Regulations Governing Student Complaints 2023-24

Mediation does not form part of the complaints procedure but offers an alternative dispute resolution service for people who choose to seek an informal method of resolving their conflict. If a student chooses to take part in mediation, they will not lose their right to submit a complaint or to continue with an existing complaint that has been made under these Regulations. 

Mediation can be entered in to before a complaint is submitted or during any stage of the procedure in Section B. If mediation is entered in to, the usual timescales within the procedure are suspended until the mediation is concluded. 

Mediation is a process in which disputing parties seek to resolve their difference in a mutually acceptable way with the assistance of a trained mediator acting as an impartial third party. Mediation is voluntary and aims to offer the disputing parties the opportunity to be fully heard, to hear each other's perspectives and to decide how to resolve their dispute themselves. 

Mediation is entirely confidential and no record of the contents of the mediation process is held on any student file. All mediators are fully trained and accredited members of the Professional Mediators Association and remain impartial throughout. 

Further information can be found on the University’s webpages. 

2.1 Those applying to study at the University of Southampton (see the Regulations Governing Complaints from Applicants). 

2.2 Anonymous complainants. 

2.3 Third parties wishing to raise a complaint on behalf of a student. This includes parents, guardians, relatives or the spouse or partner of a student. Only in exceptional circumstances will a complaint from a third party be investigated and only if written authorisation and  valid reasons have been provided by the student. 

2.4 Students at other accredited institutions, except where covered by Section A paragraph 1.4. Such students are required to follow their respective Institution's regulations for complaints. The University of Southampton will liaise and cooperate with that student's provider to resolve any issues outside the framework of these Regulations. 

7.1 The University will process all personal information in accordance with its Data Protection Policy.   

7.2 Any complaint raised by a student will be treated with the highest level of confidentiality that can be maintained, but the University will disclose information to: inform staff of any allegation made and give them an opportunity to respond as required by natural justice; to allow an investigation to be carried out properly; for the discharge of its duties; or as required by law. 

7.3 There may be cases where it is appropriate to preserve confidentiality in relation to the identity of witnesses where there is reasonably perceived to be a need to protect any student or staff from the risk of intimidation or retribution. 

7.4 The University may also adapt these Regulations where it is considered undesirable for any one person to give evidence in the presence of another. 

7.5 Where a person against whom allegations have been made is not aware of the identity of all those who have given evidence, due weight to this factor must be given and the individual's responses to the allegations must be seen in this context. Natural justice must be observed, meaning that such an individual has the right to fully understand the case made against them. 

7.6 Complaint outcomes and recommendations may be shared across the University in the spirit of institutional learning.  Any personal information will be removed and handled in accordance with the Data Protection Policy. 

7.7 Audio and/or visual recording of complaints meetings is not normally permitted. If, due to exceptional circumstances having been accepted, it is agreed in advance that a student is permitted to record a meeting, any such recording is confidential and must not be copied or shared with any third party, or published or disseminated in any way. A true and complete copy of the recording of the meeting must be provided to the other party as soon as possible after the recording was made. 

7.8 Where a complaint refers to a member of staff, the outcome of the complaint and the reasoning for the decision will be shared with that staff member. Should the complaint be upheld or partially upheld, this information will also be provided to the staff member’s line manager and, for Stage 1 outcomes, the individual that appointed the Stage 1 investigator under Section B paragraph 1.6.  Students will not be advised of the outcome of any further action taken if any matters arising are referred for consideration under the University’s Human Resources policies. 

A summary of this procedure can be found in Appendix D. Reasonable adjustments to this procedure can be made, when appropriate, for students with additional needs or to allow for other factors that would otherwise place a student at a disadvantage.  If the University and the student agree, meetings may be held by video conference, telephone conference, or other means considered appropriate by the University and student.  In exceptional situations (e.g. where a verbal discussion would be impractical, and both parties agree, such discussions may be conducted in writing. 

