Complaints Procedure

Swansea University Complaints Procedure

1. Introduction

Swansea University is committed to ensuring a high quality educational experience for its students, supported by appropriate academic, administrative and welfare support services and facilities. However there will be instances when students may feel dissatisfied with the teaching and learning, facilities or services provided by the University, or with the way the University or its staff have acted or omitted to act. It is expected that students and staff will make reasonable efforts to resolve matters informally at the outset. The vast majority of student complaints can be handled fairly, amicably, and to the satisfaction of all concerned through informal channels.

If, however, it is necessary to pursue a complaint formally, this Complaints Procedure (known as the ‘Procedure’) sets out how students may seek to have complaints addressed. The aim of this Procedure is to deal with student complaints as expeditiously and fairly as possible.

Advice about this Procedure may be obtained from Education Services or, in confidence, from the Students’ Union Advice Centre.

A summary of this procedure and contact details for the Students’ Union Advice Centre are provided within the Complaints Quick Guide- Swansea University.

2. General Principles

The following principles shall apply when dealing with student complaints:

2.1

Complaints may be made by individual students or by groups of students; they may not be lodged by a representative, a parent or any other third party (unless it can be shown that there are exceptional grounds why the student cannot make the complaint themselves).

2.2

The University expects all parties to act reasonably and fairly towards each other, and with respect. If a complaint is not upheld, the reasons for the decision will be communicated to the complainant.

2.3

Complainants will not suffer any disadvantage or recrimination as the result of making a complaint in good faith. Only if a complaint is judged to have been made frivolously, vexatiously or with malice, could disciplinary issues arise in relation to the complainant. (See Disciplinary Procedures, regulation 7. Students studying on collaborative programmes should refer to the relevant Disciplinary Procedures listed in their Student Handbook.)

2.4

Complainants, and those against whom complaints are made, may expect complaints to be dealt with confidentially and that their privacy will be respected. However, any person who is the subject of a complaint will normally be advised, and the complaint normally copied to them, in order that they are given opportunity to respond, unless the complainant requests and can demonstrate that there is a good reason for not doing so.

2.5

Students can seek free and independent advice and support, in confidence, from the Students’ Union Advice Centre.

2.6

Staff implicated in a student complaint may seek support from their line manager and/or Human Resources.

2.7

A complaint made to the Vice-Chancellor will be referred to the Education Services nominee, who will ensure that it enters the Procedure at the appropriate point.

2.8

Where a complaint also contains within it an appeal and vice versa, it is possible for the complaint or appeal to be reclassified (at whatever stage they may have reached) and processed under the most relevant regulations or procedures if this is likely to lead to a more appropriate outcome for the person(s) complaining or appealing.

2.9

It is a student’s responsibility to ensure that their contact details are correct on the central records system. The University bears no responsibility for letters that do not reach a student due to their record not being kept up to date.

3. Who Can Make a Complaint and Time-limits

3.1

This Procedure will apply to every student, defined as an enrolled student of Swansea University (the University), including those studying on degrees offered jointly with other partners and students studying at another university as an integral part of the programme, provided the complaint relates to Swansea University or to a holder of a sabbatical office at Swansea University.

Students studying on collaborative programmes offered by Swansea University and collaborative partner institutions are referred to Appendix 1 for details as to the types of complaints for which they can use this Complaints Procedure and the variations to Sections of this procedure which are applicable to their programmes.

3.2

This Procedure will also apply to former students of Swansea University who have withdrawn from their programme or have completed their programme, as long as the complaint is made within 3 months of the date of their withdrawal/completion or within 3 months of the date of the event(s) giving rise to the complaint, whichever is the earlier date.

3.3

Complaints should be made as early as possible. Students should be aware that any lengthy delay may limit the way in which the University can investigate the complaint or the University’s ability to put things right.

3.4

The University will not normally consider complaints received more than 3 months after the event(s), giving rise to the complaint, first arose, unless the complainant shows there to be a compelling reason why the complaint has been submitted late.

3.5

If a complaint is not received within the time limits stipulated, the complaint will normally be treated as not eligible for consideration on the basis it is ‘out of time’, unless the complainant shows there to be a compelling reason for not having submitted the complaint within the time limits. Where it is decided that a complaint is not eligible for consideration because it is out of time, the complainant will be advised of this outcome by letter, and will be informed of their right to request a final review of the outcome under the Final Review Procedure.

