Resolving Student Complaints
The University’s Regulations for dealing with complaints and related concerns raised by individual students |
These regulations may be accessed in other formats: for further information please contact the Head of Academic Appeals and Student Complaints in the Vice-Chancellor’s Office.
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| A. Preliminary Matters |
| 1. |
Issues Covered by these Regulations
Under these Regulations students may raise complaints or related concerns relating to the following areas (the list is not exhaustive): |
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1.1 |
Issues with Academic Programmes |
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1.2 |
Issues with University Staff |
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1.3 |
Issues with Facilities |
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1.4 |
Issues with Services |
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These Regulations do not cover: |
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1.5 |
Admissions complaints (see Regulations Governing Complaints from Applicants). |
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1.6 |
Academic Appeals against an academic assessment or progress decision by a relevant body (see Regulations Governing Academic Appeals by Students). |
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1.7 |
Complaints or related concerns raised about the nature or application of existing policies. In the first instance issues of this nature should be channelled through the Staff Student Liaison Committee or raised through Programme, Faculty or University Committee structures. Academic matters relating to content or delivery of modules, courses or programmes should be addressed through course or programme representatives. |
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1.8 |
Complaints raised by students at other Accredited Institutions / Universities; students are required to follow their respective Institution’s regulations both informally and formally. |
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1.9 |
Complaints relating to the Students’ Union (see SUSU Complaints Procedure). |
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1.10 |
Student discipline issues (see Student Discipline Regulations and Procedures). |
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1.11 |
A breach of the Dignity at Work and Study Policy which has been raised against another student (see Dignity at Work and Study Policy, Appendix 3). |
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1.12 |
A complaint raised by one student about another student (see Student Discipline Regulations). |
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1.13 |
Students wishing to raise issues related to Fitness to Practise and Placements should do so with their Faculty via the procedures applicable to their specific discipline or subject area. |
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1.14 |
A student cannot raise a complaint about a matter that is proceeding under another set of Regulations such as Academic Appeals Regulations or Student Discipline Regulations. If at the end of those proceedings the student has grounds for complaint that may be dealt with under these Regulations that are not the subject matter of procedures carried out under other Regulations, the complaint may proceed under these Regulations. |
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| 2. |
Principles and Scope |
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2.1 |
The University of Southampton has established processes to deal with issues and matters of complaint or related concerns raised by students initially at an informal level and then at a formal level. This is part of its commitment to ensure a high quality educational experience for all students. It is the intention of the University to address complaints or related concerns in a positive spirit, and to try and ensure that any issues are resolved quickly at the local level. |
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2.2 |
The University will seek to ensure that any complaint or related concern raised by any student is treated constructively and promptly with fairness and consistency and with due regard to the University’s policies. The University seeks to improve the student experience by analysing its working practices and procedures. It expects to provide reasons for its ways of working and to learn from students’ feedback and suggestions how their experience can be enhanced. All constructive suggestions will be listened to and treated with respect. |
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2.3 |
The aim of these Regulations shall be to resolve complaints or related concerns that arise at the earliest possible stage, avoiding recourse to the formal stages of the procedures unless the matter cannot be resolved informally. |
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2.4 |
If the student is found to have a legitimate cause for complaint or related concern, the University shall be able to propose any resolution to the student that it considers reasonable and is within its powers. As part of continuous improvement the University will seek to review its processes regularly and in light of any issue raised by a student. |
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2.5 |
These Regulations are generally aimed at the situation where a complaint or related concern is raised by an individual student; however where a complaint or related concern is raised by a group of students, normally one student should be prepared to be the spokesperson and correspondent for the purposes of the formal procedure. Each member of the group must be able to demonstrate that s/he has been personally affected by the matter which has been raised. In addition, all students must agree in writing to the spokesperson acting on their behalf. |
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2.6 |
Issues raised anonymously by students cannot be investigated under these Regulations. |
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2.7 |