This procedure sets down the usual timescales for complaints submissions and outcomes. Where, for any reason, the University is unable to adhere to stated timescales, it will make all reasonable efforts to keep the student informed of the delay. Please note that where 'working days' are referred to, this excludes weekends, bank holidays and University closure days. 

Should a complaint be received by the President and Vice-Chancellor or other staff member in a senior capacity, it will be acknowledged and referred to the Head of Academic Appeals and Student Complaints who will ensure that it enters this procedure at the appropriate point.  

The University has absolute discretion to determine which stage of the procedure will be applied in any particular case. 

1.1 The University aims to resolve the majority of student complaints at Stage 1. 

1.2 A student should raise a complaint as soon as possible but normally within 30 working days of the event or issue occurring.   

1.3 Complaints related to academic matters or to members of University School staff should be directed to the Curriculum and Quality Assurance (CQA) Team in the Faculty in which the student is registered. Complaints related to University facilities or services  or to members of University staff in a Professional Service should be directed to the relevant Professional Service Manager. See Appendix E for contact information. 

1.4 The complaint must be made in writing, using the Stage 1 Complaint Form (Appendix A) which must contain a written statement outlining the issue(s) which have arisen and their preferred outcome. 

1.5 Within 5 working days of receipt of the Complaint Form, and subject to the provisions of Section A paragraph 1.4, the CQA Team or Professional Service Manager will contact the student to acknowledge the complaint. 

1.6 Following receipt of the complaint and, except in the instance of a rejected late complaint (see Section A paragraph 5.3), a member of staff, who is not the subject of the complaint, will be appointed as the Stage 1 Investigator. This may be a member of academic or Professional Service staff.  In the absence of a conflict of interest, the  Stage 1 Investigator will be appointed by the Associate Dean (Education) or their nominee (usually the Deputy Head of School (Education)) or the Professional Service Manager or their nominee.  These individuals may also, in the absence of a conflict of interest, conduct the investigation. 

1.7 The Investigator will be responsible for assessing whether the complaint falls within the scope of these Regulations as set out in Section A. If they are of the view that the complaint falls outside the scope of these Regulations, the student should be advised of this in the Stage 1 complaint outcome referred to in Section B paragraph 1.11 and , where appropriate, referred to other regulations or procedures. 

1.8 If the Investigator is satisfied that the complaint falls within the scope of the Regulations, a meeting should be offered to the student as soon as possible to review and clarify the issues raised.  A notetaker must be present at the discussion who will produce a written summary, setting out the issues to be investigated and the key points of the discussion (the “Meeting Summary”).  

1.9 If the student indicates that a meeting is not necessary or chooses not to attend, the Investigator may proceed with their investigation on the basis of the student’s written complaint submission. 

1.10 In accordance with Section A paragraph 7.2 and where a complaint concerns the conduct of a member of staff, the Investigator shall advise that individual of the nature of the complaint and will invite them to comment on the allegation(s) made. 

1.11 The Stage 1 outcome should be sent to the student normally within 30 working days of receipt of the Stage 1 complaint submission.  The outcome letter should set out the Investigator’s decision and reasoning and, in accordance with Section B paragraph 1.8, should be accompanied by a copy of the Meeting Summary.  Should the student disagree that the Meeting Summary is a true representation, they may submit their own record of their understanding of the discussion within five working days.  The Meeting Summary (and where received, the student’s record of their understanding of the discussion) will form the final record of the discussion and retained within the student’s complaint file. 

1.12 Following communication of an outcome within Section B paragraph 1.13, and if the student is not satisfied with the outcome received at Stage 1, they may proceed to Stage 2 of the procedure.  With the exception that the University has absolute discretion to determine which stage of the procedure will be applied in any particular case, a complaint cannot be submitted at Stage 2 without Stage 1 of the procedure having first been completed in full. 