3.6

The University may deem part of the complaint to be not eligible for consideration relating to any issues of complaint which had arisen more than 3 months before the complaint was submitted, but proceed to deal with any remaining issues of complaint in accordance with this Procedure.

4. What is a Student Complaint?

A complaint is defined as an expression of dissatisfaction by one or more students about action or lack of action by the University, or about the standard of service provided by or on behalf of the University.

This Procedure applies to the following situations are examples of complaint which are listed for illustrative purposes only and not meant as an exhaustive list of possible student complaints:

Complaints arising from a failure by the University to meet its obligations, such as those outlined within the Academic Regulations and student handbooks;
Complaints about the delivery of a programme, teaching or administration (including supervision arrangements);
Complaints about the facilities, learning resources or services provided by the University.

5. Student Complaints Not Covered by Procedures

Which Student Complaints will not be dealt with under these Procedures?

5.1

Appeals against academic assessment and progress decisions. These are dealt with under the Academic Appeals Regulations.

5.2

Complaints which question ‘academic judgement’. The experience and knowledge of a student, the student’s performance and whether they have reached the required academic standard, and an awareness of best practice in higher education are combined to allow an examiner to make an academic judgement on the ability of a student. Academic judgement is the decision made by academic staff on the quality of academic work or the criteria being applied to mark work (rather than the administrative marking process). Complaints or Appeals which question this academic judgement shall not be considered.

5.3

Complaints of harassment, bullying and discrimination which fall within the University’s Dignity at Work and Study (Combating Harassment) Policy. In such cases, students are encouraged to seek advice from one of the University’s trained Harassment Advisers.

5.4

Complaints arising from decisions made under specific University regulations such as:

Disciplinary Regulations;

Car Parking Regulations;

Library Regulations;

Regulations for the use of computing, networking and related facilities.

Students are referred to the review/appeals procedures of the respective regulations.

5.5

Anonymous complaints. Staff who receive anonymous complaints will be expected to use their discretion and judgement as to how to handle such complaints. However, any member of staff who is unsure as to how they should deal with an anonymous complaint should refer it to their Head of School in the first instance or to the Education Services nominee. Due to the nature of the complaint, it will not be possible to provide a response to the anonymous complainant.

5.6

Complaints which relate to facilities and services provided by a collaborative partner institution (such as accommodation and catering). See Appendix 1 for details of what types of complaints are covered under this Complaints Procedure. For students studying under collaborative arrangements, complaints will normally be through the partner institution’s complaints procedure where the complaint relates to the partner institution. A link to the relevant partner institution’s complaints procedure is provided in the Student Handbook.

5.7

Complaints against student elected officials, other students or life members of the Students’ Union will be referred to the Chief Executive of the Students’ Union and/or the Disciplinary Committee, and student complaints made against Students’ Union staff members are referred directly to the Students’ Union, telephone number: 01792 295 484.

5.8

Complaints relating to admission applications and queries. Please refer to the Complaints and Appeals Policy for Applicants.

For students studying on collaborative programmes, if the partner institution managed the admission process, please refer to the partner institution’s relevant admissions processes.

6. Procedure for Dealing with a Student Complaint

The University believes that complaints should be resolved as expeditiously as possible. For this reason, the Procedure contains both informal and formal stages of the complaint process. At each stage of the process, the person to whom the complaint has been referred shall, if it is upheld, wholly or in part, apply such remedies as are within their powers. If they consider that the remedy is outside their powers, they shall refer the matter to the appropriate authority/person.

6.1 Stage One: Informal Resolution

It is anticipated that the majority of complaints can be resolved easily and quickly on an informal basis, at the time the problem first occurs and with the individual(s) directly involved.

If possible, the student should first raise their complaint, either orally or in writing, with the individual who is the subject of the complaint. Alternatively, the student may wish to discuss their complaint with the relevant Head of Department, Programme Director or Personal Tutor.

Informal complaints should be raised by the student as early as possible and within 3 months of the date of the event(s) giving rise to the complaint.

