Manual of General Regulations Part 10: Complaints Procedures

1. Introduction

1.1 Preamble


1.1.1 The University is committed to providing a high-quality experience for each student. It recognises, however, that on occasion a student may be dissatisfied with or concerned about an aspect of his/her experience and may wish to pursue this further. The University encourages students to inform where there is any cause for concern or where there may be an opportunity to make improvements. This Complaints Procedure and associated policy enable students to make complaints.

1.1.2 Apprentices at UEL will be, and are, regarded as undergraduates or postgraduates and follow all rules and regulations as set out in the manual of general regulations for the level and type of qualification as gained within the Apprenticeship standard they are studying.

1.1.3 This Complaints Procedure will be publicised via the UEL website, the Intranet, Student Hubs and the Students’ Union.

1.2 Purpose of the Procedure

1.2.1 This Complaints Procedure will:

  • Describe the procedures whereby students may raise issues of concern about courses, facilities, or services provided by the University or about actions, lack of actions or omissions by the University or its staff.
  • Provide students with a structured procedure to escalate such issues where it has not proved possible to resolve them to their satisfaction through informal local discussions.
  • Provide a procedure whereby more serious concerns can be considered directly as complaints where it is apparent that complex and/or multiple issues or issues of a particularly serious nature are involved.

1.3 Definition

1.3.1 The University has adopted the following definition of a student complaint from The Good Practice Framework for Handling Complaints and Appeals (December 2022), produced by the Office of the Independent Adjudicator for Higher Education:

“an expression of dissatisfaction by one or more students about something a provider has done or not done, or about the standard of service provided by or on behalf of the provider”.

Definition of a complaint

1.3.2 A student complaint might be about, for example:

  • 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;
  • the way a student has been treated by a member of staff (see also Dignity and Respect statement).

1.3.3 Definition of Harassment:

Harassment related to a relevant protected characteristic is unwanted conduct that has the purpose or effect of violating the individual’s dignity or creating an intimidating, hostile, degrading, humiliating or offensive environment. Conduct may be verbal, non-verbal or physical. This definition aligns with the Equality Act 2010.

2. Scope of the Procedure

2.1 This Complaints Procedure applies to the following:

2.1.1 All students studying on any campus of the University, including students who have arrived on campus to embark on their course but who have not yet completed formal registration processes.

2.1.2 A former student provided that the complaint is raised within one calendar month of the event which has given rise to the complaint.

2.1.3 Students studying for a UEL award who spend any time off campus (such as on a placement or year abroad/in industry or undertaking off-site research), where the issue of concern or complaint relates to matters within the control of the University of East London.

2.1.4 For the purpose of this Complaints Procedure, all of the above shall be deemed to be covered by the use of the term ‘student’. Where a complaint is made by a third party on behalf of a student, the use of the term ‘student’ in this Complaints Procedure shall also be deemed to apply to the person making the complaint.

2.1.5 Students studying on a course offered through a UEL partner should refer to Appendix A.

Students studying on a UEL apprenticeship course should refer to Appendix B.

 

2.2 Exclusions

2.2.1 This Complaints Procedure does not cover the following (separate procedures exist for these, as noted in brackets):

  • Appeals relating to decisions made by an Assessment Board regarding assessment, progression or award. (Manual of General Regulations Part 6);
  • Complaints relating to a case of Academic Integrity and Academic Misconduct (Manual of General Regulations, Part 7);
  • Matters relating to Fitness to Practise (Student Policies);
  • Complaints relating to the Students Union (operates a separate Grievance and Complaints Procedure accessible via its website);
  • Complaints relating to the provision of services wholly within the remit of an Academic partner or to the action or lack of action of staff employed by an Academic partner, except where these relate to academic matters which fall within the remit of UEL (see Appendix A for further information);
  • Complaints made by students against students (see Dignity and Respect statement ) where these relate to allegations of bullying or harassment;
  • Complaints made by staff against students (see Dignity and Respect statement) where these relate to allegations of bullying or harassment. Matters which relate to a breach of University Regulations should be reported to the relevant Dean or Head of Professional Service for appropriate action pursuant to the Student disciplinary regulations and procedures (incorporating the Student Code of Conduct and Manual of General Regulations); and
  • Complaints based on or related to matters of academic judgement. 

