2.1 Who this code applies to
The content of this code of practice is applicable to staff and students across the UK campuses. Details of who is considered a student under this procedure are in section 2.3 of this code.
For students and staff studying or working at University of Nottingham Ningbo China or University of Nottingham Malaysia, please consult the information on the relevant webpages:
University of Nottingham Ningbo China - student complaints 
University of Nottingham Malaysia - student complaints 
2.2 Definitions
Complaint
For the purposes of this code, the university has adopted the definition used by the OIA, which is “an expression of dissatisfaction by one or more students about a university’s action or lack of action, or about the service provided by or on behalf of the university”.
Feedback
A student may provide feedback, which will be considered by a school, department or service when reviewing its policies and operations, without using this code. Students are encouraged to provide feedback to the appropriate school/department representative, the appropriate department of the students’ union, student staff forums (SSF) or service provider in a prompt and constructive manner.
2.3 Who can use this code of practice?
For the purposes of this code of practice, a student is:
• An individual who is a current fully registered student of the university, or;
• An individual who has previously been fully registered as a student of the university and is complaining about events that occurred before they left the university.
- This code applies to postgraduate research students in their capacity as a student. Any complaints linked to an employment status at the university that is held at the same time as a postgraduate research student’s studies (for example as a demonstrator or teacher) should be dealt with under relevant staff procedures.
- Applicants wishing to make a complaint should consult the following:
Information about admissions feedback, appeals and complaints.
Apprentices wishing to make a complaint should consult the following:
Apprentice Complaints Policy
Apprentice Complaints Procedure
A group of students may use this code of practice to make a collective complaint. To raise a group complaint, one student must be identified as the main contact and have written consent from all others that wish to be named as part of the complaint. If a student is aware that a group complaint is being raised but does not wish to be part of it, they can submit an individual complaint if they wish to do so.
Anyone wishing to make a complaint is usually expected to do so themselves, unless they are part of a group complaint as detailed above. The Policy on Communications with Third Parties applies to the student complaints process. It provides information about circumstances in which a student may request for a third-party (such as a family member or friend) to represent them.
Anonymous complaints will not be considered unless there are exceptional reasons to do so, supported by evidence. In many circumstances, raising a concern anonymously could impede the investigation and communication of the outcome.
2.4 What issues are grounds for a complaint under this code?
For a complaint to be considered under this code, the student raising the complaint is usually expected to demonstrate the direct impact that the issues being raised have had on them. If a student has more general concerns, these can be raised as feedback with the relevant school/department or service.
The subject of the complaint should relate specifically to one or more of the following or similar issues:
• Failure of the university to meet obligations including those specified in course and student handbooks
• Misleading or incorrect information in prospectuses, promotional material or other information provided by the university
• Concerns about the delivery of a programme, teaching, supervision or administration (where applicable, this includes delivery which is provided by a partner institution. In the first instance, the student would normally be expected to follow the partner institution’s complaints procedures )
• Poor quality of facilities, learning resources or services provided directly by the university
• Complaints involving other organisations or contractors providing a service on behalf of the university
• Events causing significant disruption to the normal delivery of a course, service or other aspect of the student experience, such as industrial action or a public health emergency
• Concerns about the application of a policy or procedure, such as those relating to financial support, immigration processes or welfare support.
Cases where complaints regarding one or more of the issues above (or similar) are upheld and there has been a clear impact on an academic outcome may lead to an academic conclusion – for example, to allow a student a further attempt at an assessment.
Complaints relating to allegations of bullying, harassment or victimisation by members of staff will be considered in line with the Dignity at Nottingham principles.
2.5 Exclusions from this code
The following areas are not grounds for complaint under this code.
1. Challenges to the academic judgement of a member of staff and/or school.
Dissatisfaction with a mark and/or the academic judgment of the university is not grounds for a complaint. The Office of the Independent Adjudicator will not interfere with the operation of a university’s academic judgement.
2. Cases where some or all of the content is better suited to the academic appeals process.
Where a student raises issues which are better considered under the academic appeals process, they will be directed to that process and their case will not be considered through the complaints process. Where a student raises issues which do not fall neatly into the category of either complaint or academic appeal, the university will notify the student which specific issues will be considered under the complaints process and direct the student to the academic appeals process for the remaining issues.
