Guidance For Staff Student Complaints Procedure The University

guidance for staff - student complaints procedure the university of southampton is committed to maintaining effective procedures to

Guidance for Staff - Student Complaints Procedure
The University of Southampton is committed to maintaining effective
procedures to allow all students to make legitimate complaints.
This document provides guidelines for staff who are involved in a
student complaint.
• A copy of the Student Complaints Regulations is available at
http://www.calendar.soton.ac.uk/sectionIV/student-complaints.html
• Students requiring guidance on making a complaint should refer point
6 of the Regulations Governing Student Complaints via the link above.
• Staff who wish to make a complaint should refer to the Human
Resources website
What sort of complaints does this procedure cover?
The Complaints Procedure covers complaints concerning:
*
academic programmes (e.g.: tutorials cancelled and not rearranged,
timetable issues);
*
staff (e.g.: poor services, inappropriate behaviour, poor
teaching/supervision, incompetence);
*
facilities (e.g.: halls of residence, poor access for the
disabled, issues linked with accommodation, catering);
*
services (e.g. library, iSolutions, fees or finance)
Complaints not covered by this procedure
*
Complaints from students about other students – these will be
dealt with through the Student Discipline Regulations.
*
Complaints relating to Dignity at Work and Study (harassment /
bullying etc) made by one student against another student – these
should be referred to the Student Discipline Regulations
*
Complaints relating to Academic assessment
*
Complaints relating to broad issues of University policy – these
should be raised through the Staff / Student Liaison Committees
*
Complaints relating to the Admissions procedures
*
Complaints relating to the Students’ Union
*
Complaints from members of the public
Should the student complaint relate to any of the above, please refer
to the relevant
regulations and alert the student to alternative procedures where
necessary.
It is clear that the overwhelming majority of students use the
procedure in a positive spirit in order to improve the quality of life
and study for all members of the University. However, it is possible
that a very small minority may misuse the procedure. In exceptional
circumstances, therefore, the University reserves the right to
investigate a complaint, and then to decline to consider any which are
merely vexatious or abusive, or to enter into lengthy correspondence
about these.
Staff Responsibilities
1.
Members of staff are expected to handle student expressions of
difference and dissatisfaction with appropriate consideration.
2.
Staff are expected to try and assist the student to resolve their
concerns / complaints at the preliminary stage and as quickly as
possible. Students can be offered a facilitated meeting with a
member of the University’s Mediation Service.
3.
University staff provide a professional service and must accept
responsibility for the quality of this service.
4.
Information relating to the University’s Student Complaints
Procedure can be provided in alternative formats to assist
students with disabilities. Advice should be sought from Janet
Pugh – Student Complaints, Appeals and Feedback located in the
Learning and Teaching Enhancement Unit. ([email protected] 023 8059
5745)
5.
Staff should also be aware that although the majority of students
are fluent in English, it might not be their first language.
Consideration must always be shown to students who are attempting
to express themselves at times of stress and worry in a language
other than their own.
6.
Staff should encourage students to adopt a responsible approach to
the progression of their complaint.
Expected Time Limits
These time limits are written into the University’s current
regulations. Where possible these deadlines should be adhered to and
appropriate reasons should be given, in good time, to the student when
the time deadlines are unable to be met.
Student to raise a concern within 2 months of issue arising
Stage One
Preliminary procedure
Stage Two
Written Complaint to the Head of School or Service
Stage Three
Written Complaint to the Registrar and Chief Operating Officer
Acknowledgement of complaint from the student
Staff to respond normally within 5 working days
Normally within 5 working days of the receipt of the student complaint
form
Normally within 5 working days of the receipt of the student complaint
form
Contact with the student and relevant staff.
Notification of the decision to the student
Normally arranged and student informed within 30 working days
Normally arranged and student informed within 30 working days
Normally arranged and student informed within 30 working days
Referral to the next stage
If the student wishes to proceed to the next stage, they should do so
within 30 working days of receipt of the decision
If the student wishes to proceed to the next stage, they should do so
within 10 working days of receipt of the decision
Completion of Procedures (COP) letter issued to the student. If the
student wishes to request a review from the OIA they should do so
within 3 months from the date of issue of COP letter
If a student fails to proceed within the given deadlines of the
complaints procedure (above) they may not be able to progress through
the internal complaints mechanisms of the University. They may wish to
submit a valid reason for missing the deadlines and this may be
reviewed by the University.
