REGULATION 26: - Keele University
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Act, Charter, Statutes, Ordinances and Regulations

Regulation 26: Complaints Procedures

(Guidance Notes)

Contents

1. Introduction

2. Definition

3. Scope

4. Eligibility

5. Confidentiality

6. Disabled Students

7. Student Support and Representation

8. Informal Resolution

9. Stage One

10. Stage Two

11. Stage Three

12. Stage Four

13. Office of the Independent Adjudicator

14. Administration and Monitoring

1. Introduction

1.1 The University aims to investigate complaints in a way that:

      a) encourages informal resolution of problems and facilitates their early resolution if possible

      b) is fair

      c) treats complaints with appropriate seriousness and confidentiality

1.2 All complaints must be submitted in accordance with the Student Complaints: Guidance for Students.

2. Definition

2.1 A complaint is the expression of a specific concern about the provision by the University of a service, either academic or non-academic.

3. Scope

3.1 This procedure covers complaints relating to:

      a) Any University Policy, Procedure or Regulation

      b) Academic and non-academic services (excluding academic judgement)

      c) Academic and non-academic facilities

      d) The conduct or actions of a member or members of staff

      e) Misinformation regarding academic programmes, University services and facilities

3.2 This procedure does NOT cover complaints relating to:

      a) Academic judgement, examination board decisions and appeals

      b) Appeals against disciplinary decisions

      c) Any kind of harassment as defined in the University’s Harassment Policy

      d) Business operating on University premises

      e) Keele University Students’ Union

      f) Other student members of the University

      g) Applicants to the University who have not yet been accepted onto a course

3.3 The majority of the above exclusions are covered by separate regulations (details of these can be found on www.keele.ac.uk/regulations).

4. Eligibility

4.1 Current students, and those accepted onto a course of study at the University can complain under this procedure.  A student may submit a complaint up to three months following their graduation from the University.

4.2 Groups of students may submit a collective complaint subject to the complaint being individually signed by each student concerned.

4.3 Anonymous and/or third party complaints will not normally be accepted. In exceptional cases, complaints submitted anonymously may be considered provided that they are lodged via the Students’ Union Independent Advice Unit or its Elected Officers.

4.4 Complaints should not be vexatious in nature. Where, after proper investigation, there is reason to believe that a complaint is vexatious or motivated by malice, disciplinary action may be taken against the student under Regulation 20: Student Discipline.

5. Confidentiality

5.1 Every effort will be made to maintain confidentiality but proper investigation of a complaint may necessitate the disclosure of confidential information. Should this be the case, this will be disclosed to the student prior to any action being taken.

5.2 No complaint will affect the way a student is treated or assessed in their study.

5.3 Should a complaint involve the conduct or actions of a member of the University, or involve a member of the University in any other way, such parties will have the right to see any evidence or documents relating to the complaint.

6. Disabled Students

6.1 Where a student has declared a disability to the University, all endeavours will be made to ensure that information is available to them at all stages in appropriate formats and that reasonable adjustments are made to the proceedings and facilities to accommodate their needs.

7. Student Support and Representation

7.1 If a student is considering making a complaint, advice can be sought from a number of sources. These include one or more drawn from the following list.

      a) Students’ Union Independent Advice Unit

      b) Student Support & Development Services

      c) Personal tutor/supervisor

      d) StAR (Student Academic Representative)

7.2 A student making a complaint has the right to be accompanied at any meetings or hearings concerning their complaint. The accompanying person must be a member of the University as defined by Statute 2 (http://www.keele.ac.uk/ps/governance/actcharterstatutesordinancesandregulations/statutes/section2/).

8. Informal Resolution

8.1 Every attempt should be made to resolve issues on an informal basis in the first instance, without recourse to a formal procedure.

8.2 An issue should, where possible, be addressed orally to the member of staff who it most directly concerns. If this is not possible, it may be addressed to any of the sources of support listed in Section 7.1 above. If the issue is raised with the member of staff concerned they can often provide an immediate explanation or solution.

8.3 If the student remains dissatisfied, they may lodge a complaint under Stage One of the process outlined below.

9. Stage One

9.1 A complaint may be submitted to Stage One if it is not possible to resolve the issue informally.

9.2 A Stage One complaint should normally be lodged within three months of the event concerned. A Stage One complaint should initially be addressed using the appropriate form (Student Complaint Form) to the member of staff who is most directly concerned with the issue. If the student finds a direct approach to the member of staff concerned problematic, s/he is advised to consult any of the sources of support listed in Section 7.1 above.

9.3 The recipient of the complaint will normally acknowledge receipt of the complaint in writing within five working days, advising that the complaint will be investigated.

9.4 The outcome of the complaint investigation will be communicated to the student concerned in writing within fourteen working days of the date of the acknowledgement, unless previously specified otherwise. If it is anticipated that the investigation will take longer than 14 working days, the student will be informed, within this 14 working day period, of the progress of the investigation and at key points subsequently throughout the process.

9.5 The student will have a period of fourteen working days from the date of the complaint investigation outcome letter in which to respond should they have a valid reason for being dissatisfied with the outcome of the complaint investigation, at which point they may escalate their complaint to Stage Two. A valid reason for being dissatisfied is defined as:

      a) There was a procedural irregularity prior to or in the conduct of the complaint investigation.

      b) There is new evidence that can be substantiated, including extenuating circumstances, which was not known at the time, and may have affected the outcome had it been known and that there is a valid reason for not making it known at the time.

9.6 If it is clear that a prima facie case for consideration has not been established, the Student Conduct Manager may reject the case.