If a complaint is of a general rather than a specific nature, it may be more appropriate for the student to ask the relevant student representative to raise it through their programme’s feedback mechanisms - for example, Staff Student Committee, Board of Studies, Listening Forum or where the student is studying on a collaborative programme through any other partnership committee.

The University expects that attempts will be made to resolve the informal complaint, and the student to be notified verbally or in writing of the outcome, wherever practicable, within 21 days of the receipt of the informal complaint. Mediation is also available to the parties - see Section 6.2.1 for details.

If the student is dissatisfied with the outcome of their informal complaint, they may escalate the complaint to Stage Two (the Formal Stage) of the Procedure within 21 days of the date of the notification of the outcome of their informal complaint (see Section 6.2).

6.2 Stage Two: Formal Written Complaint to the Investigating Officer (via Education Services)

If the complainant is unable to resolve their concerns informally (in accordance with Stage One above) or they feel unable to approach the relevant individual(s) directly, they should submit a written complaint using the Stage 2 Formal Complaint Form (link to which is provided below) to Education Services ‘Complaints Nominee’ [via email to: studentcases@swansea.ac.uk] within the following timescales:

Within 21 days of the date of the response to the complainant’s informal complaint (if applicable); or
Within 3 months of the date of the event(s) giving rise to the complaint (where no informal complaint had been submitted).

If a complaint is not received within the time limits stipulated, the complaint will normally be treated as not eligible for consideration on the basis it is ‘out of time’, unless the complainant shows there to be a compelling reason for not having submitted the complaint within the time limits (see also Section 3).

Students studying on collaborative programmes must submit their Stage 2 Formal Complaint Form and supporting documents to both Education Services and the administrative team for the collaborative partnership’s management board – see Section 4.1 within Appendix 1.

If the complainant is unsure about the procedures, they may seek advice from Education Services or Students’ Union Advice Centre.

Here is the Stage 2 Formal Complaint Form.

The written complaint should set out in English or Welsh the following:

The nature of the complaint – this should be brief and to the point, referring to any specific events;
Any informal steps already taken to include the names of any staff involved and the outcomes;
A statement as to why the complainant remains dissatisfied and, without prejudice to any formal remedy which might be determined, the resolution/outcome they are seeking;
Copies of any documents/correspondence which are relevant to, or support, the complaint.

The Education Services nominee (referred to below as “the nominee”) will confirm in writing safe receipt of the complaint within 5 days of their receipt of the complaint. The nominee may ask the complainant to clarify and/or provide any further information in support of their complaint. It is not the role of the nominee however to investigate or assess the complaint.

6.2.1 Mediation/Alternative Dispute Resolution

Following receipt of the complaint and receipt of any further information or clarification from the complainant, the nominee may, at their discretion and with the agreement of the complainant and an appropriate representative from the Faculty/School or Department (referred to below as “the representative”) nominated by the Head of School/Professional Service Department, refer the parties to mediation/alternative dispute resolution.

In relation to complainants studying on collaborative programmes (see Appendix 1), the collaborative partnership’s academic or professional services staff nominated by the partnership’s management board (or equivalent committee) shall agree to refer the parties to mediation/alternative dispute resolution in place of the Faculty/School or Department.

In such circumstances the Stage 2 Complaint will be put on hold (and the nominee will take no further action) whilst the mediation/alternative dispute resolution takes place.

Where the parties are referred to mediation, a copy of the written complaint will only be disclosed to the representative with the mediator’s prior agreement. If the issue(s) raised through the complaint is resolved through mediation, the mediator will assist the parties to draft a written agreement that will be signed by both parties.

In the event that no mutually acceptable solution is reached through the mediation/alternative dispute resolution process, the nominee will process the complaint under the Stage 2 Complaint Procedures after having received from the complainant, by a prescribed deadline, written permission to do so.

6.2.2 Formal Investigation by an Investigating Officer

If it is determined by the nominee that mediation/alternative dispute resolution is not appropriate or this is attempted but no mutually acceptable solution is reached, the nominee will (unless 6.2.3 below is followed) forward the complaint to the relevant Investigating Officer who will be:

The Head of School (if it relates to an academic matter) or, if the Head of School is the subject of the complaint, a Chair of the Regulations, Quality and Standards Board (or their nominee); or
The Head of the Professional Services Department concerned, e.g. the Director of Information Services and Systems etc. or if the Head of the Professional Services Department is the subject of the complaint, the Registrar or their nominee;
A nominee of the collaborative partnership’s management board where the student is studying on a collaborative programme (see Appendix 1).

