Regulations Governing Student Complaints

Section A: Policy

1.       General Principles

1.1     The University of Southampton is committed to ensuring that we provide for our students a high quality educational
experience, supported by appropriate academic, administrative and pastoral support services and facilities. We recognise, however, that there may be occasions when students will feel that they have cause for complaint. In this context, a complaint is defined as an expression of dissatisfaction either about the academic programmes, facilities or services provided by the University, or about actions or lack of actions by the University or its staff.

1.2     The University will seek to ensure that all complaints are treated seriously, positively and constructively. It will also
seek to ensure that complaints are dealt with promptly, with fairness and consistency and with due regard to the University's Equal Opportunities Policy. If a complaint is found to be justified, the University will take such action or provide such remedy as may be appropriate and will do so promptly. If a complaint is not upheld, the reasons for the decision will be communicated to the complainant.

1.3     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.

1.4     Complainants and those against whom complaints are made may expect complaints to be dealt with confidentially and
that their privacy will be respected. However, it may be necessary to disclose information to others in order to deal with the complaint and in these circumstances the parties concerned will be informed of such disclosure. Whenever in thecourse of a complaint being dealt with, a complainant or a person against whom a complaint is made is invited to discussthe complaint orally or to attend a hearing, they shall be entitled to be accompanied by a friend or colleague, who may speak on their behalf.

1.5     The University believes that complaints should be resolved as near as possible to the incident(s) giving rise to the
complaint. For this reason, this Complaints Procedure provides for there to be a number of stages, both informal and formal, in the handling of a complaint. Complaints will not be rejected solely on the grounds of minor procedural deficiencies on the part of the complainant. If a complaint is upheld the person to whom the complaint has been referred shall 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.

2.      Monitoring of Complaints

2.1     Heads of Schools and Services will monitor on an annual basis complaints which have been referred to
them and will be responsible for implementing, or recommending to the appropriate authority, changes to systems or procedures suggested by the nature and pattern of the complaints received. Such records will contain: name (anonymised), age, gender and ethnicity of complainant; complainant's programme of study; summary of complaint; and summary of outcome. A form for monitoring student complaints is at Appendix 1. The outcome of such monitoring may also inform other processes or activities such as course design or postgraduate supervision. Formal complaints submitted to the Director of Student Services will also be monitored.

2.2     A special meeting of the Quality and Standards Committee1 will be convened in July each year to consider
student feedback from different sources, including via the complaints mechanism. QSC may make recommendations to Senate2 on matters requiring changes to academic policy or to Policy and Resources Committee3 on matters involving consideration of resources. Issues relating to services and facilities will be forwarded to relevant committees and to professional services for consideration and action.

2.3     Senate and Council4 will receive annually a report on the outcome of the monitoring of student complaints.
Senate and Council shall consider in the light of this report whether changes to the University's systems and to the Complaints Procedure itself would be appropriate.

Section B: Guidance
1.     Complaints Procedure
1.1     The Complaints Procedure sets out how students may seek to have complaints addressed. The vast majority of
student complaints can be handled fairly, amicably, and to the satisfaction of all concerned without recourse to this procedure. Complaints may be resolved informally at any stage of the proceedings.

1.2     There are six potential stages to the procedure:

1. Informal Complaint (Paragraphs 2.1-2.4)
2. Written Complaint to Head of School/Service (Paragraphs 2.5-2.9)
3. Written Complaint to Director of Student Services (Paragraphs 2.10-2.14)
4. Written Appeal to the Vice-Chancellor (Paragraph 2.15-2.19)
5. Appeal to Council (Paragraphs 2.20)
6. Petition to the Visitor (Paragraphs 2.21-2.29)

1.3     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; Although complainants are entitled to be accompanied to hearings by a friend/representative from the Students' Union willing to speak on their behalf. (See Paragraphs 2.4, 2.9, 2.12).

1.4     This Complaints Procedure may be invoked by students enrolled, part-time or full-time, on courses of the University
of Southampton, except for students registered at an Accredited College.

