GOOD PRACTICE FRAMEWORK - HANDLING COMPLAINTS AND ACADEMIC APPEALS - The process

Overview

32Providers should have separate complaints and academic appeals procedures. It is good practice for these procedures to include:

• opportunity for early resolution at a local level
• a formal stage for the investigation and determination of complaints or appeals
• a review stage.

33Early resolution is designed to address straightforward concerns quickly and locally, for example at school or faculty level, before a student makes a formal complaint or appeal. This might include, for example, face-to-face discussion with the student to explain a decision, or asking an appropriate member of staff, or mediator or conciliator, to handle the matter. Where proportionate the provider should write to the student setting out the outcome.

34The formal stage is used where a student is dissatisfied with the outcome of early resolution, or where early resolution is not possible or suitable due to the nature, complexity or seriousness of the case. The formal stage should normally be handled by people who have not been involved previously, and (in complaints) may include mediation or conciliation where appropriate. The provider should write to the student setting out the outcome at the conclusion of this stage.

35The review stage is where the student can appeal to a higher level within the provider for a review of the process of the formal stage to make sure that appropriate procedures were followed and that the decision was reasonable. The issues themselves don’t necessarily need to be reconsidered at this stage. The provider should write to the student setting out its decision at the conclusion of this stage.

Timeliness

36Each provider has its own timelines and deadlines for the formal and review stages. It is good practice for providers to complete consideration of a formal complaint or academic appeal and any associated review within 90 calendar days. The 90-calendar day timeframe requires students to meet any deadlines set by the provider for submitting information or evidence.

37There will occasionally be circumstances when, for good reason, the provider will need to extend the timeframe. Where this is the case the provider should tell the student and update them regularly on progress. It is important to think about any reasons why a student’s complaint or appeal might be urgent, and to remember that the urgency of an issue may change in response to external factors such as progression points.

38It is good practice to give students information about any actions they need to take to preserve their position while the issues are still being considered (for example, to make sure they don’t miss any course deadlines or a resit opportunity) and to direct students to any sources of advice.

39It is good practice for procedures to set time limits for making complaints and academic appeals, and for these time limits to be clearly communicated to students. It is also good practice to direct students to the relevant time limits for the next stage in the process when telling them the decision at each stage.

40When setting deadlines, the provider will need to make sure a student or former student has a reasonable period to bring their complaint or appeal and seek support or advice if they wish to. But it can be challenging to investigate or respond to complaints or appeals that are made a long time after the issues arose, for example because key individuals may have moved on or important records may no be longer available. When deciding whether to accept a late complaint or appeal the provider needs to consider the student’s individual circumstances, the nature and seriousness of the issues they are raising, and whether it is still reasonably possible to investigate the events.

41Providers should apply deadlines flexibly when the student has a good reason, which should normally be supported by evidence, for making their complaint or academic appeal late. It is good practice for a provider to keep a record of why it has accepted a complaint or appeal late.

42Providers should always think about their obligations under the equalities legislation when considering whether there are exceptional reasons to accept a complaint or academic appeal outside the normal time limit, or whether it would be reasonable to make adjustments to the provider’s normal procedures. Where the provider knows a student is disabled, it will not normally be appropriate to ask the student for evidence of this again when they are asking for an adjustment to the process. The provider should explore with the student what adjustments they might reasonably need. The provider should get advice from its disability support team where appropriate.

Early resolution

43Effective complaints-handling systems have a local, informal element which can resolve student concerns before they develop into formal complaints. Encouraging students to raise concerns as soon as possible can help resolve them before they grow into a larger problem. In some cases staff members involved in the complaint or appeal might be able to help resolve it at an early stage.

44Some concerns can be satisfactorily addressed through existing processes such as gathering feedback or through discussion with student academic representatives. Students should be told how to raise an individual complaint if these methods don’t resolve their concerns.

45Providers have developed many effective ways to resolve routine student concerns. These include:

• giving more information or a more detailed explanation
• suggesting solutions
• being empathetic and understanding when there is no apparent solution
• giving an apology where it seems appropriate to do so
• introducing student and staff conciliators.

