Regulations Governing Student Complaints

1. General Principles
2. The Process

2.1    Stage One:    Informal Complaint
2.1    Stage Two:   Written Complaint to Head of Department
2.3    Stage Three:  Written Complaint to Academic Registrar
2.4    Stage Four:  Written Appeal to the Vice-Chancellor
2.5    Stage Five:  Appeal to Council
2.6    Stage Six:   Petition to the Visitor

3. Further Information
 
1. General Principles

1.1     The University of Southampton is committed to ensuring that we provide for our students a high quality educational
experience, supported by appropriate academic, administrative and welfare services and facilities. We recognise, however, that there may be occasions when students will feel that they have cause for complaint. In this context, a complaint is defined as an expression of dissatisfaction either about the courses, facilities or services provided by the University, or about actions or lack of actions by the University or its staff. Complaints may be made by individual students or by groups of students; they may not be lodged by a representative, a parent or any other third party. This Complaints Procedure sets out how students may seek to have complaints addressed. It should be recognised that the vast majority of student complaints can be handled fairly, amicably, and to the satisfaction of all concerned without recourse to this procedure. In the first instance, students with a complaint should raise it informally with the relevant member of staff. If this course of action proves unsatisfactory, then the procedure set out in this document should be observed. This procedure does not cover the following matters, for which separate procedures exist:

Information about academic appeals may be sought from the Co-ordinator of Student Services (Dr R J Green, Academic Registrar's Department: Ext 23062, <rjg1>) or the appropriate Faculty Office; about disciplinary issues from the Academic Registrar; about harassment, from the Director of Human Resources; and about complaints relating to the Students' Union, from the General Office of the Students' Union.

1.2     The "Student Handbook" sets out the general entitlements and responsibilities of students and is distributed to every
incoming student at their initial registration; it is also available at www.soton.ac.uk/~acreg/studenthbk.  If a student believes that they have a legitimate complaint, they should refer in the first instance to the "Student Handbook" to clarify what is reasonable for them to expect from the University in the relevant area, and whether they themselves have discharged their corresponding responsibilities, if applicable. If, having consulted the "Student Handbook", the student wishes to proceed with their complaint, they may invoke the Complaints Procedure set out in this document.

2.       The University will seek to ensure that all complaints are treated seriously, positively and constructively. It will also seek
to ensure that complaints are dealt with promptly, with fairness and consistency and with due regard to the University's Equal Opportunities Policy. If a complaint is found to be justified, the University will take such action or provide such remedy as may be appropriate and will do so promptly. If a complaint is not upheld, the reasons for the decision will be communicated to the complainant.

3.      Complainants will not suffer any disadvantage or recrimination as the result of making a complaint in good faith. Only if
a complaint is judged to have been made frivolously, vexatiously or with malice, could disciplinary issues arise in relation to the complainant.

4.      Complainants and those against whom complaints are made may expect complaints to be dealt with confidentially and
that their privacy will be respected. However, it may be necessary to disclose information to others in order to deal with the complaint and in these circumstances the parties concerned will be informed of such disclosure. Whenever in thecourse of a complaint being dealt with, a complainant or a person against whom a complaint is made is invited to discussthe complaint orally or to attend a hearing, they shall be entitled to be accompanied by a friend or colleague, who may speak on their behalf.

5.       Anonymous complaints will not be dealt with under this procedure. Staff who receive anonymous complaints will be
expected to use their discretion and judgement as to how to handle such complaints.

6.      The University believes that complaints should be resolved as near as possible to the incident(s) giving rise to the
complaint. For this reason, this Complaints Procedure provides for there to be a number of stages, both informal and formal, in the handling of a complaint. Complaints will not be rejected solely on the grounds of minor procedural deficiencies on the part of the complainant. At each stage of the process, the person to whom the complaint has been referred shall, if it is upheld, wholly or in part, apply such remedies as are within their powers. If they consider that the remedy is outside their powers, they shall refer the matter to the appropriate authority.

7.      Heads of Departments/Schools and of Services will monitor on an annual basis complaints which have been referred to
them and will be responsible for implementing, or recommending to the appropriate authority, changes to systems or procedures suggested by the nature and pattern of the complaints received. Such records will contain: name (anonymised), age, gender and ethnicity of complainant; complainant's programme of study; summary of complaint; and summary of outcome. The outcome of such monitoring may also inform other processes or activities such as course design or postgraduate supervision. Formal complaints submitted to the Academic Registrar will also be monitored. Senate and Council shall receive annually a report on the outcome of the monitoring processes and shall consider in the light of the report whether changes to the University's systems and to the Complaints Procedure itself would be appropriate.

8.      This Complaints Procedure may be invoked by students registered, part-time or full-time, on courses of the University of
Southampton, except for students registered at an Accredited College.

9.      Advice about the Complaints Procedure may be obtained from the appropriate Faculty Office; the Advice and
Information Centre in the Students' Union; or the Co-ordinator of Student Services.