1.5     This procedure covers complaints concerning:
1.6     The procedure does not cover the following as separate procedures exist for these matters:

1.7     Advice about the Complaints Procedure may be obtained from the appropriate School Office; the Advice and
Information Centre in the Students' Union; or the Student Support Manager.

1.8     This Complaints Procedure was approved by Senate on 14 March 2001 and by Council on 4 April 2001 and forms
part of the University's overall quality assurance framework. It is informed by the Quality Assurance Agency for Higher Education's Code of Practice for the Assurance of Academic Quality and Standards in Higher Education, and in particular by Section 5: Academic Appeals and Student Complaints on Academic Matters (March 2000). It will be available on the University's web site, and a summary will be included in the "Student Handbook."

2.      The Complaints Process
Stage One: Informal Complaint
2.1     The 'Student Handbook' sets out the general entitlements and responsibilities of students and is distributed to every
incoming student at their initial registration. If a student believes that they have a legitimate complaint, they should refer in the first instance to the "Student Handbook" to clarify what is reasonable for them to expect from the University in the relevant area, and whether they themselves have discharged their corresponding responsibilities, if applicable. If, having consulted the "Student Handbook", the student wishes to proceed with their complaint, they may invoke the Complaints Procedure set out in this document.

2.2     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 Staff/Student Liaison Committee or other departmental or School committee.

2.3     The majority of complaints can be resolved satisfactorily on an informal basis.

Informal Stage

Actions for the Complainant:
i. The complaint should normally be made within two months of the actions (or lack of actions) that prompted the complaint.
ii. If possible, the complainant should first raise their complaint either orally or in writing with the individual who is the subject of the complaint.
iii. The complaint should state the remedy they are seeking.

Actions for the subject of the complaint:
i. The person who is the subject of the complaint shall respond to it normally within ten working days of the complaint being made (if it proves impossible to respond fully within ten working days, the complainant shall be informed of the time-scale for the receipt of a full response).
ii. S/he shall retain a note of the substance of the complaint and any action taken.
iii. If s/he rejects the complaint, s/he must state his/her reasons for doing so.


2.4     If making or responding to the complaint involves face-to-face contact between the complainant and the person
against whom the complaint has been made the complainant is entitled to be accompanied by a friend/respresentative from the Students' Union. A friend or colleague may accompany the person against whom the complaint has been made.


Stage Two: Written Complaint to Head of Department or Service

2.5     If the complainant is dissatisfied with the response they receive from the person who is the subject of the complaint,
or if they feel unable to approach that person directly, they should submit, within ten working days of receiving the response, a written complaint to the Head of School (if it relates to an academic matter) or to the Head of the Service concerned, e.g., the Librarian, the Director of Information Systems Services, or the Director of Business Services (for issues relating to Halls of Residence etc).

2.6     If a Head of School is the subject of the complaint, then the written complaint should be made to the Dean of the
Faculty. If a Head of Service is the subject of the complaint the written complaint should be made to the Secretary and Registrar8. If the complainant is unsure whom to approach at this stage, they may seek advice from the Student Support Manager or the Advice and Information Centre in the Students' Union.

2.7     The written complaint should set out briefly:
2.8     The Head of School or Service shall acknowledge in writing receipt of a complaint within five working days. The
Head of the School or Service shall investigate the complaint and shall submit an interim written response to the complainant normally within fifteen working days of the receipt of the complaint. If it should prove impossible to respond fully within fifteen working days, the complainant shall be informed in writing of the timescale for the receipt of a full response.

2.9     If the investigation involves a face to face meeting between the Head of School or Service and the complainant and/or
the person against whom the complaint has been made, the complainant is entitled to be accompanied by a friend/representative from the Students' Union. A friend or colleague may accompany the person against whom the complaint has been made. If the complaint is not upheld, reasons for this decision must be stated.

Stage Three: Written Complaint to the Director of Student Services
2.10   If the complainant remains dissatisfied with the written response, they should, within ten working days
of receiving the response, refer the matter in writing to the Director of Student Services and enclose copies of the correspondence (and any other relevant papers) exchanged during the earlier stages of the procedure.