46It is not usually possible to challenge decisions about marks, progression and classification on an informal basis once they have been ratified by the appropriate body, such as an exam board. This is because individuals will rarely have the authority to overturn those decisions without the body being consulted. But many providers give students an opportunity to seek clarification of an assessment or exam board’s decision, or to discuss their concerns with a nominated member of staff, for example at a "Results Surgery" following the publication of results. Showing the student how marks have been calculated and explaining the marking and moderation process can help a student to accept a disappointing result. Explaining the likely outcomes of the academic appeal process can help the student to decide whether to make a formal appeal. Providers may find it helpful to give students information about these informal options alongside the formal appeal process.

47A student might raise their concern or complaint with any member of staff, so all staff need to be aware of the provider’s complaints procedure and how to handle and record concerns at the early resolution stage. They should also be aware of who to refer to if they are not best placed to handle the matter personally. The provider should encourage all staff to try to resolve concerns quickly, and as close to the point of service delivery as possible.

48Providers should take appropriate steps to make sure that all relevant staff are aware of:

• the complaints and academic appeals procedures
• how to handle and record concerns at the early resolution stage
• the benefits of trying to resolve concerns and queries early and as locally (within their department) as possible
• their individual remit or authority to try to resolve any concerns or queries that they may be asked to handle
• who they can refer a concern or query to if they are not best placed to handle the matter personally.

49Questions to consider in attempting early resolution of concerns might include:

• Is this a complaint or academic appeal? Should the student be referred to another procedure?
• What specifically is the concern about and which area(s) of the provider is/are involved?
• What outcome is the student hoping for and can it be achieved?
• Is the concern straightforward and likely to be resolved with little or no investigation?
• Can it be resolved on the spot by giving an explanation, an alternative solution or an apology?
• Can someone else help resolve the issue? Does it need someone with particular expertise or training?
• Would it be helpful to use confidential mediation or conciliation, and are the student and the provider willing to do so?
• What help or support can be provided to the student in taking this forward?

50Students shouldn’t normally need to use a particular form or to raise an informal concern in writing, although some may choose to. Providers may ask students to summarise or clarify the key parts of their concern in writing if it is unclear. Students should not usually be asked to provide significant evidence during informal resolution. If the matter can’t be resolved without gathering extensive evidence, it will usually be best to move on to the formal stage.

51Whatever early resolution mechanism is used, students should be able to express their concerns and feel that they have been listened to. It may be possible to resolve the concern by providing an on-the-spot explanation of why the issue occurred and/or (where appropriate) an apology and an explanation of what will be done to stop a similar situation happening in the future. Providers may wish to advise staff on making and recording apologies, and alleviate any concerns that an apology creates a legal liability.

52If responsibility for the issue raised lies in the staff member’s area of work, they should try to resolve the concern in consultation with the student. If responsibility lies elsewhere, the staff member should normally work with the relevant colleagues to help resolve the student’s concern, rather than simply passing the student on to another office. Where this is not possible or not appropriate, and the student is directed to liaise with another office, it is good practice to introduce the student to the person who will consider the concern or to make an appointment for the student to meet them as soon as possible.

53Where it is clear early resolution is not appropriate or possible, and that the student’s concern needs to move to the formal stage, the student should be directed promptly to the relevant procedure. They should be advised to complete the appropriate form, providing full details of the complaint or academic appeal and any relevant documents or information. It is good practice to tell the student about any time limits for making the complaint or appeal and where and how to access advice and support, for example the students’ union or student representative(s), the student advice centre, professional association or the relevant trade union.

54It is good practice to record the actions taken to consider and resolve the concern, the decision, and brief details of what was communicated to the student, and when. This can then be available to those considering any formal complaint at a later stage.

55At the conclusion of an attempt at early resolution, and where proportionate, the provider should write to the student setting out the outcome.

Formal complaint or academic appeal

56The formal process is activated when:

• the student starts the formal process because they have good reason for not wanting to engage with early resolution
• early resolution was attempted, but the student remains dissatisfied and starts the formal process in line with provider procedures
• the issues raised are complex and will require detailed investigation, for example where a complaint relates to the conduct of staff members or covers a number of different incidents
• the provider decides that the student’s complaint should be considered at the formal stage without first trying early resolution, for example because the complaint is brought by a former student and there is no ongoing relationship with the provider
• the provider’s regulations say that only a specific body, for example an exam board can resolve the issue raised.

