University Calendar 2006/7
Section IV
Regulations Governing Student Complaints
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POLICY
Principles Underlying Procedure
Introduction
The University of Southampton has established processes to deal with complaints from students. This is part of its commitment to ensure a high quality educational experience for all our students. It is the intention of the University to use the Complaints Procedure in a positive spirit. The University defines a complaint as any specific concern about learning/teaching related or service related provision (see under the heading 'Procedure' for types of complaints covered).
1. The University will seek to ensure that all complaints are treated constructively and promptly with fairness and consistency and with due regard to the University's policies. Students will not suffer any disadvantage or recrimination as a result of making a genuine complaint.
2. Students may, if they wish, have a friend (staff or student) or independent representative from the Students' Union Advice and Information Centre (SUAIC) or supportive staff member from the School accompany them to provide appropriate support, guidance or representation at any stage of the complaint.
3. All complaints will be considered with the highest level of confidentiality that can be maintained whilst still allowing for consultation with appropriate persons required to investigate the complaint, with the proviso that any individual against whom a complaint is made has a right to be informed of the complaint. There will be no recrimination for a student who makes a complaint.
4. The Student Complaints Procedure aims to be clear. It has an informal dimension 'raising a concern' (see paragraphs 19 - 22) and a formal dimension (see paragraphs 23 - 26). It is hoped that most complaints can be resolved informally by students pursuing matters directly with the staff in their Schools or with relevant Services. Only when the informal stage has been undertaken and the student remains dissatisfied should the complaint be taken to the Formal Procedure.
5. If the complaint is upheld, the University shall apply such remedies as are within its powers. Remedies may include amending policy.
   
Procedure
The Complaints Procedure covers complaints concerning:
  • academic programmes (eg: tutorials cancelled and not rearranged; timetable issues);
  • staff (eg: poor services/behaviour, poor teaching, incompetence);
  • facilities (eg: halls of residence, poor access for the disabled, unavailability of appropriate accommodation);
  • services (eg: Library, ISS, Fees or Finance).
Protocols
Normally a complaint is made by one individual.
Where a complaint is brought by a group of students, normally one person should be prepared to be a spokesperson and correspondent for the purposes of the Formal Procedure, and each member of the group must be able to demonstrate thaat he/she has been personally affected by the matter which is the subject of the complaint. In addition, all students must agree in writing to the spokesperson acting on his/her behalf.
Where a complaint is made anonymously, it will not be possible for it to be investigated under the complaints procedure.
A complaint may not normally be lodged by a third party. This includes complaints made by a parent or spouse of the student concerned. In exceptional circumstances, if a complaint is made on behalf of a student, it will only be undertaken with the student's written agreement to the concerns raised and written consent for an investigation to be carried out.
Students should be aware that the following protocols determine how the Complaints Procedure will be applied in specific circumstances.
6. Access to Information
  Students pursuing a complaint through this Procedure will be entitled to apply for access to their own personal data in accordance with the policies and procedures of the University under the provisions of the Data Protection Act 1998 and other legislation.
7. Admissions Complaints
  There is a separate policy for Complaints relating to Admissions. This can be found in Section IV of the University Calendar: Regulations Governing Complaints from Applicants
8. Complaints about the Nature or Application of Existing Policies or Procedures
  The Complaints Procedure may not be appropriate if the complaint concerns the process or content of an established University Policy or procedure. In the first instance issues of this nature should instead be channelled through the student representative system and raised through Programme, School or University committee structures as appropriate. Academic matters relating to the content or delivery of courses, modules or programmes should be addressed through Programme Representatives.
9. Complaints from Students at Accredited Institutions/Universities
  Students studying at accredited Universities/Institutions are required to follow their respective institution's complaints procedures both informally and formally.
10. Complaints Relating to Academic Assessment
  Complaints relating to appeals against academic assessment and progress decisions by a Board of Examiners will be dealt with under separate regulations. Please see the Regulations Governing Appeals by Students on Taught Courses and the Regulations Governing Appeals by Postgraduate Research Students.
11. Complaints Relating to the Students' Union
  Complaints relating to the Students' Union will not be dealt with under the Complaints Procedure. If there is a complaint against Students' Union staff, please write to the Permanent Secretary of the Students' Union. If there is a complaint against other students, please write to the President of the Students' Union.
12. Complaints sent directly to the Vice-Chancellor or Equivalent
  Should a complaint be received by the Vice-Chancellor or other staff member of similar standing, it will be acknowledged and referred to the Student Complaints and Appeals Coordinator who will ensure that it enters the Complaints Procedure at the appropriate point.
13. Disciplinary Issues
  If a complaint relates to allegations of misconduct of a student, it will be dealt with by the relevant Schools or Services in accordance with the procedures laid out in the appropriate student Discipline Policy.
14. Fitness to Practice Regulations and Placement Regulations
  These should be accessed from your School via your specific discipline or subject area as they may vary according to subject area and professional body guidelines.
15. Halls of Residence
  If a complaint relates to a University Hall of Residence, this should initially be dealt with by the Hall Manager or Warden.
16. Harassment/Bullying Issues
  If a complaint relates to allegations of harassment by a member of the University community, it will be dealt with in accordance with the procedures of the Harassment Policy. For more information about harassment, please contact the Students' Union Advice and Information Centre. The Complaints Procedure may be used after the Harassment Procedures have detailed a response. The student may wish to complain about the way in which the Head of School or Head of Service has dealt with the case of harassment.
17. Reimbursement of Expenses
  If a complaint is upheld the University, by prior agreement (School or Service), may be asked to meet the reasonable and proportionate expenses necessarily incurred by a successful complaint. These will include reimbursement of bank charges if the University has made a mistake as a result of which the student has been charged in a financial transaction. It is reasonable to expect that any expense claim will be supported by proper documentation.
18. Vexatious, Malicious or Persistent Complaints
  The University will invoke the disciplinary procedures under the Student Disciplinary Code in those cases where complaints are found to be vexatious, malicious or persistent to the point of constituting a nuisance. A vexatious or malicious complaint is defined as a complaint which is patently unsustainable having been put forward so as to abuse the process of the Complaints Procedure or, for example, to attempt to defame the name or character of another person. (Information about disciplinary issues may be sought from the Head of Student Support.)
   