3. Procedure

3.1 Introduction 


3.1.1 The procedure is divided into two parts, an Informal Procedure, which emphasises resolution at the ‘local’ point where the complaint arose, and a Formal Procedure, which involves the University Secretary or their nominee as manager and facilitator of the Procedure. The role of the University Secretary (or nominee) is to ensure that the Formal Procedure is operated according to proper process and within relevant timescales, aiming to resolve complaints within Stage 1 and Stage 2 as quickly as possible and to the satisfaction of the complainant.

3.1.2 Staff and students are expected to take every opportunity to resolve a complaint before escalating the matter to the next stage of the process. Staff are encouraged to take immediate action wherever possible. All stages should normally be completed within one calendar month. Each stage of the process should be exhausted or attempted before moving on to the next stage; however, matters of a very serious or sensitive nature may be escalated to Stage 2 where appropriate. A student wishing to make a complaint to progress to Stage 2 should complete and submit the appropriate form (see guidance notes below for more information). Students are expected to submit any supporting evidence within 5 working days from the date their complaint is submitted at the relevant stage. After this period, any additional evidence is unlikely to be accepted unless exceptional circumstances apply, and will be subject to review and approval by the Complaints and Appeals team.

3.1.3 Upon receipt of a complaint, the Complaints and Appeals Team will undertake an initial evaluation to determine whether the complaint falls within the scope of the University’s Complaints Procedure. As part of this evaluation, the team will also consider any requests for reasonable adjustments or accommodations to ensure accessibility and fair treatment. This may include, but is not limited to, adjustments to timelines, merger of multiple complaints or communication methods. The team’s role at this stage is to ensure the complaint is appropriately directed, clearly defined in scope, and that any necessary provisions are put in place to support the fair and effective handling of the complaint.

 

3.2 Stage 1: Local Resolution

3.2.1 Complaints should normally be raised within one calendar month of the event which has given rise to the complaint. Any complaints submitted outside of the prescribed time limits are difficult to investigate, given the passage of time; however, we may exceptionally consider complaints outside of one calendar month, at the discretion of the University. The university will consider the individual's circumstances, the nature and seriousness of the issues raised, and whether it is still reasonably possible to investigate the events. If you submit a complaint outside of our time limits, and we don’t consider it exceptional, we will issue you a letter explaining that you are out of time. This is called a Completion of Procedures letter.

3.2.2 Complaints will be dealt with initially at the level at which the event leading to the complaint occurred. This could be either to a module or course leader, or personal tutor, or within the relevant service department, for example. Wherever possible, the student should address the complaint to the member of staff most directly involved in the event leading to the complaint, to give that person the opportunity to address the concerns.

3.2.3 If, for any reason, a student does not wish for the complaint to be addressed directly by a particular member of staff, the request should be submitted along with the Stage 1 complaint, and this will be considered by the Complaints and Appeals team.  

3.2.4 The member of staff receiving the complaint will make every effort to resolve the complaint simply and quickly. A meeting shall be scheduled with the student, on campus or remotely via MS Teams, to discuss the matter. If it is considered that immediate action will resolve the matter, meeting with the student, staff are encouraged to facilitate such an early resolution wherever possible.

  • The University will offer to meet with the student to discuss their complaint. However, it is the student's choice whether to accept this offer. Declining a meeting will not negatively impact the consideration of their complaint, and the process will continue based on the available evidence.

3.2.5 At the end of the informal stage, the student will be provided with a written response to his/her complaint, which will either uphold, partly uphold or not uphold as an outcome and:

  • Detail the proposed resolution; or
  • If no resolution has been proposed, explain why.

3.2.6 Any decision taken at any stage of dealing with a complaint should be reasonable and should be based upon the evidence available to the member of staff investigating the complaint and determining the final outcome.  

3.2.7 Informal complaints will be dealt with in a timely fashion. Where possible, immediate action should be taken to resolve, but the informal stage should be completed within one calendar month, in any event. The University may need to extend the timescales for response if, for example, it becomes difficult to schedule meetings with the relevant individuals or if matters are complex and require additional time to fully investigate. In these circumstances, the relevant school or service will inform the student of any delays. These examples are not exhaustive, and the University will inform students should it become necessary to extend.

 

3.3. Complaints against a member of staff

3.3.1 If the complaint includes issues regarding the actions of named members of staff, the substance of these allegations will be communicated to the member(s) of staff concerned by the Dean / Head of Service or other senior member of staff investigating and responding to the complaint.