Stage 1 – PRELIMINARY PROCEDURE – ‘Raising a concern’
Complaints should normally be raised at Stage 1 of these procedures
within 2 months or as close as possible to the point at which the
issue arises.
Students should be encouraged to raise any problem directly with the
people immediately involved. Students can be offered a facilitated
meeting with a member of the University’s Mediation Service, please
contact the Diversity Office or Legal Services for more details.
Please encourage the student to contact the Students’ Union Advice and
Information Centre (SUAIC) for support. Students may seek help and
free, independent, confidential advice from SUAIC located in the
Students’ Union Building 40 at Highfield Campus, Southampton. They may
also e-mail them at [email protected] and may call SUAIC reception on
023 8059 2085. SUAIC’s website is http://info.susu.org/ and students
will be able to locate a useful booklet entitled ‘How to deal with
problems affecting your studies (complaints and appeals)’.
It is good practice to remind students of this service at an early
stage of their enquiries.
As a member of staff, you should be aware of variety of channels which
can be sourced (e.g. SUAIC, student / course representative, Student
Union Sabbatical officers, Staff Student Liaison Committees,
contacting course / module tutors, halls managers / wardens), in order
to ensure that the majority of problems are resolved quickly and
without recourse to more formal proceedings. It is in everyone’s
interests to seek a prompt, effective, informal resolution first.
General pointers for staff when receiving complaints at Stage 1
• Try not to be defensive – students have the right to raise a
concern, and for it to
be listened to in an unbiased manner. If a resolution is not
immediately possible, they also have the right to have a complaint
investigated thoroughly and fairly at Stage 2.
• No recriminations - ensure that the response to, or investigation
of, a student complaint in no way impinges upon the assessment of
their academic work, or the way in which the student
is treated. In short, ensure there are no recriminations.
• Communication - Particular attention should be given to the content
and tone of email exchanges and telephone conversations and the
logging of discussions relating to the complaint to ensure that an
additional complaint is not caused
• Encourage the student to raise the problem at the preliminary stage
with the people directly involved and ask the student to consider
carefully the outcome (s) they are seeking
• Remind the student of the independent guidance and support available
from SUAIC in the Student Services Centre
• Timeliness - ensure that your part in discussing or investigating
the complaint does not delay unreasonably the progression of the
complaint.
• Keep student informed - should a student raise a complaint outside
term time, it is possible that it will prove difficult to adhere to
the timescales published within the Complaints Procedure. Students
should be clearly warned about any possible delays
Main aim at stage 1 is to find a practical, acceptable, timely outcome
to the concern which has been raised by the student, in order to
resolve the issue at the preliminary stage for the benefit of all
concerned.
Stage 2 – FORMAL PROCEDURE - to Head of School or Director of Service
If, after approaching the person(s) directly involved with the
complaint through an informal channel, the student does not consider
that the matter has been satisfactorily resolved, the next step is to
contact the Head of School or Service more formally using a Stage 2
Complaint Form – (Appendix A in the Regulations). Copies of this form
should be sent to the relevant Faculty Executive Officer (if the
complaint is submitted to a School) and Janet Pugh, Student
Complaints, Appeals and Feedback (for School and Service) located in
the Learning and Teaching Enhancement Unit.
(If the Head of School is the subject of the complaint, the student
should address their
complaint to the Dean of the Faculty in which the School resides. If
the Head of the Service is the subject of the complaint, the student
should address their complaint to the Registrar and Chief Operating
Officer, Mr. Simon Higman. Where a complaint involves more than one
area, the respective Heads of Schools / Services will need to agree
how the case will be handled.)
Students may be uncertain of the distinction between Schools and
Professional Services. The distinction between academic and
administration may also not be immediately meaningful to students. You
may need to provide advice on this issue, or refer the student to
SUAIC in the Student Services Centre so that they can provide
guidance. Please see the Useful Information section below for a list
of relevant web sites.
