacturer.
▪
If your baggage was damaged:
a list of the damaged items with photos of
the damage, as well as associated dated and itemised receipts (if your
banking details are visible, please ensure they are redacted). If you no longer
hold receipts for these items, please provide information relating to the
manufacturers name, product name, product cost and further product
information from the website of the manufacturer. If you prefer the item to be
repaired, we will require a copy of the repair invoice/estimate.
Our decision will be based on the information and evidence provided by both parties. It is
therefore vitally important to your claim that you provide full and accurate details. Failure to
do this may jeopardise your complaint. We are unable to accept any additional evidence
once the team has concluded your claim and will not reopen claims once closed.
Airline and Airport complaint process
Your complaint will be considered if your airline or airport has not responded within 8
weeks of you making the complaint to them directly.
We will assess your correspondence within one week of receiving it to ensure that we
have all the required supporting documents and that it is within our scope.
If it is agreed that you have a valid complaint, we will take it up with the airline or airport
concerned, but please note we do not have any legal powers to impose a solution. They
have four weeks to investigate and respond to us. These timescales may vary depending
on the complexity of the matter or if we challenge for further information. This should not
exceed a further two weeks.
Once we have received all the information required from the airline or airport, we will aim
to provide our final assessment of the situation to you within five weeks.
If you remain dissatisfied
If you are dissatisfied with the opinion the CAA has provided you can take legal action
against the airline or airport, but you cannot appeal against the CAA’s decision.
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If your complaint relates to CAA staff, processes and services following a complaint about
an airport or airline, then this would be dealt with in line with the CAA complaints process
as set out above.
Complaints relating to health matters
The CAA Aviation Health Unit is an advisory service intended to provide medical guidance
on health issues related to or affected by flying. It has no enforcement function, but the
team may be able to signpost you to further resources to assist you with any complaints
related to health matters and travelling.
They can be contacted as follows:
▪ Email: [email protected]
▪ Post: Aviation Health Unit, Aviation House, Beehive Ring Road, Crawley,
West Sussex, RH6 OYR
If your complaint relates to CAA staff, processes and services following a complaint about
an airport or airline on a health matter, then this would be dealt with in line with the CAA
complaints process as set out above.
CAP 2502 Unreasonable persistent complainants
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Unreasonable persistent complainants
If we feel a complainants behaviour becomes unacceptable, unreasonable, or persistent,
we may choose not to deal with subsequent complaints in accordance with our
Unacceptable and Unreasonable Behaviour policy.
The PHSO defines unreasonably persistent complainants as: “those who, because of the
frequency or nature of their contact with the authority, hinder the authority’s consideration
of their or other people’s complaints.”
CAP 2502 Continuous learning, improvements, monitoring, and reporting
January 2023 Page 22
Continuous learning, improvements, monitoring, and
reporting
We recognise the valuable feedback that a complaint can provide, and we have
mechanisms in place to ensure that we capture this when we conclude a complaint.
To assist our approach to service improvements, we may, where appropriate contact
individuals who have made complaints to seek their views on their experience of the
process.
We record and monitor all complaints that we receive, and this information is reviewed by
relevant Committees, Managers and staff across the CAA and is used to identify areas
where we can improve our services.
Using root cause analysis tools, organisational learning and changes to policy and
services resulting from complaints will be captured and shared with our Senior Managers,
Board, Committees, staff, and customers.
The CAA will use a variety of ways to report and review compliance with the policy. These
will include:
▪ an annual complaints report via the organisation’s broader annual report and
accounts
▪ regular reviews of the quality of data entry on the complaints management
system
▪ all partially or fully upheld PHSO investigations into complaints originally
managed by the CAA will be reported on a regular basis to Senior Managers
▪ Audit Committee reviews
▪ monthly quality assurance reviews based on agreed criteria to measure our
complaint handling and performance.
The effectiveness of the policy will be reviewed in the light of performance against
response timeframes; numbers resolved and escalated complaints as well as
implementation of lessons learned.
Regular reports will be provided monthly, six monthly & annually to the Senior
Management team and Board. The report will provide information about the number of
complaints; the services involved; the reasons for complaints; remedial actions; and any
ongoing trends.
Information concerning our performance is also available to our customers and this can be
viewed in our Annual Report or on our website.
CAP 2502 Equality and Diversity
January 2023 Page 23
Equality and Diversity
Equality is at the heart of everything the CAA does, and our aim is to treat people fairly,
with respect and dignity regardless of the following protected characteristics:
▪ Age
▪ Disability
▪ Gender
▪ Pregnancy and maternity
▪ Marriage and civil partnership
▪ Gender reassignment
▪ Race
▪ Religion or belief, and
▪ Sexual orientation.
The Equality Act 2010 places a duty on the CAA to have due regard to the need to:
a) Eliminate discrimination, harassment, victimisation, and any other conduct
prohibited by the Act.
b) Advance equality of opportunity between people who share a protected
characteristic and those who do not share them.
c) Foster good relations between persons who share a protected characteristic
and those persons who do not share them.
An Equality Impact Screening has been carried out as part of the development of this
policy. We aspire to embed diversity and inclusion within all our business activities to
enable these principles to become part of our everyday processes.
We will make reasonable adjustments to our complaints process where appropriate,
ensuring that customers with a specific need are not at a disadvantage when accessing
the service. Examples of the reasonable adjustments we may make include using a
customer’s communication preference for the duration of the complaint and providing
information in alternative formats e.g., Braille, large print or on coloured paper. More
information is available in our Reasonable Adjustments Policy.
CAP 2502 Your personal information
January 2023 Page 24
Your personal information
When you make a complaint to the CAA, your personal information will be used by us, and
where appropriate by the Department for Transport, their appointed Independent
Complaints Assessors, and other organisations we work with for the purposes of handling
your complaint, producing anonymised statistical information, and seeking to improve
services through lessons learnt.
CAP 2502 Related Documents
January 2023 Page 25
Related Documents
▪ Complaints procedure
▪ IRP Policy
▪ IRP Procedure
▪ PACT complaints Procedure
▪ Reasonable Adjustments Policy
▪ Reg 6 guidance
▪ UK Central Government Complaint standards
▪ Unacceptable and Unreasonable Behaviour Policy