3.3.2 In all cases, staff will be invited to meet with the Dean/Head of Service or other senior member of staff investigating and responding to the complaint to discuss the allegations. The member of staff may be accompanied at any such meetings by a colleague or trade union representative. If appropriate, the member(s) of staff can be referred in confidence at any stage in the process to their HR manager and/or the University’s Employee Assistance Programme (EAP), who can arrange counselling and support.

3.3.3 One possible outcome of a complaint against a member of staff is that a recommendation may be made to progress the matter under the University Staff Disciplinary Procedures. In such circumstances, the process outlined in the disciplinary procedures will operate in parallel with this Complaints Procedure. The relevant Dean / Director of Service must liaise with HR Services before attempting to take any action pursuant to the disciplinary procedures.

 

3.4 Stage 2: Formal Complaint

If the response to the complaint is not considered by the student to be satisfactory, they may commence Stage 2 of this Complaints Procedure by completing the Student Complaint Form found at Student Complaint Procedure. The Stage 2 complaint form should be submitted within one calendar month of receiving the written response from Stage 1. The Form, when completed, should include:

  • The grounds for complaint.
  • A statement of what has been done by the student to attempt resolution within the School / Service.
  • Why the resolution/ action taken by the School / Service following notification of the complaint has been inadequate.
  • If resolution at Stage 1 has not been sought, the reasons for seeking to progress the complaint at Stage 2 directly.

3.4.2 Upon receipt, the Complaints & Appeals team will commence the following actions:

Acknowledge receipt of the form and undertake an evaluation of the complaint within seven calendar days to ensure the following:

  • Whether the complaint has been submitted under the correct procedure;
  • That the form has been correctly and adequately completed;
  • That the complaint has been submitted in time; and
  • The resolution sought is achievable, reasonable and proportionate.

3.4.3 Having considered the above, the Complaints & Appeals team will determine whether the Complaint Form can be accepted. They may request that the student provide additional or further information before determining whether a Complaint Form is accepted.

3.4.4 Once a Complaint Form has been accepted, the Complaints & Appeals team will allocate the complaint to a member of staff who has not previously been involved in the matter (the “Investigating Officer”). The principle is to avoid actual or potential conflicts of interest. Depending on the nature of the complaint, it may be appropriate for the investigating officer to be independent of the School/Service.  

3.4.5 The allocated member of staff (the Investigating Officer) will meet with the student to discuss the complaint and any potential resolution. The Complaints and Appeals team will issue the student an investigation report (by the Investigating Officer), accompanied by an outcome letter (by the relevant Dean of School or Director of Service) and an evidence pack to demonstrate what has been considered during the review of the complaint. The investigation report may recommend the following:  

 

  • Uphold, Partly Uphold or Not Uphold concerns raised and propose resolutions to resolve the complaint.  
  • Recommend conciliation meeting(s) (if appropriate) between the student concerned (who may be accompanied by a friend or Student Union) and the School / Service; and/or
  • Recommend that the matter proceed to a Complaint Hearing Panel if the investigating officer is unable to determine an outcome based on the available evidence.

 

3.4.6 The investigating officer, with support from the Dean of the School or Director of Service, will determine the most appropriate course of action.

3.5 Complaint Hearing Panel

3.5.1 Should a Complaint Hearing be appropriate, it will be chaired by a Dean of School from outside the School in which the student is enrolled (in the case of a complaint about an academic matter) or a Head of Service from another service area in relation to non-academic matters.

3.5.2 A Panel, consisting of the Chair, two other members of academic or support staff drawn from schools or service departments unrelated to the complaint, and a representative from the Students' Union, will be convened.

3.5.3 The composition of the Panel will not be single gender or ethnicity. To ensure fairness and inclusivity, complaint panels should, where possible, reflect the diversity of the student body. This approach supports a broad range of perspectives and helps foster confidence in the impartiality and equity of the process. While panel composition will be guided by this principle, all members will be expected to assess complaints objectively and in accordance with university policies and procedures

3.5.4 The school or service department that is the subject of the complaint will support the arrangements for the panel and provide a minute taker. Complaints & Appeals will act as a technical adviser to the panel. The student may be accompanied by a friend or representative at this meeting, and the School / Service may be represented by up to two members. If the complaint relates to the actions of an individual member of staff, rather than the School / Service, that individual has the right to attend and be represented.

