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Student Complaints and Academic Appeals Policy

Policy Statement

The School is committed to ensuring a high-quality student experience and upholding transparency through our Student Complaints and Academic Appeals Policy. We provide a clear, accessible procedure for addressing complaints and appeals, in compliance with legal and regulatory requirements. Our approach is informed by best practices, ensuring fair and effective resolution of issues to support our students.

Principles

  • Fairness: Ensuring all complaints and appeals are treated impartially and justly.
  • Accessibility: Providing clear information on how to navigate the complaints and appeals processes.
  • Transparency: Making the procedures and possible outcomes known to all students.
  • Confidentiality: Handling every case with the utmost respect for privacy.
  • Support: Offering support and advice to students throughout the process.
  • Timeliness: Addressing complaints and appeals promptly and efficiently.
  • Resolution: Seeking to resolve issues constructively and amicably where possible.
  • Independence: Ensuring that decision-makers are independent and unbiased.
  • Accuracy: Making decisions based on thorough consideration of presented evidence.
  • Proportionality: Applying solutions that are fair and proportionate to the nature of the complaint or appeal.
  • Review: Facilitating a review mechanism to ensure fair and consistent decision-making.
  • Continuous Improvement: Using feedback to improve policies, procedures, and academic standards.

Regulatory Context

This Policy has been developed in line with the applicable laws, regulations, regulatory advice, and sector best practices, including the following:

Authority Name Url
UK Government Consumer Rights Act 2015
A UK law that consolidates consumer rights, covering contracts for goods, services, digital content, and providing remedies for faulty goods and services.
Quality Assurance Agency (QAA) Advice - Concerns, Complaints and Appeals
Competition and Markets Authority (CMA) Higher education: consumer law advice for providers
Advice to help higher education providers understand their responsibilities under consumer protection law, especially regarding undergraduate students.
Office of the Independent Adjudicator (OIA) Student Complaints Scheme
The OIA is an independent body for student complaints in England and Wales, reviewing unresolved complaints and making recommendations for resolution.
Office of the Independent Adjudicator (OIA) Putting things Right
Guidelines and recommended procedures for addressing grievances, complaints, or disputes to achieve fair outcomes for existing and prospective students.

Overview of the Complaints and Appeals Framework

Title
Definition
Definition of Student Complaints

A student complaint is defined as a formal expression of dissatisfaction by a student regarding the School’s actions, omissions, or the quality of services provided directly by the School or on its behalf. This includes:

  • Claims of inadequate service.
  • Concerns about teaching quality, resources, or facilities.
  • Issues with misleading or incorrect information.
  • Problems with contractors or third parties engaged by the School.
  • Decisions made by the Executive Committee regarding exclusions.

For dissatisfaction with Examination Board decisions, students should use the Academic Appeals procedure outlined in the Academic Regulations.

This definition clarifies the scope of what constitutes a student complaint and directs students to the appropriate procedure for issues related to Examination Board decisions, ensuring that complaints are handled efficiently and correctly.
Advice
Eligibility for Using the Complaints Procedure

This procedure is available to:

  • Applicants with an offer of admission to a programme.
  • Current students enrolled in a School programme.
  • Current students registered in an individual module.
  • Former students (within the applicable timescales).

Eligibility is not affected by how student fees are paid, whether directly, by a sponsor, or through a student loan provider.

This rule ensures that all individuals connected to the School, regardless of their fee payment method or status, can utilise the complaints procedure, ensuring broad access and fairness.
Rule
Access to the Complaints Policy

This Policy will be available to the public on the School’s website and on the Automated Governance System (AGS). Complaints can be submitted via the AGS or email, ensuring accessibility for students.

Providing the Policy on multiple platforms ensures that it is readily accessible to all students, facilitating ease of use and ensuring transparency in the complaints process.

Time Limits for Submitting Complaints

Title
Rule
Timeframe for Raising Complaints

Students should raise a complaint, as defined in this policy, as soon as they become aware of the issue, but no later than 3 months from when the concern arises. The School may extend this deadline in exceptional circumstances.

This rule ensures that complaints are addressed in a timely manner, while allowing flexibility for exceptional cases, to maintain fairness and effectiveness in resolving issues.
Rule
Consideration of Late Complaints

If a student complaint is submitted to the Student Success Team after the 3-month limit, the Team may choose to consider it if exceptional circumstances are present. If the complaint is not accepted, a Completion of Procedures letter will be issued, indicating that the complaint is out of time. This letter can be used to contact the Office of the Independent Adjudicator (Stage 3 of the Complaint Resolution Stages).