The relevant Investigating Officer shall investigate the complaint and may gather further evidence from relevant persons at their discretion.

If the investigation involves a face to face meeting between the Investigating Officer and the complainant, and/or the person against whom the complaint has been made, the latter two shall both be entitled to be accompanied by a friend or colleague (who is a member of the University and has no material interest in the complaint), or a Students’ Union representative.

At the conclusion of the investigation and following a review of the evidence received, the Investigating Officer shall provide a decision on the complaint, to include either:

Upholding the complaint, in full or in part (and confirming any action to be taken accordingly); or
Dismissing the complaint where it is found to be unsubstantiated.

The Investigating Officer shall notify the complainant in writing of their decision normally within 28 calendar days of the receipt of the complaint by the Investigating Officer. If it should prove impracticable to respond fully within 28 calendar days, the complainant shall be informed in writing by the Investigating Officer of the timescale for the receipt of a full response.

Where the complaint is dismissed, the complainant shall be provided with full reasons for the decision and (unless there are compelling reasons for any documents or communications to remain confidential) copies of relevant documentation considered. The relevant Investigating Officer’s decision will represent the formal outcome of the Complaint Procedure. The complainant will be informed of their right to request a final review of the outcome of the complaint procedure under the Final Review Procedure.

The relevant Investigating Officer (or their representative) shall provide a copy of their written response to the student’s Stage 2 complaint to Education Services (via the nominee).

6.2.3 Formal Investigation by a Senior University Officer

If it is considered by the nominee that the issues raised in the complaint relate to several different Faculties/Schools, are of an extremely serious nature or are of relevance to the institution/ any related collaborative partnership as a whole, the nominee may, at their discretion, refer such complaint to a senior officer of the University (e.g. the Registrar, a Pro-Vice-Chancellor, the Chair of the Regulations, Quality and Standards Board, Student Cases Manager, Senior Complaints Officer (or their respective nominee)).

In such cases, the senior officer shall arrange to investigate and determine the complaint in accordance with the procedures outlined under 6.2.2 in place of the Investigating Officer. A member of Education Services may assist the senior officer with their investigation and determination of the complaint.

7. Final Reviews

For final reviews of the outcome of the Complaint Procedure, students are referred to the University’s Final Review Procedure.

8. Monitoring Of Student Complaints

Where complaints against members of staff are upheld, the Head of School / Professional Services Unit or Chair of the Student Cases Board may refer the outcome of such cases to the relevant Executive Dean, Head of School, line manager and/or Human Resources if they consider that disciplinary action may be required in accordance with the Staff Discipline Procedures.

The relevant Head of School / Professional Services Unit or Chair of the Student Cases Board will be responsible for implementing, or recommending to the appropriate authority, any changes to academic provision, systems or procedures resulting from the outcome of a complaint.

Education Services shall monitor all complaints. The Student Cases Board shall receive annually from Education Services a report on the outcome of the monitoring processes. It shall be the responsibility of the Student Cases Board to monitor the data and make recommendations as appropriate.

It shall be the responsibility of the Regulations, Quality and Standards Board to review the Regulations for complaints and their effectiveness and make recommendations for changes, where appropriate, to be considered by Senate.

Appendix 1

1. General Principles

1.1

References within this Complaints Procedure and this Appendix to students studying on ‘collaborative programmes’ relates to students studying on degrees offered jointly/delivered collaboratively with other partners institutions and students studying at another university as an integral part of their programme. This Appendix relates to these students.

1.2

Complaints about the facilities or staff of a partner institution will normally be addressed in accordance with the complaints procedure of that institution and reported to SU through the partnership’s management board or equivalent committee.

1.3

Students can seek free and independent advice and support in relation to their complaint, in confidence, from the SU Students’ Union Advice Centre or from the student support services in the partner institution, if available (see your Student Handbook for contact details). Advice about this Procedure may also be obtained from Education Services.

1.4

Unless expressly indicated, all references to the University, staff and departments within this Procedure are to SU and SU staff and departments.