3.5.5 The Complaints Hearing Panel shall meet, normally within one calendar month (excluding University closures) of the referral from Stage 1 or 2 and communicate its outcome to the student and the School / Service within 14 calendar days (excluding University closures) of the date of the hearing. The Complaints and Appeals team will keep all parties informed of progress and will explain reasons for any necessary extension of the timescale for response, for example, if an adjournment in the proceedings is necessary.

3.5.6 The Complaint Hearing Panel will also review, on behalf of the Academic Board, complaints (upheld and not upheld) from complainants to ensure consistency of approach. This exercise will take place annually.

 

Stage 3: Review

3.6.1 If the response issued at the conclusion of Stage 2 is not considered by the student to be satisfactory, they may request a review in writing within fourteen calendar days from the date of the notification of the outcome of the Formal Complaint.

3.6.2 A request for a review can only be considered in the following circumstances:

  • There has been a procedural irregularity (at Stage 2 Formal Complaint investigation) which has demonstrably affected the outcome of the claim to the detriment of the student; or
  • There is new evidence that would have significantly affected the outcome and could not reasonably have been made available when the complaint was made; or
  • that the decision is unreasonable and/or the outcome was not proportionate in all of the circumstances; or
  • that the complaint was upheld, but the proposed remedy was inappropriate.

3.6.3 The request for a review should be submitted via the online Stage 3 Review form via the Student Complaint Procedure.

3.6.4 The Complaints and Appeals team will determine if there is a valid ground for a review within seven calendar days, and if so, the University Secretary (or nominee) shall review the case. Following a review, the University Secretary (or nominee) may either determine:

The Stage 2 complaint outcome is to be overturned, with the proposal of new recommendations, or

  • The complaint is to be rejected, and the Stage 2 Formal Complaint outcome decision is upheld.

3.7 Outcomes

3.7.1 The Complaints and  Appeals team will notify the complainant of the outcome of the final stage of the complaint in writing within one calendar month, and a Completion of Procedures letter will be issued.

3.7.2 Should a complaint be upheld, any actions identified to resolve the complaint at any stage of this Procedure should be implemented as soon as possible once accepted by the student at the relevant stage and within the timeframe. This will be overseen by the Complaints and Appeals team. In addition, the University Secretary or their nominee (or the Chair of the Complaints Panel in cases where a panel has been convened) may make recommendations to the Dean of the School, Head of Service and relevant members of the management team. Recommendations may also be made to University governance committees in respect of quality assurance procedures or policies.

 

Education and Skills Funding Agency (ESFA)

3.8.1 For apprenticeship courses, an apprentice or their employer can make a formal complaint to the Education and Skills Funding Agency (ESFA) if they are not satisfied with how UEL has handled their complaint.

3.8.2 Complaints should not be raised to the ESFA until they have gone through the UEL complaints procedure.

3.8.3 The ESFA cannot handle any complaints from apprentices or employers on employment-related issues.

3.8.4 The ESFA stipulates that any complaint raised to them must be within 12 months of when the issue occurred.

3.8.5 Apprentices or their employer should raise complaints to the ESFA by either email (complaints.ESFA@education.gov.uk) or by post (Complaints Team, Education and Skills Funding Agency, Cheylesmore House, Quinton Road, Coventry, CV1 2WT).

3.8.6 The ESFA will respond to any complaints raised to inform parties of the next steps and will expect that the party has first gone through the UEL complaints procedure.

3.8.7 If an apprentice or their employer is furthermore dissatisfied with the response to their complaint from the ESFA, they can also contact the Department for Education (DfE) by following the DfE Complaints Procedure.

 

3.9 Office of the Independent Adjudicator (OIA)

3.9.1 If the student is not satisfied with the outcome of the University’s internal complaints procedures, he/she will be entitled to refer the matter to the Office of the Independent Adjudicator (OIA) for Higher Education (within parameters set out in the rules issued by the OIA).

3.9.2 Information and eligibility rules are available at: www.oiahe.org.uk 

4. Training and awareness

4.1 Training

4.4.1 The University Secretary will organise activities to raise awareness of this Complaints Procedure, and how it is to be used, amongst the student body.

4.4.2 The University Secretary will also provide support, guidance and training for staff in Schools/Services on any changes to this Complaints Procedure, its application, and good practice in handling complaints and resolving them as close as possible to their point of origin.

