Please note that this Procedure may change in 2022-23, to align with revised staff policies. Staff and students will be advised if changes are made.
|1. Procedure||2. Submission and Investigation and Complaints|
|3. Northern Ireland Public Services Ombudsman||4. Central monitoring of Student Complaints|
|5. Further information||6. Forms|
This Procedure should be read alongside the General Provisions Relating to Academic Appeals, Conduct, Academic Offences and Student Complaints.
1.1.1 The University is dedicated to the highest international standards of teaching, scholarship and research, and to the advancement of knowledge, in an environment of equality, tolerance and mutual respect for all its staff and students. To help achieve and maintain these standards, the University has in place a range of quality assurance mechanisms, including the following Student Complaints Procedure.
1.1.2 The procedure aims to ensure that student complaints are taken seriously, investigated fully and objectively in a fair, timely and effective manner. Any student invoking this procedure is expected to engage positively with the process and behave in a courteous and professional manner towards all staff and students involved.
Not all issues raised by students will be considered under this Procedure.
Feedback is information provided by a student to the University relating to:
- A service / facility provided by the University as part of its contract with a student or the student body
- A process / procedure used by the University which impacts on the student body
- The performance of a task by a member of staff
which is intended for use as a basis for improvement of the service, facility, process / procedure or performance. The University welcomes such feedback as an opportunity to improve its service to students and the student experience and will implement any changes deemed necessary.
A concern is an issue about which a student wishes the University to take action to remedy but is of a minor nature and can be remedied easily and quickly, usually at local level. The impact on the student is minor or minor at this time (although it could become more serious if the issue is not addressed). Concerns will not be investigated under this Procedure but should be addressed at the local level.
A complaint is an expression of dissatisfaction about the standard of service, action or lack of action by the University. Student complaints will be investigated under this Procedure.
In order to constitute a complaint under this Procedure, the issue must have impacted personally on the complainant and the outcome / remedy sought by the complainant must relate directly to them.
1.3 Scope of the procedure
1.3.1 The procedure applies to complaints from any registered student of the University and is restricted to circumstances not already covered by existing regulations or procedures (e.g. academic appeals, admission, fees or discipline). The University will also consider complaints from students up to one month after graduation or receipt of their final results / outcome whichever is sooner.
1.3.2 The procedure cannot be used to complain about the outcome of another University procedure.
1.3.3 Queen’s students studying at Collaborative Partner institutions are expected to access their local institution’s complaints procedure in the first instance.
1.3.4 The procedure can be used for both individual and collective complaints relating to;
- Services or facilities provided by the University including teaching and academic facilities and services.
- Alleged misconduct or inappropriate behaviour of staff (see 1.3.5 and 1.3.6).
- An alleged action or inaction by the University.
It cannot be used to challenge academic judgement or any academic matter or procedure, including the outcome of an academic appeal or decision-making process. In complex cases, where more than one procedure may apply, the Director of Academic and Student Affairs (or nominee) shall decide which University Regulations shall be followed.
1.3.5 All student complaints about issues where staff are involved shall be investigated initially using the Student Complaints Procedure, unless or until staff disciplinary proceedings are considered to be more appropriate. In complex cases where more than one procedure applies, the Director of Academic and Student Affairs and, if appropriate, the Director of Human Resources (or their nominees) will together decide the nature and sequencing of any procedures.
1.3.6 Complaints against staff relating to discrimination shall be considered under this Procedure by the appropriate member of staff at each stage (see 1.3.4 and 1.3.5 above) who shall normally seek the advice and involvement of the University’s Equality and Diversity Unit (EDU). Clarification of any form of conduct which may be considered to be discrimination may be obtained from the EDU, Level 4, Administration Building.
1.3.7 Students may make a complaint about sexual misconduct or a hate crime by a member of staff via Report and Support (https://reportandsupport.qub.ac.uk/).