2.1 A student wishing to make a Stage 2 complaint must, within 20 working days of the date of the Stage 1 outcome, submit a completed Stage 2 Form (Appendix B).  

2.2 The Stage 2 Form should be submitted to: 

• 2.2.1 The Dean of the Faculty if the complaint relates to:
  • academic programmes;
  • the conduct of a staff member in a Faculty.

• 2.2.2 The Director of the relevant Professional Service if the complaint relates to:
  • a facility or service issue;
  • the conduct of a staff member in a Professional Service. 

• 2.2.3 The President and Vice-Chancellor if the complaint relates to:
  • the actions or conduct of the Dean of the Faculty.

• 2.2.4 The The Vice-President (Operations) if the complaint relates to:
  • the actions or conduct of a Director of a Professional Service.

If the student is unsure whom to send the Stage 2 Form to, they should seek advice from the Head of Academic Appeals and Student Complaints or from the Students' Union Advice Centre. 

2.3 The Dean, the Director, the President and Vice-Chancellor or the Vice-President (Operations) may appoint a nominee to investigate the complaint at Stage 2 as set out in Section B paragraph 2.5. 

2.4 The student should take care to raise all matters of complaint and to submit all supporting evidence at Stage 2, as they will not be able to raise any new matters of complaint at Stage 3. Additional evidence or information will not be permitted at Stage 3 unless the student can demonstrate exceptional circumstances as to why the new evidence/information was not available to them to put forward at Stage 2 and the new evidence/information is essential to the complaint.  

2.5 The Dean, the Director, the President and Vice-Chancellor, the Vice-President (Operations) (or the nominee, if appointed under Section B paragraph 2.3) will: 

• 2.5.1 Inform the Faculty Curriculum and Quality Assurance (CQA) Team or Professional Service Manager that a Stage 2 Form has been received. 
• 2.5.2 Appoint a member of staff, independent of the complaint, to be the Stage 2 Investigator. If the complaint alleges an infringement of the Dignity at Work and Study Policy, the Stage 2 Investigator should not be:
  • situated in the School in which the student is registered or in which the staff member cited in the allegation is working; or
  • situated in the Professional Service in which the staff member cited in the allegation is employed.
• 2.5.3 Receive the Stage 2 Investigator’s Report and decide the complaint in accordance with Section B paragraph 2.9. 

2.6 The Stage 2 Investigator will: 

2.6.1 Subject to the provisions of Section A paragraph 1.4, contact the student within 5 working days of receipt of the Stage 2 Form to acknowledge the complaint and to confirm that they will conduct the investigation at Stage 2 of the procedure. 

2.6.2 Obtain the full complaint file from the CQA Team (or Professional Services Manager) and meet with the Stage 1 Investigator. 

2.6.3 Assess whether the complaint falls within the scope of these Regulations as set out in Section A.  If the Investigator is of the view that the complaint falls outside the scope of the Regulations, the Investigator is not required to meet with the student and the report referred to in Section B paragraph 2.6.9 may be limited to the reasoning for this recommendation.   

2.6.4 If the Investigator is satisfied that the complaint falls within the scope of the Regulations, and with the exception of the provision set down in Section B paragraph 2.7, a meeting should be offered to the student as soon as possible to review and clarify the issues raised. A notetaker must attend the meeting to produce a written summary setting out the issues to be investigated and the key points of the discussion (the “Meeting Summary”).  If the student chooses not to attend the meeting, the Investigator may proceed with their investigation on the basis of the student’s written complaint submission but must confirm to the student, in writing, the issues that are to be investigated.  

2.6.5 Subject to Section B paragraph 2.7, meet with the member of staff who is the subject of the complaint.  The individual should be advised of the nature of the complaint and, in accordance with Section A paragraph 7.2, invited to comment on the allegation(s) made.  Staff members are entitled to be accompanied to any complaint meetings by a colleague or trade union representative and notetaker must be in attendance to produce a written summary setting out the issues to be investigated and the key points of the discussion (the “Meeting Summary”). 