5. Links to related UEL policies

6. Appendix A

Students studying on academic partner courses

  1. The University makes awards to some students studying courses at academic partner institutions. A student on a course at a partner institution may make use of various University services. The University has overarching responsibility for the quality and standards of the academic courses offered by these institutions.
  2. Students studying at a Partnership Institution should submit a complaint to their Partnership Institution in the first instance, using the Partner’s Complaint procedure. Normally, complaints can be made directly to UEL at (Stage 3 Review) following completion of the relevant partner institution’s complaints procedures.

 

Managing student complaints

A student on a course validated by the University who wishes to complain should follow one of the following courses of action, depending on the nature of their complaint:

  • Complaints associated with non-academic matters, except those which relate to one of the University’s services, must be pursued in accordance with the partner institution’s own complaints policy and procedures.
  • Complaints associated with one of the University’s services should be pursued in accordance with this Complaints Procedure.  
  • Complaints on matters related to the academic course should first be pursued in accordance with the partner institution’s own complaints policy and procedures. If, following completion of those procedures, a student considers the outcome to be unsatisfactory, they can request a Stage 3 Review of that outcome by the University pursuant to this Complaints Procedure (subject to establishing the necessary grounds for such a Review as per point 3.5). The student is expected to submit the request within one calendar month of the student receiving written confirmation from the partner institution of the final outcome of the complaint in accordance with its own procedures.

An annual summary report of student complaints against partner organisations will be received by the Board of Governors and a record will be retained.

Scope of findings


  1. It is important to note that any findings, conclusions, or outcomes resulting from this complaints procedure are made solely for the purposes of addressing the complaint within the institution. They do not constitute legal determinations and should not be interpreted as establishing whether or not a criminal offence has occurred. The procedure operates independently of any legal or criminal proceedings.

7. Appendix B

Students studying on UEL Apprenticeship courses

  1. Students on Apprenticeship courses at UEL may complain to the University on matters related to the quality of their academic course.
  2. Both employers and apprentices may contact the ESFA with queries or concerns and may escalate complaints to the ESFA through the apprenticeship helpdesk (on 08000 150400 or email nationalhelpdesk@apprenticeships.gov.uk).
     

Apprenticeship / Employer Complaints

 

  1. Both employers and apprentices may contact the ESFA with queries or concerns and may escalate complaints to the ESFA through the apprenticeship helpdesk (on 08000 150400 or email nationalhelpdesk@apprenticeships.gov.uk).
  2. If either party receives a formal or informal complaint from an Apprentice, it shall promptly notify the other party and provide the other party with full details of the complaint.
  3. The parties shall work together in good faith to try to resolve any complaint from an Apprentice as quickly as possible.
  4. The Employer shall ensure that each Apprentice is aware of their right to complain to the ESFA if the parties are unable to resolve the complaint to the Apprentice’s satisfaction.
  5. The parties shall:
  • fully co-operate with the ESFA, HEFCE and any other relevant regulatory body in relation to the investigation of any Apprentice complaint; and
  • promptly implement any requirements or recommendations made by the ESFA, HEFCE or any other relevant regulatory body as a result of any Apprentice complaint.

 

Dispute Resolution

  1. The parties shall attempt, in good faith, to resolve any dispute related to this agreement.
  2. If a dispute arises under this agreement, the dispute shall be referred first to UEL's and the Employer's Representatives identified in the ADF for resolution.
  3. If the dispute cannot be resolved by UEL's and the Employer's Representatives within 14 days after the dispute has been referred to them, the dispute shall be escalated to the following, who will attempt to resolve it:
  • UEL’s Dean of School and;
  • The Employer's representative

If the UEL Dean of School and the Employer’s representative are for any reason unable to resolve the dispute within 30 days of it being referred to them, the parties will attempt to settle it by mediation in accordance with the CEDR Model Mediation Procedure. Unless otherwise agreed between the parties, the mediator shall be nominated by CEDR Solve.

To initiate the mediation, a party must serve notice in writing (ADR notice) to the other party to the dispute, requesting a mediation. A copy of the ADR notice should be sent to CEDR Solve. The mediation will start not later than 14 days after the date of the ADR notice.

The Employer may contact the Apprenticeship Helpline at nationalhelpdesk@apprenticeships.gov.uk or on 0800 015 0400 regarding any concerns, complaints or enquiries related to the Apprenticeship. 