A complaint raised by a third party will not usually be considered under these Regulations. This includes issues raised by parents, guardians, relatives or the spouse/partner of a student. In exceptional circumstances, if a complaint is raised on behalf of a student, it will be considered if the student has provided written agreement to the matter being raised by the third party and to an investigation being carried out under these Regulations provided it is accompanied by valid reasons from the student as to why the student is unable to raise the complaint himself/herself. |
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2.8 |
Students should raise a complaint or related concern about an event or issue as soon as possible after it occurs and normally within 30 working days. Students who have left the University may raise a complaint or related concern under these Regulations provided they do so within 40 working days of their departure. The University will only consider matters raised outside the stated timescale in exceptional circumstances. |
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2.9 |
Under these Regulations students can raise complaints or related concerns about matters arising either within their Faculty or within a University service. (The University’s services are formally called ‘Professional Services’ but in these Regulations they are referred to as ‘Services’). |
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| 3. |
Confidentiality |
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3.1 |
Any complaint or related concern raised by a student will be treated with the highest level of confidentiality that can be maintained. However, this shall not preclude the University from disclosing information where necessary to allow an investigation to be carried out properly, for the discharge of duties or as required by law nor shall this preclude the University, where appropriate, from disclosing information about any outcome under these Regulations. |
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3.2 |
To be consistent with the concept of natural justice any individual against whom a complaint has been raised has the right to be informed of the nature of the allegations made against them and to be given an opportunity to respond. |
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3.3 |
There may be cases where it is appropriate to preserve confidentiality in relation to the identity of witnesses where there is reasonably perceived to be a need to protect any student or member of staff from the risk of intimidation or retribution. Likewise, it may be necessary to adapt these Regulations and procedures where it is considered undesirable for any one person to give evidence in the presence of another. Where a person against whom allegations have been made is not aware of the identity of all those who have given evidence, due weight to this factor must be given and the individuals’ responses to the allegations must be seen in this context. Natural justice must be observed, meaning that such an individual has the right to fully understand the case made against him/her. |
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| 4. |
Monitoring |
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4.1 |
Complaints raised by students under these Regulations will be monitored on an annual basis, by Faculties, Services 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 opportunity. |
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| B. Procedures for Resolving Student Complaints or related concerns |
| 5. |
Introduction |
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5.1 |
The procedure for resolving student complaints or related concerns aims to be clear. It has a Preliminary Procedure - ‘Raising a complaint or related concern’ (see paragraph 7) and a Formal Procedure (see paragraphs 8 and 9). It is hoped that most complaints or related concerns raised by students can be resolved informally by pursuing matters directly with staff in the Faculty or Service concerned. Only when the Preliminary Procedure has been concluded and the student remains dissatisfied with the outcome should the issue move to the Formal Procedure. |
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5.2 |
Each case will be considered on its own merit and in accordance with the evidence and circumstances presented. The University therefore has absolute discretion to determine which stage of the procedure if any will be applied in any particular case taking into account the matters under consideration. |
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5.3 |
Reasonable adjustments to the procedures can be made, when appropriate, for students with additional needs or to allow for other factors that would otherwise place a student at a disadvantage. |
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5.4 |
The University encourages all students and staff to use mediation to try to resolve issues that cannot be sorted out directly with the Faculty or Service. The University’s Mediation Service http://www.soton.ac.uk/hr/support/mediation/index.html is available from the earliest point at which a complaint or related concern is raised. |
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5.5 |
SUSU have produced and online guide to the University's complaints and appeals procedures called Problems Affecting Your Studies. This guide is available at http://www.susu.org/help-and-support/advice-centre/2012/ . Further guidance for students and staff can be found at http://www.southampton.ac.uk/studentadmin/appeals/. |
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5.6 |
During all stages of this Procedure, students may be accompanied by a member of the University – usually either a member of staff or a fellow student, or by a representative from the SUSU Advice Centre who can be contacted on advice@susu.org. |
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| 6. |
Protocols |
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6.1 |
Mediation - The University encourages the use of mediation to resolve complaints or related concerns and mediation will be available to the parties through the University’s Mediation Service at any point in the procedure. |