This rule ensures that late complaints are handled fairly while providing a clear process for students to escalate their concerns if the complaint is not accepted due to being submitted past the deadline.
Rule
Complaints by Former Students

Former students may submit a complaint within 3 months of their withdrawal or last day of attendance, whichever is earlier. The School may extend this deadline at its discretion if exceptional circumstances are present.

This rule ensures that former students have a fair opportunity to raise complaints within a reasonable period while allowing flexibility for exceptional situations.

Commencing the Complaint Procedure

Title
Rule
Submission and Management of Complaints

Complaints should be submitted via the complaints link on the AGS or emailed to the Student Success Team at complaints@lsi.ac.uk. The Team will:

  • Monitor the AGS and email regularly.
  • Handle complaints sensitively and confidentially, considering anonymity and adhering to the School’s data protection and privacy policies.
  • Add all emailed complaints to the AGS for effective processing, tracking, and continuous improvement.
  • Assess if the student needs additional assistance or support.
  • Provide regular updates through notifications within the AGS.

This rule ensures that complaints are managed systematically and confidentially, with proper tracking and support, while maintaining transparency and adherence to data protection policies.
Rule
Information Required for Complaints

When submitting a complaint, the following information must be provided:

  • The specific nature of the concern.
  • Any individuals or processes involved (if applicable).
  • Any individuals requested for support or as witnesses.
  • If representing a Group Complaint, the names of other participants.
  • Any previous attempts to resolve the issue informally.
  • Reference numbers of any violated School regulations or policies, if available.
  • Supporting evidence for the complaint.
  • The desired outcome or remedy.

Providing comprehensive details ensures that complaints are clearly understood and properly addressed, facilitating an effective resolution process.

Stages of Complaint Resolution

Title
Rule
Complaint Resolution Stages

Once a complaint is logged in the AGS, it will follow these stages:

  • Stage 1: Informal Resolution
  • Stage 2: Formal Resolution
  • Stage 3: Referral to the Office of the Independent Adjudicator

This structured approach ensures complaints are addressed systematically, starting with informal resolution and escalating to formal and independent review if necessary, providing a clear path for resolution.

Stage 1: Informal Resolution

Title
Rule
Informal Resolution of Complaints

Students should first raise any issues directly with the relevant person, such as a staff member, student, or personal academic tutor, as many concerns can be resolved informally through conversation. If preferred, students can initiate this process via the AGS or by emailing the Student Success Team, who will assist. If resolved, the AGS will be updated, and records will generally be removed automatically after 6 months. If the informal route does not resolve the issue, the complaint can proceed to Stage 2.

Stage 2: Formal Resolution

Title
Rule
Progression to Stage 2 of Complaint Resolution

Complaints will usually start at Stage 1. However, they will progress to Stage 2 if:

  • Informal resolution is not feasible (e.g., the relevant person is unavailable).
  • Informal resolution is not appropriate (e.g., in sensitive personal cases).
  • Informal resolution has been attempted but did not lead to a satisfactory outcome within 10 working days.
  • The student has graduated or withdrawn from the School.

This rule ensures that complaints are handled appropriately and promptly, escalating to a formal resolution if informal methods are unsuitable or ineffective, or if the student’s status changes.
Rule
Stage 2 Complaint Assessment and Outcomes

Upon registering a Stage 2 complaint, the Student Success Team must, within 5 working days, review:

  • The evidence related to the complaint and the involved parties, requesting additional evidence if necessary.
  • The outcome or remedy sought.
  • The relevant regulations and policies.

The possible outcomes after this review are:

  1. Rejection (Procedural): If the complaint is submitted incorrectly, such as missing evidence, the reasons will be communicated to the student for resubmission.
  2. Rejection (Substantive): If the complaint is deemed frivolous, vexatious, or lacking merit, it will be rejected.
  3. Resolution: If the complaint is valid, the Team may:
    • Recommend reverting to Stage 1 for informal resolution (unless previously deemed inappropriate).
    • Propose mediation by a senior, impartial staff member.
    • Initiate a formal investigation if the case is complex or sensitive, conducted by a senior, impartial staff member who will review all evidence, speak to involved parties, and provide a reasoned decision. Mediation or formal investigation should be completed within 10 working days where possible.