57Providers will normally ask students to make a formal complaint or academic appeal by email or online by completing the appropriate form. It may be appropriate to accept complaints and appeals in other formats, for example, if a student is disabled. It is good practice to make sure that information about making complaints and academic appeals is easy to find and provided in accessible formats on the provider’s public website. It is not good practice to make complaint and appeal forms available only on request.

58A well-designed form can support students and reduce administrative burden on providers by prompting students to provide relevant information and evidence in a clear way, and to focus on core issues and the outcome they would like.

59Providers can require students to set out their concerns clearly and concisely and provide evidence to support the issues raised where possible. A student’s statement about what has happened to them is itself evidence, but it is normally reasonable to expect students to obtain and provide some other evidence relevant to their complaint or academic appeal too. It is good practice for the provider’s procedures to set out the types of evidence that may be needed. This may include independent medical evidence, reports by professionals, financial information or witness statements. Guidance on evidence of personal circumstances that may have affected the student’s performance, such as illness or bereavement, is included within the Requests for additional consideration section of the Good Practice Framework. Some evidence, such as course descriptions, archived versions of the website, a student’s overall academic profile, or a record of agreed support arrangements, may be considerably easier for a provider to find than a student. It is good practice to encourage students to identify relevant evidence that is already in the provider’s possession. It is also good practice to explain to students what they should do if they are having difficulty getting evidence within the deadline for making their complaint or appeal.

60It is good practice for procedures to explain what will happen if the provider has concerns about the authenticity of evidence the student has put in. The provider may need to take steps to verify the evidence and, if it found not to be genuine, it may decide to consider the matter under its disciplinary procedures.

61Providers’ procedures should explain clearly whether a student will have further opportunities to add to their case at a later stage, or whether they should try to include all their information and evidence when sending in their formal complaint or appeal.

62It is common for providers to set out specific grounds for making an academic appeal. Examples include:

• Procedural errors in the assessment. That is, that there was a problem with the way an assessment happened or the way it was marked and moderated. For example, a student might think that the provider’s marking or moderation processes have not been correctly followed.
• Bias or a reasonable perception of bias in the assessment. That is, that the student’s work has not been impartially assessed on its merits, for example because the student had previously made a complaint about one of the markers.
• Personal circumstances that have had an impact on the student’s learning and their performance in the assessment. It is common for providers to expect students to consider the impact of their personal circumstances before they receive their assessment results. Students may have to present a good reason for not asking for additional consideration of their circumstances at an earlier time. If their circumstances have already been considered under the relevant process, the student will need to explain why they think the process wasn’t followed correctly or why the outcome is unfair.
• Problems with the delivery of teaching and learning opportunities. Some providers will only consider the impact of this type of issue on an individual student’s performance if a complaint has been upheld. If this is the case, it is important to make this clear to students in good time.

63It is less common for providers to set out specific grounds for making a complaint. It is good practice to direct students to other procedures that may be more suited to their concerns. And it is helpful to explain any areas that the provider has no authority to address. It is not good practice to define complaints narrowly or try to limit the type of issues that students may wish to raise.

What the provider will do when it receives a complaint or academic appeal

64When a provider receives a formal complaint or academic appeal it should carry out an initial assessment to check that it has been made under the right procedure, within any deadline, and in the required format. This might result in:

• the student being referred to a different procedure
• the complaint or appeal being rejected, for example because it is late
• the complaint or appeal proceeding to formal consideration
• referral to conciliation or mediation.

65Key questions to consider could include:

• Is this a complaint or academic appeal? Should the student be referred to another procedure?
• Was early resolution attempted? If not, should the matter be referred back to that stage?
• Has the student set out clearly what the complaint or appeal is about and which area(s) of the provider is/are involved?
• (For academic appeals) does the student’s appeal fit within the allowed grounds for appeal?
• Are any external rules, for example, rules of a Professional, statutory or regulatory body (PSRBs) relevant to this case?
• Has the student provided evidence in support of their case?
• What outcome is the student hoping for and can it be achieved?
• (For complaints) is it suitable for mediation or conciliation?
• What help or support can be provided to the student in taking this forward?

