TITLE:
Undergraduate Student Complaints Procedure
VERSION:
1
AUTHOR:
Paul Braine, Academic Registrar
CONSULTATION
TAKEN PLACE WITH:
Principalship
Vice Principal Academic
Head of School Design
Head of School Visual Arts
Joint Consultative
Committee
Student Service Manager
DATE:
February 2014
September 2014
APPROVED BY:
Principalship
DATE:
June 2014
DATE TO BE
REVIEWED:
June 2016
EQUALITY AND
DIVERSITY IMPACT
ASSESSMENT
SCREENING:
February 2014
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Equality and Diversity Impact Assessment Screening
Who does the procedure impact on? Staff
X Students X Visitors
Other
What data is available to Number of complaints
screen the impact?
Is there sufficient data to screen the procedure effectively?
Yes
No
X
What data will be needed Insufficient data to provide in depth analysis due to low volume
in the future to ensure
of students using this procedure
more effective
monitoring?
Is there any existing
Yes – positive impact
Yes – negative
evidence of the impact of
impact
this procedure on people
Evidence of positive impact:
with different protected
characteristics of age,
disability, gender
reassignment,
Evidence of negative impact:
marriage and civil
partnership, race, religion
or belief, sex, or sexual
orientation? e.g. higher
or lower participation
rates.
Has consultation with relevant groups raised any E&D issues? Yes
No evidence X
No
What action needs to be
taken before further or
full assessment can be
made?
Screening completed by: (screening must always be done by at least 2 people)
Name
Paul Braine
Job Title
Academic Registrar
Name
Jill Fernie-Clarke
Job Title
Vice Principal (Academic)
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X
CONTENTS
1. INTRODUCTION ............................................................................................................ 4 2. PURPOSE ........................................................................................................................ 4 3. DEFINITIONS................................................................................................................. 4 4. RESPONSIBILITIES ...................................................................................................... 5 5. STAGES OF THE STUDENT COMPLAINTS PROCEDURE ........................................ 6 6. DECISION OF THE PANEL ......................................................................................... 11 7. COMPLETION OF THE CCAD COMPLAINTS PROCEDURE .................................... 11 8. VALIDATING PARTNER REVIEW .............................................................................. 11 9. EXTERNAL REVIEW .................................................................................................... 12 10. EQUALITY IMPACT STATEMENT ............................................................................... 12 11. DOCUMENT CONTROL INCLUDING ARCHIVING ARRANGEMENTS ................... 12 12. STANDARDS/KEY PERFORMANCE INDICATORS .................................................. 13 Appendix A - Stages of the HE Complaints Procedure .............................................. 14 Appendix B – Complaints Form ...................................................................................... 15 Page 3 of 17
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1. INTRODUCTION
The Student Complaints Procedure is the name given to the formal process under
which an individual student or, in appropriate cases, collectively a group of students,
is able to make a complaint about the quality of a programme, a member of staff, or a
service offered by the College.
2. PURPOSE
2.1. The purpose of this procedure is to ensure that:
2.1.1.
There is a process for students to raise matters of concern without
risk of disadvantage.
2.1.2.
Students have a process to follow which offers an opportunity for
early and/or informal resolution.
2.1.3.
The complaints procedure is accessible to students.
2.1.4.
There is clear and accurate advice and guidance available for
students making a complaint, and for staff involved in handling or
supporting complaints.
2.1.5.
Complaints are conducted in a timely and fair manner.
2.1.6.
The College takes appropriate action following a complaint.
2.1.7.
There is a process in place to monitor and evaluate the
effectiveness of the complaints procedure, and reflect on the
outcomes of the procedure and make enhancement where
necessary.
3. DEFINITIONS
3.1. A student(s) includes a current student(s), those on placement or engaged
in work-based learning, or on an approved leave of absence, and a
student(s) who has withdrawn or completed their studies within the last 3
months.
3.2. Under this procedure a complaint is defined as concern about the quality of
a programme, a member of staff, or a service offered by the College.
Examples of this might be where the College has not followed its own
policies and procedures, or where the service outlined in one of its
published documents has not been delivered.
3.3. If a concern relates to a decision made by an academic body charged with
making decisions on an assessment, student progression and awards, this
concern should be made through the Academic Appeals Procedure.
3.4. The College reserves the right to reject any complaint which it considers to
