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Policy on non-academic complaints and non-academic appeals

Preface

The Policy is presented in one section:
- Complaints against University provision or services, other than academic provision and services, and appeals against judgments relating to non-academic matters (hereafter referred to as ‘Non-Academic Complaints and Appeals’).
The University of St Andrews, as part of its commitment to the provision of high quality services, seeks to resolve difficulties between people who use its non-academic services and the institution as fairly and effectively as possible. These difficulties normally fall into one of two categories:
- Complaints – where someone is dissatisfied with the non-academic service provision that they have received from any part of the University – where, for example, the conduct of staff is considered inappropriate or a service has failed to meet a satisfactory standard;
- Appeals against decisions – where, for example, the University has made a decision about a student’s hall assignment or fee category or the student wishes to appeal against the outcome of a non-academic procedure.
In an appeal against a non-academic decision requests for a review may only be submitted on the following grounds:
- procedural irregularity;
- bias or prejudice;
- exceptional personal circumstances not previously notified for good reason (in which case an explanation for earlier non-disclosure is required);
- harassment or bullying by a member of staff involved in the matter.
The process for making non-academic complaints and non-academic appeals follows the same principles, policy and processes since complaints and appeals often overlap in a non-academic service context.
There is a distinction between academic matters (for example, grades awarded, or academic provision or support) and non-academic matters (for example, dissatisfaction with an administrative service or a unit providing non-academic support to students).
All academic related appeals and complaints are addressed in the University of St Andrews Policy on Student Academic Appeals and Academic Complaints (September 2010).
Complaints by students against other students and matters relating to student conduct are pursued separately under the University of St Andrews Non-Academic Misconduct Policy (Students).
The University will normally seek to resolve non-academic complaints and appeals as close as possible to the level at which they arise. Only when such channels are closed or efforts to resolve matters at this level are exhausted or there is a conflict of interest that prevents resolving the matter satisfactorily at that level will procedures be initiated to escalate to a higher level.
Students or others using University services should have the opportunity to raise matters of concern or appeal against decisions affecting them without fear of disadvantage. In particular this Policy should be read in conjunction with the University’s Statements and Policies in relation to Equal Opportunities and Student Confidentiality, and this Policy is the means by which students should raise concerns relating to the provisions contained in those statements. A separate procedure exists for Whistleblowing, and details for this may be found on the University website.
The standard of proof that will normally apply in the operation of these procedures will be “the balance of probability” of civil justice rather than “beyond reasonable doubt” as in criminal justice.
The University will make every reasonable effort to meet the time limits expressed in this document. Where they are not met, the University will be expected to provide a justifiable explanation. Students and others who use University services should, however, be aware that timescales may be reasonably extended during University vacations when students themselves and/or appropriate staff may not be available.
Students and staff can obtain guidance on the procedures relating to any of the sections of this Policy from the Court Office.
Where relevant, students may wish to consult with Student Services or the University of St Andrews Students’ Association.
Staff who are the subject of a complaint may also wish to take advice from Human Resources or, if appropriate, a Trade Union recognized by the University.
When an issue is potentially relevant to other related institutional procedure (such as staff disciplinary procedures), the relevant staff will determine an appropriate sequence for the matters to be considered.

Introduction to procedures

This section deals with the procedures by which students, parents, external agencies or members of the public may seek to pursue a complaint about any non-academic service they have received from any part of the University; this includes complaints about particular aspects of service provision, or complaints about the conduct of University staff or appeal against a non-academic decision made by the University or its staff.
(The procedure details four stages at which non-academic complaints and appeals can be considered:
- Local resolution – informal
- Local resolution – formal
- Principal’s Office assessment
- Complaints panel
The University will seek in all cases to resolve the complaint or appeal as quickly and satisfactorily as possible.
Wherever possible and appropriate the University will seek to address complaints and appeals as close as possible to the level at which they arise.
Where it has not been possible informally to resolve the complaint or appeal satisfactorily or the complaint or appeal contains more serious allegations about a service or the conduct of a member of staff the matter will be referred to a more formal and appropriate stage in the process.
The University will not accept complaints and appeals made by third parties, unless the complainant is unable for good reason to make the complaint themselves. The University will also not normally discuss a student’s complaint or appeal with family members, friends or other third parties.
The University will not accept complaints and appeals that have been made anonymously.