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6.2 |
Complaints sent directly to the Vice-Chancellor or Equivalent – should a complaint be received by the Vice-Chancellor or other staff member in a senior capacity, it will be acknowledged and referred to the Head of Academic Appeals and Student Complaints who will ensure it enters this Procedure at the appropriate point. |
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6.3 |
Dignity at Work and Study Policy – Students may raise a complaint or related concern under these Regulations relating to an allegation of inappropriate behaviour by a member of staff contrary to the Dignity at Work and Study Policy. For support and guidance about behaviours which are covered under this policy, please contact SUSU and/or a University Harassment Contact http://www.soton.ac.uk/hr/support/harassment/index.html. Students wishing to raise such an issue in relation to another student should not do so through these Regulations but should refer the matter for consideration under the Student Discipline Regulations. |
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6.4 |
Reimbursement of Expenses – in appropriate circumstances, if the University considers that a student has had legitimate cause for complaint, the Faculty or the Service may be asked to meet the reasonable and proportionate expenses necessarily incurred in accordance with the University’s usual policies on expenses and subject to receipt of appropriate documentation. |
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6.5 |
Vexatious, Malicious or Persistent Complaints – a vexatious or malicious complaint is defined as a complaint which is patently unsustainable and has been put forward, for example, with the intent of creating a nuisance or distress, or of harassing or defaming staff or students at the University. Where complaints are found to be vexatious, malicious or persistent to the point of constituting a nuisance, the University will invoke the Student Discipline Regulations. |
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| 7. |
Stage 1: Preliminary Procedure – ‘Raising a complaint or related concern’ |
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7.1 |
The University of Southampton Student Handbook sets out the general entitlements and responsibilities of students for their education experience at the University http://www.soton.ac.uk/quality/strategies/sed.html. If a student believes they have a legitimate complaint or related concern they should refer to the Student Handbook to clarify what it is reasonable to expect from the University in the relevant area, and whether they have discharged their corresponding responsibilities. Students are encouraged to raise legitimate concerns and assured that all constructive suggestions will be listened to and treated with respect. |
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7.2 |
We aim to resolve any complaints or related concerns raised informally at the local level and to achieve resolution without recourse to the formal stages of this procedure. A student should first raise their complaint or related concern with one of the people in the table in Appendix B. Most complaints or related concerns can be resolved informally. Where practical, any issue should be dealt with by those directly involved in the subject matter. The complaint or related concern should be raised orally or by email and the student should state the issues which have arisen and the preferred outcome they are seeking. |
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7.3 |
The member of staff to whom the complaint or related concern is addressed shall make all reasonable efforts to resolve the matter at the preliminary stage. A meeting should be held with the student and advice and support may be provided by an adviser from SUSU advice@susu.org who may attend the meeting at Stage 1 with the student. |
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7.4 |
The parties are encouraged to consider whether mediation would be of assistance at this stage and, if it is thought that mediation would be of assistance, to contact the University’s Mediation Service for advice. |
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7.5 |
The Faculty or Service should respond promptly and normally within 30 working days of the complaints or related concerns which have been raised by the student and should retain a brief summary of discussions and any actions agreed. A copy of the brief summary should be sent to the student for information and clarity of the outcome at Stage 1. |
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7.6 |
If the student is not satisfied with the response or outcome received at Stage 1, they may proceed to Stage 2, which is the first formal part of the procedure for resolving student complaints. In doing so the student will need to complete a Stage 2 Form (Appendix A) detailing their complaint or related concerns normally within 20 working days of receiving a response from the Faculty or Service. This must be submitted in accordance with the procedure set out below in paragraph 8. |
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| 8. |
Stage 2: Formal Procedures for Making a Complaint |
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8.1 |
If the student is not satisfied with the response received from the Faculty or Service at Stage 1 of the procedure they should submit, within 20 working days of the date of the response, a Stage 2 form to the Dean of the Faculty (if it relates to an academic matter) or the Director of the Service (if it relates to a facility or service). |
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8.2 |
If the student’s complaint or related concerns relate to the actions of the Dean of the Faculty, then the completed Stage 2 form should be sent to the Provost. If a Director of Service is the subject of the complaint or related concern, then the completed Stage 2 form should be sent to either the Registrar or the Chief Operating Officer. In such cases the Provost/Registrar/ Chief Operating Officer as appropriate shall appoint a nominee to deal with the matter raised at Stage 2. If the student is unsure whom to approach at this stage please seek advice from the Head of Academic Appeals and Student Complaints in the Vice-Chancellor’s Office or the SUSU Advice Centre. |