66It may be helpful to talk to or meet with the student at this stage to clarify any aspect of the student’s submission that is not clear. It may also be helpful to explain to the student what will happen if only part of their submission falls within the permitted grounds, or if the provider has to consider rules and regulations of a PSRB.

67Some complaints or appeals may need the provider to take particularly swift action. These may include, but are not limited to:

• cases where external time limits apply for example in meeting regulatory requirements for the completion of professional courses
• cases involving a threat of serious harm
• cases where the impact of the issues raised is significantly affecting the student’s mental health or where the student is very distressed
• complaints relating to ongoing disability support
• cases where delay may cause significant difficulties regarding the student’s visa status
• issues of serious and repeated service failure and/or significant delay
• issues of a highly sensitive nature.

Investigating complaints

68If the complaint or academic appeal is accepted for consideration it is good practice for the provider to allocate it to a member of staff who has not previously been involved in the matter. It will not normally be appropriate to keep the name of person considering, investigating or deciding the complaint or appeal confidential. That would lack transparency and may undermine the student’s confidence in the process.

69In smaller providers or departments it can be difficult to find a member of staff who has not previously been involved to investigate a complaint. Every effort should be made to find a staff member who is sufficiently removed from any earlier process. It may be possible to ask a staff member from another part of the provider to investigate. Where this is not possible, the provider may be able to talk to the student and agree on an investigator they would have confidence in. Some providers may wish to pair up with another provider so that each can call on the other to provide a staff member to investigate a complaint, to work with an internal investigator, or to supervise the investigation to make sure that it is conducted impartially.

70Providers may also choose to use an external investigator or service to increase capacity or to bring specialist expertise. The provider must make sure that the individual or service follows the provider’s internal procedures, including the timeframes, and the principles and process set out in this Framework. This includes making sure that students and others involved are treated fairly and that the process isn’t legalistic or overly formal. The provider should also make sure that appropriate safeguards are in place to protect students and their personal data.

71It is essential to be clear about exactly what is being investigated to make sure that both the staff member and student understand the purpose and scope of the investigation. The staff member should consider meeting with the student to facilitate this. If the student’s expectations appear to go beyond what the provider can reasonably deliver or what is in its power to deliver, the staff member should explain this to the student as soon as possible in writing so that the student is clear about possible outcomes.

72The procedures followed should be proportionate to the nature of the complaint and the complexity of the issues raised. The member of staff investigating the complaint may talk to key staff or other students and consider documents and other evidence. The staff member should keep records of who they have spoken to or met and will produce a report based on their investigations outlining the process followed, the information gathered, the conclusions drawn and any recommendations. The student or their representative should receive copies of the information considered and a copy of the investigation report. The staff member will also need to consider whether mediation or conciliation might be effective at this stage.

73It is good practice to explain whether the person investigating the complaint will make a decision about it, or whether the decision will be made by someone else. For example, the staff member may refer their report to another senior member of staff for the recommendations to be agreed, or to a complaints panel if the provider’s procedures allow for the complaint to be considered by a panel at this stage. In appropriate cases, it may be reasonable to refer the complaint to another member of staff for a second opinion.

Investigating academic appeals

74Gathering evidence that may be relevant to academic appeals is typically a more straightforward process than investigating a complaint. The investigation process in an academic appeal could be limited to collating documents and information that already exist such as documents from the marking and moderation process. Where it is necessary to gather additional statements or seek out the answers to specific questions, providers should consider the approach outlined for complaints (see paragraphs 68-73).

Mediation and conciliation

75Mediation and conciliation are usually voluntary processes where an impartial, independent third party helps the people in a dispute resolve issues confidentially. Using mediation or conciliation can help those involved to understand what is driving the concern and may be more likely to result in a quick and mutually satisfactory conclusion being reached. Mediation or conciliation may be particularly helpful in resolving disputes between students. Providers should operate their processes flexibly to offer opportunities to negotiate an outcome acceptable to both parties at any stage of the process.