Stage 1: Local resolution - informal

The University recognises that many complaints and requests to review decisions are raised informally at a local level.
If a student or some other person wishes to make a complaint about the provision to them of a non-academic service or the conduct of a member of the University staff towards them, or if a student wishes to have a decision reviewed, they may do so at first informally by raising this in person, by telephone or email with a member of staff who has responsibility in the area of concern.
The member of staff receiving the complaint or review request will take any reasonable action that is within their authority and the scope of their role to resolve the matter to the satisfaction of all parties.
If it has not been possible to resolve the complaint or review request immediately to the satisfaction of the initiator or the complaint or review request appears to be of a more serious nature then it should be referred to a formal procedure.
If the complaint or request for a review cannot be resolved at the informal stage the matter must be referred to either Stage 2, Local Resolution – Formal or Stage 3- Principal’s Office Assessment.

Stage 2: Local resolution - formal

In cases where a complaint or review request has not been resolved to the satisfaction of all parties at an informal level (see Stage 1 above) or where the matter is deemed too serious or sensitive for informal local resolution, then the issue should be raised with the Director/Head of the Unit involved.
The complaint or appeal must be presented in a written format, clearly stating the name and contact details of the person making the complaint or appeal.
The submission of a complaint or appeal should clearly state the basis of the complaint or grounds for the appeal, including full details of the incident or case and any appropriate supporting documentation.
If making an appeal the request to review a decision may only be submitted on the following grounds:
- procedural irregularity;
- bias or prejudice;
- exceptional personal circumstances not previously notified for good reason (in which case an explanation for earlier non-disclosure is required);
- harassment or bullying by a member of staff involved in the matter.
The Director/Head will consider the issues raised, investigate the matter with other members of his/her staff and shall have the following powers:
- To dismiss the complaint as trivial or vexatious.
- To refer the matter back to the individual or party against whom the complaint and appeal was made for reconsideration where a decision has been made.
- To mediate between the student and member of staff (either jointly or separately) in order to obtain a resolution.
- To uphold or reject the complaint or appeal in whole or in part.
- To refer the complaint or appeal to the Director of Student Services for further consideration, including consideration of a mediated resolution.
- To refer the complaint or appeal to the Principal’s Office (see Stage 3 below) for further consideration.
In cases where a complaint is made against the Director/Head of a Unit, or where the appeal is against a decision made by the Director/Head of Unit, a Director/Head from another unit may be asked to consider the matter.
In cases where a serious allegation has been made, either in the view of the complainant or the Director, the complaint will be referred directly to Stage 3, below, Principal’s Office Assessment.
The Unit Director/Head on receipt of the complaint or appeal will ensure that the complainant or appellant is notified in writing of the outcome of the process normally within ten working days of receiving the complete documentation from the complainant/appellant If, in exceptional circumstances, the complexity of the case or the availability of evidence requires further time, then a written statement on progress will be issued to the complainant/appellant within ten working days of the receiving the complete documentation from the appellant/complainant.
A note of the details of all complaints or appeals received at this stage in the procedure (Stage 2 – Formal) and of any action taken will be sent to the Director of Student Services.
For the purposes of good management the University will maintain a record of all non-academic complaints and appeals, in line with the University’s Retention Policy.

Stage 3: Principal's Office assessment

If the complaint or appeal cannot be resolved to the satisfaction of all parties by Stage 2 (above) or the complaint or appeal is assessed to be of a sufficiently serious nature, the complaint or appeal will be taken to the Proctor of the University (or equivalent) who, as the Principal’s delegate, will assess the matter. The Proctor will assess whether the matter should be referred a Non-Academic Complaints and Appeals Hearing, but the Proctor is also empowered to take decisions on the matter as indicated below.
The complainant or appellant should submit in writing, giving full details of the case and supporting evidence or documentation, the steps taken to resolve the matter and the reasons for the remaining dissatisfaction, with a clear statement of the remedy sought. Where this follows a judgement at Stage 2, the submission to the Proctor must be made within ten working days of notification of the judgement.
Wherever possible, full supporting evidence should be provided for any claims, including citation of witnesses.
The Proctor (or equivalent) may undertake further investigations and, once s/he has reached a decision on action to be taken, the decision will be reported to the complainant or appellant in writing. This notification will normally be within ten working days of receiving the complete documentation from the complainant/appellant. If, in exceptional circumstances, the complexity of the case or the availability of evidence requires further time, then a written statement on progress will be issued to the complainant/appellant within ten working days of the receiving the complete documentation from the appellant/complainant..
In reviewing the complaint or appeal the Proctor (or equivalent) will have the following powers:
- To dismiss the complaint or appeal as trivial or vexatious or lacking a prima facie case for consideration by a Panel Hearing. In such cases, the Proctor’s decision represents the final stage in the University’s formal processes.
- To refer the matter back to the individual or party against whom the complaint or appeal was made for reconsideration. This option will allow for a further right of appeal, if necessary, within ten working days after notification of the result of such reconsideration.
- To uphold the complaint or appeal in whole or in part. If upheld only in part, this option will allow for a further right of appeal, if necessary, within ten working days after notification of the result of the Proctor’s recommendation for resolution.
- To refer the complaint or appeal for a Non-academic Complaints and Appeals Panel Hearing, which would be the final stage in the University’s formal process.