8. Appendix C

Guidance Notes to accompany the UEL Complaints Procedure

 

Complaints to the VC and other senior members of staff

If a complaint is made to the Vice-Chancellor’s Office or the Office of any Senior Manager, it will be referred to Complaints & Appeals, who will ensure that it enters the procedure at the appropriate point. If no substantive attempt has been made by the student to resolve the complaint locally using Stage 1 of this Complaints Procedure, the student will be advised to take up the issues raised with the relevant school or service.

Anonymous complaints

Complaints require investigation to enable resolution: where a complaint is made anonymously, it may not be possible to undertake such an investigation. For practical reasons, therefore, normally no action will be taken in the event of complaints made anonymously. However, provision of supporting evidence may help should the university decide to take it forward.

Vexatious or malicious complaints

A vexatious or malicious complaint is defined as a complaint which is trivial or untrue, having been put forward so as to abuse the process of this Complaints Procedure or, for example, to attempt to defame the name or character of another person or the University. A student should also be aware that if a complaint is vexatious or pursued inappropriately, disciplinary action may be taken against them, and the consideration of that complaint will be terminated. If it is deemed necessary to terminate consideration of a complaint, the student will receive written confirmation of this decision. The student may appeal against the decision by writing to Complaints & Appeals within one calendar month of receipt of the formal notification from the University.

 

Support for Staff cited in a complaint

If a complaint has been made about a member of staff, it is the University’s duty to ensure that its staff are treated fairly throughout the process. The member of staff will be informed if a complaint has been made about them. The Complaints Procedure refers to parallel arrangements under the Staff Disciplinary Procedures. The Complaints Procedure itself cannot be used to discipline members of staff.

 

Complaints made by students under 18

If a complaint is made by a student who is under the age of 18, the University will notify the parents or guardians of the student in writing and keep them informed of the progress of the complaint, unless it is the student’s express wish that this should not be done. The University will permit the parents or guardians of the students to act on the student’s behalf during the process, provided the student has confirmed agreement in writing beforehand.

 

Accompaniment at the complaint hearing of the Students’ Union advisor for support or representation as appropriate

The friend or Students’ Union advisor shall be permitted to put forward the student’s case under the direction of the Chair of the panel, and shall be permitted to ask questions of the School/Service representatives (see Appendix D, Notes for Guidance on the Conduct of a Complaint Hearing for more detail). In the event that the complainant is unable to attend, the hearing will be rescheduled. In the event of the illness or incapacity of the compliant, there will be a maximum of 3 attempts to convene, following which the hearing will proceed in the absence of the student.

 

Reimbursement of expenses

If a complaint is upheld, the University will meet any reasonable ‘out of pocket’ expenses connected with Stage 2 of the Complaints Procedure, on production of receipts; this may include travel and subsistence costs in connection with the student’s attendance at a complaint hearing (if any).

 

Support for students and complaints from third parties (including representation from MPs)

 

Students may seek advice from the Students’ Union in relation to bringing a complaint.

Students may request that a Students’ Union advisor accompany them to any meetings associated with the investigation of the complaint. The University will not, however, accept complaints from third parties except where they are acting as the students’ representative with the student’s written consent. When providing consent, it is the responsibility of the student to ensure that they have agreed with the third party what information the University can disclose. Any communication with third parties must comply with data protection legislation and the University’s guidance on handling personal information. More information on how we process personal data can be found on the University Data Protection web pages.

The exception to this shall be where a student wishes a Member of Parliament to make the complaint on their behalf under Section 8(e) of the Data Protection Act 2018. Where this section is engaged, the University is permitted to disclose personal data (including sensitive information) to Members of Parliament, acting on behalf of a constituent, without having to obtain the explicit consent of the individual concerned. In providing permission for the University to correspond with a third party (or by appointing a Member of Parliament to make the complaint on their behalf), the student shall accept that this may include disclosure to the third party of relevant information about their academic standing, conduct and behaviour, issues of health or disability or other personal circumstances, level of engagement with University regulations, policies, procedures and services and any other personal information about them which the University deems pertinent to the issues of their complaint. Any response to a complaint made on behalf of a student by a third party shall be provided to both the third party and the student.

 

Multiple and Group Complaints

Where a student (or group of students) submits more than one complaint relating to the same substantive issue, the University may choose to treat those complaints as a single complaint. In order to manage the progress of the complaint effectively, the University will normally ask the group to nominate one student to act as their representative. The evidence submitted to support the complaint must be agreed with the group and included with the Complaint Form. No additional evidence will be accepted once the complaint has been submitted. The University will liaise with the representative who should communicate with the other students in relation to the complaint as appropriate.

