Code of Practice for Student Complaints
1. Introduction and definitions
We distinguish between complaints and appeals, and there are separate procedures for dealing with each. We also have a separate procedure for Public Interest Disclosure ("whistleblowing").
Complaints
A complaint may be defined as "an expression of dissatisfaction that needs a response". The expression of dissatisfaction may take the form of an informal, verbal complaint or a formal, written complaint.
The Students' Complaints Procedure which is set out in the following pages should be used by students to pursue complaints about most matters concerning both teaching & learning (e.g. teaching facilities, supervision arrangements etc) and non-academic issues (e.g. support services, accommodation etc).
The Students' Complaints Procedure may not be used to challenge academic decisions about performance and progress - see "Appeals" below.
Appeals
The University has a range of Appeals Procedures which apply in cases where a student wishes to challenge an academic decision which has been made by an academic committee or body (such as Quality and Standards Committee). See appeals.
Public Interest Disclosure ("whistleblowing")
Guidance on Public Interest Disclosure sets out the procedures to be adopted when staff (and also students and lay members of the University) wish to disclose malpractice.
2. Student complaints: principles
We will try to resolve complaints informally and quickly between the relevant parties, and only start a formal process (i.e. letters, evidence, documentation and formal decisions etc.) if that fails. We will provide an opportunity for a review of a formal decision on the grounds of unfairness, unreasonableness, or procedural irregularity, but we will not allow complaints to be re-presented at higher levels just in order to seek a different outcome. We aim to operate a complaints system which:
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is conducted fairly and reasonably
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follows clear straightforward written procedures
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is evidence-based
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comes to a clear conclusion without unnecessary delay
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gives reasons
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provides appropriate redress
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provides an opportunity for review if the above standards have not been met
Complaints will be treated seriously and students will not suffer any disadvantage or recrimination as a result of making a complaint in good faith. Complaints should not be made frivolously, vexatiously or with malice, and we will not investigate them.
Experience has shown that formal complaints are dealt with more efficiently if the complaint, and supporting evidence, is presented in a standard format. So we will only deal with formal (ie written) complaints presented on the appropriate official form; templates are provided at the end of this document.
We also encourage students to seek advice from the Students' Union at any stage in the complaints process, including advice on how to present their case effectively.
3. Who can use this procedure
This complaints procedure applies to registered students, students in thesis-pending, students in suspense, and persons who were registered students at the time the circumstances of the complaint arose. The only exception is for students registered at St John’s College, Nottingham, who should follow the Grievance Procedure in their own Academic Handbook. This procedure may not be invoked in relation to complaints about non-academic matters by students registered on University of Nottingham programmes at partner institutions involved in collaborative arrangements.
A group of students may use this procedure to make a collective complaint, although it is helpful if one student identifies themself as the main contact for purposes of communication.
Where a third party (such as a parent or guardian) makes a complaint on behalf of a student we can only address general issues, unless we have the student's express written consent to the third party acting on their behalf, and to allow us to refer to the details of their own specific case.
Where a complaint is made on behalf of a student by their solicitor the case should be referred by the Head of School/Service to the Registrar for advice.
Anonymous complaints will be treated individually on their merits.
4. Matters covered by this procedure
This procedure covers any matter concerning services provided by the University, other than issues about academic performance and progression, which are dealt with by the Academic Appeals process (the scope of which is set out in a separate procedure).
5. Time limit
We will not normally deal with a complaint if the relevant circumstances took place more than a month before the initial complaint was made.
6. General complaints
If a complaint is of a general rather than specific nature, it may be more appropriate to ask the relevant student representative to raise it at the Learning Community Forum, or another appropriate committee or group.
7. Complaints made direct to the Vice-Chancellor
Complaints are handled most effectively by following the guidance in this procedure. If a complaint is made direct to the Vice-Chancellor, rather than by following this procedure, his office will acknowledge receipt, and pass it to the Registrar's Department who will ensure appropriate enquiries are made and any actions implemented.
8. Making a Complaint
To make a complaint a student must start at level 1. The following sections explain what this means, and what to do if a complaint is not resolved satisfactorily.