be vexatious or frivolous. A vexatious or frivolous complaint can be
characterised in a number of ways:
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3.4.1.
Complaints which are obsessive, persistent, harassing, prolific, or
repetitious;
3.4.2.
Insistence upon pursuing a complaint that does not have merit
and/or unrealistic outcomes beyond all reason;
3.4.3.
Insistence upon pursuing a complaint that has merit, but in an
unreasonable manner;
3.4.4.
Complaints which are designed to cause disruption to classes or
annoyance to staff or students;
3.4.5.
Demands for redress which lack any serious purpose or value.
The College will respond to instances of unreasonably persistent or
harassing behaviour in accordance with the CCAD Student Disciplinary
Procedure.
4. RESPONSIBILITIES
4.1. The Principal/Chief Executive is responsible for ensuring that:
4.1.1.
There is a positive, open culture that takes seriously complaints
from students, that there is a process in place for students to raise
concerns without the risk of disadvantage.
4.2. Vice Principal (Academic) is responsible for ensuring that:
4.2.1.
Student concerns are monitored on a regular basis and there is an
annual review of all complaints received from students. This review
should evaluate the effectiveness of the procedure, reflect on the
outcomes and make enhancements where necessary.
4.2.2.
The Vice Principal (Academic) ensures that the College takes
appropriate action following a complaint.
4.2.3.
Staff involved in handling or supporting complaints receive
appropriate training to carry out this role.
4.3. The Academic Registrar is responsible for ensuring that:
4.3.1.
Student concerns or complaints are handled in a timely and fair
manner.
4.3.2.
The complaints procedure, along with advice and guidance is
accessible to students and staff on the Student VLE and staff
intranet.
4.3.3.
A record of student complaints are maintained, and are reviewed
annually.
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4.3.4.
Students are provided with a final notification that the College has
completed the investigation into their complaint.
4.3.5.
The Vice Principal (Academic) is informed of the outcome of the
complaint to ensure that the College takes appropriate action
following a complaint.
4.3.6.
Provide any documentation required for external review.
4.4. The Student Services Manager is responsible for ensuring that:
4.4.1.
There is a process to follow which offers an opportunity for early
and/or informal resolution.
4.5. Academic and business support staff are responsible for ensuring that
they:
4.5.1.
Take complaints from students seriously and will aim to resolve
these complaints in a fair manner without risk of disadvantage.
4.5.2.
Participate in an investigation when asked by an investigating
officer, where a student(s) has raised a complaint.
4.6. Students are responsible for ensuring that they:
4.6.1.
Have a genuine complaint about the quality of a programme, a
member of staff, or a service offered by the College.
4.6.2.
Have considered what a reasonable outcome to their complaint is.
4.6.3.
First seek informal resolution to their complaint through tutorials,
student assemblies, programme boards, or speaking directly to
their tutor, programme leader, or head of school.
5. STAGES OF THE STUDENT COMPLAINTS PROCEDURE
5.1. Early/Informal Resolution
5.1.1.
Unless there are exceptional circumstances, students should seek
to resolve their complaint early and informally before entering into
the formal complaints procedure.
5.1.2.
Students need to seek advice and guidance from Student Services
about resolving their complaint informally before entering into the
formal complaints procedure.
5.1.3.
If a complaint relates to the Student Services Manager, students
should contact their Head of School, who will provide advice and
guidance.
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5.1.4.
If a student has been unable to resolve their complaint informally
within 10 working days, or because there are exceptional
circumstances, they can submit a formal complaint as detailed in
the stages below:
5.2. STAGE 1
5.2.1.
Students should only submit a complaint if they have not been able
to resolve their complaint informally, or if there are exceptional
circumstances in which they feel that their complaint requires
formal investigation.
5.2.2.
Students should complete a Student Complaints Form (available
from the student VLE), summarising their complaint and any
resolution they are seeking. Additional details or any supporting
evidence should be attached securely to the form.
5.2.3.
They should take their completed complaints form to the Academic
Registrar. The Academic Registrar will record that CCAD has
received a formal complaint and arrange a meeting with the Student
Services Manager to arrange mediation to resolve the complaint.
5.2.4.
The Student Services Manager will arrange a meeting with the
student and their Programme Leader or a Department Manager;
the Student Services Manager will attend this meeting.
Alternatively, if their complaint concerns a particular member of
staff, they may be offered mediation to help resolve the issue. The
meeting or mediation will usually take place within 10 working days.
5.2.5.
If a student’s complaint relates to their Programme Leader or a
