The University of Huddersfield Students’ Regulations

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September 2006 edition

Section 9

Student Complaints Procedure

  1. Introduction and Context
    1. The student complaints procedure enables students to bring matters of concern about their learning experience to the attention of the University, and provides mechanisms through which those concerns may be resolved. The procedure comprises three stages: an informal approach with emphasis on local resolution; a formal procedure incorporating mediation, and an appeal stage.
    2. The University takes all complaints seriously and has designed this procedure to give an equitable approach to all concerned. If a student wishes to make a complaint, they will:
      • be listened to
      • the concern, in most instances, being dealt with at an informal level
      • be encouraged to seek advice from the Students’ Union.
    3. This procedure takes effect from 1 September 2004 and supersedes all previous procedures.
  2. Definition
    1. A complaint is defined as an oral or written expression of dissatisfaction about an aspect of a service or facility, which is provided to registered students of the University. This procedure applies to undergraduate and postgraduate students, including those registered for research degrees.
  3. Principles and Scope
    1. The procedure aims to be simple, clear and fair to all parties involved, with informal resolution an option at any point. From both a student and staff point of view, complaints will be handled sensitively and with due consideration to confidentiality. Any person named in a complaint will be given details of the complaint as soon as is reasonably practicable and will have the right to reply as part of any investigation.
    2. This complaints procedure is for students enrolled on University courses. Students who have left the University may invoke this procedure within three months following termination of their academic studies . Students studying at teaching institutions away from the University are required to follow that institution’s complaints procedure in the first instance. If issues remain unresolved through these local complaints procedures, then the University's complaints procedure may be invoked though it must be appreciated that the University will not always have the authority to determine matters at partner institutions.
    3. A student who wishes to make a complaint must invoke the Informal Stage within one calendar month of the incident which is the cause for complaint.
    4. No student bringing a complaint under this procedure, whether successfully or otherwise, will be treated less favourably by the University than if the complaint had not been brought. Likewise, any member of staff mentioned in a complaint will not be treated less favourably by the University than if the complaint had not been brought. If, however, the complaint against a member of staff is upheld, that member may be subject to disciplinary proceedings under University policy.
    5. From time to time there will be the need to consider action under two different University procedures. For example, a student might wish to appeal against a charge of plagiarism under the Regulations for Awards and may also make a related complaint that would be considered under this procedure. Rather than delay the plagiarism defence until the complaint has been resolved, it is possible that, with the express agreement of all parties, the two interlinking matters can be considered together by invoking this complaints procedure starting, as usual, with the informal approach under Section 6.2. If, however, the related complaint is considered to be of a serious nature by any of the parties, for example, disciplinary matters which should take precedence, the two actions must be considered separately. Should it not be clear which approach is the best for all parties, the matter should be referred to the Pro Vice-Chancellor for Academic Affairs, whose decision will be final.
  4. Operational Conditions
    1. Anonymous Complaints
      With reference to this procedure, such an investigation can only be effected satisfactorily if the investigator is able to collect all the background information. Clearly, this is not possible where the complaint is sent anonymously and so normally such complaints will not be considered.
    2. Third Party Complaints
      No investigation of a complaint made on behalf of a student will be undertaken. This includes complaints made by the parent or spouse of the student concerned. See also Section 4.5 below.
    3. Complaints to the Vice-Chancellor and Other Senior Members of Staff
      Should the Vice-Chancellor’s Office or the Office of any Senior Manager receive a complaint, it will be acknowledged and referred to the Head of Registry who will ensure that it enters the procedure at the appropriate point. If no substantive attempt has been made by the complainant to resolve the complaint locally using the informal procedure, the complainant will be advised to take up the issues raised with the Department/member(s) of staff concerned.
    4. Vexatious or Malicious Complaints
      The University may consider invoking the disciplinary procedures under the Student Handbook of Regulations, Section 9, in those cases where complaints are found to be vexatious or malicious. A vexatious or malicious complaint is defined as a complaint which is trivial or untrue, 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.
    5. Complaints Made by Students Under the Age of 18
      If a complaint is made under the formal procedure by a student who is under the age of 18, unless it is the student's express wish that this should not be done, the University will notify the parents or guardians of the student in writing, and keep them informed of the progress of the complaint. The University will permit the parents or guardians of the student to act on their behalf during the process, provided the student has confirmed agreement in writing beforehand.
    6. Complaints Made Against a Specific Member(s) of Staff