Once a Student Complaint Form – Stage 2 is received by a Head of
School or Service the student should be contacted within 5 working
days to acknowledge receipt of the complaint and indicate the
timescales for action. The School or Service should respond fully to
the complaint normally within 30 working days. The Head normally
appoints an investigator (who should not be the subject of the
student’s complaint and who has not been previously involved with the
student’s case) to investigate the case of their behalf. Before
commencing the investigation staff should consult the documents, ‘Key
Tips for Investigators’ and the Stage 2 report template which should
be used to record the investigation – this can be accessed from the
Quality Handbook or contact Janet Pugh [email protected] for further
advice. There is also a confidential note template which should be
used to record any meetings with staff or students. It is useful to
request a Complaints Process briefing from Janet Pugh, if you have not
completed a student complaints investigation at this University
before.
Mediation can be offered to students at any stage in the complaints
process.
The investigator reports to the Head of School / Service who decides
on the actions needed to bring the student’s complaint to a
satisfactory conclusion. The University will adhere to the stated
timescales whenever possible. Should, in exceptional circumstances, it
not prove possible to adhere to these timescales, all parties to the
complaint will be advised accordingly. It is advisable that the
investigator sets up a face to face meeting with the student at the
outset to clarify issues raised in the complaint. It is important that
the investigator should contact other parties involved to clarify
certain elements of the complaint and to consider possible
resolutions. The investigator is advised not to meet the student alone
– it is recommended that the student brings a SUAIC adviser and that
the investigator has an independent note taker.
The student is strongly advised to have someone from within the
University community (not acting in a legal capacity), such as a
member of SUAIC’s advisory staff, to accompany them to any such
meetings and support them through this process.
Please note - In the case of a complaint concerning an infringement of
Dignity at Work and Study the investigator should not be linked to the
School or Service of either the student or the person who is the
subject of the complaint.
General pointers for staff when involved with a student complaint at
Stage 2:
• Explain the process - At the outset, make sure that the student and
any staff members involved understand the nature of the complaint
(view the complaints form submitted by the student) and the process of
the investigation.
• Confidentiality - All complaints must be handled with discretion,
and staff should ensure that the investigation only involves relevant
people. Confidentiality should be discussed with the
student. S/he should be given the opportunity to raise any concerns
about confidentiality.
• Student Complaint Form Stage 2 must be submitted within 2 months of
the last incident relating to the problem occurring. If there is good
reason for a further delay the School should allow the complaint to be
submitted.
• Clarity - When completing the Student Complaint From, the student
must explain their complaint (s) as clearly and succinctly as
possible, outlining not just what happened, but also the outcome (s)
they are seeking and the evidence they are providing.
• The Complaint Form must include details of the way in which the
complaint has already been pursued with the person(s) directly
involved and whether the student has tried to resolve the issue at the
preliminary level.
• Do not accept complaints from third parties - Students are normally
expected to make complaints on their own behalf. Data Protection
regulations prevent the University from handling complaints made by
third parties on a student’s behalf, unless the student has given
express written permission for this to happen. Students should be
reminded of this where necessary, and under no circumstances should
staff members discuss a complaint with a third party unless they know
that written permission from the student has been granted for them to
do so.
• Advice - Where necessary, students should be given appropriate
advice to ensure that Complaint Forms are addressed to the correct
person, namely the relevant Head of School or Service.
• Meetings - All parties involved in meetings should be advised in
advance of the general issues to be discussed and the likely length of
the interviews. Notes of each meeting / phone conversation should be
taken. Second interviews may be conducted where necessary.
The University is committed to finding practical and timely
resolutions to complaints that enable students to return to their
academic work as soon as possible.
Possible outcomes following investigation at Stage 2:
• A mutually acceptable outcome is reached, and the Head of School or
Service notifies the student and other involved parties in writing
(normally in the form of a report and a response. The response should
highlight how the student may proceed to the next stage of the
complaints procedure) of his or her conclusions, and any consequent
action proposed. The complaint (s) may be upheld or partly upheld.
• A mutually acceptable outcome is not reached, and the Head of School
/ Service considers that the complaint has been heard fairly, and that
appropriate actions have been taken. In this case, the student is
notified in writing (report and response) that no further action will
be taken at School / Service level and that s/he has the right to
refer their complaint to Stage 3. The complaint may be partly upheld
or it may be rejected and clear reasons given.
At this point if you are dissatisfied with way in which the
investigation was conducted, the student has the right to submit their
complaint to Stage 3 of the complaints procedures to the Registrar and
Chief Operating Officer – Mr. Simon Higman.