2.6.6 Subject to Section B paragraph 2.7, meet with any other person who may have information that is relevant to the complaint. Staff members are entitled to be accompanied to any complaint meetings by a colleague or a trade union representative and a notetaker must be in attendance to produce a written summary setting out the issues to be investigated and the key points of the discussion (the “Meeting Summary”). 

2.6.7 prepare and submit a Stage 2 report setting out the issues that have been investigated, clearly evidencing the findings against each matter of complaint and setting out their conclusions and (if relevant) recommendations.  The reasoning for any decision made by the Investigator under Section B paragraph 2.7 should be referenced within the Stage 2 Report.  The Investigator should submit their report to the member of staff responsible for their appointment as Stage 2 Investigator (see Section B paragraph 2.5). 

2.7 If the Stage 2 Investigator is satisfied that: 

• the Stage 1 Investigator conducted meetings with the student, and those individuals referred to in Section B paragraphs 2.6.5 and 2.6.6, and  
• that there are meeting notes which comprehensively cover the matters of complaint which remain substantively similar between the student’s Stage 1 and Stage 2 complaint submission, they may, at their discretion, decide to proceed with their investigation in the absence of any further meeting with the individuals concerned, utilising the record of the meetings conducted at Stage 1. Any such decision and its reasoning should be referenced in the Stage 2 report as described in Section B paragraph 2.6.7. 

2.8 Upon receipt of the Stage 2 Investigator’s Report, the Dean, Director President and Vice-Chancellor, Chief Operating Officer (or their nominee if appointed under Section B paragraph 2.3) will then make a decision based on the Stage 2 report and will either fully uphold, partially uphold or reject the complaint. 

2.9 A Stage 2 outcome letter, setting out the decision, its reasoning and, if appropriate, the proposed resolution should be sent to the student normally within 30 working days of receipt of the Stage 2 Form. The student should also be provided with a copy of the Investigator’s Report and any appendices.  

2.10 Following communication of an outcome within Section B paragraph 2.9, and if the student is not satisfied with the outcome received at Stage 2, they may proceed to Stage 3 of the procedure. If the student is not satisfied with the outcome received at Stage 2 but does not meet the grounds for complaint at Stage 3, the complaint will have exhausted the University’s procedure and the student may request that a Completion of Procedures letter be issued in accordance with Section B paragraph 5.1. 

3.1 A student may proceed to Stage 3 of the procedure by submitting a completed Stage 3 Form (Appendix C) to the Head of Academic Appeals and Student Complaints, within 10 working days of receipt of the Stage 2 outcome letter.  

A Stage 3 complaint will only be accepted if the student can demonstrate: 

• 3.1.1 that they have new information which was for good reason not available at Stage 2 and this information is essential to the complaint; and/or
• 3.1.2 that the University failed to follow the procedure at Stage 2 and this has significantly disadvantaged them. 

3.2 The Head of Academic Appeals and Student Complaints will acknowledge receipt normally within 5 working days of receipt of the Stage 3 Form. They will also inform the Vice-President (Education) (for academic matters or conduct of University School staff) or the Chief Operating Officer (for Service-related matters or Professional Services’ staff.  

3.3 The Head of Academic Appeals and Student Complaints will act as the Stage 3 Investigator unless otherwise directed by the Vice-President (Education) or the Vice-President (Operations). 

3.4 With reference only to the written evidence before them, the Stage 3 Investigator will initially consider whether either of the grounds in Section B paragraph 3.1 appears to have been met. Should the Stage 3 Investigator’s view be that neither of the grounds have been met, they should inform the student of their decision and its reasoning, normally within 15 working days of receipt of the Stage 3 Form.  The complaint will then have exhausted the University’s internal procedure and a Completion of Procedures letter will be issued in accordance with Section B paragraph 5.1. 