76Mediation or conciliation are more often successful in complaints processes than in academic appeals processes. Academic regulations are designed to protect the academic standards and integrity of the provider’s awards and so there is limited scope for negotiation. But there may still be times when a mediated approach can be helpful, for example, when a student’s appeal is successful and a return to study needs to be arranged.

77Where both the provider and the student agree to mediation or conciliation in the formal stage of considering a complaint or appeal they should agree revised timescales. All those involved need to be clear about the scope of the mediation or conciliation process, how the arrangement fits with other procedures, and whether they are expected to agree in advance to accept the solution offered by the conciliator. It may be necessary to restart the formal process if agreement cannot be reached.

78Discussions during mediation or conciliation are normally confidential to those involved. This means that what is said during those processes shouldn’t normally be referred to later on if the student remains unhappy and continues with the formal process. But it may be possible to resolve some of the issues even if full agreement isn’t reached. A record should be kept of the outcome and any areas where agreement has been reached.

 Complaint and academic appeal panels, hearings or meetings

79If the complaint or academic appeal is to be considered by a panel hearing, or a meeting is to be held to consider it, providers should take all necessary steps to make sure that the hearing or meeting is held in a timely way and with enough notice given to the student. This includes:

• telling the student about any right to attend, in person or virtually, and explaining how this will work
• how to access advice and support
• any right to be accompanied, for example by a friend or representative from a student representative body
• what role the representative or friend is permitted to play in the hearing or meeting
• any right to submit evidence or call witnesses.

80It is good practice to provide the student in advance with information about the panel members and others who may attend to give evidence and a copy of the information to be considered. Any sensitive information should not be disclosed to panel members until their membership has been confirmed (so that the student has had an opportunity to object to a panel member, for example on grounds of bias, before they have seen the sensitive information). It is helpful to explain clearly whether the student is responsible for communicating with any witnesses they want to make a statement, or whether the provider will do this.

81For panels to be fair, they need to be free of a reasonable perception of bias. The provider needs to consider the structure of panels and take steps to make sure that those reaching a decision have not previously been involved in the matter, and are properly trained, resourced and supported. Providers should consider the diversity of the panel. In addition, it is good practice for panels to include an independent students’ union officer or student.

82Students can find panel hearings daunting. These are not legal proceedings and providers should avoid unnecessary formality. Providers will usually want to hear from students in their own words, and it is important that everyone present remains focused on the matters relevant to the particular complaint or appeal. If the student is accompanied by a representative or friend, it is important that they also understand the process and any decisions that have been reached so they can support the student effectively. It is normally reasonable to give any representative, as well as the student, an opportunity to raise concerns about the process or ask questions to help them clarify their understanding if they need to.  

83It is good practice to take a note of any meeting, setting out who attended, a brief outline of what took place and the reasons for the decisions taken. It is not normally necessary to make or retain full audio or video recordings of panel hearings or meetings, but providers should consider requests from students to do this. It may be appropriate to record meetings as a reasonable adjustment for some disabled students or staff. It is reasonable for providers to say that students should not make recordings without permission.

Closing the complaint or academic appeal at the formal stage

84The provider should write to the student setting out the outcome of the formal stage, including any decision to reject the complaint or academic appeal at initial assessment, giving a clear explanation and outlining the reasons for each decision in straightforward language. This will help the student decide whether or not to pursue the matter further.

85The decision should also give information about:

• the student’s right to take the complaint or appeal to the review stage
• the grounds on which they can do so
• the time limit for taking it to the review stage
• the appropriate procedure
• where and how to access support.

86If the complaint or appeal has been rejected, for example because it was made late or was not made on the permitted grounds, and the procedures do not allow the student to request a review of this decision, the provider should issue a Completion of Procedures Letter. We publish guidance on issuing Completion of Procedures Letters.

87It is not normally necessary to issue a Completion of Procedures Letter automatically if a student decides not to take their complaint or appeal to the next stage. If a student asks for a Completion of Procedures Letter and they are out of time to progress the complaint or appeal and the provider is not willing to consider a late submission, it should issue a Completion of Procedures Letter. It should explain that the student has not completed the process, but they are now too late to do so, and so there are no further steps that they can take internally. If the student asks for a Completion of Procedures Letter and they are in time to take the complaint or appeal to the review stage, the provider should signpost them to the next stage of the process. If the student decides not to engage with the next stage and still wants a Completion of Procedures Letter it is good practice to issue one, but the letter should explain that the student has not completed the provider’s internal processes.