Eligibility of students studying on programmes jointly offered by Swansea University (SU) and collaborative partner institutions to use this Complaints Procedure
teaching;
teaching materials;
Feedback provided for assessments;
academic or disability support provided;
the marking process;
The assessment / examination process.

2. Eligibility of students studying on programmes jointly offered by Swansea University (SU) and collaborative partner institutions to use this Complaints Procedure

2.1

This Procedure will apply to every student defined as an enrolled student of SU (the University), including those studying on degrees offered jointly delivered collaboratively with other partners institutions and students studying at another university as an integral part of their programme - provided the complaint relates to the following components of the Swansea university award:

Teaching;
Teaching materials;
Feedback provided for assessments;
Academic or disability support provided;
The marking process;
The assessment / examination process.

2.2

Complaints about a partner institution which do not relate to the above types of complaints are likely to be best dealt with under the partner institution’s Complaints Procedure (see your Student Handbook for details). Examples of these types of complaints are complaints relating to:

Catering faculties;
State of buildings/facilities;
Accommodation provided by the partner;
Car parking;
Teaching, assessment, marking or feedback for modules which do not form part of a Swansea University degree;
Complaints of bullying/harassment.

2.3

At the discretion of the collaborative partnership’s management board (or equivalent committee), complaints received under this procedure may be processed in accordance with the partner’s Complaints Procedure (and vice versa) where the management board considers this to be more appropriate given the issues of complaint raised.

3. Stage One: Informal Resolution of Complaints

3.1

In relation to Section 6.1 of this Complaints Procedure - Swansea University and the partner institution will report the investigation of any informal (Stage One) complaints to the partnership’s management board (or equivalent committee).

4. Stage Two: Formal Written Complaint to an Investigating Officer

4.1

In relation to Section 6.2 of this Complaints Procedure – Students studying on collaborative programmes should submit their Stage 2 Formal Complaint Form and supporting documents to both:

Education Services Complaints Nominee (via email to: studentcases@swansea.ac.uk); and
The administrative team for the collaborative partnership’s management board (or equivalent) (the contact email is provided in the Student Handbook) within the timescale set out at Section 6.2 of this Complaints Procedure.

4.2

Stage Two may be used to resolve complaints in relation to Swansea University and its awards (as outlined above in 2.1). Other types of complaints (examples of which are at 2.2 above) should be reported in accordance with the procedures of the partner institution.

4.3

Following its receipt of a Stage 2 Formal Complaint Form, the collaborative partnership’s management board nominee shall bring the complaint to the attention of the collaborative partner institution. The Education Services Complaints Nominee and the collaborative partnership’s management board nominee may ask the complainant to clarify and/or provide any further information in support of their complaint. It is not the role of these nominees however to investigate or assess the complaint.

4.4

In relation to Section 6.2.2 of this Complaints Procedure – If the investigation involves a face to face meeting between the Investigating Officer and the complainant, and/or the person against whom the complaint has been made, the latter two shall both be entitled to be accompanied by a friend or colleague (who is a member of SU or the partner institution and has no material interest in the complaint), or a student support representative from either institution,

The student shall have the right to be accompanied by a language translator to such meeting if their first language is not English or Welsh. For students studying a programme through the medium of English, it is the student’s responsibility to arrange such translator if required and to be responsible for their fees. The student shall notify the Investigating Officer of the name of the translator in advance of the meeting. The partnership may arrange for a translator if required for students studying on a bilingual programme.

4.5

In relation to Section 6.2.2 of this Complaints Procedure - the Investigating Officer shall also provide a copy of their written response to the student’s Stage 2 complaint to the partnership’s management board (or equivalent committee), SU Education Services (via email to studentcases@swansea.ac.uk) and the partner institution.

5. Formal Investigation by a Senior University Officer

5.1

In relation to Section 6.2.3 of this Complaints Procedure - where the complaint is dealt with by a senior officer of SU, a member of Education Services and/or the collaborative partnership’s staff may assist the senior officer with their investigation and determination of the complaint.

6.  Monitoring Of Student Complaints

6.1

In relation to Section 8 - upheld complaints against members of the partner institution’s staff may be referred to the relevant authority in the partner institution.

The relevant authority in each institution will be responsible for implementing, or recommending to the appropriate authority, any changes to academic provision, systems or procedures resulting from the outcome of a complaint.