10.     This Complaints Procedure was approved by Senate on 14 March 2001 and by Council on 4 April 2001 and forms
part of the University's overall quality assurance framework. It is informed by the Quality Assurance Agency for Higher Education's Code of Practice for the Assurance of Academic Quality and Standards in Higher Education, and in particular by Section 5: Academic Appeals and Student Complaints on Academic Matters (March 2000). It will be available on the University's web site, and a summary will be included in the "Student Handbook."

2. The Process
Stage One: Informal Complaint
2.1     The majority of complaints can be resolved satisfactorily on an informal basis. If possible, the complainant should first
raise their complaint either orally or in writing with the individual who is the subject of the complaint, stating the remedy they are seeking. The complaint must normally be made within two months of the actions (or lack of actions) which prompted the complaint. The person who is the subject of the complaint shall respond to the complaint normally within ten working days of the complaint being made; and shall retain a note of the substance of the complaint and any action taken. If it proves impossible to respond fully within ten working days, the complainant shall be informed of the timescale for the receipt of a full response. If making or responding to the complaint involves face to face contact between the complainant and the person against whom the complaint has been made, both shall be entitled to be accompanied by a friend or colleague. If the person who is the subject of the complaint rejects the complaint, they must state their reasons for doing so.

2.2     If a complaint is of a general rather than specific nature, it may be more appropriate to ask the relevant student
representative to raise it at the Staff/Student Liaison Committee or other departmental or School committee.

Stage Two: Written Complaint to Head of Department or Service

2.3     If the complainant is dissatisfied with the response they receive from the person who is the subject of the complaint,
or if they feel unable to approach that person directly, they should submit, within ten working days of receiving the response, a written complaint to the Head of Department or School (if it relates to an academic matter) or to the Head of the Service concerned, e.g., the Librarian, the Director of Computing Services, or the Director of Business Services. If the Head of the Department or School is the subject of the complaint, then the written complaint should be made to the Dean of the Faculty. If the complainant is unsure whom to approach at this stage, they may seek advice from the Co-ordinator of Student Services or the Advice and Information Centre in the Students' Union. The written complaint should set out briefly: the nature of the complaint; the informal steps already taken (if any); details of the response received; and a statement as to why the complainant remains dissatisfied and, without prejudice to any formal remedy which might be determined, the remedy they are seeking. The Head of Department or Service shall acknowledge in writing receipt of a complaint within five working days. The Head of the Department or Service shall investigate the complaint and shall submit an interim written response to the complainant normally within fifteen working days of the receipt of the complaint. If it should prove impossible to respond fully within fifteen working days, the complainant shall be informed in writing of the timescale for the receipt of a full response. If the investigation involves a face to face meeting between the Head of Department/School or Service and the complainant and/or the person against whom the complaint has been made, the latter two shall both be entitled to be accompanied by a friend or colleague. If the complaint is not upheld, reasons for this decision must be stated.

Stage Three: Written Complaint to the Academic Registrar
2.4    If, having pursued the matter to this point, the complainant remains dissatisfied with the written response, they should,
within ten working days of receiving the response, refer the matter in writing to the Academic Registrar and should enclose copies of the correspondence exchanged during the earlier stages of the procedure and any other relevant papers.

2.5    The Academic Registrar shall acknowledge in writing receipt of a formal complaint within five working days.
Subject to his/her being satisfied that the complainant has taken all reasonable steps to resolve the matter informally, using the procedures in paragraphs 2.1/2.3, above, the Academic Registrar shall appoint a person or persons within the University, having no material interest in the complaint, to carry out an investigation. The investigator(s) may seek to resolve the issue on the basis of documentation, after having sought further information from the members of staff involved in the earlier investigation of the complaint and from the complainant; or may, at the investigator(s) discretion, call a hearing at which the complainant and any other persons involved may submit their respective cases. The complainant and the person who is the subject of the complaint may each be accompanied at any such hearing by a friend or colleague, who may speak on their behalf if appropriate. In the unavoidable absence of any parties in the hearing, the hearing may be postponed, but the voluntary absence of one of the parties shall not prevent the hearing from proceeding.

2.6     After investigation of the complaint, the investigator(s) shall decide whether the complaint is justified or not and shall
submit a report in writing to the Academic Registrar, containing such recommendations as may be appropriate. The Academic Registrar shall determine what action, if any, shall be taken and shall communicate this in writing to the complainant and all other relevant parties, normally within thirty working days of the date of acknowledging receipt of the formal complaint. The Department/School or Service may be asked to meet the reasonable and proportionate incidental expenses necessarily incurred by a successful complainant.

Stage Four: Written Appeal to the Vice-Chancellor
2.7     Following formal investigation of a student complaint there shall be no right of appeal as to the merits of the case.
Dissatisfaction as to the outcome of the complaint shall not in itself constitute an acceptable reason for appeal. However, if a complainant believes that their complaint was not handled properly or fairly in accordance with the procedures set out in paragraphs 2.5 and 2.6, then they may submit a letter of appeal to the Vice-Chancellor, requesting a review. The letter must set out the reasons for requesting the review, should normally be submitted within ten working days of notification of the decision on the complaint by the Academic Registrar, and should include copies of all previous correspondence and relevant papers.

