Student Complaints

POLICY

1. General Principles
  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 pastoral support 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 academic programmes, facilities or services provided by the University, or about actions or lack of actions by the University or its staff.

  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 the complaint.

  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; in these circumstances the parties concerned will be informed of such disclosure. Whenever, in the course of a complaint being dealt with, a complainant or a person against whom a complaint is made is invited to discuss the complaint orally or attend a hearing, they shall be entitled to be accompanied by a friend or colleague who may speak on their behalf.

  5. The University believes that complaints should be resolved as near as possible to the incident(s) giving rise to the complaint. For this reason, the Complaints Procedure set out in the guidance which follows provides for 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. If a complaint is upheld, the person to whom the complaint has been referred shall 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.

2. Monitoring of Complaints
  1. Heads of Schools and 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; summary of outcome. The outcome of such monitoring may also inform other processes or activities such as programme design or postgraduate supervision. Formal complaints submitted to the Director of Student Services will also be monitored.

  2. A special meeting of the Quality and Standards Committee1 will be convened in July each year to consider student feedback from different sources, including via the complaints mechanism. QSC may make recommendations to Senate2 on matters requiring changes to academic policy, or to Policy and Resources Committee3 on matters involving consideration of resources. Issues relating to services and facilities will be forwarded to relevant committees and to professional services for consideration and action.

  3. Senate and Council4 will receive annually a report on the outcome of the monitoring of student complaints. In the light of this report, Senate and Council shall consider whether changes to the University's systems and the Complaints Procedure itself would be appropriate.

GUIDANCE

1. The Complaints Procedure
  1. The Complaints Procedure sets out how students may seek to have complaints addressed. The vast majority of student complaints can be handled fairly, amicably and to the satisfaction of all concerned without recourse to this procedure. Complaints may be resolved informally at any stage of the proceedings.

  2. There are six potential stages to the procedure:

    1. Informal complaint (paragraphs 2.1 - 2.4).
    2. Written complaint to Head of School/Service (paragraphs 2.5 - 2.9).
    3. Written complaint to the Director of Student Services (paragraphs 2.10 - 2.14).
    4. Written appeal to the Vice Chancellor (paragraphs 2.15 - 2.19).
    5. Appeal to Council (paragraph 2.20).
    6. Request to the Office of the Independent Adjudicator for Higher Education (paragraphs 2.22 onwards).

  3. 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, although complainants are entitled to be accompanied to hearings by a friend/representative from the Students' Union willing to speak on their behalf.

  4. 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.

  5. This procedure covers complaints concerning:

    • academic programmes (eg: cancelled tutorials, arrangements for placements);
    • staff (eg: poor services/behaviour, poor teaching, incompetence);
    • facilities (eg: halls of residence, poor access for the disabled, availability of appropriate accommodation);
    • services (eg: library, computing).

  6. The procedure does not cover the following as separate procedures exist for these matters:

    • appeals against academic assessment and progress decisions (information about academic appeals may be sought from the appropriate School Office or from the Education Quality Coordinator: Student Complaints, Appeals and Feedback);

    • disciplinary issues (information about disciplinary issues may be sought from the Head of Student Support);

    • harrassment (information about harassment may be obtained through the Student Advice and Information Centre or Harrassment Contacts5;

    • complaints relating to the Students' Union (information on complaints relating to the Students' Union may be sought from the Students' Union);

    • licence to practice requirements such as those used in Medicine and Education (this may be sought from the appropriate School offering vocationally-related programmes);

    • anonymous complaints; staff who receive anonymous complaints will be expected to use their discretion and judgement as to how to handle such complaints.

  7. Advice about the Complaints Procedure may be obtained from the appropriate School Office, the Students' Union Advice and Information Centre (SUAIC), or the Education Quality Coordinator: Student Complaints, Appeals and Feedback.

  8. 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 is available on the University's website and a summary is included in the Student Handbook.
2. The Complaints Process

Stage One : The Informal Complaint
  1. The Student Handbook6 sets out the general entitlements and responsibilities of students and is distributed to every incoming student at their initial registration. If a student believes that they have a legitimate complaint, they should refer in the first instance to the Student Handbook to clarify what it 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. 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 School Committee.

  3. The majority of complaints can be resolved satisfactorily on an informal basis.

    Informal Stage

    Actions for the complainant:
    1. The complaint should normally be made within two months of the actions (or lack of actions) that prompted the complaint.

    2. If possible, the complainant should first raise their complaint either orally or in writing with the individual who is the subject of the complaint.

    3. The complaint should state the remedy they are seeking.

    Actions for the subject of the complaint:

    1. The person who is the subject of the complaint shall respond to it normally within ten working days of the complaint being made (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).