      It has been recognised that members of staff about whom a complaint is made, may be somewhat anxious upon hearing about the complaint whether or not it is justified. It is the University’s duty to ensure that its staff are also treated fairly throughout the process, and to that end:
      • A member of staff has the right to be supported by his/her line manager or a trade union representative throughout the process. If the line manager is also involved in the complaint, then the respective Dean or Director will take the lead in providing that support.
      • Such members of staff will be advised at the outset of any complaint.
      • A member of staff shall have the right to reply to any such complaint at any stage in the process.
      • A member of staff shall have the right of access to any documentary evidence presented as part or in support of any such complaint.
      However, if any complaint made against a member of staff under this procedure is of a disciplinary nature or should in the view of the Pro Vice-Chancellor for Academic Affairs be investigated under the University’s disciplinary procedures then the complaints procedure will be suspended immediately until the disciplinary matter has been concluded.
    7. Changes to 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 relating to an Academic or Service Department. Issues of this nature should instead be channelled through the Dean/Director or Head of the Academic or Service Department or through course, school and University committee structures as appropriate. Students wishing to receive advice on which procedure is appropriate should contact the Head of Registry, Student Services or the Students’ Union.
    8. Attendance at the Complaint Hearing
      The Hearing may be postponed for no more than five working days if the student, who has made the complaint, or a member(s) of staff to whom a complaint is directed, can show good reason for not being able to attend at the originally specified time. However, the failure or inability of a student or member(s) of staff to attend the re-arranged meeting will not preclude the panel from reaching a decision.
    9. Reimbursement of Out of Pocket Expenses
      If a complaint is upheld, the University will meet reasonable out of pocket expenses within the UK connected with the formal stage of the procedure, on production of receipts; this may include travel and subsistence costs in connection with the student's attendance at a complaint hearing.
    10. Timing of all Communications
      To ensure that all complaints are dealt with as promptly as possible, both the University and the complainant will respond to all correspondence within the number of days prescribed within the procedure. The University reserves the right to make reasonable extensions during vacation periods.
  5. Monitoring, Evaluation and Review
    1. The Head of Registry will oversee the tracking of complaints progressed through the procedure in consultation with Deans and Directors/Heads of Service and will ensure that records show the nature of the complaint, how it was dealt with, the time taken for each part and the outcome. All data held will be monitored in accordance with the University's Equal Opportunities and Diversity Policy and reported on an annual basis to the Teaching and Learning Committee and the Research Committee. This report will identify any issues that need prompt attention.
  6. Complaints Procedure for Students
    1. The procedure is divided into two parts, an Informal Procedure, which emphasises resolution at the 'local' point where the complaint arose, and a Formal Procedure, which involves the Head of Registry as manager and facilitator of the procedure. The role of the Head of Registry is to ensure that the formal procedure is operated according to these procedures and with regard to the set timescales aimed at resolving complaints within Part I and Part II as quickly as possible.
    2. Informal Procedure – Local Resolution
      It is anticipated that most complaints can be resolved through informal means. All parties will make strenuous efforts to resolve the complaint at this stage. This being the case, resolution should be sought by the student from within the School or Service in which the complaint arose, by expressing the complaint to the most appropriate member of staff (e.g. the module or course leader) or the Dean/Head of the Academic or Service Department. Persons, whether staff or students, who are the subject of a complaint, will be advised of the details of the complaint as soon as is reasonably practicable. In those departments where a local procedure to deal with complaints exists, that procedure should be followed. A student should normally expect to receive a written or verbal acknowledgement within ten working days and a full response within one calendar month. The University reserves the right to make a reasonable extension during vacation periods. Students are also advised to seek help from the Students’ Union, who have experience of dealing with such matters.
    3. Formal Procedure
      1. Part I
        1. If the response to the complaint is not considered by the student to be satisfactory, he/she may invoke Part I of the formal procedure by completing the Student Complaint Form (attached as Appendix I), and submitting it to the Head of Registry within 10 working days of receipt of a final response to the informal procedure. The form should detail why it is necessary for the issue to be taken to the formal stage and what has been done by the student to make a serious attempt at resolving the matter with the Department. The form of resolution or redress sought should also be clearly indicated. It will be expected by all parties concerned, that the matter will not be taken forward on a formal basis unless there is an indication that at least one meeting has been held with the respective Head of Department. The Head of Registry will acknowledge receipt of the complaint form within five working days. Advice on the completion of the complaint form can also be obtained from the Registry, Student Services or the Students’ Union.
