1. NUS Charter on Complaints & Appeals
Liz Williams, Higher Education Policy Assistant,
NUS Higher Education Zone Conference

2. Background
Relationship with OIA
Year on year increase in complaints
Students increasingly aware of rights
Different procedures

3. Research
Review of institutional complaints and appeals in England and Wales - February 2009
24 recommendations
Awareness of procedures: 60% students slightly aware of procedures
Informal stage: 50% said informal stage slightly successful
Formal stage: Time limit, 30% stated that institutions stick to this
Majority of students would be put off making a complaint due to fear of affecting relationship with tutor
Mixed outcome on whether unions believed complaints procedures transparent, fair and just

4. Recommendations
Institutions should usually resolve complaints and appeals within 3 months
A student’s life is often put on hold whilst a complaint or appeal is dealt with and so they should be resolved as quickly as possible. OIA research showed that 60% of complainants reported that their case took more than 4 months to resolve, with 20% saying that it took more than a year. We believe that institutions should usually deal with complaints and appeals within 3 months, two months for 1-year Masters or other short courses, with clear timeframes for both the student and the institution for each stage of the process. Due to complexity this may not be possible in all cases, but institutions should aim for at least 90% of cases to be dealt within this timeframe and there should be regular communication with the student throughout the process. We also believe institutions should consider introducing a fast-track system to speed up the process.

5. Recommendations
2. Institutions should make information about their procedures easily accessible and available
Recent NUS research showed that almost three-quarters of advisers though students were only slightly or not at all aware of their institution’s procedures. In particular institutions should remind students about complaints and appeals procedures and extenuating circumstances during the year such as prior to exam period or other major forms of assessment, around results time and other appropriate occasions to ensure that students are aware of procedures. Institutional procedures should make reference to the OIA (in England and Wales), SPSO (in Scotland), and the Visitor System (in Northern Ireland) and explain how students can take their case to this body. Institutional procedures should be reviewed to ensure they’re written in plain English.

6. Recommendations
3. Complaints and appeals should be dealt with by someone seen as independent of the case
Students making complaints and appeals often have concerns about the fairness of the procedures, with OIA research showing that 60% of complainants felt that their institution had not taken their complaint seriously and 79% saying that they did not believe they had been given a fair hearing. Institutions need to work hard to ensure the perception of fairness, this could include ensuring that complaints and appeals are dealt with by someone seen as independent of the case, and potentially the institution. This could be modeled on the campus ombudsman in other parts of the world or having panel members from other institutions, whilst ensuring suitable training and support. There should also usually be a student on the panel to strengthen the perception of independence.

7. Recommendations 4. Students should be supported through the process
Students’ unions will usually support students through complaints and appeals. Where this support is not available it should be introduced and institutions are encouraged to support students’ unions in this development. Additionally, if an institution believes a case is complex enough to seek legal advice, they should make the same support available to the student to ensure an ‘equality of arms’. The institution should also ensure regular communication with the student throughout the process and the student should have access to all the evidence used by the institution.

8. Recommendations 5. Institutions should make greater use of mediation
Mediation can be quicker and less bureaucratic and more ‘user-friendly’ and resolved to the satisfaction of both parties. It is likely that greater use of mediation in student complaints would result in better outcomes for both parties. Mediation should only happen where both parties agree to it and should usually happen before requiring to move to the formal stages.

9. Recommendations
6. Students should be able to present their case in person
Some students aren’t able to get their case across in written format and may find the opportunity to present their case in person a useful addition to the process. It would be important to ensure that an agreed written record of face-to-face meetings to have a paper trail for the OIA, SPSO or Visitor system.

10. Recommendations
7. Institutions should have clear guidance tackling the perceptions that students will be disadvantaged if they make a complaint
Confidentiality should be emphasized throughout, where confidentiality cannot be guaranteed assurances that no prejudice will result. Institutions should have explicit guidance that they will respond quickly to any cases where there is a break-down in relationship between the student and the person they are complaining about on the basis of their complaint.

11. Recommendations
8. Institutional procedures should be reviewed at least every three years
Institutional procedures should undergo a major review at least every three years and after significant cases and the students’ unions and students should be engaged in the review.

12. Recommendations
9. Institutions should report on the number and outcome of cases
Institutions should record both the number and outcome of complaints and appeals at their institution, this statistical information should also include going to the OIA, SPSO or Visitor, and this should be reported to the highest academic committee. It should also be noted whether the procedures need to be changed as a result of any of the cases or recommendations of the OIA, SPSO or Visitor.

13. Any questions?
Contact
Liz Williams