88Where a complaint or appeal is upheld, the provider should explain how and when it will implement any remedy, whether that includes an apology, and what the student can do if they remain dissatisfied. It is important to set out clearly what action the student needs to take, and any deadlines for this.

Review of formal complaint or academic appeal

89If a student is dissatisfied with the outcome of the formal stage, they can ask for a review. Providers can specify the grounds on which a student can ask for a review. The grounds for asking for a review may be limited, including but not confined to:

• a review of the procedures followed at the formal stage
• a consideration of whether the outcome was reasonable
• new evidence that could make a difference to the outcome and which the student could not reasonably have provided earlier in the process.

90The review stage will not usually consider the issues afresh or involve a further investigation. A complaint or appeal must have been considered at the formal stage before it can be taken to the review stage.

91Providers can require a student (or their representative) to ask for a review in writing, by email or online by completing the appropriate form. It may be appropriate to accept requests for review in other formats, for example, if a student is disabled.

What the provider will do when it receives a request for review

92The provider will carry out an initial assessment to check the student’s request for review is in time and meets the grounds set out in the process. If the request for review is rejected at this stage the provider should issue a Completion of Procedures Letter.

93The provider will ask a specific member of staff, who has not been involved at any previous stage, to carry out the review. It is important to be clear from the start of the review stage exactly what is being reviewed, and to make sure that both the reviewer and the student understand the purpose and extent of the review. If the student is expecting an outcome that isn’t possible at the review stage, the provider should clearly explain this to the student as soon as possible in writing or another appropriate accessible format.

94The procedures should explain what happens if the student’s request for review is upheld. The provider should set out whether the reviewer is able to overturn the outcome of the formal stage and make a different decision themselves in its place, or whether the matter needs to be passed on to another body to consider.

95Key questions to consider could include:

• Were the relevant procedures followed during the formal stage?
• Was the outcome reasonable?
• Has the student received clear reasons why the complaint or academic appeal was rejected at the formal stage?
• If the student has provided new evidence that could have made a difference to the outcome, have they given good reasons for not supplying this earlier?

Closing the complaint or appeal at the review stage

96If the complaint or appeal is not upheld the student should be told the outcome of the review stage in writing in a Completion of Procedures Letter as soon as possible and within 28 days. This should include a clear explanation and outline the reasons for the decision in straightforward language. This will help the student decide whether or not to pursue the matter further.

97The decision should also tell the student about:

• their right to submit a complaint to the OIA for review
• the time limit for doing so
• where and how to access advice and support.

98The time limit for bringing a complaint to the OIA is 12 months. It is good practice to draw the student’s attention to any factors the provider is aware of which mean that it is particularly important for the student to bring the complaint to the OIA promptly (for example because the remedy the student is seeking is time-sensitive, or the course is being discontinued).

99Where a complaint or appeal is upheld, the provider should send the student a written outcome, and explain how and when it will implement any remedy, and whether that includes an apology. It is good practice to issue a Completion of Procedures Letter if the student asks for one. If the remedy proposed includes referring the complaint back to the formal stage for reconsideration, it is good practice to make sure that reconsideration is concluded as soon as possible and, where practical, within the 90 calendar days timeframe. The provider should explain whether the student can appeal the outcome of the reconsideration, and should issue a Completion of Procedures Letter at the conclusion of the process if the complaint or appeal is not upheld.

100It is good practice to issue a Completion of Procedures Letter if the student asks for one where the complaint or appeal is upheld, once any internal reconsideration has concluded.

Independent external review (OIA)

101The OIA is the independent body set up to review students’ complaints. Once the provider’s internal processes have been completed, the student can ask us to review their complaint about the outcome of the provider’s complaints or academic appeal process. The student should make their complaint to the OIA within 12 months of the date of the Completion of Procedures Letter. That is, if the Completion of Procedures Letter is sent to the student on 11 August, the deadline is 11 August the following year.

102It is good practice to include information about students’ right to complain to the OIA in the provider’s written procedures.