10. Stage Two

10.1 A complaint may be submitted directly to Stage Two should it be inappropriate to contact the member of staff directly or if the complaint is of an appropriate level of seriousness.

10.2 A Stage Two complaint should normally be lodged within three months of the event concerned. A Stage Two complaint should be submitted using the appropriate form (Student Complaint Form) addressed to the Head of School or Department concerned. If the complaint concerns the Head of School or Department, it should be submitted directly to Stage Three.

10.3 The recipient of the complaint will normally acknowledge receipt of the complaint in writing within five working days, advising that the complaint will be investigated.

10.4 The student will be informed of the progress of the investigation at key points throughout the process.

10.5 The outcome of the complaint investigation will be communicated to the student concerned in writing within 28 working days, unless previously specified otherwise.

10.6 The student will have a period of fourteen working days from the date of the complaint investigation outcome letter in which to respond should they have a valid reason for being dissatisfied with the outcome of the complaint investigation, at which point they may escalate their complaint to Stage Three. A valid reason for being dissatisfied is defined as:

      a) There was a procedural irregularity prior to or in the conduct of the complaint investigation.

      b) There is new evidence that can be substantiated, including extenuating circumstances, which was not known at the time, and may have affected the outcome had it been known and that there is a valid reason for not making it known at the time.

10.7 If it is clear that a prima facie case for consideration has not been established, the Student Conduct Manager may reject the case.

11. Stage Three

11.1 A complaint may be submitted directly to Stage Three should it involve a Head of School or Department or be of an appropriate level of seriousness.

11.2 A complaint for Stage Three should normally be lodged within three months of the event concerned. A Stage Three complaint should be submitted using the appropriate form (Student Complaint Form) and should be addressed to the Pro Vice-Chancellor (Education & Student Experience).

11.3 The Pro Vice-Chancellor (Education & Student Experience) will normally acknowledge receipt of the complaint in writing within five working days, stating who the Investigating Officer for the complaint will be.

11.4 The Investigating Officer will then contact the student to outline how the complaint will be investigated and the likely timescales for the investigation and outcome.

11.5 The student will be informed of the progress of the investigation at key point throughout the process.

11.6 Once investigated, a report of the investigation and its findings will be sent to the Pro Vice-Chancellor (Education & Student Experience) for his / her comment.

11.7 A copy of the report will then be forwarded to the Students’ Union Vice-President (Welfare) (if the student is an undergraduate) or the Keele Postgraduate Association Chair (if the student is a postgraduate) for his / her comment.

11.8 The Pro Vice-Chancellor (Education & Student Experience) will then make a decision as to the final outcome and recommendations (if any) and this will be communicated in writing to the student making the complaint and any other parties involved in the complaint.

11.9 The student will have a period of fourteen working days from the date of the complaint investigation outcome letter in which to respond should they have a valid reason for being dissatisfied with the outcome of the complaint investigation, at which point they may submit a grievance to Council. A valid reason for being dissatisfied is defined as:

      a) There was a procedural irregularity prior to or in the conduct of the complaint investigation.

      b) There is new evidence that can be substantiated, including extenuating circumstances, which was not known at the time, and may have affected the outcome had it been known and that there is a valid reason for not making it known at the time.

12. Stage Four

12.1 Students who have submitted a complaint under Regulation 26 that has been dealt with by the Pro Vice-Chancellor (Education & Student Experience) at Stage Three but are not satisfied with how the complaint was dealt with may submit a grievance to the University Council (Ordinance XXVIII). Grievances may only be submitted if the student has the appropriate required grounds for doing so, which are defined as:

      a) There was a procedural irregularity prior to or in the conduct of the complaint investigation.

      b) There is new evidence that can be substantiated, including extenuating circumstances, which was not known at the time, and may have affected the outcome had it been known and that there is a valid reason for not making it known at the time.

12.2 Students who wish to submit a grievance should do so within 28 days of the date of the complaint investigation outcome letter, to the University Secretary to Council by email or in writing, providing as much information about the background of the case as possible, stating which of the two criteria above is fulfilled and including any documentary evidence in support of the case.

12.3 The Secretary to Council, or their Representative, will normally acknowledge receipt of the grievance in writing within five working days, advising how it will be progressed.

13. Office of the Independent Adjudicator

13.1 Grievances considered under the provisions of the Statutes Section 21(23) represent the completion of the University’s internal procedures. When the process is exhausted and the student has been issued a Completion of Procedures letter, students who remain dissatisfied may wish to contact the Office of the Independent Adjudicator (OIA) for Higher Education, which provides an independent review of student complaints.

14. Administration and Monitoring

14.1 Accountability for the Student Complaints Procedure is designated to the Pro Vice-Chancellor (Education & Student Experience).

14.2 The administration and monitoring of the Student Complaints Procedure will be carried out by the Student Discipline & Complaints Officer.

14.3 All complaints will be dealt with constructively. Where a complaint is upheld, the University will take reasonable action within its power to ensure that similar situations do not occur in the future.

14.4 In order to facilitate monitoring of volume and type of complaints, any member of staff receiving notification of a complaint under stages 1 and 2 of the above procedure shall advise the Student Discipline & Complaints Officer:

      a) that a complaint has been received and provide a copy of the complaint;

      b) whether or not the complaint was upheld;

      c) if the complaint was upheld, action proposed by the University to put things right;

      d) if the complaint was not upheld, whether the student has been advised of the reasons for this decision.

14.5 An annual written report to be approved by the Pro Vice-Chancellor (Education & Student Experience) will be submitted to the University Executive Committee, followed by Student Liaison Committee, Senate and Council. This report will detail complaints investigated during the year, which shall include comment on whether outcomes have been appropriate.

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