Stage 3 – FORMAL PROCEDURE - Registrar & Chief Operating Officer
If the student is dissatisfied with the outcome of Stage 2 they may
move to Stage 3 of the Formal Complaint Procedures. The Stage 2
Complaint Form together with the Stage 3 Complaint Form (Appendix E in
the Regulations) should be submitted to the Registrar & Chief
Operating Officer. The student should include any relevant
documentation which the student will have received from the School or
Service. The student should submit the complaint within 10 working
days of receiving the response at Stage 2. The Registrar & Chief
Operating Officer should acknowledge receipt of the complaint within 5
working days. Stage 3 of the Student Complaints Procedure should be
completed normally within 30 working days of receipt of the complaint
by the Registrar & Chief Operating Officer.
The Registrar & Chief Operating Officer shall appoint a person who
will investigate the complaint and submit a report containing
recommendations from which the Registrar & Chief Operating Officer
will determine the outcome and what actions if any shall be taken. The
student will be contacted by the investigator (via email, telephone,
face to face meeting) to clarify certain elements of the complaint or
consider possible resolutions. It is advisable that the student is
supported throughout this process by someone within the University
community (not acting within a legal capacity), such as a member of
SUAIC’s advisory staff and they may accompany them to any such
meetings.
Staff should seek guidance from Janet Pugh and use associated
documents (key tips for investigators; report template; confidential
note taking template) which may be found on the Quality Handbook.
General pointers for staff when involved with a student complaint at
Stage 3:
• At the outset, ensure that the student and any staff involved are
clear about the outcome of Stage 2 and the reason the student has
submitted the complaint to the next stage. A Stage 3 complaints form
must be completed.
• As at Stage 2, all complaints at Stage 3 must be handled with
discretion, and staff should ensure that the investigation only
involves relevant people. Confidentiality should be discussed with the
student. He or she should be given the opportunity to raise any
concerns about confidentiality, and the complaint should only proceed
along agreed lines of enquiry.
• All parties involved in interviews should be advised in advance of
the general issues to be discussed and the likely length of the
interviews. Second interviews may be conducted if necessary.
Again, the University’s focus at Stage 3 is to achieve prompt,
acceptable outcomes to complaints that enable students to return to
their academic work as soon as possible.
Possible outcomes following investigation at Stage 3:
• A mutually acceptable outcome is reached, and the Registrar & Chief
Operating Officer notifies the student and other involved parties in
writing (report and response) of their conclusions and any consequent
action proposed. The complaint may be upheld or partly upheld.
• A mutually acceptable outcome is not reached, and the investigator
completes a report for the Registrar & Chief Operating Officer that is
copied to all parties, and details what actions have been taken, and
what the outstanding issues are. The Registrar & Chief Operating
Officer then decides what further action should be taken with respect
to the case. The complaint may be partly upheld or it may be rejected
and clear reasons given.
At this point the internal complaints procedure of the University will
have been completed and you will be issued with a Completion of
Procedures letter by the Vice-Chancellor. You will be advised of the
external review process provided by the Office of the Independent
Adjudicator.
External Review Process – Referral to the Office of the Independent
Adjudicator for Higher Education (OIA)
Any student pursuing a complaint against the University of Southampton
who remains dissatisfied with the outcome at the end of all the
internal processes may refer their case to the Office of the
Independent Adjudicator for Higher Education for a review within 3
months of the date of the Completion of Procedures letter. If the OIA
accept the case, such a review will initiate a wholly external,
independent consideration of the complaint. The OIA will look at the
way in which the University of Southampton handled the complaint in
the context of the procedures outlined above.
Following Resolution of a Student Complaint
Following resolution of a student complaint, it is assumed that
standard academic and pastoral support arrangements for students will
resume, regardless of whether or not these normally involve staff
members who were involved in the complaint proceedings.
Useful Information
SUAIC
SUAIC staff are based at in the Students’ Union Building 40 at
Highfield Campus, Southampton
E-mail: [email protected].
Web: http://info.susu.org/
Academic Schools
The University of Southampton Academic Schools can be accessed at the
following web sites.
http://www.soton.ac.uk/about/academicschools/index.html
Professional Services
A list of some Professional Services, and links to their web sites can
be found at:
http://www.soton.ac.uk/about/professionalservices/index.html
Student Services
http://www.soton.ac.uk/studentservices/index.html
All other Regulations
http://www.calendar.soton.ac.uk/sectionIV/index.html
Office of the Independent Adjudicator; www.oiahe.org.uk
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