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8.3 |
The complaints being raised by the student should be set out on a Stage 2 form (Appendix A) which sets out briefly:
| 8.3.1 |
Confirmation that Stage 1 has been undertaken and the student has received a response. |
| 8.3.2 |
The details of the issues which the student has raised with relevant evidence and timescales. |
| 8.3.3. |
The preferred outcome the student is seeking. |
| 8.3.4 |
A statement as to why the student is not satisfied with the outcome at Stage 1. |
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8.4 |
Students should take care to raise all matters of complaint or related concern and put forward all supporting evidence at Stage 2, as they will not be able to raise new matters at Stage 3 and additional evidence will not be permitted unless they can show good reason as to why the new evidence /information was not available to them to put forward at Stage 2. It is important to comply with this as the grounds for review at Stage 3 are very limited. |
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8.5 |
The nominee of the Dean of the Faculty (normally an Associate Dean) or Director of the Service will:
| 8.5.1 |
Acknowledge receipt of Stage 2 Form, normally within 5 working days. In the case of an academic matter the nominee of the Dean of the Faculty will inform the Faculty Education Manager that a Stage 2 Form has been received. |
| 8.5.2 |
Appoint a person, independent of the complaint or related concern raised, who will investigate the matter on her/his behalf and provide their findings in a report to assist the nominee of the Dean or Director in making a decision. |
| 8.5.3 |
Determine that if the complaints or related concerns allege an infringement of the Dignity at Work and Study Policy, the investigator should not be situated in the Academic Unit in which the student is enrolled or the staff member cited in the allegation is working. In the case of a Service related allegation, the investigator should not be situated in the same Service in which the person(s) who has been cited is employed. |
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8.6 |
The Stage 2 investigator should observe the following process:
| 8.6.1 |
Make sure the Stage 2 Form is circulated to the Faculty Education Manager (if it is submitted to a Faculty) and any member of staff who is the subject of the complaints or related concerns which have been raised. |
| 8.6.2 |
Provided that the student and those about whom the complaint or related concern has been raised are willing, refer the matter to the University’s Mediation Service. The Stage 2 investigator (through communication with the Mediation Co-ordinator) will provide the student and any other parties with initial information about mediation and the mediation process. Further information will be provided by the Mediation Co-ordinator. If deemed appropriate by the University’s Mediation Service, an external mediator may be appointed. The University expects and encourages parties to endeavour to resolve issues raised in any complaint or related concern through mediation. |
| 8.6.3 |
If the complaint or related concern is resolved through mediation, the mediator may put any agreement between the parties in writing for their benefit. Agreements reached through mediation are not binding, however, the parties may agree to enter a more formal binding agreement in full and final settlement of the complaint or related concern. |
| 8.6.4 |
Where mediation has not been successful or has not taken place, the Stage 2 investigator should seek to identify and agree the issues which the student wishes to raise and explore the possibility of resolution of these issues at the outset of this process. S/he should meet or speak with the student to review and clarify the complaints or related concerns which have been raised. A note taker should be present at the meeting and produce a note of the meeting in which the issues that are to be investigated are clearly identified. The student is entitled to bring a member of the University to the meeting for advice and support. Students should seek advice and support from SUSU advice@susu.org. If the student is not in the United Kingdom the meeting may be held by Skype, video conferencing, telephone conferencing or other appropriate means. In this situation, students are advised to arrange for a SUSU adviser to be present at the meeting even if they themselves are unable to attend in person. |
| 8.6.5 |
The Stage 2 investigator should meet or speak with the person(s) who is/are the subject of the complaint which has been raised by the student and with any other person who may have information that is relevant to the complaint. Staff members are entitled to bring a colleague or a trade union representative with them. |
| 8.6.6 |
The Stage 2 investigator should prepare a report for the nominee of the Dean of the Faculty or the Director of the Service with evidence of the findings clearly listed under each element of the complaint identified with the student (report templates are provided to assist this process). |
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8.7 |
The nominee of the Dean of the Faculty or the Director of the Service will then make a decision based on the findings of the investigation and will either fully uphold, partially uphold or not uphold the complaints or related concerns raised by the student. |
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8.8 |
A Stage 2 response explaining the reasons for the decision from the nominee of the Dean of the Faculty or the Director of the Service together with the Stage 2 investigator’s report will be sent to the student normally within 30 working days of the receipt of the Stage 2 Form. Where a mediation takes place, the time from the agreement to mediate to the end of the mediation, will not be counted as part of the 30 working days. |