1.3.8 Allegations of misconduct by another registered student will be dealt with under the Conduct Regulations.
1.4.1 Any student who submits a complaint may access support from the University’s Student Wellbeing Service (https://www.qub.ac.uk/directorates/sgc/wellbeing/ ). Advice and support is also available from the Students’ Union (http://www.qubsu.org/AdviceSU/).
1.4.2 A member of staff against whom the complaint has been made and who has been called to an interview or to an Appeal Panel meeting in relation to the complaint, shall also have the right to be accompanied and represented by a recognised Trade Union Official, or a member of University staff or University Chaplaincy.
1.4.3 No party can be represented by another person in their absence.
1.5 Reasonable Adjustments
Students will be invited to notify Academic Affairs if they require any reasonable adjustments in order to make the process accessible. This may include consultation with Disability Services.
1.6 Anonymous Complaints and Complaints from Third Parties
1.6.1 Complaints made anonymously shall not normally be investigated. However, if the complaint gives rise to serious concern regarding the wellbeing of other students, staff or visitors to the University, or regarding damage or potential damage to the University’s reputation, the University may carry out an investigation and take any further steps deemed necessary.
1.6.2 Complaints from third parties shall, exceptionally, be considered for investigation but only if the student confirms in writing that the third party is acting on their behalf, that they wish the complaint to be investigated and the member of staff dealing with the complaint accepts that there is good reason for the student not to deal with the complaint on their own behalf.
1.7 Collective/Representative Complaints
1.7.1 The University will accept complaints from one student (the Lead Student) as representative of a group of named students where the issue(s) raised is the same or substantially the same in each case. Complaints by un-named students will not be accepted. The Lead Student must provide evidence that they are acting on behalf of, and with the consent of, the other named students. The Head of Academic Affairs must certify that it is appropriate, expedient and fair that the complaint may proceed as a collective/representative complaint.
1.7.2 If the Head of Academic Affairs certifies that the complaint may be accepted as a collective/representative complaint, then Academic Affairs will deal with the complaint under the Student Complaint Procedure in the normal way. In the absence of certification by the Head of Academic Affairs, each student may submit a separate complaint.
1.8 Disclosure of Complaint
Information will only be released to those who need it for the purpose of investigating or responding to a complaint; no third party will be told any more about the investigation than strictly necessary in order to obtain the information required from them. Where a statement of complaint has been made about a member of staff, that person will normally be provided with a copy of the statement. Any person who makes a statement of complaint will be advised of this accordingly.
1.9 Agreements About Facts and Future Behaviour
1.9.1 The University recognises that it has a duty of care to any person involved in this Procedure. Where a student has made a complaint against a member of staff, the University will seek to provide an environment in which both parties and any witnesses involved feel safe and can continue to study or to work; therefore, it may be necessary to put in place certain measures regarding the future conduct of the parties. In doing so, the University makes no judgment on what may or may not have occurred or on the guilt or innocence of either party.
1.9.2 A Future Conduct Requirement will set out any agreement by the student and the member of staff involved regarding their future behaviour towards each other and any other person involved in the process, including witnesses (similar agreements between students fall under the Conduct Regulations). The Requirement may include consensus about:
- No contact with each other, verbal or written, direct or indirect
- Reporting “near misses” (i.e. unintended and unforeseen contact)
1.10 Postponement of Investigation
1.10.1 The University reserves the right to postpone any investigation into a complaint if the student behaves inappropriately. In such cases the Director of Academic and Student Affairs will postpone the procedures and will advise the student accordingly, including the consequences of this decision on the complaint and any conditions which must be met in order to reinstate the complaint. The student may also be referred for investigation under the Conduct Regulations, the Guidelines on Fitness to Continue in Study on the Grounds of Health and/or Safety and/or the Fitness to Practise Procedure (as appropriate).
1.10.2 The University reserves the right to postpone action under this Procedure where it becomes aware of legal proceedings against it in relation to the issues raised in the complaint. In such cases, the Director of Academic and Student Affairs will postpone the procedure and will advise the student accordingly.