        2. The Head of Registry will attempt resolution at this stage either by correspondence between the parties, negotiation with the Dean, Head of Department or other senior members of staff, or facilitation of a conciliation meeting between the student(s) concerned and the Department/member(s) of staff against whom a complaint is made. The circumstances of the complaint will dictate which of these methods is considered most likely to result in a resolution of the complaint. Should a complaint concern services within the Registry or the work of the Head of Registry, the Pro Vice-Chancellor for Academic Affairs will assign a senior manager to oversee the formal procedure.
        3. It is anticipated that Part I of the formal procedure would normally be completed, with the outcome in writing from the Head of Registry, within two calendar months of the receipt date of the completed Student Complaint Form. The University reserves the right to make a reasonable extension during vacation periods. The Head of Registry will keep all parties informed of progress and the reason for any delay in proceedings, if applicable.
      2. Part II (Appeal Stage)
        1. If the response to the complaint following completion of the Part I procedure is not considered by the student to be satisfactory, he/she may apply to invoke Part II (Appeal Stage) of the formal procedure by a request in writing, within ten working days from the date of the notification of the outcome of the correspondence, negotiation or meeting referred to in Part I. The request should be addressed to the Head of Registry outlining why the outcome of Part I is not satisfactory. Taking into account the substance of the complaint, the previous attempts at resolution and what can be achieved by an appeal, the Pro Vice-Chancellor for Academic Affairs will then review the case and a decision will be made about the appropriateness of the matter being referred to a complaint hearing. His/her decision will be final. If a complaints hearing is not to be held, the student will be advised in writing within ten working days of the receipt of the appeal request, giving the reason(s) for not taking the matter forward. In complaints where exceptionally it is considered by the Pro Vice-Chancellor for Academic Affairs that it is appropriate that further effort be made to resolve the matter under Part 1 (for example where weighty and significant new evidence is presented) he/she may refer the case back to the Head of Registry to mediate with all the parties.
        2. Should a complaint hearing be appropriate, it will be chaired by a Dean/Head of Academic Department from outside the student's school, or a Director/Head of Service Department from another service area. A Panel will be convened, consisting of one other member of academic or support staff, drawn from academic or service departments unrelated to the complaint and a representative from the Students’ Union. The Head of Registry or his/her nominee will act as technical adviser and note-taker to the Panel. The Department may be represented by up to two members. Notes for Guidance on the conduct of a complaint hearing are attached as Appendix 2.
        3. The Complaints Panel shall meet, normally within one calendar month (excluding University vacations) of the referral from Part I, and communicate its conclusions to the student and the Department within one calendar month. The Head of Registry will keep all parties informed of progress and will explain reasons for any necessary extension of the timescale, for example, if an adjournment in the proceedings is necessary.
  7. Outcomes of the Complaints Procedure
    1. On completion of the process, the complainant and any person, whether staff or student, complained against will have the outcomes conveyed to them simultaneously. For the student, the Head of Registry will communicate the response. In the case of an individual member of staff, this will be through their respective Dean/Director. The response will be in a form appropriate to the level of the procedure at which the complaint is dealt with and accordingly a written or verbal acknowledgement will be made within ten working days and a full response within one calendar month. The University reserves the right to make a reasonable extension during vacation periods.
    2. Should a complaint be upheld, the Chair of the Complaints Panel may make recommendations to the Dean/Head of the Academic or Service Department.
    3. Recommendations may also be made to University committees in respect of quality assurance procedures or policies.
    4. If a complaint is not upheld, the complainant will be informed in writing with reasons for its rejection. Any conclusions and recommendations on how the matter can be remedied and to prevent such an occurrence in the future will also be communicated in writing by the Head of Registry to the complainant and the Dean/Head of Department.
    5. A report on each case which comes before the Complaints Panel will be prepared by the Head of Registry for the Pro Vice-Chancellor for Academic Affairs, to assist in monitoring the effectiveness of the complaints procedure and to identify relevant quality assurance issues. A follow-up after six months will be made by the Head of Registry to verify that any proposed new arrangements have been introduced, a report of which will also be sent to the Pro Vice-Chancellor for Academic Affairs.
  8. Independent Review of Student Complaints
    1. The Office of the Independent Adjudicator (OIA) provides an independent scheme for the review of student complaints to current students of the University. If a complaint is not upheld, the complainant can ask the OIA to review the complaint. The OIA will not consider a complaint if:
      • it relates to a matter of academic performance
      • the matter is or has been the subject of court proceedings
      • it concerns a student employment matter
      • it relates to an institution which is not a higher education institution
    2. For further information on the scheme:
  9. Training and Awareness
    1. The Registry and Student Services will organise activities to raise awareness of the complaints procedure and how it is to be used amongst the student body. The Head of Registry will also provide support and guidance for departments in handling complaints and resolving them as closely as possible to their point of origin.
    2. This policy will be reviewed on a regular basis.