3. Disagreement with a policy/regulation rather than its application.
In this instance, the matter should be raised by the student with the relevant student representative to be raised at the student staff forum (SSF) or another appropriate committee or group.
4. Non-academic matters raised by students who are studying by collaborative arrangement and who are studying away from the university at partner institutions.
These issues should be raised with the partner institution.
5. A matter of public interest which may be better suited to the Whistleblowing (Public Interest Disclosure) Code.
Information about the Whistleblowing Code can be found here:
Whistleblowing (Public Interest Disclosure) Code
6. Areas with separate complaints procedures, such as applications to the University and University of Nottingham Students’ Union.
Complaints about these areas should be raised in line with the relevant procedure.
7. Complaints about the behaviour of students
Complaints about the behaviour of students towards other students are within the scope of the Student Code of Conduct.
Student Code of Conduct
2.6 Principles
This code upholds the OIA principles of good practice for complaint procedures, which outlines that they should:
• Be accessible and clear
• Be fair, independent and confidential
• Be inclusive
• Be flexible, proportionate and timely
• Improve the student experience.
Complaints should be treated seriously and students must not suffer any disadvantage or recrimination as a result of making a complaint in good faith.
In all cases, it is desirable that complaints are resolved as soon as possible between the relevant parties, and that the formal process (from level 2 onwards) is only started if that fails. Evidence of an attempt at early resolution (level 1) will be required before the formal process can begin.
Mediation can be a useful means of resolving matters of complaint where the parties involved are willing to engage voluntarily in the process in an attempt to work things out. The university may make an offer of mediation to students at any stage of the complaint process.
The university is committed to ensuring that complaints are handled in accordance with this code. Occasionally, it may be sensible for the university to deviate from procedure if strict adherence to it could give rise to perceptions of prejudice or bias.
The university will not accept or investigate complaints which it considers to be in breach of the standards set out in the Unacceptable Behaviour Policy.
Unacceptable Behaviour Policy
Complaints form part of the university's process of quality review and improvement and are considered as valuable feedback. The university will widely publicise information about this code to students and staff, and all schools/departments and central services are required to provide a link to it via their websites.
Students will be notified early in the process if the remedy sought within the complaint is beyond the power of the university to deliver.
It is important for students to note that the Office of the Independent Adjudicator cannot consider matters which are or which have been the subject of court proceedings. Similarly, the university reserves the right to decline, suspend or to discontinue a complaint under the student complaints process if legal proceedings are commenced which concern the same subject matter as the complaint.
4.1 Overview of the student complaints process
The student complaints process has three levels which must be completed in order. These are:
• Level 1: early resolution at a local level
• Level 2: formal consideration by a head of school/service
• Level 3: paper-based review by a Faculty Pro Vice Chancellor/Registrar (UK)
After the internal university processes have been exhausted, complainants can request to have their complaint independently reviewed by the OIA.
OIA website
4.2 Expected time limits
The OIA Good Practice Framework stipulates that the handling of complaints will normally be completed within 90 calendar days of the start of the formal stage (level 2). This timeframe requires students to meet any deadlines set by the university. Delays in information or evidence being provided will require this timeframe to be extended. If a student requires an extension to any of the timescales set out in this section, they must request this from the Investigations and Resolution team prior to the deadline by emailing studentcomplaints@nottingham.ac.uk.
The table below refers to working days. This means working days at the University of Nottingham, which can be checked on the bank holidays and closure days webpage. If a student requires support with calculating the latest date on which their complaint can be submitted, they can email the Investigations and Resolution team at studentcomplaints@nottingham.ac.uk.