2.11   The Director of Student Services shall acknowledge in writing receipt of a formal complaint within five working
days. Subject to his/her being satisfied that the complainant has taken all reasonable steps to resolve the matter informally, using the procedures in paragraphs 2.1/2.9, above, the Director of Student Services shall appoint a person or persons within the University, having no material interest in the complaint, to carry out an investigation. The investigator(s) may seek to resolve the issue on the basis of:

  • documentation
  • further information from the members of staff involved in the earlier investigation of the complaint
  • further information from the complainant

2.12   Additionally, the investigator(s) may call a hearing at which the complainant and any other persons involved may
submit their respective cases. The complainant is entitled to be accompanied by a friend/representative from the Students' Union who may speak on their behalf if appropriate. A friend or colleague can accompany the person against whom the complaint has been made and may speak on their behalf if appropriate.

2.13   In the unavoidable absence of any parties in the hearing, the hearing may be postponed, but the voluntary absence
of one of the parties shall not prevent the hearing from proceeding.

2.14   After investigation of the complaint, the investigator(s) shall decide whether the complaint is justified or not and shall
submit a report in writing to the Director of Student Services, containing such recommendations as may be appropriate. The Director of Student Services shall determine what action, if any, shall be taken and shall communicate this in writing to the complainant and all other relevant parties, normally within thirty working days of the date of acknowledging receipt of the formal complaint. The School or Service may be asked to meet the reasonable and proportionate incidental expenses necessarily incurred by a successful complainant.

Stage Four: Written Appeal to the Vice-Chancellor
2.15   Following formal investigation of a student complaint there shall be no right of appeal as to the merits of the case.
Dissatisfaction as to the outcome of the complaint shall not in itself constitute an acceptable reason for appeal. However, if a complainant believes that their complaint was not handled properly or fairly in accordance with the procedures set out in paragraphs 2.10 - 2.14, then they may submit a letter of appeal to the Vice-Chancellor, requesting a review. The letter must set out the reasons for requesting the review, should normally be submitted within ten working days of notification of the decision on the complaint by the Director of Student Services, and should include copies of all previous correspondence and relevant papers.

2.16   Following receipt of an appeal, the Vice-Chancellor shall designate one of the Deputy Vice-Chancellors to consider
the appeal. The Vice-Chancellor will acknowledge receipt of the appeal within five working days and will inform the appellant which Deputy Vice-Chancellor will handle the appeal.

2.17   The designated Deputy Vice-Chancellor shall consider the circumstances of the case on the basis of the
documentation and, having taken such advice as s/he deems necessary, shall determine whether there is evidence to support the appeal that the case had not been handled properly or fairly. If the Deputy Vice-Chancellor determines that no such evidence exists, then the appeal shall be dismissed. If, however, the Deputy Vice-Chancellor is satisfied that there is evidence to support the appeal, then s/he shall review the case. The Deputy Vice-Chancellor shall inform the appellant normally within thirty working days of receipt of the appeal either that there is no evidence to support the appeal, and therefore that the appeal has been dismissed, or that the case is to be reviewed.

2.18   Reviews will normally be conducted by means of scrutiny of written documentation. Following completion of a,
review the Deputy Vice-Chancellor shall report its outcome to the Vice-Chancellor, and shall make such recommendations as s/he may deem appropriate. The Vice-Chancellor (or the Director of Student Services, on his/her behalf) shall ensure that any appropriate action arising from the report and its recommendations is taken, and shall inform the appellant accordingly.

2.19   The School or Service may be asked to meet the reasonable and proportionate incidental expenses necessarily
incurred by a successful complainant.