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Level 1: Attempt a resolution with the person directly concerned
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Level 2: Head of School/Service review
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Level 3: Review by a Pro-Vice-Chancellor
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Level 4: Council Grievance
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Level 5: Office of the Independent Adjudicator
Level 1: Attempt a resolution with the person directly concerned
We expect a student to try to resolve a complaint directly, informally and quickly with the person concerned - for example, with a tutor who didn't hand work back in time, or with the person giving wrong information.
The student is expected to explain clearly what the problem is and what outcome they are seeking, and the member of staff is expected to listen to the complaint and to use their best endeavours to try to resolve it in a straightforward and reasonable manner. Staff dealing with complaints are encouraged, whenever practical, to meet with the student. Face-to-face discussions are often very helpful to establish the precise cause of dissatisfaction, to explore the remedy sought by the student and to foster a mutual understanding of the issues involved. If a mistake has been made an apology should be offered.
If for any reason a student feels uncomfortable about doing this on their own, they may be accompanied by another student, their course representative, or they can ask the Students' Union for support.
We expect most complaints to be resolved in this way.
Level 2: Head of School/Service formal review
If however level 1 does not provide a satisfactory outcome, the student can ask the Head of School/Service to deal formally with the complaint.
The student should write to the Head of School/Service, using Complaints Form A, to set out what their complaint is, what the supporting evidence is, why informal resolution was unsuccessful, and what outcome they want. We will only deal with complaints presented on Complaints Form A and where all of these points are covered. It is very important that the student keeps a copy of the completed Complaints Form A. It is acceptable to submit Complaints Form A either in hard copy or by email.
The Head of School/Service will acknowledge receipt of Complaints Form A and review the complaint. They are required to observe the following:
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ensuring they have read and understood the written complaint (which might include asking the student to clarify matters either in writing or by meeting with them);
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giving the person complained about, or who is directly responsible for the matter being complained about, an opportunity to read the complaint and to set out their side of the story, verbally and/or in writing (if verbal, a written record must be kept);
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judging whether they have enough information on which to make a decision, and if not to acquire that additional information before making a decision;
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meeting with other parties relevant to the complaint, if they feel this may assist their understanding;
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taking all the evidence into account in the process of making a decision;
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handling the complaint sensitively, especially where individuals are named. Any member of staff named in a written complaint should be made aware of the complaint, and they should expect the complaint to be handled with discretion and confidentiality to be maintained;
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in making the decision, being objective (ie not assuming one side or the other is bound to be right);
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making a reasonable decision;
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setting it out in writing;
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if the decision has a practical consequence, making sure that happens as intended, and in good time;
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if the complaint is rejected, explaining in writing what the reasons for rejection were;
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making sure the review is concluded as quickly as possible and without unnecessary delay.
The written reply from the Head of School/Service will follow a standard format which includes giving reasons if a complaint is not accepted.
If the subject of the original complaint is the Head of School themself, then the Faculty PVC will conduct the review. If the subject of the original complaint is the Head of Service themself, then their line manager (e.g. Registrar, Chief Financial Officer, or PVC) will conduct the review.
If the Head of School/Service finds in favour of the student, they may decide on whatever redress they think appropriate, bearing in mind the outcome sought by the student. This may in appropriate circumstances include monetary compensation if the student can demonstrate that some financial loss has been incurred.
Level 3: Review by a Pro-Vice-Chancellor
We expect a review by the Head of School/Service normally to be the end of the matter, and we do not operate a system with numbers of further additional levels of complaint.
However in exceptional circumstances a Pro-Vice-Chancellor may be asked to review the way a Head of School/Service handled a complaint, but only on the grounds that they did not do so fairly and reasonably, or that the above procedure (Level 2) was not followed in some way, and that in any case this would have made a significant difference to the outcome.
The level 2 procedure sets out the standards of "fairness and reasonableness" a Head of School/Service is expected to meet, and the procedure which should be followed. The student must set out the grounds of the complaint by making reference to those standards, and must provide evidence to support their claim. A complaint without adequate grounds and evidence will be dismissed.
