GOOD PRACTICE FRAMEWORK - HANDLING COMPLAINTS AND ACADEMIC APPEALS - Deciding which process to use and managing more than one process

103Many students raise issues that do not fall neatly into the category of either complaint or academic appeal, or that need to be handled under a different type of procedure. Sometimes the student will start more than one procedure in relation to the same or similar issues, or the provider itself may decide that the issues need to be handled under more than one procedure. Sometimes a student raises a number of issues at the same time that are not connected. There is no single approach that will work best for all of these cases.

104The provider will need to make a case-by-case assessment of the best way to handle complex or interconnected cases. The provider should take a flexible approach and vary its normal procedures where reasonable. In deciding which process is most appropriate, or the order in which processes should happen, providers should think about:

• What outcome the student is seeking, and which body within the provider would be able to make a decision on that
• Whether a single process can be used to establish the facts, and used as the basis for decisions under another process. For example, if a student’s complaint about teaching is upheld, an exam board might reconsider their case on the basis of the conclusions reached on the complaint
• If any matters should be prioritised, for example because they are time critical, or because there are concerns about the student’s wellbeing
• How to make it as easy as possible for the student to use more than one process when they need to.

105The provider should consider meeting with the student at an early stage and shouldn’t overlook opportunities for early resolution or mediation or conciliation just because the case appears to be complex or likely to involve more than one procedure. Taking the time to properly understand the student’s concerns can help the provider to clarify what the key issues are for them and decide on the most appropriate procedure(s) to use to address those concerns.

106When more than one process is needed, it is important to talk to the student about whether it’s better to use one process after the other (and in what order), to run them at the same time, or to apply the processes more flexibly. Where the provider decides to vary its normal procedure, it should discuss this with the student. It’s important that everyone involved in the process understands what will happen instead and why. It is good practice for the provider to keep records of why it decided to follow a different process. The principles of the Good Practice Framework should still be followed. The provider should explain to the student how the matters will be investigated, who will coordinate the process, and who will issue the final decision.

107Providers should listen to how students would like their concerns to be taken forward, but the provider must make the final decision about how to proceed.

108If the issues need to be handled under more than one procedure, where possible the provider should take steps to avoid any unnecessary duplication, such as requiring the student to submit the same evidence multiple times. It is good practice to tell the student which specific issues will be considered under which specific procedure and to direct the student to the appropriate procedure for any remaining issues.

109It is good practice to tell the student about the implications, if any, of following two procedures, particularly where one procedure may be suspended until the other has finished. It is good practice for the provider to proactively refer the matter to the second process. If the student is expected to take an action to begin the second process, the provider should explain what they must do and say if any deadlines apply. Any secondary process should be completed promptly.

110The provider should keep the student updated if their case is likely to take longer because more than one process is involved.

111If a student has concerns about how the provider handled their complaint or appeal, for example a complaint about delay, they shouldn’t normally have to make a separate complaint about those issues. Providers should act flexibly to consider the impact of any delays, or other concerns about the way it dealt with the case, as part of the process. Where it identifies issues with its handling of the case, the provider should offer a remedy for any impact without requiring the student to make a separate complaint about the process. If the student’s concerns aren’t about the process itself, for example they allege that they have been bullied or victimised during the process, the provider will need to consider carefully whether those concerns need to be referred to a separate process to be investigated further.

112A student may have concerns about another process. For example, they may complain about delays or an unfair process in a disciplinary investigation. In most cases it should be possible to resolve those concerns in that process, for example by apologising for the delay and explaining what is happening with the investigation, or explaining that the student can appeal the disciplinary decision if they believe the process was unfair. But in some cases it may be necessary to consider the student’s concerns under the complaints process.