1.11 Notification of Decisions
Unless otherwise stated, notification of a decision will be sent to the student and copied to relevant persons normally within eight working days of the decision being taken. If there is a delay in the decision being made, the student will be advised.
The University will endeavour to meet all timescales set out in this Procedure. However, it may prove impossible to meet these timescales when key staff are on leave, or otherwise indisposed, or where the complexities of the case warrant extended scrutiny. Where it is not possible for the University to meet the deadlines, for whatever reason, the student will be informed.
2. Submission and Investigation of Complaints
2.1 Screening of Complaints
2.1.1 Screening may apply to Stage 1, Stage 2 or Stage 3 of this Procedure.
2.1.2 The onus is on the student to present sufficient evidence to warrant investigation under the Student Complaints Procedure. Where it is not clear that sufficient evidence and/or a sufficiently compelling case has been presented, upon receipt of a complaint by a student, a Screening Panel, comprising two senior members of University staff will consider the complaint and any supporting evidence and determine whether or not sufficient evidence and/or a sufficiently compelling case has been presented.
2.1.3 If the Screening Panel determines that there is sufficient evidence and/or a sufficiently compelling case, the matter will be referred for investigation under the appropriate University regulations or procedure.
If the Screening Panel determines that there is insufficient evidence and/or a sufficiently compelling case has not been presented, the student who submitted the complaint will be advised and will be afforded the right to request a review by a Review Panel, comprising two senior members of University staff, on the following grounds:
- There is substantive and relevant new evidence which could not have been presented to the University at the time of making the complaint.
- There was a procedural irregularity in the consideration of the case and/or the decision by the Screening Panel which had a demonstrable impact on the decision (e.g. that evidence was not considered).
2.1.4 The Review Panel will consider the material provided to the Screening Panel, together with any additional information or documentation provided and may also seek further information, if necessary. The Review Panel will either:
- Determine that sufficient evidence and/or a sufficiently compelling case has been presented and refer the matter for consideration under the appropriate University procedure.
- Confirm the decision of the Screening Panel that there is insufficient evidence and/or a sufficiently compelling case has not been presented and dismiss the complaint.
The student who submitted the complaint shall be informed in writing. There shall be no further internal right of appeal against the decision of the Review Panel.
2.1.5 The decision as to whether sufficiently compelling evidence and / or a sufficiently compelling case has been presented, is made on the basis of the evidence presented at the time, where only the opinion of the Screening Panel (and the Review Panel if appropriate) will suffice.
2.1.6 In cases where the student has been unable to provide corroborating evidence but it is considered by the Screening or Review Panel that the nature of the complaint may constitute a serious concern regarding the wellbeing of other students, staff or visitors to the University, or regarding damage or potential damage to the University’s reputation, the complaint may be investigated in accordance with this Procedure or, as appropriate, another University procedure.
2.2 Stage 1
2.2.1 The majority of complaints can and should be resolved satisfactorily at Stage 1. Where a student has a complaint relating to any of the areas outlined in 1.3.4, they should raise it within ten working days of the incident occurring with the person involved or Head of School/Service, who shall attempt to resolve the matter and respond within five working days.
2.2.2 The member of staff dealing with the complaint should advise the student that the complaint is being dealt with as a Stage 1 complaint and should record details of the complaint.
2.2.3 Where the student is unable to discuss the matter with the individual, it should be raised with the individual’s line manager. Where appropriate, informal resolution will be encouraged.
2.2.4 If the concern originates during a work or study placement, the student should raise the matter with the member of staff at the workplace or institution in question who is responsible for the placement.
2.2.5 At the conclusion of Stage 1, the member of staff dealing with the complaint shall write to them informing the student that Stage 1 has concluded, setting out the terms of any resolution or agreement reached and advising the student of their right to make a Stage 2 complaint if they remain dissatisfied.
2.2.6 Where the complaint was against an individual member of staff, the member of staff dealing with the complaint shall also write to the member of staff against whom the complaint has been made advising that Stage 1 of the procedure had concluded and setting out any resolution or agreement reached.