STAGE ONE : INFORMAL PROCEDURE
Raising a Concern
The Student Handbook setS out the general entitlements and responsibilities of students for their education experience at the University. If a student believes they have a legitimate concern/complaint they should refer to these documents to clarify what is reasonable to expect from the University in the relevant area, and whether they have themselves discharged their corresponding responsibilities.
19. A student should first raise their concern with one of the people in the table in Appendix B. Most complaints can be resolved informally and, where practical, a complaint should be dealt with as close as possible to the point at which it arises. The concern/complaint should be made orally and by email, and the student should state the issues which have arisen and a possible remedy they are seeking.
20. Where the subject of the concern/complaint is of a general nature, it might be more appropriate for the student to raise the matter with a student representative or staff tutors at the Staff Student Liaison Committee (SSLC) or other School Committee. There will be no recrimination for a student who makes a complaint.
21. The concern/complaint should be raised within two months of the incident first occurring with the relevant School or Service (see Appendix B). The School or Service should respond promptly and normally within 30 working days to the concerns raised by the student and should retain a note of any actions taken. If the concern/complaint is rejected, reasons for doing so should be clearly communicated to the student.
22. If the concern/complaint is rejected by the School/Service, reasons for doing so should be clearly communicated to the student. If the student is dissatisfied with these outcomes they may move to Stage 2, the Formal Complaints Procedure. In doing so they will need to complete a Complaints Form (Appendix A) normally within 30 working days of receiving a response from the School. This must be submitted in accordance with the procedure set out below.
   
STAGE TWO : FORMAL COMPLAINTS PROCEDURE
23. Written Complaint to Head of School or Director of Service
 
  1. If the student is dissatisfied with the response they receive from the informal process they should submit, within 30 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 Service concerned (eg: the Librarian, the Director of Information Systems Services or the Director of Business and Community Services). In the case of complaints relating to financial transactions, these should be made to the Assistant Director of Finance.