Stage 4: Non-academic complaint and appeal hearing

If the Proctor (or equivalent) deems it appropriate and/or necessary, s/he may refer the case to a Non-academic Complaints and Appeals Panel. Arrangements for such a Hearing will be administered by the Executive Officer to the University Court (at the Court Office), and all communications should be with the Executive Officer. This Hearing represents the final stage of the University’s formal procedures for considering such cases.
The Proctor (or equivalent) will prepare a submission to support the referral to the Non-academic Complaints and Appeals Panel including a summary of the complaint or appeal, an outline of the reason why this has been referred to a hearing and any steps taken so far to resolve the matter. The submission will include all original documentation and any other supporting documentation relevant the case.
The Non-academic Complaints and Appeals Panel will consist of:
- The Deputy Principal (or other delegate of the Principal) who will serve as Convenor.
- A Director of a Service Unit (other than the one involved in the complaint or appeal).
- The President of the Students’ Association (or a delegated sabbatical officer).
The Clerk to the Panel will be the Executive Officer to the Court.
On receipt of the formal complaint or appeal case, the Executive Officer to the Court will inform the individual against whom the complaint or appeal has been made and his/her Unit Director or line manager.
All persons required to attend a Panel Hearing shall normally be given at least ten working days’ notice of the date it is to take place.
Complainants or appellants have the right to present their case in person before the Panel and to be accompanied to the Hearing by a member of the University (see Appendix 2 Definitions). In exceptional circumstances, the Convenor may at his/her discretion consider a request for a nominee of the complainant or appellant to appear on their behalf. The nominee must be a member of the University, and good cause for the use of nominee must be presented.
Any staff members defending a complaint against them will have the right to appear and, likewise, to be accompanied by a member of the University or a Trade Union official.
An accompanying person may request permission from the Convenor to speak at the Hearing on behalf of a complainant or appellant or accused staff member.
Complainants and appellants have the right to add to their previous submission for up to seven working days prior to the Hearing.
Also by seven working days prior to the hearing the complainant and appellant should also confirm who will attend, including the names of those who will be giving evidence or speaking on their behalf.
The complainant or appellant is responsible for producing and/or obtaining the documentary and other evidence required for them to present their case.
All submissions will be provided to all the parties concerned normally no less than five working days before the Hearing. Submissions presented after the due deadline will only be accepted at the discretion of the Convenor and by agreement of all parties.
The Executive Officer to Court will ensure that such other information as may be reasonably thought relevant to the case will be provided to the Panel. All material put before the Panel will normally be made available to all parties.
Any guidance on procedural matters can be sought from the Executive Officer to Court (see also Appendix 1 Non-academic Complaints and Appeals Panel Conduct).
Staff may also wish to consult Human Resources or a Trade Union representative, while students may wish to be guided by staff of the Students’ Association.
A decision of the Hearing outcome will normally be conveyed in writing to the complainant or appellant and any respondent within ten working days of the Panel concluding the hearing.
The Panel may decide to reject or uphold a complaint or appeal in whole, or in part.
If it is upheld in whole or in part the Panel may:
- Make appropriate recommendations to improve services to minimise the risk of any future occurrences.
- Recommend what redress, if any, should be awarded to the complainant or appellant.
A brief report of all the proceedings of the Panel will be compiled, and the Executive Officer to Court will maintain a record of the case, in line with the University’s Retention Policy.

Complaints or appeals against the Principal's Office

If a formal non-academic complaint or appeal has been received against a member of the Principal’s Office, then it must be considered by a Non-Academic Complaint and Appeal hearing.
The Convenor of the hearing, who is normally a member of the Principal’s Office, must have had no previous involvement with the case. If no such Principal’s Office member exists, then the Convenor must be a non-executive member of the University Court.

Ombudsman review

Any student who remains dissatisfied with the final outcome of the University’s internal procedures may seek a review by the Scottish Public Services Ombudsman.