2.3 Stage 2
2.3.1 If, having pursued the matter through Stage 1, the student remains dissatisfied with the response, they should put their complaint in writing to the Head of Academic Affairs either by email to firstname.lastname@example.org or in hard copy to Academic Affairs, Level 6 Administration Building. All complaints must be submitted using the complaint form and should provide sufficient details to afford a reasonable understanding of the complaint, the impact upon the student and the remedy sought. Copies of any correspondence exchanged during the previous stage and any other relevant documentation should also be attached. The written complaint must normally be submitted within ten working days of the outcome of the previous stage (and normally not later than 25 working days after first becoming aware of the incident or issues giving rise to the complaint).
2.3.2 Where an investigation was carried out at Stage 1 and the student subsequently submits a Stage 2 complaint, the student must set out any residual elements of their complaint which they consider were not addressed, or not adequately addressed, at Stage 1 and to provide any further evidence which they were unable to submit at Stage 1. Only the residual elements of the student’s complaint will be investigated.
2.3.3 The student shall normally receive an acknowledgement from Academic Affairs within five working days of receipt.
2.3.4 Where, in the opinion of the Head of Academic Affairs, it appears that the student has not attempted to resolve the issues using Stage 1 of this procedure or has made insufficient attempts or has given insufficient time to resolve the issues before submitting a Stage 2 complaint, the student will be required to attempt to resolve the issues at Stage 1. Informal resolution will also be encouraged where it would, in the opinion of the Head of Academic Affairs, be a more efficient and effective way of addressing the student’s issues.
2.3.5 Subject to the Head of Academic Affairs being satisfied that the student has taken all reasonable steps to resolve the matter at Stage 1 and that no other University procedure or policy is appropriate, the written complaint shall be referred to the relevant Faculty Pro-Vice-Chancellor (PVC) (or nominee), or Director of the relevant Service (or nominee). The Faculty PVC/ Director (or nominee) shall appoint an Investigating Officer who shall normally be a senior member of University staff, from outside the School/Unit in which the student is enrolled, with no prior knowledge of the matter.
2.3.6 The Investigating Officer will decide the scope of the investigation, they shall investigate the complaint and may:
- Seek to resolve the complaint on the basis only of the written documentation submitted by the student and any evidence gathered at Stage 1 of the process; or
- Meet with the student and/or any other members of staff or witnesses deemed appropriate by the Investigating Officer.
At any such meetings, the student and any member of staff against whom the complaint has been made may be accompanied and represented.
2.3.7 Subject to 2.3.4, the Investigating Officer shall prepare a report of all the evidence presented, normally within 15 working days of receiving the complaint, and may make recommendation(s) to the Faculty PVC/Director (or nominee) as appropriate.
2.3.6 The Investigating Officer shall forward a copy of this report to Academic Affairs and to the student, who will be permitted to make a written response within five working days of receipt and before a decision is made by the Faculty PVC /Director (or nominee). The purpose of permitting the student to see the report before a decision is made is to ensure that
- The report is factually accurate
- All the issues raised in the complaint have been addressed.
It is not an opportunity for the student to question the findings or recommendations of the report, at this stage.
2.3.7 Following receipt of the student’s response, the Investigating Officer may make further enquiries and may amend or make additions to the report, where necessary. The Investigating Officer’s report, with any further comments from the student, or any other parties shall be forwarded to the relevant Faculty PVC/Director (or nominee), who shall make a decision.
2.3.8 The Faculty PVC/Director shall:
- uphold the complaint in full or in part; or
- dismiss the complaint; or
- make any such recommendation/s or proposed resolution as they deem fit.