    2. He/she shall retain a note of the substance of the complaint and any action taken.

    3. If he/she rejects the complaint, he/she must state his/her reasons for doing so.

  4. 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, the complainant is entitled to be accompanied by a friend/representative from the Students' Union. A friend or colleague may also accompany the person against whom the complaint has been made.

Stage Two: Written Complaint to Head of School or Service
  1. If the complainant is dissatisfied with the response they receive from 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 School (if it relates to an academic matter) or to the Head of the Service concerned (eg: The Librarian, the Director of Computing Services or the Director of Business Services (for issues relating to Halls of Residence, etc.).

  2. If a Head of School is the subject of the complaint, then the written complaint should be made to the Dean of the Faculty. If a Head of Service is the subject of the complaint, the written complaint should be made to the Secretary and Registrar7. If the complainant is unsure whom to approach at this stage, they may seek advice from the Education Quality Coordinator: Student Complaints, Appeals and Feedback or the Students' Union Advice and Information Centre.

  3. The written complaint should set out briefly:

    • the nature of the complaint;
    • the informal steps already taken;
    • details of the response received;
    • a statement as to why the complainant remains dissatisfied;
    • the remedy they are seeking.

  4. The Head of School or Service shall acknowledge receipt of a complaint, in writing, within five working days. The Head of School 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 receipt of a full response.

  5. If the investigation involves a face-to-face meeting between the Head of School or Service and the complainant and/or the person against whom the complaint has been made, the complainant is entitled to be accompanied by a friend/representative from the Students' Union. A friend or colleague may accompany the person against whom the complaint has been made. If the complaint is not upheld, reasons for this decision must be stated.

Stage Three : Written Complaint to the Director of Student Services
  1. If 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 Director of Student Services, enclosing copies of the correspondence (and any other relevant papers) exchanged during the earlier stages of the procedure.

  2. The Director of Student Services shall acknowledge receipt of a formal complaint, in writing, within five working days. Subect 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 - 2.9 above, the Director of Student Services 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;
    • further information from the members of staff involved in the earlier investigation of the complaint;
    • further information from the complainant.

  3. Additionally, the investigator(s) may call a hearing at which the complainant and any other persons involved may submit their respective cases. The complainant is entitled to be accompanied by a friend/representative from the Students' Union who may speak on their behalf if appropriate. A friend or colleague can also accompany the person against whom the complaint has been made and may speak on their behalf if appropriate.

  4. 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 proceding.

  5. 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 Director of Student Services containing such recommendations as may be appropriate. The Director of Student Services 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 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
  1. 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 2.10 to 2.14 above, 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 the decision on the complaint by the Director of Student Services, and should include copies of all previous correspondence and relevant papers.

  2. 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.

  3. The designated Deputy Vice-Chancellor 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 evidence to support the appeal that the case had not been handled properly or fairly. If the Deputy Vice-Chancellor determines that no such evidence exists, then the appeal shall be dismissed. If, however, the Deputy Vice-Chancellor is satisfied that there is evidence sufficient to establish a basis from which to support the appeal, 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 evidence to support the appeal and therefore that the appeal has been dismissed, or that the case is to be reviewed.

  4. 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 Director of Student Services on his/her behalf) shall ensure that any appropriate action and recommendation arising from the report is taken, and shall inform the appellant accordingly within thirty working days of acknowledging receipt of the appeal.

  5. The 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
  1. The decision of the Vice-Chancellor is final. However, 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". Students wishing to initiate a grievance to Council should write to the Secretary and Registrar within ten working days of receiving the result of the appeal, setting out the grounds on which they feel aggrieved and documenting the action they have taken to resolve the problem. The Secretary and Registrar will acknowledge receipt of the appeal within five working days. In such instances, a special committee is set up to reach a view whether there is a case for consideration and, if so, to consider the matter in detail and to reach an adjudication on behalf of Council.

  2. At the point at which these internal mechanisms are exhausted the University, through the Vice-Chancellor, will issue a Completion of Procedures letter.
Stage Six : Complaint to the Office of the Independent Adjudicator
  1. Should a student feel that his/her complaint has not been satisfactorily resolved through internal mechanisms, there is an external mechanism for review of the University's actions: this is through the Office of the Independent Adjudicator for Higher Education (OIA). Information about the OIA's procedures may be found from www.oiahe.org.uk/summary.asp, or in the OIA's Leaflet An Introduction to the Student Complaints Scheme which is available from the Students' Union, the Head of the Educational Development Service, the Head of Legal Services and (from October 2005) from the Student Services Centre. The paragraphs that follow (23 to 35) are based on this information.

