Client Complaints Handling Procedure

Purpose

The ESG Institute Limited (“the Company”) values feedback and recognises the importance of addressing client concerns promptly and fairly. This Procedure establishes a clear, transparent process for receiving, investigating and resolving complaints from clients, learners and other service users. Effective complaints handling improves service quality, protects our reputation, and aligns with best‑practice guidance such as ISO 10002 – Quality Management – Customer Satisfaction – Guidelines for Complaints Handling.

Scope

This Procedure applies to all complaints relating to the Company’s training, consultancy, research and support services, whether delivered in person, online, on‑demand or through third‑party platforms. It covers complaints raised by:

  • Corporate or individual clients purchasing our services;

  • Learners enrolled on public, on‑demand or tailor‑made courses;

  • Venue hosts or event participants affected by our service delivery. Complaints from employees about internal matters are handled under the Grievance Procedure; safeguarding concerns follow the Safeguarding Policy; and whistleblowing disclosures follow the Whistleblowing Policy.

Definitions

  • Complaint – an expression of dissatisfaction about the Company’s action, lack of action or the standard of service provided.

  • Complainant – the individual or organisation raising the complaint.

  • Business Day – Monday to Friday, excluding Isle of Man public holidays.

Principles

  1. Accessibility – information on how to complain is published on our website and in course joining instructions.

  2. Timeliness – complaints are acknowledged and resolved within reasonable timescales.

  3. Fairness and Impartiality – investigations are conducted objectively by staff uninvolved in the subject of the complaint.

  4. Confidentiality – details are shared only with those who need to know.

  5. Continuous Improvement – root‑cause analysis informs corrective and preventive actions.

Roles and Responsibilities

  • Head of Client Services – owns the Procedure, monitors performance and reports to the Executive Leadership Team.

  • Complaints Coordinator – logs complaints, tracks timelines, assigns Investigating Officers and communicates with complainants.

  • Investigating Officer (IO) – gathers evidence, interviews parties, recommends resolution.

  • Department Managers – implement corrective actions in their areas.

  • All Employees and Contractors – signpost complainants to this Procedure and cooperate with investigations.

Complaints Process

Stage 1 – Informal Resolution (Front‑Line)

Most issues can be resolved quickly by the staff member providing the service. The complainant should raise the matter within 10 Business Days of the incident. Staff should:

  1. Listen actively and empathise.

  2. Offer an explanation or solution within their authority.

  3. Record a brief note in the CRM marked “Informal Complaint – Resolved”. If the complainant remains dissatisfied, they may proceed to Stage 2.

Stage 2 – Formal Complaint

  1. Submission – Complaints must be submitted within 30 Business Days of the incident via email (mail@the-esg-institute.org) or the online form, detailing the issue, date, people involved and desired outcome.

  2. Acknowledgement – The Complaints Coordinator sends a written acknowledgement within 2 Business Days, providing a reference number and explaining next steps.

  3. Investigation – An IO is assigned within 3 Business Days. The IO reviews records, interviews relevant staff and, where necessary, the complainant.

  4. Response – A written response outlining findings, decision and any remedial action is issued within 10 Business Days of acknowledgement. If more time is needed, the complainant is informed of the revised timeline and reason.

Stage 3 – Internal Review (Appeal)

If the complainant is dissatisfied with the Stage 2 outcome, they may request an internal review within 10 Business Days of receiving the decision, stating the grounds (procedural error, new evidence, disproportionate remedy). A senior manager not previously involved reviews the case and issues a final decision within 15 Business Days. This exhausts the Company’s internal process.

Stage 4 – External Recourse

Where applicable (e.g., accredited qualifications), the complainant may escalate to the awarding body or relevant regulator. Contact details are provided in the Stage 3 decision letter.

Recording and Reporting

All complaints are logged in the secure Complaints Register, capturing dates, category, outcome and corrective actions. Quarterly trend reports are reviewed by the Executive Leadership Team and annually by the Board.

Confidentiality and Data Protection

Complaint files are stored securely and retained for six years after closure in line with the Data‑Retention Schedule. Personal data collected during the process are used solely for complaint handling and related quality‑improvement activities.

Remedies and Corrective Actions

Resolutions may include an apology, explanation, service remediation, fee refund or credit, and process improvements. Department Managers must implement corrective actions promptly and report completion to the Head of Client Services.

Training and Awareness

Front‑line staff receive training on complaint‑handling techniques, empathy and de‑escalation. IOs receive additional training on investigation skills and root‑cause analysis. Training records are maintained by People & Culture.

Review

This procedure is to be reviewed every two years, or earlier if there are significant changes in law or our operations.

Latest update: June 30, 2025.

This Policy is non‑contractual and may be amended at the Company’s discretion.