2.3.9 Where a complaint has been made about a Director or Pro-Vice-Chancellor, the complaint should be referred to the Vice-Chancellor or Registrar and Chief Operating Officer as appropriate. A complaint specifically against the Vice-Chancellor or Registrar and Chief Operating Officer as individuals (rather than the University) shall be referred to the Chair of Senate. The student shall be informed by the Faculty PVC/Director (or nominee) of the decision in writing, normally within eight working days of the decision being made. The response shall set out any proposed resolution or the reasons for not upholding the complaint. The Faculty PVC/Director (or nominee) will also inform the person against whom a complaint has been made (or any other person, as deemed appropriate) of their decision.
2.3.10 Where issues of a confidential nature come to light as part of an investigation, for example personal information relating to a member of staff, these may not be documented in full in the report and may limit how much detail can be given on any proposed action following the outcome of an investigation.
2.4 Stage 3 (Appeal)
2.4.1 A student may appeal the outcome of Stage 2 on the following grounds:
- Procedural irregularity in the conduct of the investigation which had a demonstrable impact on the Stage 2 decision.
- Evidence is available which was not reasonably available at the time of the Stage 2 determination.
2.4.2 The appeal should be made in writing to the Director of Academic and Student Affairs either by email to email@example.com or in hard copy to Academic Affairs, Level 6 Administration Building. All appeals must be submitted using the appeal form within ten working days of notification of the outcome of Stage 2. Receipt of the appeal form and any supporting documentation shall be acknowledged within five working days of receipt of the appeal.
The student should include with their appeal form, copies of previous correspondence, including the Investigating Officer’s Report, the decision at Stage 2 of the Procedure and any supporting documentation.
2.5 Appeal Procedure
2.5.1 The Appeal Panel will comprise a Chair nominated by the Director of Academic and Student Affairs, a Sabbatical Officer of the Students’ Union and two senior members of University staff.
2.5.2 The quorum will be three members. If the Panel cannot reach a majority decision, the Chair will have the casting vote.
2.5.3 If new evidence is presented, which was not reasonably available to the complainant at the time of the Stage 2 decision, it shall be considered. Other than such new evidence, only the grounds of appeal submitted by the student shall be considered. The appeal will not constitute a re-hearing of the complaint.
2.5.4 The Panel may seek written evidence, including medical or other evidence, from any witness or person, who in their judgement may have relevant information to contribute and may request any person to attend the meeting to give oral evidence, where deemed appropriate.
2.5.6 The meeting of the Appeal Panel may be postponed, pending the outcome of any other University procedure(s) already in progress. Should the student or member(s) of staff fail to appear at the hearing at an appointed time and without valid reason, the Appeal Panel shall have the right to reach a decision in their absence.
2.5.7 Where witnesses are called by the Appeal Panel, they may be subject to examination, cross-examination and re-examination by the parties.
2.5.8 The Appeal Panel may:
- Dismiss the appeal; or
- Uphold the appeal, in part or in full; and/or
- Make any such recommendation/s or proposed resolution as they deem fit.
2.5.9 The Appeal Panel may either uphold the appeal or dismiss the appeal. Minutes shall be taken as a formal record of the hearing and retained.
2.5.10 The decision of the Appeal Panel shall be communicated to the student. The appeal decision may also be communicated to any person against whom a complaint has been made (or any other person, as deemed appropriate).
3. Northern Ireland Public Services Ombudsman
Upon notification of the University’s final internal decision, a student complainant may submit a complaint about maladministration to the Northern Ireland Public Services Ombudsman within six months of notification of the University’s final decision.
4. Central Monitoring of Student Complaints
The University sees complaints, if substantiated, as opportunities to put things right for the complainant(s), and to learn lessons which might ultimately lead to improved standards. Accordingly:
- The nature and outcome of all student complaints received shall be reported to the appropriate Head of School (or nominee), Faculty PVC or Director of Service. The Head of School (or nominee), the Faculty PVC or Director of Service shall provide information relating to student complaints, as requested, at the end of each academic year, or when requested by the Director of Academic and Student Affairs.
- The Director of Academic and Student Affairs shall prepare a summary report of any student complaints or appeals, preserving anonymity, for the relevant academic governance committee each year.