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8.9 |
The student must be kept informed if any delays occur in the process. |
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8.10 |
If the student is not satisfied with the outcome at Stage 2 they may proceed to Stage 3 provided they do so in accordance with the procedures below (paragraph 9) and within 10 working days of the date of the Stage 2 response. |
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| 9. |
Stage 3: Formal Review Procedure |
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9.1 |
If the student is not satisfied with the written response from the nominee of the Dean of the Faculty or the Director of the Service at Stage 2 they may proceed to Stage 3 for a review only on the grounds that:
| 9.1.1 |
they have substantial new information which was not available at Stage 2 and for good reason; or |
| 9.1.2 |
there was a failure to follow the procedures at Stage 2 which has significantly disadvantaged the student. |
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9.2 |
If either of these grounds can be shown, the student should, within 10 working days of the date of the response, refer the matter in writing on a Stage 3 Form (Appendix D) to the Head of Academic Appeals and Student Complaints in the Vice-Chancellor’s Office. |
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9.3 |
The Stage 3 Form may be found at Appendix D. The form should be completed by the student, setting out briefly:
| 9.3.1 |
date when s/he submitted the Stage 2 Form and the date the Faculty/Service responded following the investigation; |
| 9.3.2 |
the grounds upon which a review at Stage 3 is being sought as set out in paragraph 9.1 above; |
| 9.3.3 |
the evidence to support the grounds for the appeal; |
| 9.3.4 |
the outcome the student is seeking. |
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9.4 |
The Head of Academic Appeals and Student Complaints will acknowledge receipt of the Stage 3 Form normally within 5 working days and shall refer the form to the Stage 3 Officer who shall be either:
| 9.4.1 |
The Pro Vice-Chancellor (Education) for academically related matters; or |
| 9.4.2 |
The Registrar or Chief Operating Officer for Service related matters. |
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9.5 |
The Stage 3 Officer shall appoint a senior member of the University to carry out a review of the Stage 3 Complaint to see if either of the grounds referred to in paragraph 9.1 has been made out (the ‘Stage 3 Reviewer’). The Stage 3 Reviewer shall be drawn from a panel of persons with appropriate experience to deal with student complaints at Stage 3, of sufficient seniority and who has undergone training in handling complaints. |
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9.6 |
The Stage 3 Reviewer will be expected to conduct an impartial review of the complaint: including considering whether the grounds in paragraph 9.1.1 and/or 9.1.2 have been met, reviewing the way in which the matter was investigated and the response given. The Stage 3 Reviewer will consider any new evidence. The review may be conducted on the papers or by contacting the student or any other relevant persons to discuss the complaint. The Stage 3 Reviewer may or may not seek further information from the student and the parties involved in the earlier investigation and may also consult senior colleagues responsible for the area under investigation, if thought appropriate. |
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9.7 |
The Stage 3 Reviewer may decide:
| 9.7.1 |
that neither of the grounds for appeal have been met; |
| 9.7.2 |
that the investigation was properly carried out and the response given was appropriate; |
| 9.7.3 |
that there were shortcomings in the investigation carried out and/or the response given and/or that new evidence had been provided which warranted further investigation. |
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9.8 |
Following the review, the Stage 3 Reviewer may direct:
| 9.8.1 |
that the processes followed and judgments applied were appropriate and that no further action is required; or |
| 9.8.2 |
that the case be referred to an earlier stage of the Procedure for reinvestigation; or |
| 9.8.3 |
that an alternative resolution be proposed to the complainant. |
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9.9 |
The Stage 3 Report, which will give reasons for the decision, will be sent to the student normally within 30 working days of the receipt of the Stage 3 Form. |
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9.10 |
The student must be kept informed if any delays occur in the process. |
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9.11 |
In relation to the outcome, the decision made upon the review at Stage 3 is final. At this point the internal procedures of the University of Southampton for reviewing and resolving complaints raised by students will have been completed and a Completion of Procedures letter will issued to the student. |
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| 10. |
Office of the Independent Adjudicator for Higher Education (OIAHE) |
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10.1 |
Information about the OIAHE’s procedures may be found at http://www.oiahe.org.uk/ or in the OIAHE leaflet ‘An Introduction to the Student Complaints’ Scheme which is available from the SUSU Advice 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 the Scheme Application Form.
Please check the OIAHE’s website for the New Rules of the Student’s Complaints Scheme http://www.oiahe.org.uk/decisions/scheme-literature.aspx. |
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10.2 |
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 |
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| 11. |
Training |
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11.1 |
The University department responsible for resolving student’s complaints or related concerns together with the SUSU relevant sabbatical officers and the Advice Centre will organise activities and training periodically to raise awareness of the Regulations and Procedures for Resolving Student Complaints. |