This process ensures complaints are assessed thoroughly and fairly, with clear steps for resolution or escalation. It maintains procedural integrity and aims for timely and effective resolution.
Rule
Requesting a Review of Complaint Outcomes

If a student is unhappy with the Team's rejection or the outcome of mediation or a formal investigation, they may request a review of the decision. This can be done via the AGS or by emailing the Team.

This process ensures that students have a clear and accessible avenue for challenging decisions, promoting fairness and transparency in the complaint resolution process.
Rule
Timeliness for Requesting an Outcome Review

A request for an outcome review must be submitted within 10 working days of receiving the relevant decision.

This timeframe ensures that reviews are conducted promptly and that any issues are addressed in a timely manner, maintaining the efficiency and integrity of the complaint resolution process.
Rule
Grounds for Requesting an Outcome Review

Students must specify the grounds for requesting an outcome review as follows:

  • Relevant procedures were not followed.
  • The outcome was unreasonable given the circumstances.
  • New evidence has emerged that could not be provided earlier. The student must explain why this evidence was not submitted previously.

Clearly outlining these grounds ensures that the review process is fair and focused, addressing specific issues or new information that may affect the decision.
Rule
Procedure for Outcome Review and Further Actions

Upon receiving a request for an outcome review, the Director of Education will:

  • Conduct the review following the OIA's guidelines.
  • If the review is successful, assign a senior staff member, not involved in the initial complaint, to conduct a formal investigation.
  • If the review is unsuccessful, issue a Completion of Procedures letter, which can be used to contact the Office of the Independent Adjudicator (Stage 3 in the Complaint Resolution Stages).

This process ensures that reviews are conducted impartially and that students have a clear path to escalate their complaints if needed.

Stage 3: Office of Independent Adjudicator

Title
Rule
Issuance of Completion of Procedures Letter and Referral to OIA

Within 28 days of completing the School’s complaints procedures, the School will issue a Completion of Procedures Letter to the student, confirming that the internal process is exhausted. If the student is still dissatisfied, they may refer the matter to the Office of the Independent Adjudicator (OIA) within 12 months from the date of the letter. Further information is available on the OIA website (https://www.oiahe.org.uk).

This rule ensures students are informed when internal complaints procedures are complete and provides a clear path for escalating their concerns to the OIA if needed.

Collective Complaints

Title
Advice
Eligibility for Filing Complaints

Complaints are usually made by individual students. However, a group of students may lodge a complaint if the issue affects them collectively or if they seek the same remedy. Complaints cannot be submitted by third parties who are not directly involved with the matter.

This rule ensures that complaints are relevant and directly related to those affected, maintaining the integrity of the process and preventing external parties from influencing the outcome.
Rule
Grouping of Similar Complaints

The Student Success Team may consolidate two or more individual complaints with similar or identical issues or remedies into a group complaint. This may be done if it is considered a more efficient or effective way to investigate the matter.

Consolidating similar complaints streamlines the investigation process, making it more efficient and ensuring consistency in handling related issues.
Rule
Designation of Lead Student for Group Complaints

For group complaints, students must appoint a lead student to act as the contact person for the group. The School will communicate only with this lead student throughout the complaint process.

Having a designated lead student ensures clear and efficient communication, avoiding confusion and ensuring that all group members receive consistent information.
Rule
Consent for Group Complaints

To include their complaint in a group complaint, each student must give written consent to the Complaints Team. This consent must cover:

  • Discussion of their complaint with the group’s lead student.
  • Sharing the complete, unredacted outcome report with all group members.

If a student does not provide this consent, their evidence will not be considered in the group complaint investigation, and they must submit an individual complaint instead.

Written consent ensures all group members are informed and agree to the handling of their complaint. It also maintains the integrity of the investigation by ensuring only consenting members' evidence is used.

Procedural Considerations: Representation, Termination, and Dismissal

Title
Right
Right to Accompaniment

Students may be accompanied at all stages by:

  • Another student of the School.
  • A School staff member, including those from the Student Success Team

No other persons or representatives, including legal representatives, are permitted. Details of the accompanying person must be provided in advance of all meetings.

