University Calendar 2010/11
Section IV : General Regulations
Regulations Governing Student Complaints


PREFACE
CONTENTS
SEMESTERS
SECTION I
SECTION II
SECTION III
SECTION IV
SECTION V
SECTION VI
SECTION VII
SECTION VIII
SECTION IX
SECTION X
SECTION XI
SECTION XII
SECTION XIII
SECTION XIV
 
ARCHIVE 2004/5
ARCHIVE 2005/6
ARCHIVE 2006/7
ARCHIVE 2007/8
ARCHIVE 2008/9
ARCHIVE 2009/10
The student complaints procedure may be accessed in other formats: for further information please contact the Education Quality Coordinator, Student Complaints, Appeals and Feedback in the Learning and Teaching Enhancement Unit.
 
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) 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.
4. The Student Complaints Procedure aims to be clear. It has a preliminary dimension 'raising a concern' (see paragraphs 20 - 24) and a formal dimension (see paragraphs 25 - 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 Preliminary Procedure 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.
6. Two separate sets of guidance notes accompany this procedure (Guidance for Staff: Student Complaints Procedure and Guidance for Students: Student Complaints Procedure) which can also be found on the Student Services website.
   
Procedure
The Complaints Procedure covers complaints concerning:
  • academic programmes (eg: tutorials cancelled and not rearranged; timetable issues);
  • staff (eg: poor services, inappropriate behaviour, poor teaching, incompetence);
  • facilities (eg: halls of residence, poor access for the disabled, issues linked with accommodation, catering);
  • services (eg: Library, iSolutions, 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 that 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.
7. 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.
8. 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
9. 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 Staff Student Liaison Committees or 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.
10. 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.
11. Academic Appeals
  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.
12. 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.
13. 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 Education Quality Coordinator: Student Complaints, Appeals and Feedback who will ensure that it enters the Complaints Procedure at the appropriate point.
14. 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.
15. Fitness to Practise 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.
16. 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. You will need to consult the Halls Regulations.
17. Dignity at Work and Study Policy
  If a complaint from a student relates to allegations of inappropriate behaviour by a member of staff and as a result their dignity at work and study has been infringed, it will be dealt with in accordance with the procedures of the Dignity at Work and Study Policy. For support and guidance about behaviours which are covered under this policy, please contact the Students' Union Advice and Information Centre (SUAIC) and/or a University Harassment Contact. Students wishing to make a complaint should do so through the Student Complaints Procedure documented below. If a complaint from a student relates to allegations of inappropriate behaviour by another student in the University this will be investigated in accordance with the Discipline procedures.
18. Reimbursement of Expenses
  If a complaint is upheld the University, the 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.
19. Vexatious, Malicious or Persistent Complaints
  The University will invoke the disciplinary procedures under the Student Disciplinary Policy 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 the Student Services Centre in Student Services.)
   
Stage One : Preliminary 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 Guidance for Students: Student Complaints Procedure to clarify what is reasonable to expect from the University in the relevant area, and whether they have themselves discharged their corresponding responsibilities.
20. 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. The student will be offered an opportunity of a facilitated meeting. This facilitation may be undertaken by a member of the University's Mediation Service.
21. In the case of a student complaint in which their dignity at work and study has been infringed by a member of University staff, alternative resolution techniques such as mediation will be offered. Students will have the opportunity to have a meeting, facilitated by a member of the University's Mediation Service, with the person against whom the complaint has been made. The mediation service can be accessed by contacting the diversity office. An internal Harassment Contact Scheme is in place to provide advice and support to students who feel they have been the subject of harassment, bullying or victimisation.
22. 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.
23. The concern/complaint should be raised within 2 months of the incident first occurring with the relevant School or Service (see Appendix C). 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.
24. 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
25. Written Complaint to Head of School or Director of Service
 
  1. If the student is dissatisfied with the response they receive from the Preliminary Procedure 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 iSolutions, Director of Student 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 Registrar and Chief Operating Officer. 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 a Stage 2 Complaints Form (see Appendix A) which sets out briefly:

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

  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 5 working days. The Head of School or Service will make sure that the Complaint Form is circulated to appropriate staff including the School Manager and any staff who may be the subject of the complaint. 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. In the case of a student complaint which alleges an infringement of their dignity at work and study, the investigator of the complaint should be independent of any links to the person(s) who has been cited in the complaint and the student who has made the complaint. In effect, the investigator should not be situated in the School in which the student is enrolled or a member of staff cited in the complaint is working. In the case of a service-related complaint, the investigator should not be situated in the same Service in which the person(s) who has been cited the complaint is employed.