 

Investigation and supporting information

It is important that the student and staff member investigating the complaint understand the purpose and scope of the investigation. If the student’s expectations appear to exceed what the University can reasonably provide, the student should receive written notification of this as soon as possible.

Students are expected to provide at the time of submission of their complaint, all relevant documentation or other evidence and details of all issues which they wish to be taken into consideration. Where this is not possible for good reason, students are expected to indicate what documentation or evidence is to follow. The person receiving the complaint (‘the investigator’) shall be entitled to impose a reasonable deadline by which this further information should be provided by the student. This deadline shall not normally be more than one month after the submission of the complaint and may be less. Timescales for consideration of the complaint will be halted whilst the provision of further information is anticipated. Unless there is a good reason why the student cannot then meet that deadline, the investigator may then proceed to consider the complaint once that deadline has passed, even if further information has not been provided.

Where the investigator believes that there is additional information which the student has not provided, which is pertinent to the consideration of the complaint and which cannot readily be gathered from other sources, they may request that the student submit it and set a reasonable deadline (normally no more than 14 calendar days) for its submission. The timescale for consideration of the complaint will be halted whilst the provision of that further information is anticipated. Unless there proves to be a good reason why the student cannot then meet that deadline, the investigator may then proceed to consider the complaint once that deadline has passed, even if further information has not been provided.

 

Equality and Diversity

These internal regulations of the University and their associated policies and guidance will be operated in accordance with its Equality and Diversity Policy.

Re-Classification of complaint

The University reserves the right to reclassify a complaint as an academic appeal according to the nature of the subject matter of the complaint. The outcome of an academic appeal cannot be made the subject of a complaint except where there is a possible material error in arriving at the decision. The final decision regarding a matter raised under this Complaints Procedure or any of the associated procedures shall normally be considered to be the final decision of the University: there is no right to further consideration of the same matter under a different University policy.

 

Reasonable conduct

It is expected that students, their representatives and staff members should act reasonably and fairly towards each other in good faith and respect this Complaints Procedure. The University has a responsibility to protect its staff against unacceptable behaviour according to its regulations and policies, and action will be taken for any abuse of process.

 

Confidentiality

Complaints will be handled with an appropriate level of confidentiality, with information released only to those who need it for the purposes of investigating or responding to the complaint or academic appeal. Where it is necessary to obtain information from a third party in relation to the investigation, the third party should only be given as much detail about the complaint as is necessary in order to obtain the information required from them.

Where a complaint has been raised against a student or member of staff and has been upheld, the student bringing the complaint will be advised of this. However, it may not be appropriate to share specific details affecting individual students or staff members, particularly where disciplinary action is being taken. It is important that the student is advised of this at the earliest opportunity in order to manage expectations. Students may be advised that appropriate action is being taken, but will not necessarily be provided with any further details.

 

Reporting and Monitoring

All complaints considered under Stages 1 and 2 of this Complaints Procedure should be recorded and reported annually by Complaints and Appeals. This will detail the number of complaints as well as the outcomes and will highlight any potential areas for enhancement or lessons learned.

Partner institutions will also be asked to submit an annual report on any formal complaints. These reports will be collated with information on university-level reviews so that an annual report of all complaints can be provided to the Academic Board.

Complaints and Appeals will oversee the tracking of complaints and recording of key data on behalf of the Board of Governors. All data held will be monitored in accordance with the Equality and Diversity Policy and reported on an annual

basis to the Board of Governors. The annual report will identify and evaluate any issues for which further action needs to be taken.

9. Appendix D

Freedom of Speech complaints

The University’s Freedom of Speech Code of Practice policy explains that when there are concerns that there has been a breach of the University’s duties in relation to free speech and/or academic freedom that a complaint should be submitted under this Procedure (Part 10 Complaints procedure).

 

Definition of Freedom of Speech:

Freedom of Speech “is the right to express opinions and ideas without interference, including the freedom to hold opinions, and to receive and impart information and ideas” (Human Rights Act 1998).