Stage Five: Appeal to Council
2.20   The decision of the Vice-Chancellor is final. However if the mechanisms described above do not produce a solution
which the student finds acceptable, it is possible under the University's Statutes (number 18(20)) to ask the Council "to entertain, adjudicate upon, and, if thought fit, redress any grievance." Students wishing to initiate a grievance to Council should write to the Secretary and Registrar within ten working days of receiving the result of the appeal, setting out the grounds on which they feel aggrieved; and documenting the action they have taken to attempt to resolve the problem. The Secretary and Registrar will acknowledge receipt of the appeal within five working days. In such instances a special committee is set up to reach a view whether there is a case for consideraton, and if so, to consider the matter in detail and to reach an adjudication on behalf of Council.

Stage Six: Petition to the Visitor
2.21   There also exists an external mechanism for review of the University's actions: this is Her Majesty the Queen
in her capacity as Visitor who operates through the President of the Privy Council. A statement issued by the Privy Council entitled "Petitions To the President Of The Council In Her Role As Visitor" explains what matters are, or are not, suitable for a petition to the Visitor; how a petition should be prepared; and how petitions will be dealt with. The Privy Council Office statement can be accessed online9. The paragraphs that follow (2.22-29) are extracted from this document.

2.22  The Visitor may consider a petition only if the University's own internal procedures have been exhausted. The Visitor
will not intervene on matters which turn purely on academic assessment. The Visitor's role is to review the application by the University of its own internal procedures. The Visitor will not normally intervene unless it can be shown that the University has failed to observe its own rules or procedures; or that, although it has followed the proper procedures, it has reached a decision that no reasonable body, properly directing itself, and taking account of all relevant factors, could have arrived at.

2.23  There is no set format for a petition, and there is no need to use legalistic language, nor does a petition need to
be lengthy. A petition should:


Petitioners should try to avoid emotive language and to adopt a neutral and factual tone.

2.24   Petitions should be addressed to: The Clerk of the Council, Privy Council Office, 2 Carlton Gardens, London SW1Y
5AA. They should be clearly marked "Petition to the Visitor."

2.25   Petitions are initially examined to see whether there is a prima facie case for the Visitor's intervention.
(See 2.21 above.) At this stage, there may be correspondence with the petitioner to clear up any queries that arise.

2.26   If there appears to be no evidence supporting the petitioner's case, they will be informed that, on the evidence so far
presented, there appear to be no grounds for the Visitor to intervene, with reasons. It is open to the petitioner to provide additional evidence to show that the case is, in fact, one in which the Visitor can intervene.

2.27   If the petition appears to show evidence supporting a case for the Visitor's intervention, it will be forwarded to the
University for an answer. The Visitor will formally direct the University to provide an answer within six weeks. The University's response will then be sent to the petitioner, who will be able to respond to the points made in it.

2.28   Once any response the petitioner wishes to make has been received, the case will be submitted to the Visitor, who
will normally decide on the basis of the three sets of documents (the original petition, the University's answer and the petitioner's response). There will not normally be an oral hearing.

2.29   The petitioner and the University will then be informed of the Visitor's decision, with the reasons for it.

2.30   Further information about, or clarification of these procedures is available from the Student Support Manager,
Department of Student Services, University of Southampton, Southampton SO17 1BJ; telephone: 023-80-593062; fax: 593037.  
1 Quality and Standards Committee reports to Senate and has responsibility for the development of the University's Quality
Assurance policy and procedures in relation to students.
2 Senate is the head authority on all academic matters.
3 Policy and Resources Committee reports to Senate and has primary responsibility for overseeing academic and
non-academic resource issues.
4 Council has responsibility for the University's Governance and its membership includes 15 members who are neither
employees nor officers of the University to help ensure that the University is governed impartially.
5 The Student Support Manager, Department of Student Services, University of Southampton, Southampton, SO17 1BJ.
6 These are listed at: http://www.hr.soton.ac.uk/equalops/asp/other/equal_opps.asp
7 The Student Handbook is available on the web at: http://www.studentservices.soton.ac.uk/studenthbk/
8 This should be addressed to: Mr J F D Lauwerys, Secretary and Registrar, University of Southampton, Highfield,
Southampton, SO17 1BJ.
9 At http://www.privy-council.org.uk/output/Page48.asp