Appendix 1

Student Complaint Form

Formal Procedure Part I
Complaint Procedure for Students

This form is to be completed under Part I of the formal procedure and should be sent to the Head of Registry. Advice on completion of the form can also be obtained from Student Services and the Students’ Union.

Follow this link to download the form as a PDF document to fill out and return to the Head of Registry.

Appendix 2

Notes for Guidance on the Conduct of a Complaint Hearing (to be provided to all parties)

  1. Purpose
    1. The purpose of the Complaint Hearing shall be to hear both the complaint and the response. Taking into account previous attempts to resolve issues and satisfy the student, the Panel shall determine whether the student's complaint is justified and whether the Department/member(s) of staff has provided a reasonable response or resolution.
  2. Process
    1. A Complaint Hearing may be convened by the Head of Registry following a request in writing by the student who has brought the complaint, as Part II of the formal element of the complaints procedure. See also Section 6.3.4 of the complaints procedure guidance.
    2. Membership of the Panel, which shall be determined by the Head of Registry in consultation with senior colleagues, shall consist of a Dean or Head of Department as Chair, one other member of staff and a representative of the Students’ Union. The Chair and staff members shall be drawn from outside the Department involved in the complaint and may be academic or support staff, depending on the nature of the complaint. The Head of Registry shall act in the capacity of technical adviser and note-taker to the Panel.
    3. The Order of Proceedings is as follows:
      1. Introduction of those present – noting that, at the discretion of the Chair of the Panel, not everyone involved in the process need be present for all the time.
      2. Outline of the purpose of the complaint hearing
      3. Reference to letter and witness statements by complainant and department/member of staff. See also section 3.2 of these notes, should the panel, for example, exceptionally wish to see a witness
      4. A4 synopsis summarising the main points of their case distributed by both parties.
      5. Complainant presentation
      6. Opportunity to question complainant's presentation by Panel and Department/member(s) of staff
      7. Department/member(s) of staff presentation
      8. Opportunity to question Department/member(s) of staff presentation by Panel and complainant
      9. Complainant summing up – New evidence is not admissible at this time
      10. Department/member(s) of staff summing up – New evidence is not admissible at this time
      11. Adjournment – Chair and Panel to consider the submission in private
      Either side may be required to be available to provide further information or clarification of matters to the Panel.
  3. Documentation
    1. The Panel will have access to all previous documentation in connection with the complaint. In addition, the complainant and the Department/member(s) of staff are each asked to produce an A4 synopsis of their case for distribution during the course of the Hearing to the Panel and the other party, together with statements from any witnesses pertinent to the case.
    2. Witnesses will not normally be required to attend the hearing as their evidence will be considered by way of statement but, from time to time, it may assist the Panel’s understanding of the case if a personal appearance is made. In such circumstances, the panel will direct that a witness or witnesses should appear, or may so direct upon receiving a request from the complainant or the Department/member(s) of staff.
    3. Other documentary evidence may be tabled at the discretion of the Chair.
  4. Conclusions and Recommendations
    1. Should the Panel uphold the complaint, it may make any recommendations which it sees fit to the Department.
    2. Recommendations may also be made to University committees.
    3. It may be determined that the Department or member(s) of staff has no case to answer and acted reasonably during the earlier part of the complaints procedure.
    4. Any conclusions and recommendations will be communicated in writing to the complainant and the appropriate Dean/Director simultaneously. In the case of a student, the Head of Registry will communicate the response. Where the complaint involves individual members of staff, the Dean/Director will personally report the findings to those members.