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 2006, 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, 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. |
| | (2) | | The appeal must be submitted in writing
within 28 days of the letter notifying the decision. |
| | (3) | | The Deputy Vice-Chancellor 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
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 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
under this section is final. |
| | (5) | | The Deputy Vice-Chancellor 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 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 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 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 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. |