3.5 Should the Stage 3 Investigator determine that one or more of the grounds in Section B paragraph 3.1 appear to have been met, they will conduct an impartial review of the complaint itself, reviewing the manner in which the complaint was investigated at Stage 1 and Stage 2 and the outcome and reasoning given. The Investigator may conduct the review solely with reference to the written evidence before them or may decide to contact the student or any other relevant person to discuss the complaint. The Investigator may decide to seek further information from any party involved at Stage 1 and Stage 2 of the procedure, and may also consult with senior colleagues responsible for the area associated with the matter of complaint, if deemed appropriate. 

3.6 Following completion of the review, conducted in accordance with the provisions of Section B paragraph 3.5, the Investigator will produce a Stage 3 Report and may decide one of the following outcomes: 

• 3.6.1 to refer the complaint back to Stage 2 for further investigation.   The Investigator will specify the scope of the investigation, whether the investigation should be conducted by the original Stage 2 investigator or a new Investigator appointed in accordance with Section B paragraph 2.5, and whether the Investigator’s Report should be submitted to the Dean, Director, the President and Vice-Chancellor, the Vice-President (Operations) (or nominee) that made the original Stage 2 decision, or an alternate.  The complaint will then proceed at Stage 2 from Section B paragraph 2.6; or
• 3.6.2 that, one or both of the grounds in Section B paragraph 3.1 have not been met by the student and the original Stage 2 outcome should be upheld; or
• 3.6.3 one or both of the grounds in Section B paragraph 3.1 have been met which would have changed the outcome at Stage 2. In such a case. an alternative resolution may be proposed to the student.

3.7 The Stage 3 Report will give reasons for the decision in Section B paragraphs 3.6.2 or 3.6.3. In the case of a full review as set out in Section B paragraph 3.5, the Stage 3 Report will be sent to the student normally within 30 working days of the receipt of the Stage 3 Form.

3.8 With the exception of a decision made under Section B paragraph 3.6.1, the Stage 3 Investigator’s decision is final. The complaint will then have exhausted the University’s internal procedure and a Completion of Procedures letter will be issued in accordance with Section B paragraph 5.1. 

4.1 The progress of a complaint through any stage of the procedure will be suspended for any period during which the complaint is subject to the mediation process. 

4.2 If a student's complaint overlaps with other University regulations or policies, advice should be sought from the Head of Academic Appeals and Student Complaints about how to progress the complaint under these Regulations, if at all. The progress of a complaint through any stage of the procedure may be suspended for a reasonable period to deal with this issue. 

4.3 The University may, in exceptional circumstances, terminate a complaint at any stage of the procedure where a student's behaviour is unacceptable or disruptive, and/or the complaint is malicious or vexatious as described in Section A paragraph 4.2. The University may also invoke the Regulations Governing Student Discipline. 

5.1 A Completion of Procedures letter signifies to the student that the University's student complaints procedure has been completed and will provide information about bringing a complaint to the OIA.  The letter should normally be sent to the student within 28 days of the University's final decision 

5.2 Information about the OIA's procedures may be found at http://www.oiahe.org.uk/ or in the OIA leaflet 'Introduction to the OIA for Students'. Students wishing to submit a complaint to the OIA must do so within the timeframe set down in the OIA Scheme Rules which is normally 12 months from the date of the Completion of Procedures letter A complaint must be made in writing using the MyOIA secure online portal or the OIA Complaint Form. 

5.3 Where a student requests a Completion of Procedures letter more than one calendar month following the date of the outcome letter, the deadline for bringing a complaint to the OIA will normally be 12 months from the date of the University’s final decision, rather than the date of the Completion of Procedures letter. 

5.4 Contact details for the Office of the Independent Adjudicator for Higher Education are:

Office of the Independent Adjudicator for Higher Education 
Second Floor, Abbey Wharf 
57-75 Kings Road 
Reading RG1 3AB