Scope of complaint:

Students or former students may submit Freedom of Speech complaints regarding actions or inactions by the University perceived to restrict or inhibit free speech, barring unlawful ones, which we define as:

  • Claims that the person making the complaint has suffered adverse consequences (which need not be financial) because of the action or inaction of the University, and
  • Claims that give rise to a question whether, the action or inaction was a breach of the University’s free speech duty.

The University has the right to reject complaints that constitute vexatious, frivolous, or without merit because of a lawful expression of a viewpoint. We also recognise a student's right to complain should a breach in the code occur. Anyone submitting a complaint will not be adversely affected or penalised for their action. We will not review anonymous Freedom of Speech complaints.

A complaint that the University has breached its Freedom of Speech Duties may also fall under other University procedures, either because of an overlapping remit between procedures, or because the complaint includes some concerns which do fall within this Procedure and some which do not. In such cases, it will usually be appropriate for the matter to be referred for consideration under the other procedure. In particular, complaints which are/include:

  • (a) Complaints by students or former students about the University’s provision of services or about member(s) of University staff, which include allegations of harassment, should usually be considered under the University’s Student Complaints Procedure;

It will be explained to all parties how the matters will be investigated, who will coordinate the process, and who will issue the final decision in accordance with, as appropriate. The overriding principle in determining the correct procedure is that the University will deal with the matter as flexibly, fairly and proportionately as possible.

Submitting a complaint

Where a reporting party considers that the University has breached its free speech duties, a complaint should be made under this Procedure within one calendar month from the date of being aware of the circumstances that give rise to the complaint.  

The complaint must be in writing (which includes email) and addressed to the University Secretary at complaints@uel.ac.uk and must:  

a) Where applicable, provide details of the event at which the alleged breach of free speech duties occurred.  

b) Where an alleged breach did not occur at an event, provide details of the circumstances in which it is alleged the breach of free speech duties occurred.  

c) Explain why it is considered that the University has breached its free speech duties.  

d) Include any supporting documentation.  

e) Where known, provide details of any witness(es) who could provide evidence of the alleged breach.  

f) Explain what is sought by way of remedy of any alleged breach.

  • Upon receipt of the Freedom of Speech complaint, the University Secretary (or nominee) shall, within one calendar month:

a)Conduct an initial paper-based review.  

b) Determine whether the complaint ought to be dealt with under this Procedure or is more appropriately referred elsewhere (in whole or in part), including, for example, to be considered: i. under the Non-Academic Misconduct Procedure; ii. under staff procedures; or iii. by any other body or partnership organisation.  

c) Notify the reporting party if the free speech complaint is being routed elsewhere in accordance with sub-paragraph (b) and provide relevant contact details.

d) If the complaint is suitable to be dealt with under this Procedure, take such steps to investigate as required, which may include arranging a meeting with the reporting party and/or other parties as appropriate.  

e) Obtain any further evidence as may be considered appropriate, which may include representations from parties who may be affected by the complaint and any details of the event at which the alleged breach occurred, where applicable.  

f) The University Secretary (or nominee) shall decide on the balance of probabilities whether the free speech complaint is: a) Upheld in full. b) Upheld in part. c) Dismissed.

g) If the University Secretary (or nominee) considers that the complaint is without substance, the reporting party will be notified that the complaint is not being considered further under this Procedure, and the investigator will provide reasons for their decision.

Appealing the University Secretary’s decision

A student may seek a review of a decision within 10 working days (from the date of issue) where the University Secretary determines that a complaint is to be dismissed on the following grounds:  

a) There has been a procedural irregularity which has demonstrably affected the outcome of the claim to the detriment of the student

b) There is new evidence that would have significantly affected the outcome and could not reasonably have been made available when the complaint was made

  • The student will need to provide a written statement, citing which of the above ground(s) and with supporting evidence, in request for an appeal to complaints@uel.ac.uk

Where valid grounds for an appeal are determined, a Freedom of Speech Appeals Panel hearing will be scheduled, whereby panel members not previously involved in the case will determine the appeal solely by review of the documentary evidence available and will either:

  • Uphold the complaint with a proposal of new recommendations
  • Dismiss the complaint.

If the complaint is not upheld, this will be communicated to the student in writing by the Complaints team. The University will issue a Completion of Procedures letter as soon as possible, or within 28 days of the appeal outcome if requested.

The Completion of Procedures letter will include a clear explanation and outline the reasons for the decision. The decision should also advise 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.

Information and eligibility rules are available on the OIA website.

Page updated July 2025