Expected time limits
| | Student | Investigations and Resolution Team | Outcome |
|---|
| Level 1 |
Complaint should be raised within 30 working days of the cause for complaint |
No involvement |
A response will normally be communicated within 30 working days of the complaint being received. If this is not possible, the staff member investigating the complaint will provide an explanation for the delay and an alternative timescale will be issued to the complainant. |
|---|
| Level 2 |
Complaint should be raised within 30 working days of the outcome of the level 1 complaint |
Will acknowledge receipt of complaint within five working days of submission |
A response will normally be sent within 30 working days of receipt of the complaint form. This will be communicated by the Investigations and Resolution team. If this is not possible, an explanation for the delay will be provided and an alternative timescale will be issued to the complainant. |
|---|
| Level 3 |
Complaint should be raised within ten working days of the outcome of the level 2 complaint |
Will acknowledge receipt of complaint within five working days of submission |
A response will normally be sent within 20 working days of receipt of the complaint form. This will be communicated by the Investigations and Resolution team. If this is not possible, an explanation for the delay will be provided and an alternative timescale will be issued to the complainant. At this point, the student has completed the university’s complaints process and can request a Completion of Procedures letter if they wish to raise their complaint with the Office of the Independent Adjudicator. |
|---|
| OIA |
Complaint should be raised within 12 months of the date of issue of the Completion of Procedures letter |
No direct involvement with complainant |
Variable
|
|---|
If a student fails to proceed within the given deadlines of the complaints process, they may not be able to progress through the internal complaints mechanisms of the university.
Complaints submitted outside of the timescales stipulated in this code will only be considered in the most exceptional circumstances and where there is good reason, supported by evidence, for the late submission.
4.3 Standard of evidence
Independent, reliable evidence is normally required to accompany a student complaint at levels 2 and 3. Evidence can be provided at level 1 (early resolution) and students are encouraged to provide any evidence that is available to them; however, it is not required in order to make a level 1 complaint. Details of the types of evidence often submitted as part of a complaint can be found in section 4.4 of this code.
Evidence submitted as part of a complaint should:
• Where written by appropriately qualified professionals who are independent of the student, be on headed paper and signed and dated by the author. Evidence presented by email may be acceptable if the email has been sent by the author from the official domain name of the author's organisation. Students should note that services, such as medical services or university support services, are unlikely to be able to provide evidence if the student has had no engagement with that service.
• Confirm that the circumstances were witnessed on the relevant date as opposed to being reported retrospectively. Evidence reported by the author as being informed retrospectively about the circumstances will not be acceptable evidence.
• Be in English. It is the student's responsibility to provide supporting documentation and any translation should be undertaken by an accredited translator (e.g. be a member of the Association of Translation Companies). Any associated costs must be met by the student.
As part of a complaint, staff can consider evidence supplied by other members of university staff known to the student, such as a personal tutor, a staff member from the Residential Experience team, or a staff member from the Support and Wellbeing team.
The university reserves the right to take such steps as are deemed necessary to verify the evidence submitted, without prior notification. Where the university is unable to authenticate the material to its satisfaction, the evidence may not be accepted. The university reserves the right to request sight of original documents. If there is evidence that a student has fraudulently presented documentation to the university, the matter will usually be referred for consideration under the academic misconduct or disciplinary processes.
4.4 Responsibilities of students when raising a complaint
Level 1: Early resolution
Students should try to resolve a complaint by raising it directly and promptly with the person/department concerned. In some circumstances, they may prefer to approach a different member of staff e.g. personal tutor, module convenor; however, if this staff member is not well placed to consider the complaint, they should support the student to contact the most relevant person/department.. If they are not sure who to raise a complaint with, there is a list of key contacts available on the complaints webpages.
Although level 1 complaints can be raised verbally or in writing, students are encouraged to put their complaints in writing to ensure that there is a record of the complaint and to allow both the student and the recipient to refer to the concerns raised.
When raising a level 1 complaint, students must:
• State that they are raising a level 1 complaint in accordance with this code.
• Clearly explain what the problem is, the impact it has had, and the outcome they are seeking.
The university provides a level 1 complaint form. While students are not required to use this to make a level 1 complaint, it is a helpful tool that supports them to clarify the key parts of their complaint and the outcome they are seeking.
Complaints must be raised as soon as possible and, at the latest, within the timelines referred to in section 4.2 of this code.
Level 2: Formal consideration by Head of School/Service
If a student is dissatisfied with the outcome of their level 1 complaint, they can escalate their complaint to level 2.
Level 2 complaints must be raised by completing the level 2 complaint form which can be accessed through the complaints webpages. If a student needs adjustments to support them to access the university’s complaints process, they should email the Investigations and Resolution team at studentcomplaints@nottingham.ac.uk outlining what adjustments would be useful.
When raising a level 2 complaint, students must:
• Provide a clear explanation of how they attempted to resolve their complaint informally at level 1. This should include:
o A specific date (or dates) when they raised their complaint
o A named member of staff to whom they reported their complaint
o Details of why the complaint was not resolved to their satisfaction at level 1.
o Copies of any written communication or evidence of completion of the level 1 stage of the complaints process.
