Policy and Procedure for Dealing with Complaints from Students, Student Applicants and Student Placement Providers

Background

Principles Governing Complaints Procedures

Procedures

Appendix 1: Heads of Departments/Services

Appendix 2: University Committees

Background

The following policy relates to the principles and procedures for the handling of Complaints of an academic and non-academic nature from students, student applicants and student placement providers. These are distinct from principles and procedures related to Appeals against a decision of the University about an academic or disciplinary matter, including the results of examinations, or complaints relating to Harassment of any kind; information on these can be found in the Ordinances and Regulations or the Equality and Diversity Office pages on harassment.

Student applicants may complain about the application process and/or its outcome, but they do not have a right of appeal against a decision on whether or not they should be offered a place at the University. The University welcomes Comments and Suggestions from students about the services it provides; students wishing to make a comment or suggestion about University services, either academic or non-academic, can do so informally at the point of service delivery by contacting the appropriate person (Appendix 1).

Complaints on matters of University Policy should be directed to the appropriate University Committee (Appendix 2), through student representatives: these may be contacted through the Students' Union or the Graduate Students' Association. Complaints from others with a legitimate interest in the services provided by the University will be dealt with by this policy and procedure insofar as is practical. There are separate procedures for members of staff covering Grievances concerning their appointments or employment.

Principles governing complaints procedures

The Senate has approved the principles governing the University's Appeals and Complaints Procedures, which are published separately from this document. Those relating specifically to procedures for dealing with complaints are as follows:

complaints should be dealt with as close to their source, and as informally, as possible;
information on procedures, and on sources of advice, should be readily accessible;
appeals and complaints should be dealt with in accordance with the University's Equal Opportunities Policy for Students, and procedures should be adapted, as appropriate, having regard to that Policy;
complaints should be dealt with within a reasonable time;
a complainant should have the right to be accompanied, within appropriate constraints, when appearing before any investigative panel;
an individual's privacy and confidentiality will be respected, subject to the need for a fair and open investigation and for the outcome of the investigation to be reported appropriately. This is in order both to protect the privacy of the complainant and to protect others, including members of staff, from unsubstantiated public allegations;
any complainant who has suffered a wrong has a right to have that wrong redressed, though vexatious or frivolous complaints should not be allowed to abuse the process;
procedures should ensure that, where a complaint is upheld, appropriate remedial action is taken;
members of an investigative panel should not be judges in their own case; or act in any case in which conflict of interest may arise;
the University should seek to minimise the cost to a complainant of pursuing a complaint;
successful complainants should have reasonable and proportionate expenses reimbursed by the University;
the available documentation should indicate which further procedures, if any, are open to a complainant who remains aggrieved following the outcome of a complaint;
a formal complaints procedure is available where a complainant is dissatisfied with the outcome of an informal complaint;
a person who is the subject of a complaint should have the right to present a case during any investigation, and to be accompanied by a registered student or employee of the University.

Procedures

(a) Background

As a general principle, the University expects that complaints will normally be dealt with informally in the first instance. Complainants should seek to bring their complaint to the attention of the University using the procedure outlined here as soon as possible following the occurrence of a problem and ideally within one calendar month. Many complaints can be dealt with quickly and effectively in this manner, without recourse to formal procedures. The University's complaints procedure has been designed with this in mind.

No complainant will be disadvantaged by having raised a complaint, but the University expects that complainants will not make frivolous, vexatious or malicious complaints. Should a student be found to have made such a complaint, this may constitute a disciplinary offence and will be dealt with under the student disciplinary procedures.

Students who are considering making a complaint may wish to seek help or advice from those listed below, who are contacts with a specific role to help students.

For all students:

Supervisor
College Provost, Dean or Tutor
Head of Department
Academic Registrar
Manager, Student Support Services
Manager, Disability Services
Equal Opportunities Office Director
Students' Union

and for graduate students:

Assistant Registrar, Graduate Schools Office
Chair of Graduate School Board for Department or Centre concerned
Chair and members of the University's Board for Graduate Schools
Graduate Students' Association

Other complainants may wish to seek advice from the Academic Registrar.

(b) Initial Complaints Procedure

Those who experience a problem with any service provided by the University or anything else within the control of the University, should normally first raise the matter with the person responsible. If informal discussion does not resolve the situation satisfactorily, the Head of Department/Service responsible for the area to which the complaint relates should be approached, in person or in writing. (If the initial complaint relates to a Head of Department/Service, or equivalent, then at this point, there should be recourse to the formal procedure set out below). The complainant should state any remedy sought. A prompt response can be expected.

Departmental undergraduate and graduate student handbooks and, for research students, the publication Degree of MPhil and PhD: Notes of Guidance to Students, Supervisors and Examiners (available from the Graduate Schools Office) may be helpful if the problem is of a departmental or supervisory nature.

(c) Formal Complaints Procedure

The formal complaints procedure should only be used where a complainant feels that the nature of the complaint is too serious to be dealt with under the initial complaints procedure, or where, after having already approached the relevant Head of Department/Service, or equivalent, a satisfactory conclusion has not been reached.
A formal complaint should be made in writing to the Registrar, who will ensure that the matter is looked into as soon as possible. The complainant must indicate any remedy being sought. A written acknowledgement of any complaint can be expected within 7 days of receipt.
The Registrar will determine whether the complaint will be investigated under this complaints procedure or whether it would be more appropriately investigated under the harassment, staff academic misconduct or staff disciplinary procedures. The complainant will be informed accordingly.
The Registrar may appoint one or more members of staff of the University to investigate the complaint on his/her behalf and report to him/her as a basis for his/her response. The investigator(s) may obtain information from and/or interview the complainant(s) and any other parties identified by the investigator(s) as relevant to the complaint.
If a complainant is required to attend in person as part of the investigation into a complaint, s/he is entitled to be accompanied by a registered student or employee of the University and/or an officer of the Students' Union or Graduate Students' Association.
After the completion of any investigation, the Registrar will send a considered written response to the complainant. Any proposed remedy should be implemented as soon as is practicable.
Should a complainant remain dissatisfied on receipt of the response from the Registrar, s/he can request that the Registrar refers the matter to another senior member or officer of the University appointed by the Vice-Chancellor, who will undertake an independent assessment of the case and come to a conclusion on the matter.
Should a complaint be against a member of the Registrar's Department (other than the Registrar him/herself) the informal procedure set out above should first be followed. However, should the complaint remain unresolved after the informal procedures have been followed, or in the event that a complaint is against the Registrar him/herself, the complaint should be put in writing to the Vice-Chancellor, who will appoint a senior member or officer of the University to act in the place of the Registrar.
If the complainant remains dissatisfied s/he may request the Office of the Independent Adjudicator for Higher Education (OIAHE) to investigate the complaint. Further information about the OIAHE is available from the Academic Registrar and on the website www.oiahe.org.uk