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Student Complaints Policy



Preamble
Consistent with its commitment to excellence, the University has adopted this policy to assist both students and staff in the resolution of student concerns and complaints constructively, quickly and fairly.
Where minor concerns arise, students are encouraged to take a common-sense approach and raise them directly with the relevant staff, with the aim of resolving them at the lowest possible level and without undue formality. However, where informal discussions have not yielded a satisfactory resolution, or where the matter is more serious, the following policy provides for a more formal process to be pursued.
Complaints made under this policy will be monitored and reviewed to enable the University to continually improve processes and services in support of student learning.
Student and staff rights and responsibilities in relation to this policy are set out in the appendix to this policy.

Policy
1.   Definitions
  In this policy
  complaint means a written statement submitted by a student about a matter that requires formal consideration and resolution by the University in the terms set out in this policy.
  natural justice means the right to have a decision made by an unbiased decision-maker who observes fair and impartial procedures.
2.   Application and scope
  (1)   Subject to subsection (2), this policy applies to complaints about any aspect of the teaching and learning process and the broad provision made by the University to support that process.
  (2)   This policy may not be used
  (a)   where the complaint can be dealt with under the Student Discipline Regulations 2004, the Assessment Regulations 2005, or the Harassment and Sexual Harassment Policy, or
  (b)   to challenge the academic judgement of examiners.
  (3)   Depending on the nature of the complaint, this policy should be read in conjunction with the Staff Code of Conduct, the Code of Ethics for Academic Staff, and/or the Code of Practice for the Pastoral Care of International Students.
  (4)   No action will be taken on malicious or anonymous complaints.
  (5)   A complainant must be able to demonstrate that the complaint is brought without malice and is based on evidence that the complainant honestly and reasonably believes to be substantially true. Those responsible for resolving complaints under this policy must take all reasonable steps to ensure that the complainant is protected against any subsequent recrimination or victimisation.
  (6)   Students and staff involved in the consideration and resolution of concerns and complaints have various rights and responsibilities, which are outlined in the appendix to the policy.
3.   Informal resolution of concerns
  (1)   Before making formal written complaints, students are encouraged to seek a resolution to any concerns by raising and discussing them informally with the relevant staff member who is most directly associated with the matter.
  (2)   A staff member with whom a concern is raised by a student is expected to deal with the matter in an open and professional manner and to take reasonable and prompt action to try to resolve it informally.
  (3)   A student who is uncertain about how to seek informal resolution of a concern is encouraged to seek advice from the Student Support Coordinator (Office of Student Life) or the Student Advocate (Waikato Students’ Union).
4.   Formal complaints procedures
  (1)   Where it has not been possible to resolve a concern informally, a student may make a formal complaint.
  (2)   A student who wishes to make a formal complaint must submit it in writing, on the prescribed form to the Dean or Director who is responsible for the action or matter that has given rise to the complaint.
  (3)   The written complaint must be submitted within three months after the occurrence of the action or matter that has given rise to the complaint, unless the Dean or Director agrees to receive it beyond this timeframe.
  (4)   If the complainant prefers not to address the complaint to the person recommended in subsection (2), it may be addressed to the Deputy Vice-Chancellor (Academic), who will address the complaint and make a decision in accordance with these procedures.
  (5)   A Dean or Director who receives a student complaint must acknowledge it in writing within three working days. He or she must also lodge the complaint in the relevant School, Faculty or Division complaints register, using the student ID number as identifier (rather than the student’s name), and must maintain a file of all documentation in relation to the consideration of the complaint.
  (6)   The Dean or Director must ensure that any staff member named in the complaint receives a copy as soon as practicable.
  (7)   The Dean or Director must consider the complaint in accordance with the principles of natural justice, and must ensure that all parties to the complaint are accorded the full benefit of those principles.
  (8)   The process may include meetings with relevant staff and/or the complainant. Where meetings are held, the parties may, if they wish, be accompanied by a peer support person.
5.   Resolution of complaints
  (1)   The Dean or Director must make a decision in relation to the complaint and must notify his or her decision to the parties, in writing, within 28 days of receiving the complaint.
  (2)   If the complaint involves a university process or service and if, in the opinion of the relevant Dean or Director, the complaint has substance, the Dean or Director must arrange for the relevant process or service to be reviewed, with a view to preventing a recurrence and ensuring continued improvement.
6.   Appeals
  (1)   Any party to a student complaint who is dissatisfied with a decision by a Dean or Director under this policy may appeal to the Deputy Vice-Chancellor (Academic).
  (2)   The appeal must be submitted in writing within 28 days of the letter notifying the decision.
  (3)   The Deputy Vice-Chancellor (Academic) will consider the relevant documentation and may, at his or her discretion, consult the Dean or Director who made the decision. The Deputy Vice-Chancellor (Academic) may also interview any parties to the complaint.
  (4)   If he or she determines that the complaint process has been conducted in accordance with this policy and the outcome is appropriate, the Deputy Vice-Chancellor (Academic) may dismiss the appeal. Otherwise, he or she will decide the appeal in consultation with the relevant Dean or Director and any other parties. Subject to subsections (6) and (7), the decision of the Deputy Vice-Chancellor (Academic) under this section is final.
  (5)   The Deputy Vice-Chancellor (Academic) will notify his or her appeal decision in writing to the parties.
  (6)   When he or she notifies the parties of the appeal decision, the Deputy Vice-Chancellor (Academic) will inform the parties of the Ombudsman’s role in relation to complaints about government organisations (including universities) that affect people in their personal capacities.
  (7)   The Deputy Vice-Chancellor (Academic) will also inform any staff members who are dissatisfied with a student complaint process of the steps available to them under the University’s Procedure for Resolving Employment Relationship Problems and Personal Grievances.
  (8)   If the original complaint was addressed to the Deputy Vice-Chancellor (Academic) under section 4(4), any appeal must be made to the Vice- Chancellor. That appeal will be considered and decided, in accordance with appeal processes consistent with those set out in this policy, by a nominee of the Vice-Chancellor.
7.   Confidentiality
  All processes and decisions under this policy are confidential to the parties and staff directly involved.
8.   Annual report to Academic Board
  The Deputy Vice-Chancellor (Academic) must submit an annual report to the Academic Board, including an overview of student complaints and decisions during the relevant year, together with any consequent recommendations with respect to the teaching and learning process and the provision made by the University to support that process.

Appendix
Rights and Responsibilities of Parties to a Student Complaint
  Parties to a student complaint have the right to
    be treated with courtesy at all times
    a fair and timely investigation process in accordance with the principles of natural justice
    express their points of view without fear of recrimination
    receive full information at all stages of the complaint process
    be advised in writing of all decisions made in relation to the complaint
    appeal the outcome
    in the case of a staff member, avail himself or herself of the Procedure for Resolving Employment Relationship Problems and Personal Grievances.
  Parties to a student complaint have a responsibility to
    treat all parties with courtesy at all times
    respect the points of view of others
    respect the rights of all parties to the complaint with respect to confidentiality
    in the case of the complainant, ensure that the complaint is made in good faith and complies with the requirements of the Student Complaints Policy.
    provide full and accurate information to the person investigating the complaint
    not take any action that may prejudice the situation or be regarded as an act of recrimination against any other party.

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