2.8     Following receipt of an appeal, the Vice-Chancellor shall designate one of the Deputy Vice-Chancellors to consider the
appeal. The Vice-Chancellor will acknowledge receipt of the appeal within five working days and will inform the appellant which Deputy Vice-Chancellor will handle the appeal. The Deputy Vice-Chancellor so designated shall consider the circumstances of the case on the basis of the documentation and, having taken such advice as he/she deems necessary, shall determine whether there is prima facie evidence to support the appeal that the case had not been handled properly or fairly. If the Deputy Vice-Chancellor determines that no prima facie evidence exists, then the appeal shall be dismissed. If, however, the Deputy Vice-Chancellor is satisfied that there is prima facie evidence to support the appeal, then he/she shall review the case. The Deputy Vice-Chancellor shall inform the appellant normally within thirty working days of receipt of the appeal either that there is no prima facie evidence to support the appeal, and therefore that the appeal has been dismissed, or that the case is to be reviewed.

2.9     Reviews will normally be conducted by means of scrutiny of written documentation. Following completion of a review,
the Deputy Vice-Chancellor shall report its outcome to the Vice-Chancellor, and shall make such recommendations as he/she may deem appropriate. The Vice-Chancellor (or the Academic Registrar, on his/her behalf) shall ensure that any appropriate action arising from the report and its recommendations is taken, and shall inform the appellant accordingly. The Department/School or Service may be asked to meet the reasonable and proportionate incidental expenses necessarily incurred by a successful complainant.

Stage Five: Appeal to Council
2.10   The decision of the Vice-Chancellor is final, subject only to the provisions of Section 17(20) of the Statutes of the
University. If the mechanisms described above do not produce a solution which the student finds acceptable, it is possible under the University's Statutes (number 17(20)) to ask the Council "to entertain, adjudicate upon, and, if thought fit, redress any grievance." In such instances a special committee is set up to reach a view whether there is a prima facie case for consideration, and, if so, to consider the matter in detail and to reach an adjudication on behalf of Council.  Students wishing to initiate a grievance to Council should write to the Secretary and Registrar, setting out the grounds on which they feel aggrieved; and documenting the action they have taken to attempt to resolve the problem.

Stage Six: Petition to the Visitor
2.11  There also exists an external mechanism for review of the University's actions: this is currently Her Majesty the Queen
in her capacity as Visitor who operates through the President of the Privy Council. A statement issued by the Privy Council entitled "Petitions To the President Of The Council In Her Role As Visitor" explains what matters are, or are not, suitable for a petition to the Visitor; how a petition should be prepared; and how petitions will be dealt with. The Privy Council Office statement can be accessed at www.privy-council.org.uk/. The paragraphs that follow (2.11.1/8) are extracted from this document.

2.11.1  The Visitor may consider a petition only if the University's own internal procedures have been exhausted. The Visitor
will not intervene on matters which turn purely on academic assessment. The Visitor's role is to review the application by the University of its own internal procedures. The Visitor will not normally intervene unless it can be shown that the University has failed to observe its own rules or procedures; or that, although it has followed the proper procedures, it has reached a decision that no reasonable body, properly directing itself, and taking account of all relevant factors, could have arrived at.

2.11.2   There is no set format for a petition, and there is no need to use legalistic language, nor does a petition need to
be lengthy. A petition should: set out the facts clearly in chronological order; be specific about the particular procedures which are alleged to have been breached; enclose copies of the relevant rules and regulations and any other relevant documents, including any correspondence which bears on the case; say clearly what action the Visitor is being asked to take. Petitioners should try to avoid emotive language and to adopt a neutral and factual tone.

2.11.3  Petitions should be addressed to: The Clerk of the Council, Privy Council Office, 2 Carlton Gardens, London SW1Y
5AA. They should be clearly marked "Petition to the Visitor."

2.11.4   Petitions are initially examined to see whether there is a prima facie case for the Visitor's intervention. (See 2.11.1,
above.) at this stage, there may be correspondence with the petitioner to clear up any queries that arise.

2.11.5   If there appears to be no prima facie case, the petitioner will be informed that, on the evidence so far presented,
there appear to be no grounds for the Visitor to intervene, with reasons. It is open to the petitioner to provide additional evidence to show that the case is, in fact, one in which the Visitor can intervene.

2.11.6   If the petition appears to show a prima facie case for the Visitor's intervention, it will be forwarded to the University for
an answer. The Visitor will formally direct the University to provide an answer within six weeks. The University's response will then be sent to the petitioner, who will be able to respond to the points made in it.

2.11.7  Once any response the petitioner wishes to make has been received, the case will be submitted to the Visitor, who
will normally decide on the basis of the three sets of documents (the original petition, the University's answer and the petitioner's response). There will not normally be an oral hearing.

2.11.8  The petitioner and the University will then be informed of the Visitor's decision, with the reasons for it.

3. Further Information

Further information about, or clarification of these procedures is available from Dr R J Green, Senior Assistant Registrar, University of Southampton, Southampton SO17 1BJ; telephone: 023-80-593062; fax: 593037; e-mail <rjg1@soton.ac.uk>.