• Clearly outline the reasons for their complaint, including details of any impact, and the outcome they are seeking. Complaints that do not outline a clear rationale will not be accepted for consideration. If the Investigations and Resolution team case handler (who carries out an initial review of complaints to confirm they are eligible under this code) believes that a submission is unclear or unnecessarily long, the student will be asked to resubmit the form in a manner that enables proper consideration of the complaint to take place.
• Gather evidence in support of their complaint, ensuring that they include important dates, times and other details that are needed to assess the eligibility of their complaint. Complaints without relevant evidence will not be accepted for consideration. This could include, but is not limited to, the following:
o A timeline of events (if they can’t remember the exact dates, the student can provide a rough timeline of events)
o Reference to relevant policies, procedures and/or regulations
o Letters/emails
o Evidence from others, such as independent medical evidence, reports by professionals or witness statements
o Screenshots
o The outcome of an investigation under another University of Nottingham process.
• Provide all evidence relevant to their complaint at the point of submitting your level 2 complaint form. The evidence must be:
o Clearly labelled and referenced within their level 2 complaint form
o Written in English (or translated into English)
o Be on headed paper and signed and dated by the author, or have been sent from the official domain name of the author’s organisation (when evidence has been written by appropriately qualified independent professionals)
Level 2 complaints must be raised as soon as possible and, at the latest, within 30 working days of the receipt of the outcome of their level 1 complaint.
If you a student is making a subject access request (SAR) as part of a complaint, they are expected to submit this as soon as possible after the outcome of their level 1 complaint and they must provide evidence of submission as part of their level 2 complaint. Information about how to make a subject access request can be found on the data protection webpages. The investigation of a level 2 complaint cannot be delayed while a student awaits for the outcome of a SAR, but the student can provide relevant information they receive from a SAR after submitting their complaint form.
The complaint will be investigated by someone who has not previously been involved in the issues that have been raised. This is to ensure that each case is looked at by someone without prior knowledge of the circumstances who can consider the issues being raised in an objective way.
Level 3: Review by Faculty Pro Vice Chancellor/Registrar
If a student is dissatisfied with the outcome of their level 2 complaint, they can escalate their complaint to level 3 on one or more of the following grounds:
• they believe that a procedural irregularity has occurred in the handling and/or the investigation of the level 2 complaint
• they are in possession of additional evidence which may have affected the outcome at level 2 but was unavailable at the time of the original level 2 investigation
• they have a compelling argument to demonstrate that the outcome at level 2 was unreasonable. Claims of this nature must be supported by evidence and a clear rationale for the unreasonable nature of the decision.
Claims that amount simply to an expression of dissatisfaction with the decision will not be considered.
Level 3 complaints must be raised by completing the level 3 complaint form found on the complaints webpage. If a student needs adjustments to support them to access the university’s complaints process, they should contact email studentcomplaints@nottingham.ac.uk outlining what adjustments would be useful.
When raising a level 3 complaint, students must:
• Identify the ground(s) under which they are making their complaint (as set out above).
• Provide evidence in support of their claim. Where evidence was not provided as part of their level 2 complaint, they must explain why this evidence was not available at the time of their level 2 complaint.
Level 3 complaints must be raised as soon as possible and, at the latest, within the timescales set out in section 4.2 of this code. The student’s level 2 complaint outcome will confirm the date by which they must submit their level 3 complaint form.
4.5 Responsibilities of staff responding to complaints
Level 1: Early resolution
Staff dealing with complaints are encouraged, whenever practical, to meet with the student to establish the precise cause of dissatisfaction, to explore the remedy sought by the student and to foster a mutual understanding of the issues involved. If a staff member receiving a complaint believes they are not well placed to consider the complaint, they should support the student to contact the most relevant person/department.
When responding to a level 1 complaint, staff must:
• Listen to the complaint and try to resolve it in a straightforward, reasonable and prompt manner
• Keep notes of any meetings and a record of the agreed outcome, and ensure these are shared with the student
Staff are required to provide a written response to a level 1 complaint. This response must confirm that this is the outcome of their level 1 complaint and advise the student of their opportunities to escalate their complaint to level 2 of the complaints process if they remain dissatisfied . Staff should provide details about the steps that have been taken to consider and seek to resolve the complaint. The response must be shared with the Investigations and Resolution team.