  2. For the OIA to consider a student's case, the student must have exhausted the University's internal complaints procedures, and have received a 'Completion of Procedures' letter. The OIA will consider complaints from students or former students about:

    • a programme of study or research for which he or she is or was registered;
    • a service provided to him or her by a higher education institution;
    • a final decision by a higher education institution's disciplinary or appeal body;
    • a designated higher education institution programme validated or franchised by a higher education institution.

    It does not consider complaints which:

    • relate to a matter of academic judgement;
    • are or have been the subject of Court proceedings;
    • concern student employment matters;
    • relate to an institution which is not a higher education institution;
    • are about admission to a higher education institution.

  3. Students wishing to make a case to the OIA must normally do so within three months of the date of the Completion of Procedures letter. A complaint must be made in writing, normally using a Scheme Application Form. These forms are available from the Students' Union, the Head of the Educational Development Service, the Head of Legal Services or (from October 2005) from the Student Services Centre. Forms may also be downloaded from the OIA website www.oiahe.org.uk/docs/OIA_Application_Form_12-04.pdf or requested from the OIA by telephone or letter (see address in paragraph 25 below).

  4. Completed forms should be returned to: OIA, Fifth Floor, Thames Tower, Station Road, Reading RG1 1LXAM. The following documentation must also be enclosed: copy of the Completion of Procedures letter from the university/college; copies of the relevant letters, notes and other supporting documents; copy of the relevant rules and regulations of the university/college; copy of relevant third party statements; Monitoring Questionnaire (optional).

  5. It is preferable for the student/former student to handle the complaint himself/herself. However a friend, family member or Students' Union representative, for example, may represent the student provided that the complainant gives the OIA written authority to this effect, for example in the Scheme Application Form. In such cases, the student making the complaint will need to ensure that the representative is thoroughly briefed and readily accessible as the OIA will not correspond with both the student and the representative.

  6. The University is required to appoint an internal representative to manage any complaints taken to OIA. The name of the University's representative is included in the Completion of Procedures letter.

  7. The OIA's procedures are informal. The OIA will generally review a complaint based on information provided to them by the parties. The OIA is not a court and expects to decide most complaints without the need for face to face meetings or hearings.

  8. The student/former student will normally be advised within 21 days whether or not the complaint, or part of it, can be considered within the OIA's remit. If the complaint can be so considered, a copy will be sent to the University for comment. In some cases the OIA may require the University to respond to specific questions or a request for information. This will normally be completed within a 3 - 4 week period.

  9. The University's response will normally be sent to the student for comment. The student's response, and any further information requested by OIA, would normally be required within a 3 - 4 week period. The OIA Reviewer may need to ask the student or the University for some further information before issuing a decision.

  10. The OIA Reviewer will normally issue a draft decision so that both the student/former student and the University can comment on any material inaccuracies. Both parites will normally be asked to respond within 14 days. The OIA Reviewer will then issue a formal decision to both parties and, if the complaint is justified, it will usually be accompanied by the Reviewer's recommendations. This will normally be within 21 days of receipt of comments.

  11. In deciding whether a complaint is justified, the OIA will consider whether the University properly applied its regulations and followed its procedures and whether or not a decision made by the University was reasonable in all circumstances.

  12. Where a complaint is wholly or partly justified, the OIA Reviewer may recommend that the University does something or refrains from doing something. Recommendations may include (but are not limited to) the following:

    • That the complaint should be referred back to the University for fresh determination because its internal procedures have not been properly followed in a material way.

    • That the University should take a course of action that the OIA considers to be fair in the circumstances.

    • That the University should change the way it handles complaints or change its internal procedures or regulations.

    • That compensation should be paid to the complainant.

  13. HEIs are expected to comply with the OIA's formal decision and any recommendations in full and in a prompt manner. Recommendations may require the University to make an offer to the student. If the student accepts the offer, then he or she will not be able to take the complaint further. The student is not bound by recommendations and may reject them (if they have not accepted an offer) and pursue any other remedies available.

  14. Students considering pursuing a complaint through the OIA are strongly advised to make early contact with the Students' Union Advice and Information Centre (SUAIC).

1 Quality and Standards Committee reports to Senate and has responsibility for the development of the University's Quality Assurance policy and procedures in relation to students.
2 Senate is the head authority on all academic matters.
3 Policy and Resources Committee has primary responsibility for overseeing academic and non-academic resource issues.
4 Council has responsibility for the University's Governance and its membership includes 15 members who are neither employees nor officers of the University to help ensure that the University is governed impartially.
5 These are listed at: http://www.hr.soton.ac.uk/equalops/asp/other/equal_opps.asp
6 The Student Handbook is available on the web at: http://www.studentservices.soton.ac.uk/studenthbk/student%20handbook.pdf
7 This should be addressed to: Mr J F D Lauwerys, Secretary and Registrar, University of Southampton, Highfield, Southampton, SO17 1BJ.