  2. If a Head of School is the subject of the complaint, then the completed complaint form should be sent to the Dean of the Faculty. If a Director of Service is the subject of the complaint, the written complaint should be made to the Secretary and Registrar. If the student 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 (SUAIC).

    The written complaint should be completed on the Complaints Form (see Appendix A) which sets out briefly:

    • the nature of the complaint (with relevant evidence) and timescales;
    • the informal steps already taken;
    • details of the response received;
    • a statement as to why the student remains dissatisfied;
    • the remedy the student is seeking.


  3. The Head of School or Service shall acknowledge receipt of a complaint in writing (this includes email if the complaint has been submitted by email) within five working days. The Head of School or Service shall undertake to investigate the complaint and shall submit a written response to the student, normally within 30 working days of receipt of the complaint. If it should prove impossible to respond fully within this time period, the student shall be informed in writing of the timescale for receipt of a full response.

  4. The Head of School or Director of Service may, at their discretion, invite the student and/or their representative to a meeting with or without the person(s) against whom the complaint has been made. Both parties are entitled to be accompanied by a person not acting in a legal capacity. Students are advised to have a friend (staff or student), or an independent representative from the Students' Union Advice and Information Centre (SUAIC) accompany them to provide appropriate support, guidance and representation.

    If the complaint is rejected by the School/Service, reasons for doing so should be clearly communicated to the student. If the student is dissatisfied with this outcome they may move to Stage Three of the Formal Complaints Procedure. This must be done in accordance with the procedure set out below.
   
STAGE THREE : FORMAL COMPLAINTS PROCEDURE
24. Written complaint to the Director of Student Services or, for complaints which are purely about financial transactions, to the Director of Finance
 
  1. If the student remains dissatisfied with the written response from the Head of School or Service they shoud, within 10 working days of receiving the response, refer the matter in writing to the Director of Student Services (or the Director of Finance if the complaint involves only a financial transaction), enclosing the original Complaints Form, a covering letter and copies of the correspondence (and any other relevant papers) exchanged during the earlier stages of the Complaints Procedure.

  2. The Director of Student Services or Director of Finance (as relevant) shall acknowledge receipt of a complaint in writingwithin five working days. Subject to the Director of Student Services (or Director of Finance) being satisfied that the student has taken all reasonable steps to resolve the matter informally using the procedures in paragraphs 19 to 22 above, the Director of Student Services (or Director of Finance) 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 and evidence submitted;
    • further information from the members of staff involved in the earlier investigation of the complaint;
    • further information from the student.


  3. Additionally, the investigator(s) may call a meeting (see guidance in Appendix E) at which the student and any other persons involved may submit their respective cases.

  4. After investigation of the complaint, the investigator(s) shall write a report which discusses whether the complaint is justified or not. The report shall be submitted in writing to the Director of Student Services (or Director of Finance) containing such recommendations as may be appropriate. The Director of Student Services (or Director of Finance) shall determine what action, if any, shall be taken and shall communicate this in writing to the student and all other relevant parties normally within 30 working days of the date of acknowledging receipt of the formal complaint. If it should prove impossible to respond fully within this time period, the student shall be informed in writing of the timescale for receipt of a full response.

  5. If the student is dissatisfied with this outcome or the investigation, they may move to Stage Four (dissatisfaction with the investigation) and Stage Five (dissatisfaction with the outcome) of the Formal Complaints Procedure. This must be done in accordance with the procedure set out below. If the student does not wish to move to the next stages, a Completion of Procedures letter will be issued by the Vice-Chancellor.
   
STAGE FOUR : FORMAL COMPLAINTS PROCEDURE
Dissatisfaction with the Procedure
25. 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. If the student believes, however, that their complaint was not handled properly or fairly in accordance with the procedures set out in paragraphs 24(a) to (d) above, or that there was some procedural irregularity, then they may submit a letter of appeal to the Vice-Chancellor requesting a review of the investigation. The letter must set out the reasons for requesting a review and should normally be submitted within 10 working days of the decision at Stage Three; it should include all previous correspondence and relevant papers. Dissatisfaction with the outcome of a complaint at previous stages shall not constitute an acceptable reason for appeal.