Complaints must be responded to as soon as possible and, at the latest, within the timescales set out in section 4.2 of this code.
Level 2: Formal consideration by Head of School/Service
On receipt of a level 2 complaint, the Investigations and Resolution team will undertake an initial evaluation to check that the complaint is submitted under the right procedures, within the appropriate deadlines, and in the required format with supporting evidence. The Investigations and Resolution team will administer the complaint and will provide information and support regarding the process to complainants and staff at all stages.
The complaint will be referred to the appropriate person in the school, usually the head of school/service. If the subject of the original complaint is the head of school/service, another head of school/service or their line manager will conduct the review. If the subject of the complaint is a member of the University Executive Board (UEB), another member of UEB will conduct the review.
The head of school/service or other relevant individual (as outlined above) will ensure that an investigation is carried out. The investigation may be delegated to an appropriate member of staff. The investigation and its outcome must be fair and reasonable. If an investigator who has been allocated by the head of school/service has prior knowledge of the case and/or there is a conflict of interest, they should inform the Investigations and Resolution team or the head of school/service immediately.
It may be appropriate for the investigator to meet with the student and/or other parties named in the paperwork. Should the investigator wish to meet with the student, they will contact them to propose this course of action and organise a meeting. The complainant will be offered the opportunity to bring a supporter to this meeting as outlined in section 3.2 of this code.
A report of the investigation will be prepared before a written response is provided to the complainant. The report and associated appendices will be provided to the student with the outcome letter.
If the head of school/service partially or fully upholds the complaint, they may decide on whatever redress they think appropriate, bearing in mind the outcome sought by the student.
Upon conclusion of the level 2 complaint, the student will be notified of the opportunity to escalate their complaint to level 3 of the complaints procedure.
All outcome responses to level 2 complaints will be issued by the Investigations and Resolution team.
Level 3: Review by Faculty Pro Vice Chancellor/Registrar
On receipt of a level 3 complaint form, the Investigations and Resolution team will undertake an initial evaluation to check that the complaint is submitted within the appropriate deadlines, meets the grounds for a level 3 review and is in the required format with supporting evidence. A complaint without adequate grounds and evidence will be dismissed.
If the student provides evidence to support the stated grounds, the complaint will be referred to the faculty Pro Vice Chancellor or Registrar for review. If the level 2 complaint was reviewed by the faculty Pro Vice Chancellor, it will be referred to the Pro Vice Chancellor of a different faculty. Where the level 2 complaint was considered by a head of service, the Level 3 complaint will be considered by the Registrar, rather than a faculty Pro Vice Chancellor. The Registrar/Pro Vice Chancellor may appoint an appropriate nominee to undertake the review on their behalf.
The review stage will not usually consider the issues afresh or involve further investigation. However, in the case that new evidence has been submitted and accepted, additional investigation may be required. In reaching a decision, the reviewer is expected to be fair and reasonable.
If the complaint is successful and the level 2 decision is amended, in full or in part, both the student and the head of school/service will receive a written explanation of the decision.
If the complaint is unsuccessful and the level 2 decision is confirmed, the student will receive a written response giving reasons and a ‘Completion of Procedures’ letter (see section 5.1 of this code) will be issued.
All outcome responses to level 3 complaints will be issued by the Investigations and Resolution team.
Decisions regarding liability for fees or financial reimbursement
The refund/waiver of a student’s tuition fees or payment of compensation can be considered as an appropriate outcome at any stage of the complaints process, including the early resolution stage (level 1).
Where a school/department or service deems the refund or waiver of a student's tuition fees or a payment of compensation to be the appropriate redress following a complaint made by a student, the liability for the fees will transfer to the school/department or service against which the complaint was made. Payments or waivers must be processed via the Investigations and Resolution team. To organise a payment or waiver, details of the relevant circumstances and any associated documentation, including authorisation from the head of school/department or service, must be forwarded to studentcomplaints@nottingham.ac.uk so that they can be forwarded to the Director of Registry and Academic Affairs or a nominee, who has authority on behalf of the Registrar to approve such requests.
Where a refund, waiver or payment of compensation is imposed on a school/department or service as a result of a level 3 complaint or OIA outcome, the school/department or service will be notified as soon as the outcome has been determined.