Department Manager and they do not feel able to attend mediation,
their complaint will go straight to Stage 2 of the procedure.
5.2.6.
If at the end of the meeting or mediation their complaint is resolved,
the student and the member of staff will sign off the Student
Complaints Form. The Student Services Manager will send a copy
of the signed form, together with a letter confirming that the
complaint has been resolved, to the student and the Academic
Registrar.
5.2.7.
If at the end of the meeting or mediation the student wishes to
reflect on the outcome, or if they believe that the matter remains
unresolved, they should confirm this to the Academic Registrar.
The student has up to 10 working days after the meeting or
mediation to let the Academic Registrar know that they wish the
matter to progress to Stage 2 of the Student Complaints Procedure.
They must do this in person, or by email, or in writing. If they do not
notify the Academic Registrar of their wish to progress to Stage 2
within 10 working days of the meeting or mediation, the Academic
Registrar will assume that they do not wish to pursue this complaint
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and will issue a letter confirming that their complaint has been
concluded.
5.3. STAGE 2
5.3.1.
The Academic Registrar will appoint a member of College staff to
investigate the student’s complaint within 5 days, in consultation
with the Vice Principal (Academic). This may be a senior lecturer
(not from a programme within the student’s own School), a Head of
School (not the Head of the student’s own School), or a Department
Manager. On occasions, the Vice Principal (Academic) or the Vice
Principal (Resources) may be asked to investigate the complaint.
5.3.2.
The staff member invited to investigate the complaint will under no
circumstances be junior to any staff they are required to investigate.
The Student Services Manager will provide him/her with copies of
the Student Complaints Form and any supporting documentation,
including notes of the Stage 1 meeting (but not notes of mediation,
which remain confidential).
5.3.3.
The investigator will contact the student within 5 working days to
acknowledge receipt of the complaint. The investigator will conduct
an investigation into the complaint and will prepare a report
outlining their findings. He/she will let the student know how long
the investigation is likely to take and will set a date by which they
can expect to receive their report. This will usually be within 1
calendar month of receiving the details of the complaint. The
investigator may request a meeting with the student at the start of
their investigation to clarify and agree the issues to be investigated.
5.3.4.
The investigator will provide the student with a report detailing the
outcome of their investigation (note that sections relating to other
staff or students may be masked for reasons of confidentiality). A
copy will also be sent to the Academic Registrar.
5.3.5.
The investigator will invite the student to attend a meeting to
discuss the findings. If at the end of the meeting their complaint is
resolved, the Student Complaint Form will be signed off by the
student and the investigator and will be returned to the Academic
Registrar. The Academic Registrar will send a copy of the signed
form, together with a letter confirming that the complaint has been
resolved, to the student.
5.3.6.
If at the end of the meeting the student wishes to reflect on the
outcome of the meeting, or if the matter remains unresolved, they
should inform the Academic Registrar. The student has up to 10
working days after the meeting to let the Academic Registrar know
if they wish the matter to progress to Stage 3 of the Student
Complaints Procedure. They may do this in person, by email or in
writing, the Academic Registrar will then refer the matter to the Vice
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Principal (Academic). If they do not notify the Academic Registrar
of their wish to progress to Stage 3 within 10 working days of the
meeting with the investigator, the Academic Registrar will assume
that they do not wish to pursue the complaint and will issue a letter
to the student confirming that the complaint has been concluded.
5.4. STAGE 3
5.4.1. The Vice Principal (Academic) will:
5.4.1.1. Appoint a College Officer if he/she considers that any part of
the complaint has not been sufficiently investigated. The
Officer’s role is to conduct an independent investigation into
those aspects of the complaint that have not already been
investigated; the Vice Principal (Academic) will make clear
those areas on which further advice or evidence is required.
The Officer will not normally have been previously involved
with the complaint, although on occasion this may be
unavoidable.
5.4.1.2. Invite the Academic Registrar (or nominee) to arrange a
Complaints Panel meeting. This meeting will normally take
place within 20 working days of the complaint moving to Stage
3 of the procedure, but this time period may be extended if a
College Officer is appointed and if the Officer requests
additional time to conduct further investigation. If the hearing
is not to be held within 20 working days, the Academic
Registrar (or nominee) will inform the student of the extension.
5.4.2.
The Complaints Panel will consist of:

The Vice Principal (Academic) or his/her nominee (Chair);

A Head of School/Department Manager not previously
involved in the complaint;

An independent person (which may include a Governor);

A representative of the Students’ Union.

The Academic Registrar (or nominee) will act as Secretary
to the panel.
The quorum for the panel is three members.
5.4.3.
The student will be entitled to attend the meeting of the Complaints
Panel in order to:

present their case (this may include calling witnesses)

be questioned by Panel members
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
question their Programme Leader or the Department
Manager or any witnesses presented

make a concluding statement.
The student will be entitled to bring a friend or representative to the
Panel meeting if they wish to do so. If they are being accompanied,
the nature of the role of the friend/representative should be clarified
to the Academic Registrar prior to the meeting, including whether
this person will be speaking on their behalf. The person
accompanying the student cannot be a legal representative.
5.4.4.
The defence of the case will be made either by the student’s
Programme Leader or the relevant investigator, as appropriate.
He/she will attend the meeting in order to:

present the response (this may include calling witnesses)

be questioned by panel members

question the student or any witnesses presented by the
student

make a concluding statement.
5.4.5.
The Academic Registrar will arrange the Panel meeting and will
ensure that all parties are notified of the date and time of the Panel
meeting, and provided with supporting paperwork, at least 15
working days in advance of the meeting. Due notice of the
Complaints Panel meeting will be considered to have been given
on sending the notice and supporting information, if appropriate by
recorded delivery, to the most recent recorded address. The case
may then be heard whether or not the student decides to attend the
meeting. In exceptional cases, which will be determined by the
College, the date may be postponed or rescheduled to enable the
student to attend.
5.4.6.
Students must ensure that they send the Academic Registrar
copies of documents and names of witnesses upon which they will
rely on at the meeting, at least 5 working days in advance of the
meeting. The Academic Registrar will liaise with the student
regarding the times at which the witnesses should attend. It is the
student’s responsibility to ensure that witnesses are available to
attend the Panel meeting. Please note that if the student fails to
give due notice of a witness, the Panel may refuse to hear them.
5.4.7.
The Panel will consider its decision in private after the evidence has
been heard and, in light of the evidence presented, determine the
validity of the case. The Panel will reach its decision by a simple
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majority vote. In cases where no overall majority arises, the Chair
shall have a second or casting vote.
6. DECISION OF THE PANEL
6.1. The panel will make one of the following decisions following consideration
of the complaint:
6.1.1.
That the complaint is not upheld. This decision will be
made where the Panel finds that the student has not
established sufficient grounds to substantiate the
complaint or complaints alleged.
6.1.2.
That the complaint is upheld. In this instance, the Panel
will recommend the action that should now be taken by
the College, or its representatives, to redress the
complaint. In making this judgement, the Panel will have
due consideration for the student’s own preferred
resolution.
6.2. Students will not normally be told the outcome of the Panel’s deliberations
immediately, but the Panel will write to the student within 5 working days
of the meeting to confirm the outcome.
6.3. In all cases, the decision of the Panel is the final stage of CCAD’s Students
Complaints Procedure.
7. COMPLETION OF THE CCAD COMPLAINTS PROCEDURE
7.1. The Academic Registrar will send a Completion of Procedures letter to the
student within 10 working days of the Panel meeting. This letter is the
formal notification that all CCAD procedures have been completed.
8. VALIDATING PARTNER REVIEW
8.1. If a student is not satisfied with the outcome and wishes to pursue the
matter further, they have the right to refer their complaint for review to the
Arts University Bournemouth. They have up to 10 working days after they
have received the formal notification letter to let the Academic Registrar
know if you wish to refer the matter to the Arts University Bournemouth.
They may do this in person, by email or in writing. If they do not notify the
Academic Registrar of their wish to refer the matter to the Arts University
Bournemouth within 10 working days of the formal notification, the
Academic Registrar will assume that they do not wish to pursue their
complaint and will issue a letter confirming that the complaint has been
concluded.
8.1.1.
The Academic Registrar will provide all documents relating to the
complaint to the University Secretary at the Arts University
Bournemouth (AUB) for review. AUB will review the decision of the
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panel and contact the student directly within 20 working days, and
will make one of the following decisions:
8.1.2.
That the complaint is not upheld. The decision made by
the CCAD Panel that the student has not established
sufficient grounds to substantiate the complaint or
complaints alleged is correct.
8.1.3.
That the complaint is upheld. In this instance, AUB will
recommend the action that should now be taken by CCAD
to redress the complaint. In making this judgement, AUB
will have due consideration for the student’s own
preferred resolution.
8.2. The University Secretary at the AUB will send a Completion of Procedures
letter to the student within 10 working days of their review. This letter is the
formal notification that all AUB procedures have been completed.
9. EXTERNAL REVIEW
9.1. If the student is not satisfied with the outcome of their complaint from the
Arts University Bournemouth and wish to pursue the matter further, they
have the right to refer their complaint to the Office of the Independent
Adjudicator for Higher Education (OIA). They must do this within 3 calendar
months of the date of the Completion of Procedures letter from the Arts
University Bournemouth. Details of the OIA will be enclosed with the
Completion of Procedures letter, or this may be obtained from Arts
University Bournemouth’s Student Services. Information is also available
from the OIA’s website: www.oiahe.org.uk
10. EQUALITY IMPACT STATEMENT
10.1. This policy will be implemented in line with the principles of the College’s
commitment to equality and diversity which is: Cleveland College of Art and
Design is committed to the principles of equality and diversity and aims to
ensure that all employees and college users are treated fairly and equally
regardless of age, disability, gender reassignment, marriage and civil
partnership, pregnancy and maternity, race, religion or belief, sex, or sexual
orientation.
11. DOCUMENT CONTROL INCLUDING ARCHIVING ARRANGEMENTS
11.1. Copies of all documents will be held confidentially by Academic Registry.
Information regarding complaints will be used for statistical monitoring
purposes. A summary of all formal complaints is reported within CCAD’s
Annual Review. It is also reported within the Overview Report on annual
monitoring, presented to Academic Board, and to the Arts University
Bournemouth.
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12. STANDARDS/KEY PERFORMANCE INDICATORS
12.1. The Complaints Procedure will be monitored by the Vice Principal
(Academic).
12.2. The Annual Review will contain a summary of complaints and action taken,
statistical comparisons from previous years and, where necessary,
recommendations for enhancement of the procedure.
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Appendix A - Stages of the HE Complaints Procedure
• Student contacts Student Services
• Informal advice and guidance, and mediation to resolve the issues
Informal Stage
Stage 1
• Formal complaint submitted to the Academic Registrar.
• Formal advice and gudiance, mediation to resolve complaint.
Stage 2
• Complaint unresolved, formal investigation arranged by the Academic Registrar.
• Formal investigation by a senior member of staff.
Stage 3
• Complaints Panel Hearing, arranged by the Academic Registrar.
• Panel hearing by senior members of the College to hear all aspects of the complaint.
Validation Partner Review
External Review
• Review of the procedure by the Validating Partner.
• External Review by the Office of the Independent Adjudicator for Higher Education (OIA)
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Appendix B Complaints Form
Cleveland College of Art and Design
Student Complaints Form
Students wishing to lodge a formal complaint against the College should use this form
to summarise their complaint and submit this form to the Academic Registrar. The
College will respond to a complaint upon receipt of the completed form.
Your name
Your full correspondence
address
Postcode
Your telephone number
Mobile
Your course
Year
Please summarise your complaint below.
Your complaint must be specific and, where possible, supported by documentary
evidence. Please also detail any informal attempts to resolve the complaint and the
outcome:
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Please outline the resolution you are seeking:
Student’s signature
Date
For complaints resolved at stage 1 or 2 of the Student Complaints Procedure:
Student and member of College staff to sign below:
Student signature
Date
Staff signature
Date
Staff Position
Complaints stage:
For complaints that progress to stage 3 of the Student Complaints Procedure:
Vice Principal (Academic) (or nominee) to tick one box :
Referral to Complaints Panel
Date
Issue Completion of Procedures letter
Date
Vice Principal’s signature
Date
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This policy will be implemented in line with the principles of the college’s
commitment to equality and diversity which is: Cleveland College of Art and Design
is committed to the principles of equality and diversity and aims to ensure that all
employees and college users are treated fairly and equally regardless of age,
disability, gender reassignment, marriage and civil partnership, pregnancy and
maternity, race, religion or belief, sex, or sexual orientation.
Date of last Policy Review: September 2014
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