  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 student 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 is deemed necessary, shall determine whether there is evidence to support the appeal that the case has not been handled properly or fairly. If the Deputy Vice-Chancellor determines that no such evidence exists then the appeal shall be dismissed at which point a Completion of Procedures Letter will be issued by the Vice-Chancellor. 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 will review the case.

  4. The student will be informed, normally within 30 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.

  5. 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 recommendations arising from the report, is taken and shall inform the student accordingly normally within 30 working days of acknowledging receipt of the appeal, at which point a Completion of Procedures letter will be issued by the Vice-Chancellor.
   
STAGE FIVE : FORMAL COMPLAINTS PROCEDURE
Dissatisfaction with the Outcome
26. Grievance to Council
 
  1. A student may submit a grievance to Council under the University's Statutes (number 18[20]) to ask the Council "to entertain, adjudicate upon and, if thought fit, redress any grievance".

  2. Students wishing to initiate a grievance to Council at this point should have been through the formal complaints procedure. They should write to the Secretary and Registrar within 10 working days of receiving the result of the complaint at Stage Three, setting out the grounds on which they feel aggrieved, documenting the action they have taken to resolve the problem and any new evidence which may have emerged. The Secretary and Registrar will acknowledge receipt of the appeal within five working days. In such instances, a special committee is set up, normally within 30 working days, to reach a view as to 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.

  3. At the point when these internal mechanisms are exhausted the University, through the Vice-Chancellor, will issue a Completion of Procedures letter.
   
FURTHER ACTION
27. If, after exhausting the Informal and Formal Procedures, the response is not considered by the student to be satisfactory, a Completion of Procedures letter will be issued by the Vice Chancellor. The student may request a review from the Office of the Independent Adjudicator for Higher Education (OIAHE). Information about the OIAHE's procedures may be found at www.oiahe.org.uk or in the OIAHE's leaflet 'An Introduction to the Student Complaints Scheme' which is available from the Students' Union Advice and Information Centre (SUAIC) and the Student Services Centre.
  The OIAHE will consider complaints from students or former students about:

  • a programme of study or research for which he/she is or was enrolled;
  • 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 of 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.
  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 using a Scheme Application Form.

Contact details for the Office of the Independent Adjudicator are:

Office of the Independent Adjudicator
5th Floor
Thames Tower
READING
Berks RG1 1LX
Tel: 01189 599813
Email: enquiries@oiahe.org.uk
   
MONITORING, EVALUATION AND REVIEW
28. Heads of Schools and Services will monitor, on an annual basis, formal 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 the student; student'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 at Stage Three to the Director of Student Services (or Director of Finance) will be monitored. The Complaints Form submitted at Stage Two should be copied to the Student Complaints/Appeals Coordinator and the Faculty Executive Officer for monitoring purposes.
29. The Complaints Procedure for students is one aspect of the University's quality assurance and enhancement procedures; complaints are therefore considered as useful feedback and, where appropriate, will be used to facilitate improvements to services and facilities. A special meeting of the Academic Quality and Standards Committee (AQSC), chaired by the Vice-Chancellor, will be convened in September each year to consider student feedback from different sources, including via the complaints mechanism.
30. AQSC may make recommendations to Senate on matters requiring changes to academic policy, or to other relevant committees 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.
31. Senate and Council will receive a report annually 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.
   
TRAINING AND AWARENESS
32. Student Services and the Students' Union Advice and Information Centre will organise activities to raise awareness of the Complaints Procedure and how it is to be used. Student Services will also provide support and guidance notes for Schools/Services, and students, in handling complaints and resolving them as close as possible to the point of origin.
   

APPENDIX A : COMPLAINTS FORM - FORMAL PROCEEDINGS
APPENDIX B : PERSON TO WHOM APPROACH MAY BE MADE
APPENDIX C : STAGES OF THE COMPLAINTS PROCEDURE
APPENDIX D : FLOW CHART OF COMPLAINTS PROCEDURE
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Submitted by the Editors
on behalf of the the Secretariat.
Last reviewed: 18/10/06
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