Limiting accompaniment to School students and staff ensures consistency and maintains the focus of the complaint process on internal resolution. Advance notice allows for proper preparation and organisation of meetings.
Right
Termination of Complaint Consideration

The School may terminate consideration of a complaint if the student:

  • Fails to cooperate with the investigation.
  • Acts aggressively, offensively, abusively, or unreasonably.
  • Initiates or threatens legal action (either directly or through a legal representative).
  • Submits the complaint more than 3 months after the event, unless exceptional circumstances are accepted.

If a complaint is terminated, the student may request an outcome review from the Director of Education within 10 working days.

Termination may be necessary to maintain a constructive process and ensure that complaints are handled fairly and efficiently. The review request provides an opportunity to address concerns about the termination decision.
Right
Rejection of Frivolous or Vexatious Complaints

The School may reject a complaint if it is deemed frivolous, vexatious, or lacking merit. This includes complaints that:

  • Are obsessive, harassing, or repetitive.
  • Seek unrealistic or unreasonable outcomes.
  • Pursue potentially valid issues in an unreasonable manner.
  • Are intended primarily to cause disruption or inconvenience.
  • Demand redress without serious purpose or value.

If a complaint is rejected, the student may request an outcome review from the Director of Education within 10 working days.

Rejecting such complaints ensures that the complaint process remains focused and effective, preventing misuse and maintaining fairness. The review request allows the student to contest the rejection decision.

Academic Appeal: Appealing Examination Board Decisions

Title
Advice
Academic Appeals Procedure

The Module Examination Board and Programme Examination Boards, authorised by the Academic Board, are responsible for:

  • Deciding on extenuating circumstances.
  • Ratifying module marks.
  • Deciding on refers, retakes, exclusions, and awards.

Students may challenge decisions made by these Boards through an academic appeal. Appeals must be based solely on procedural irregularity, such as missed stages or unconsidered evidence. Appeals cannot challenge the Boards' judgement or decisions on the merits of the case.

Academic appeals differ from complaints, which address general School processes, and from applications for extenuating circumstances. For details on the academic appeal process, refer to the School Examination Boards and Academic Appeal Regulations.

This rule ensures that students understand the scope and limitations of academic appeals, clarifying that appeals must address procedural issues rather than the Boards' judgement. It helps maintain a clear distinction between appeals, complaints, and applications for extenuating circumstances.

Continuous Improvement

Title
Rule
Staff Training on Handling Complaints

Staff will receive training on:

  • Handling complaints sensitively and fairly.
  • Avoiding conflicts of interest.
  • Providing appropriate support when needed.

This training ensures that staff manage complaints with fairness and sensitivity, prevent conflicts of interest, and offer necessary support, thus upholding the integrity and effectiveness of the complaints process.
Rule
Monitoring and Evaluation

The Student Success Team will:

  • Keep students informed about the progress and actions taken regarding their complaints or appeals.
  • Collect data on complaints and appeals as outlined in regulations and policies.
  • Submit regular reports to the Departmental Director.
  • Ensure the Director reports these findings to the Executive Committee and Academic Board.

These actions ensure transparency in handling complaints and appeals, maintain up-to-date communication with students, and support oversight and accountability through regular reporting to the relevant committees.

Metrics and KPIs

The following metrics will be measured and regularly reviewed as key performance indicators for the School to ensure the effectiveness of this policy and associated operations.

Title
Appeal Resolution Time
Measure the average number of working days to resolve academic appeals from submission to final decision.
Timely resolution of appeals is essential for maintaining academic fairness and preventing delays in student progress.
Complaint Resolution Time
Measure the average number of working days taken to resolve complaints from initiation to closure.
This KPI is crucial for ensuring that complaints are addressed promptly, enhancing student satisfaction and maintaining trust in the complaint process.
Number of Complaints and Appeals Submitted
Track the total number of complaints and appeals submitted annually. Target: Track for trends over time.
Monitoring the volume helps identify patterns and potential issues within the institution, guiding improvements to policy and practice.
Student Satisfaction with Complaint Handling
Survey students to gauge their satisfaction with how their complaint was handled, measured on a scale from 1 to 5. Target: Average score of 4 or higher.
This KPI helps assess the effectiveness of the complaint handling process from the student's perspective, which is vital for continuous improvement
Policy: Student Complaints and Academic Appeals Policy