Complaint performance and learning

• 31 stage 1 complaints received
• 23 stage 1 complaints closed (please note: this will not always match the number received as could cross over previous months)
• 6 stage 1 complaints escalated to stage 2
• 2 complaints escalated to the Independent Complaint Assessor (ICA)
• 1 complaint escalated to the Parliamentary & Health Service Ombudsman (PHSO)
• 100% (YTD) of all stage 1 complaints acknowledged within 5 working days
• 97% (YTD) of all stage 1 complaints responded to within 20 working days
• 64% (YTD) stage 1 complaints upheld

(YTD = April 2023 - March 2024)

• 25 stage 1 complaints received
• 37 stage 1 complaints closed (please note: this will not always match the number received as could cross over previous months)
• 3 stage 1 complaints escalated to stage 2
• 0 complaint escalated to the Independent Complaint Assessor (ICA)
• 0 complaints escalated to the Parliamentary & Health Service Ombudsman (PHSO)
• 100% (YTD) of all stage 1 complaints acknowledged within 5 working days
• 96% (YTD) of all stage 1 complaints responded to within 20 working days
• 66% (YTD) stage 1 complaints upheld

(YTD = April - December 2023)

• 45 stage 1 complaints received
• 30 stage 1 complaints closed (please note this will not always match number received as could cross over previous months)
• 4 stage 1 complaints escalated to stage 2
• 0 complaints currently under an Independent Complaint Assessor (ICA) review
• 2 complaint currently under review with the Parliamentary & Health Service Ombudsman (PHSO)
• 100% Year to date (YTD) of all stage 1 complaints acknowledged within 5 working days
• 93% (YTD) of all stage 1 complaints responded to within 20 working days
• 63% (YTD) stage 1 complaints upheld

(YTD = April – December 2022)

• 31 stage 1 complaints received
• 29 stage 1 complaints closed (please note: this will not always match number received as could cross over previous months)
• 5 stage 1 complaints escalated to stage 2
• 1 complaint escalated to the Independent Complaint Assessor (ICA)
• 0 complaints escalated to the Parliamentary & Health Service Ombudsman (PHSO)
• 100% (YTD) of all stage 1 complaints acknowledged within 5 working days
• 90% (YTD) of all stage 1 complaints responded to within 20 working days
• 66% (YTD) stage 1 complaints upheld

(YTD = April - June 2023)

• 34 stage 1 complaints received
• 39 stage 1 complaints closed (please note this will not always match number received as could cross over previous months
• 5 stage 1 complaints escalated to stage 2
• 3 complaints under an Independent Complaint Assessor (ICA) Review
• 1 complaint currently under review with the Parliamentary & Health Service Ombudsman (PHSO)
• 100% Year to date (YTD) of all stage 1 complaints acknowledged within 5 working days
• 91% (YTD) of all stage 1 complaints responded to within 20 working days
• 64% (YTD) stage 1 complaints upheld

(YTD = April 2022 - March 2023)

• To improve communication and the customer experience, the RPAS Operational Authorisation Application Assessment process has been updated to reflect that if an application reaches 5 hours & is believed will go over 7 hours, the applicant must be informed further charges may apply.
• Quality control checks have been introduced on FI renewals to ensure correct tracking and reduce delays for applicants.
• Monthly meetings introduced between our Flight Operations and General Aviation Team to improved communication internally between teams and with stakeholder.

• To improve communication and the customer experience, our Exams team has taken the opportunity to update the website guidance on applications from TRE with EASA qualifications.
• Our Licencing Support & Finance Team have collaborated to introduce a new guidance for colleagues for processing refunds, which involves a clear approvals process, providing consistency and status tracking abilities.
• Improved internal processes relating to communication to our CEO / Chairs office when connected to a complaint, to ensure the best approach for dealing with the correspondence is identified.
• Another internal process improvement resulting from a stage 1 complaint, is to ensure that if a complaint is allocated to multiple teams for investigation that a lead investigator is identified to ensure a consistent and collaborative approach.

A total of 43 lessons have been identified from complaints received between July – September 2023, however, action is ongoing to implement changes.

In addition, we have carried out a review of our ‘Learning from complaints’ process to identify any improvements to the process, any changes will go live in October / November 2023.

• Our Engineers licence application has provided us with an opportunity to review our processes and identify improvements in the filing and tracking of applications which will reduce the processing time.
• Following incorrect advice being provided relating to a licence refund, additional training has been provided to our contact centre around refunds and times, and internal procedure documents have been amended to make the process clearer.
• A stage 1 complaint relating to a PPL application delay has highlighted that a part of the process is no longer of value for our customers and has been updated as the LAPL is no longer required as part of the application.
• Following a stage 2 complaint concerning airspace infringement, our CAP1404 has been updated to reflect the difference between ‘Provisionally Suspend’ and ‘Suspend’ the option for case closure after regulatory interview and to confirm ‘provisionally suspended’ is a temporary measure as set out in legislation with further explanation of the importance of these terms from a safety perspective to treat the safety risk until either a full review has occurred, or the training requirements is complete.
• As part of a PHSO review relating to our whistleblowing policy and how much information we can provide, our internal procedure has been updated to ensure that the CAA is as transparent as the law allows and ensuring that our decisions are fully documented through improved record keeping.

• A stage 1 complaint regarding concerns over how the CAA publishes and controls updates to regulation has provided us with an opportunity to review our web publications with engagement with the industry. This has resulted in the consolidation of Air Operation Regulation, AMC & GM now published on the CAA Regulations website to improve clarity, understanding and satisfaction of UK aviation regulation requirements. The complainant has seen the new material and advised us “I notice that regulatory publications have been extensively updated. This is a great step forward.”
• Following a stage 2 complaint regarding the lack of engagement with the Remote Piloted Aircraft Systems (RPAS) community, regular quarterly meetings have been introduced to improve our ability to communicate, with the first meeting held in March.
• An ICA review regarding the approach to Airspace Regulation & Remote Piloted Aircraft Systems (RPAS) highlighted the need for more collaborative working. As a result, regular meetings have been set up to align the work of our teams and address any issues / concerns.

A stage 1 complaint regarding the lack of communication and action of a refund of an application fee has provided us with an opportunity to review our procedures regarding the issuing of refunds. Our procedures have been updated and it has been re-iterated to all licensing officers that they must email a customer when issuing a refund to confirm the refund has been requested and advise the time frame for when it should be completed.

Following a complaint regarding the claim portal rejection of an Amex payment, a process has been introduced to ensure that this type of payment is not classed as a credit card, therefore eliminating rejections.

A stage 2 complaint regarding incorrect advice relating to an ATOL claim has resulted in our website being updated to ensure the information is clear and concise.