  5. To assist in the investigation 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
26. Written Complaint to the Registrar and Chief Operating Officer
 
  1. If the student remains dissatisfied with the written response from the Head of School or Service they should, within 10 working days of receiving the response, refer the matter in writing to the Registrar and Chief Operating Officer 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 written complaint, including the Stage 2 Complaints Form, should be completed on the Stage 3 Complaints Form (see Appendix E) which sets out briefly:

    • the date when the student submitted the Stage 2 form and the date the School/Service responded following the investigation

    • the details of the complaint (with relevant evidence) and reasons why the student is still dissatisfied

    • the desired outcome/remedy the student is seeking.

  3. The Registrar and Chief Operating Officer shall acknowledge receipt of a complaint in writing within 5 working days. Subject to the Registrar and Chief Operating Officer being satisfied that the student has taken all reasonable steps to resolve the matter at an earlier stage, he/she shall appoint a person (usually the Education Quality Coordinator: Student Complaints, Appeals and Feedback) 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.

  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 Registrar and Chief Operating Officer containing such recommendations as may be appropriate. The Registrar and Chief Operating Officer 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. In relation to the outcome, the decision of the Registrar and Chief Operating Officer is final. At this point the internal complaints procedures of the University of Southampton have been completed and a Completion of Procedures letter will be issued by the Vice-Chancellor.
   
Further Action
27. 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. Students wishing to make a case to the OIAHE must normally do so within 3 months of the date of the Completion of Procedures letter. A complaint must be made in writing using a Scheme Application Form. The OIAHE will not normally consider a complaint unless it is received within 3 months from the date of the Completion of Procedures letter.
  The OIAHE scheme covers complaints about an act or omission of a Higher Education Institution (HEI) made by:

  • a student at that HEI; or
  • a student at another institution undertaking a course of study or programme of research leading to the grant of the HEI's award.
  The OIAHE scheme does not cover a complaint to the extent that:

  • it concerns admission to an HEI;
  • it relates to a matter of academic judgement;
  • the matter is, or becomes, the subject of court or tribunal proceedings;
  • it concerns a student employment matter;
  • in the opinion of the reviewer the matter complained about does not materially affect the complainant as a student;
  • it has been dealt with (or is being dealt with) under any previous rules of the OIAHE;
  • it is made by the personal representative of a student and the OIAHE had not received a Scheme Application Form.
  Contact details for the Office of the Independent Adjudicator are:

Office of the Independent Adjudicator
3rd Floor
Kings Reach
38-50 Kings Road
READING
Berks RG1 3AA
Tel: 01189 599813
Email: enquiries@oiahe.org.uk
   
Monitoring, Evaluation and Training
28. Complaints from students will be monitored, on an annual basis, by Schools, Services, Faculties and the University. The outcome of such monitoring may also inform other processes or activities such as programme design, teaching and supervision or service delivery and enhance the quality of the student learning experience.
29. Learning and Teaching Enhancement Unit and the Students' Union relevant Sabbatical Officers and Advice and Information Centre will organise activities and training to raise awareness of the Student Complaints Procedure and how it is to be used. Learning and Teaching Enhancement Unit will also provide support and guidance notes for staff and students in handling complaints and resolving them as close as possible to the point of origin.
   

APPENDIX A : COMPLAINTS FORM - STAGE 2
APPENDIX B : PERSON TO WHOM APPROACH MAY BE MADE
APPENDIX C : STAGES AND TIMING OF THE COMPLAINTS PROCEDURE
APPENDIX D : FLOW CHART OF COMPLAINTS PROCEDURE
APPENDIX E : COMPLAINTS FORM - STAGE 3
APPENDIX F : COMPLAINTS GUIDANCE NOTES FOR STUDENTS
APPENDIX G : COMPLAINTS GUIDANCE NOTES FOR STAFF

Submitted by Corporate Services
Last reviewed: 23-Aug-2010
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