Appendix 1 - Non-academic complaints and appeals panel conduct

The following outlines the normal procedure for the Hearing. The Convenor, however, has discretion reasonably to vary these arrangements to suit the needs of individual cases.
The Panel will meet in private prior to hearing evidence and submissions to agree the issues to be addressed and the details of how the Hearing will be conducted.
All parties (excluding individual witnesses) will meet with the Panel together to facilitate an exchange of information with all relevant parties of the Panel.
In exceptional circumstances the complainant may request that evidence is given in private to the Panel. A request for such a variation to procedure should be submitted in writing to the Executive Officer of the Court no less than three working days prior to the date of the hearing. The Convenor will have the authority to agree to such variations to the arrangements where they are deemed to be appropriate.
No audio or visual recording of a Hearing will normally be permitted. The Clerk to the Panel will keep notes for the purposes of aiding the Panel. Exceptions to this may be made, including adjusting the format, at the discretion of the Convenor to accommodate the needs of students or other participants with disabilities.
At the start of the Hearing the Convenor will explain the powers of the Panel and summarise the process to date, the procedures for the Hearing, the evidence received and confirmation that all the submissions have been shared with all the members present. Where a submitted item has not been shared due to issues of confidentiality, this will be intimated at this stage.
The Convenor will invite the complainant or appellant (or, at the Convenor’s discretion, his/her accompanying person) to make a statement in response to the opening remarks in relation to the procedures that will be followed or to seek clarification on matters of procedure.
The complainant or appellant (or, at the Convenor’s discretion, his/her accompanying person) will be invited to add anything to the written submissions.
The Convenor will explain that wherever possible the Panel will wish to hear directly from the complainant or appellant.
The respondent(s) will be invited to make a statement in response and to add anything to the written submissions.
At each stage the Convenor has discretion to allow reciprocal questioning, through the Chair, by the various parties.
The Convenor will invite any other person(s) called upon to attend the Hearing to present their evidence in full, and will then invite the Panel to ask questions.
Once the Convenor is satisfied that the Panel has completed its questioning and the student has had a full opportunity to convey the information to the Panel, the Convenor will invite closing statements from the respondent(s) and finally the complainant or appellant.
The Convener will then ask everyone other than the Panel and the Clerk to withdraw.
The Panel will discuss the case and make its decision. If for any reason the Panel requires further clarification on any aspect of the case from any participant, the Panel will adjourn at this point and reconvene as soon as the information/clarification is available.
Where an adjournment takes place that may affect the timetable for communicating the final decision, all parties will immediately be informed by the Clerk to the Panel.
The Clerk to the Panel will normally inform the complainant or appellant and those against whom any complaint was made in writing of the outcome of the Hearing within ten working days of the Panel reaching a final decision.

Appendix 2 - Definitions

Throughout this document, the following definitions shall apply:

Academic Matter

Any matter primarily concerned with the teaching, learning, supervision, and assessment of students, including all matters referred to in the University’s published academic regulations.

Appeal

A request to review a decision on one or more of the following grounds:

procedural irregularity;
bias or prejudice;
exceptional personal circumstances not previously notified for good reason (in which case an explanation for earlier non-disclosure is required);
harassment or bullying by a member of staff involved in the matter.

Bias or Prejudice

This may apply when a decision-maker may have unfairly regarded, with favour or disfavour, a student or the application of a regulation or a procedure to a particular student or students.

Complaint

An expression of dissatisfaction about provision. Note, however, that it is not intended that formal procedures will be used for trivial complaints.

Member of the University

A person who is either presently matriculated as a student, or is an employee of the University Court of the University of St Andrews or who is elected as a sabbatical officer of or is an employee of the Students’ Association of the University of St Andrews.

Non-academic matter

Any matter primarily concerned with the provision of services to students or others that fall outwith academic matters (see above).

Review

A request that a particular judgement or decision be reconsidered.

Student

A person who is presently matriculated for a programme of study at the University of St Andrews or who is an elected sabbatical officer of the Students’ Association. A person who has successfully completed a programme of study but has not yet graduated in person or in absentia will be considered as a student under the terms of this Policy.

The University

The University of St Andrews

Appendix 3 - Scottish Public Services Ombudsman

The Scottish Public Services Ombudsman (SPSO) handles complaints about public services in Scotland including Councils, the National Health Service, housing associations, the Scottish Government and its agencies and departments, universities and colleges and most Scottish public authorities.

The SPSO will consider complaints where a member of the public claims to have suffered injustice or hardship as a result of maladministration or service failure. They consider complaints after the complaint has been through the formal complaints procedure of the organisation concerned.

The Scottish Public Services Ombudsman can be contacted at:

Address:
SPSO
4 Melville Street
Edinburgh
EH3 7NS

Telephone: 0800 377 7330

Website: www.spso.org.uk

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