The Pro-Vice-Chancellor will only deal with complaints set out in writing using Complaints Form B.
If the Pro-Vice-Chancellor decides that on the face of it there is no case to answer, they will write to the student rejecting their complaint, and giving their reasons.
If the Pro-Vice-Chancellor decides that on the face of it there is a case to answer, they will send a copy of the student's completed Complaints Form B to the relevant Head of School/Service, and ask them to respond to any claims of unreasonableness, unfairness, or procedural irregularity. Normally the Pro-Vice-Chancellor will be able to make a decision on the basis of the completed Complaints Form B, and the written response from the Head of School/Service, but they are free to make whatever additional enquiries they think appropriate. In reaching a decision they are expected to be fair and reasonable themselves, by observing the same standards as are set out above (level 2).
If the Pro-Vice-Chancellor upholds the complaint, they will tell the student in writing, and write to the Head of School/Service explaining in what way the complaint was not handled fairly and reasonably, or how procedure was breached, and they will instruct the Head of School/Service to reconsider the complaint fairly and reasonably and according to procedure. Exceptionally, if they believe this may not be possible for some reason, they may take other reasonable steps to ensure that the complaint is dealt with fairly and reasonably and following the correct procedure.
If the Pro-Vice-Chancellor does not uphold the complaint, they will write to the student giving reasons, and will issue a "Completion of Procedures" letter (see below).
The Pro-Vice-Chancellor may decide to uphold part but not all of the complaint, and will respond to the student accordingly.
There is no further internal appeal, other than (in the most exceptional circumstances) to a Council Grievance Panel on the specific ground that the PVC's review was itself procedurally flawed (Level 4).
The Pro-Vice-Chancellor will make an annual report to the Student Affairs Committee on the exercise of their powers to investigate "level 3" complaints, which will identify the numbers of complaints dealt with and their type and outcome, without identifying individual students or staff, but highlighting in particular any issues which may indicate a general need for change or improvement.
Level 4: Council Grievance
The University Council operates the University's highest internal level of complaints procedure. The only ground of complaint is that the review by a PVC (level 3) was itself compromised by procedural irregularity. Such cases are by their nature exceptional. Any student wishing to invoke this step should read the regulations governing the Council Grievance Procedure, and they are advised to write to the Registrar for advice before proceeding. If a student is given access to this level, any "Completion of Procedures" letter will be suspended until the matter is resolved.
Level 5: Office of the Independent Adjudicator
The Office of the Independent Adjudicator operates externally to the University. It will not normally look at a complaint unless and until all relevant internal complaints procedures have been exhausted. Further information is available from the OIA website.
9. Completion of procedures
As required by the Office of the Independent Adjudicator ('OIA'), if we are unable to resolve a complaint to the student's satisfaction, and there are no further steps available to the student, we will issue a formal "completion of procedures" letter. This provides a formal confirmation that the student has exhausted the internal complaints procedure, and is required before a complaint may be considered by the OIA.
10. Relationship to other procedures
Issues covered by other specific University policies and procedures cannot be dealt with under the procedures for complaints and appeals. For example, this Complaints Procedure cannot be used to appeal against decisions made under the Student Code of Discipline. Other matters may be more appropriately pursued under the University's policies on Racial and Sexual Harassment or Equal Opportunities. In each of these cases separate procedures exist in the Staff Handbook.
11. Feedback and suggestions
Sometimes a student may not wish to make a formal complaint, but wants to make the University aware of an issue which could benefit from improvement. Sometimes a student may wish to highlight a particularly commendable level of service, and which might with benefit be introduced elsewhere. In either case we encourage students to do this, and all such suggestions will be carefully and positively received and acknowledged. Students are invited to write to the appropriate Head of School or Service.
12. Publicising our procedures
Complaints and appeals form part of the University's process of quality review and improvement and are considered as providing valuable feedback rather than criticism. We will widely publicise information about them to students and staff, and all Schools and Central Services are required to provide a link to them via their websites.
Links: