Student Complaints Procedure at Liverpool John Moores University, Study Guides, Projects, Research of Performing arts

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The Liverpool Institute for Performing Arts

STUDENT COMPLAINTS

PROCEDURE

If you need this document in a different format, please contact the Registry.

DOCUMENT CONTROL PROCEDURE

Document Title Student Complaints Procedure

Creator Director of HE

Approved By Operational Planning Group

Approval Date March 31, 2011

Latest Approval Date for current version September 2021 (Institute Quality Committee)

Last reviewed September 2021

Version 8

Equality Impact Assessed (N/Y and date) Yes - March 31,

Document Location SharePoint – Key Documents Library Green Book Programme Guides LIPA website

Version Number

Purpose / Changes Author Date

1 Initial Policy Approved As creator above March 31,

Equality Screen amendments E&D Adviser on behalf of Acting Dir of HE Operations

2 Updating in line with internal staffing/role changes/job descriptions

Dir. HE Nov 28, 2012

3 Updating in line with internal staffing/role changes/job descriptions

Quality Manager Sept 30, 2014

4 Revised to align with the QAA Quality Code and the OIA Good Practice Framework

Quality Manager July 17, 2015

5 Timeline revised slightly in light of discussion at IQC to allow for OIA guidance of 90 calendar days from formal complaint to complete the process.

Quality Manager September 21, 2015

6 Updating in line with internal staffing/role changes Clarification of process Review of timeline Addition of appendix 2 and 3

Quality Manager/Registrar

April 24, 2019

7 Updating in line with internal staffing/role changes OIA briefing notes 2019- QAA guidance July 2020

Quality Manager July 13, 2020

1. Introduction

1.1 This procedure is administered by the Registrar, who is based in The Registry on the 2nd Floor of the Mount Street Building.

1.2 This procedure applies to currently registered students and recent former students. Where we use the term ‘student(s)’ in this procedure it will also include recent former students. This procedure covers all areas of our activity with the following exceptions for which there are separate policies and procedures (available internally on the Moodle Information Hub, SharePoint, or upon request):

 Bullying and Harassment Policy  Academic Appeals (Please note that this policy and procedure covers all matters relating to the overall academic standards/quality of your award. As our awarding body, it is overseen by Liverpool John Moores University. Also see 7.9)  Student Wellbeing Policy (incl. Fitness to Study/Practice)  Disciplinary Procedure  Admissions  Sexual Misconduct Policy  Complaints relating to outside agencies or service providers.

1.3 If students are unsure on how to proceed or access any of the above policies, they can contact the Registry ([email protected]) for advice or Student Support ([email protected]) for support and guidance.

2. General Principles

2.1 We are committed to managing complaints in a way that:  Is timely and efficient, to facilitate a speedy resolution  Is fair and transparent to all parties  Promotes informal conciliation such as mediation, where appropriate  Promotes feedback and best practice to enhance the student experience

2.2 The complaints procedure operates on the principles of natural justice:  There are two sides to every dispute  Decision makers must come to matters without bias or a reasonable perception of bias  All parties are given the opportunity to provide evidence to substantiate their version of the issue/incident  Full disclosure of any allegations or evidence will be made to those parties involved in the complaint  All parties involved in a complaint have the right to be accompanied by a friend, relative or Union representative at each stage of the procedure. For more info, please refer to our ‘Definition of a friend and representative in student governance procedures’.

2.3 Students are expected to have met their obligations and responsibilities as outlined in our Student Charter, Green Book and Programme Guide – all which are published on LIPA My Day SharePoint pages.

2.4 We expect that students will not engage in frivolous or vexatious complaints. We expect students to provide evidence to support their complaint. Where any complaint is unsubstantiated, frivolous or vexatious, we reserve the right to end consideration at its earliest point. The decision to end consideration of a complaint will be taken by the Registrar or Director of Administration and Personnel (or nominee).

2.5 All information provided regarding a complaint will remain confidential for use within the complaints process and is subject to the requirements of the General Data Protection Regulation (GDPR). Only those staff directly involved with the complaint will be given time limited access to confidential information. In exceptional circumstances it may be necessary for us to provide information to a third party with or without a student’s consent. In such cases there will be full engagement with the student. If a student asks for complete confidentiality, it is important to understand that this may limit the amount of support that can be arranged.

2.6 We learn from concerns and complaints as they pose an opportunity to address and enhance provision, learning opportunities, student experience, and public information. Student complaints provide us with an important source of information; the Institute Quality Committee will collate statistical information and produce annual reports to ensure that relevant issues are identified and reviewed for continued enhancement. Personal information about individual students will be removed from these reports. The outcome of any upheld/well founded complaints will also be used to guide future staff training.

2.7 The Student Complaints Procedure has been designed to conform to the Quality Assurance Agency (QAA) Quality Code and the Office of the Independent Adjudicator’s (OIA) Good Practice Framework for Handling Complaints and Academic Appeals.

2.8 The procedure is co-ordinated and supported by the Registry, who are independent from our Teaching Disciplines.

2.9 We recognise complaints can be very stressful for students, and the process and outcomes can have consequences for their studies and/or wellbeing. If anxious at any point, students are advised to contact Student Support services ([email protected]). If a student appears unable to engage effectively with this complaints procedure, the student may appoint a representative. In some cases, it may be appropriate to suspend the consideration of a complaint until the student has accessed appropriate support.

2.10 Independent advice and guidance may be available from John Moores Student Union via 0151 231 4900. Email: [email protected]

2.11 If students need specific assistance or reasonable adjustments made in order to access the Student Complaints Procedure, they should contact the Registry ([email protected]).

2.12 Where a concern or issue of complaint has affected a number of students, those students can submit a complaint as group complaint. In such circumstances, all complainants are required to put their name, signature and student number on the statement of complaint to confirm that they agree to the details of the complaint. Normally, all complainants will be invited to attend a meeting. However, in order to

5. Early Resolution/Informal Complaint Stage

5.1 Most concerns are resolved satisfactorily on an informal basis and close to their point of origin. Students are expected to try and resolve issues locally with the relevant area, in the first instance. This might include, for example, face to face discussion with the student or asking an appropriate member of staff to deal with the matter, as a mediator or conciliator.

5.2 Mediation and conciliation are seen here as voluntary processes where an impartial, independent third party (this could be an independent member of staff or student) helps resolve issues, confidentially if needed. Using mediation or conciliation can help both parties to a dispute understand what is driving the concern and is therefore more likely to result in a swift and mutually satisfactory conclusion being reached. In the early resolution stage this may be an option that is offered where appropriate.

5.3 Informal complaints should be raised via email, letter, telephone or in person as soon as possible, or within a maximum of 20 working days of the alleged incident , with the person directly responsible for the service or behaviour which may have caused concern. This may be a Programme Leader or Technical Manager, for example. It is helpful if the complainant has considered what a reasonable satisfactory resolution to the informal complaint would be. (The complainant is encouraged to state that they are raising the concern or informal complaint under the Informal Complaint Stage of the Student Complaints Procedure.)

5.4 If responsibility for the issue raised lies in the staff member’s area of work, every attempt will be made to resolve the concern at source in consultation with the student. If responsibility lies elsewhere, the staff member will work with the relevant colleagues to help resolve the student’s concern, rather than simply passing the student on to another office. Where this is not possible, and the student is directed to liaise with another office, the staff member will introduce the student to the person who will deal with the concern or to make an appointment for the student to meet them at the earliest opportunity.

5.5 In exceptional circumstances, where the nature of the informal complaint (e.g. sensitivity, confidentiality or its personal nature) makes raising the issue difficult, the Registrar may be approached (via [email protected]). This approach must also be done within 20 working days of the alleged incident. In circumstances where early resolution is not possible or suitable due to the character, complexity or seriousness of the case then students should submit a formal complaint under the Formal Stage of the procedure.

5.6 All Early Resolution/Informal Complaints should be made within 20 working days of the alleged incident, matter or concern. Staff should respond to the complaint/concern within 20 working days. Where this isn’t possible students will be advised of the anticipated timescale.

5.7 Students raising a concern/informal complaint should keep a record of any action they take to resolve the complaint and keep copies of any relevant correspondence.

5.8 The member of staff who has received the concern/informal complaint should lodge the complaint by email to the Registry ([email protected]) so a record can be kept. The email must contain the nature of the complaint and outcome – resolved or unresolved.

5.9 If it isn’t possible to resolve the complaint locally then students can submit a Formal Complaint under the Formal Stage of the Student Complaints procedure (see section 6).

6. The Formal Stage

6.1 Where the complaint has not been resolved or satisfactorily dealt with locally, or where early resolution is not possible or suitable due to the character, complexity or seriousness of the case, then a student can submit a formal complaint. Students will be expected to provide details of their attempt to resolve the matter under the Early Resolution/Informal Complaint Stage (see section 5) and attach any relevant prior correspondence.

6.2 All formal complaints should be submitted by email to the Registry ([email protected]) for the attention of the Registrar within 60 working days of the alleged incident, matter or concern. If preferred, a hard copy can be submitted to Registry, room 2.26. The student will be provided with an acknowledging receipt, normally within 5 working days.

6.3 The formal stage will be dealt with by people who have not been involved previously.

6.4 Students should complete all sections of the complaint form (appendix 1 – attached), clearly and concisely describing their concerns and summarising the key events with relevant dates. Failure to complete all sections of the form clearly and legibly may lead to a delay in responding to your complaint, or your complaint not being progressed.

6.5 Wherever possible, students need to provide appropriate evidence to support any allegations they make (evidence may include signed witness statements, letters, emails and any other relevant information) and provide details of their attempt to resolve the matter informally, where appropriate. Where a student fails to provide reasonable evidence to substantiate their allegations, we reserve the right not to progress the complaint further.

6.6 Students are also required to specify the desired outcome to their complaint.

6.7 On receipt of a formal Student Complaint, an initial assessment will be undertaken by the Registrar to determine whether the complaint meets the criteria i.e. whether the complaint is submitted within the specified time limits and whether there is reasonable evidence to substantiate the issues of complaint.

6.8 It is essential to be clear about exactly what is being investigated to ensure that all parties involved understand the purpose and scope of the investigation. At this point the student may be contacted for the following reason(s):  A request for further information or clarification.  A meeting to clarify matters of procedure and issues of complaint.

6.9 Some complaints may require us to take particularly swift action. These may include, but are not limited to:

7.2 The grounds for the appeal should be clearly stated in writing and sent with full supporting evidence, within 10 working days of the date of the Formal Stage outcome letter. The appeal should be sent to Registry ([email protected]) preferably by email. If not, a hard copy can be submitted to the Registry, room 2.26.

7.3 The appeal will be considered by the CEO/Principal (or nominee) and an acknowledgement letter will be sent to the student within 5 working days.

7.4 The CEO/Principal (or nominee) will consider the appeal in light of the grounds for appeal as stated above. The Appeal Stage is not a re-opening of the complaint and will not consider the issues afresh or involve a further investigation.

7.5 New evidence will not be considered, unless the student can demonstrate valid reasons why they were unable to provide this evidence earlier in the process. If this is the case the CEO/Principal will determine if the new evidence provided warrants the case to be moved back to the formal stage.

7.6 If necessary, the CEO/Principal (or nominee) may contact the student and/or relevant

staff in the Institute to clarify issues of appeal and matters of procedure.

7.7 The decision of the CEO/Principal (or nominee) is final and this represents the completion of our Complaints procedure. If the appeal is upheld, then the complaint will be referred back to the Formal Stage, and a new Investigating Officer will be appointed to approach the case and all evidence anew.

7.8 The student will be formally notified in writing of the decision, normally within 20 working days of submitting their appeal. This letter will include a clear explanation and outline the reasons for the decision, as well as where and how to access further support.

7.9 As mentioned in the introduction, all academic matters and academic appeals are not handled under this Complaints Procedure but come under LJMU’s Appeals Policy instead, as they are our awarding body. However, we recognise there may be complaints that relate closely to something that LJMU has ultimate responsibility for. If that is the case, students who are dissatisfied with the outcome of the complaint have the option to refer the matter to Stage 3 of the LJMU Student Complaints Procedure. In this case students will be signposted to the next stage at LJMU in their outcome letter and LJMU will issue the Completion of Procedures Letter once it has reviewed the complaint. Details of this stage of the LJMU Student Complaints Procedure can be found in section 9 of the policy at: https://www.ljmu.ac.uk/~/media/sample-sharepoint- libraries/policy-documents/140.pdf?la=en. If students have any queries about the LJMU Student Complaints procedure, or for further advice on procedural matters, they can email the Student Governance Office at: [email protected].

8. Further Steps – The Office of the Independent Adjudicator for Higher Education (OIA)

8.1 The Office of the Independent Adjudicator for Higher Education (OIA) runs an independent scheme to review student complaints. LIPA is a member of this scheme. If you are unhappy with the outcome you may be able to ask the OIA to review your

complaint. You can find more information about making a complaint to the OIA, what it can and can’t look at and what it can do to put things right if something has gone wrong here: https://www.oiahe.org.uk/students.

8.2 You need to have completed this Complaints Procedure before you complain to the OIA. We will send you a letter called a ‘Completion of Procedures Letter’ when you have reached the end of our processes and there are no further steps you can take internally. If your complaint is not upheld, we will issue you with a Completion of Procedures Letter automatically. If your complaint is upheld or partly upheld, you can ask for a Completion of Procedures Letter if you want one. You can find more information about Completion of Procedures Letters and when you should expect to receive one here: https://www.oiahe.org.uk/providers/completion-of- procedures-letters. The time limit for bringing a complaint to the OIA is 12 months of the date of the Completion of Procedures letter.

9. Additional Notes

 Where the Registrar is the respondent in a formal student complaint, another senior LIPA manager will be appointed to oversee the complaint procedure. This senior manager will be from outside the area of complaint and will have had no previous involvement in the issue or concern.

 Where the CEO/Principal is the respondent in a formal student complaint a letter should be written by the complainant to the secretary of LIPA’s Council, who will determine together with the Council Chair how to progress the complaint. (Email and telephone contact details are available from the Registry.) If students want to appeal (as per section 7) a decision made by Council, they can do so by referring their complaint to LJMU’s Student Complaints procedure first (see 7.9) and by approaching the Office of the Independent Adjudicator for Higher Education after that, if need be (see 8.1).

 It may be difficult to identify a staff member who is sufficiently removed from any earlier process to investigate or advise on a complaint. Where it is not possible to ask a staff member from another part of the Institute to take on this role, the student will be consulted so that they can help select someone in whom they have confidence.

Support

 All students that raise a concern, as well as all students/staff that are subject to a complaint, are treated fairly, with dignity and respect, and their wellbeing is properly considered. All complaints are taken seriously, and students will not be disadvantaged as a result of bringing a complaint. Appropriate support can be made available to help students and staff members through the process by contacting Student Support services ([email protected]).

 If a student complains about Student Support Services, we will aim to direct the student to other sources of (external) support.

Disabilities

 The general principles of this Complaints Procedure apply to all students. However, we recognise some disabled students may require additional support. Where complainants

Appendix 1 – Formal Complaint Form

FORMAL COMPLAINT

Name(s)*

Programme(s)*

Year of Study*

Contact Address

Mobile/Phone

Email

Nature of complaint

(Continue on additional sheet if required)

Outcome of Informal Resolution

Reasonable Outcome Sought

Supporting/other information

(Continue on additional sheets if required)

Reasonable adjustments required (disability) or any other specific needs

Number of additional sheets (please staple and number)

Signature

Date

Office Use Only

Receipt Stamp Received by

Received on

*Where the complaint is from more than one student then a list of the complainants, programmes, year(s) of studies, with signatures should be attached.

13. The Chair will then adjourn the hearing to consider the evidence that the Panel have heard. They may at this stage choose to seek additional evidence or information from other parties. Should this be the case, all parties will be informed as to the nature of the enquiry.
14. Panel members will advise the Chair of their opinion of the case. Following this discussion, the Chair will act as final arbiter in the matter.
15. The Chair will announce their decision, either by calling the parties together or in writing. The outcome of the hearing will be confirmed in writing within five (5) working days of the decision. This will include notes of the meeting, setting out attendance, a brief outline of the proceedings, and the reasons for the decisions taken.

Appendix 3 – TEMPLATE Completion of Procedure letter

Please note - the format may be adjusted to meet the individual circumstances of a complaint provided that the key points below are included.

Dear [ Name of complainant ],

Completion of Procedures Letter

This letter confirms that the internal Complaints Procedure of the Liverpool Institute for Performing Arts in relation to your complaint regarding [ please describe ] have been completed_._

The issues that you raised in your complaint were [ details ]

The issue(s) that were considered in relation to your complaint were: [ brief summary of the complaint ].

The final decision of the Liverpool Institute for Performing Arts is [ detail ] because [ reasons ].

Your qualification is awarded by Liverpool John Moores University, which has some responsibility for considering complaints about the overall quality or standards of your qualification. You have a right to refer your complaint to the relevant stage of the LJMU Student Complaints Procedure, but only once all our procedures have been completed. Details of the LJMU Student Complaints Procedure can be found at: https://www.ljmu.ac.uk/about-us/public- information/student-regulations/student-complaints. If you have any queries about the LJMU Student Complaints procedure, then please email the Student Governance Office at: [email protected].

Both The Liverpool Institute for Performing Arts and Liverpool John Moores University subscribes to the independent scheme for the review of student complaints. If you are dissatisfied with the outcome are able to apply for a review of your complaint to the Office of the Independent Adjudicator for Higher Education (OIA) provided that the complaint you take to the OIA is eligible under its rules.

Should you decide to make a complaint to the OIA, your OIA Complaint Form must be received by the OIA within 12 months of the date of this letter, that is, it must be received by the OIA on or before [ insert date - e.g. if the Completion of Procedures Letter is dated 9 July 2020, this date should be 9 July 2021 ].

You can fill in the OIA’s complaint form online or download a copy from the OIA website. https://www.oiahe.org.uk/students/how-to-complain-to-us/. The OIA also publishes An Introduction to the OIA Scheme for Students , which can be downloaded from https://www.oiahe.org.uk/students/can-you-complain-to-us/. Alternatively, you can telephone or write to the OIA for a form. You should send a copy of this letter to the OIA with your OIA Complaint Form.

Guidance on submitting a complaint to the OIA and the OIA Complaint Form can also be found on the OIA’s website https://www.oiahe.org.uk/students/how-to-complain-to-us/.

Please note that the OIA will normally only review issues that have been dealt with through the provider’s internal procedures.

Yours sincerely,

[Authorised signatory]

Appendix 5 – Complaints Procedure Flowchart

Issues locally resolved?

Statistical information is gathered in annual reporting to Institute Quality Committee for enhancement

Does the complaint meet the criteria?

Student is notified of decision not to investigate the complaint and why. Student can appeal this decision – see 3.

1. Informal complaint is raised within 20 working days of alleged incident.

Staff respond to complaint/concern within 20 working days.

Staff log the complaint to Registry.

NO YES

2. Formal complaint is raised within 60 working days of alleged incident.

Complaint form is sent to Registrar.

YES NO

An Investigating Officer is appointed.

• They investigate the evidence and, if needed, convene a panel.
• They produce and share a written report detailing the outcome within

20 working days of receiving the complaint.

Student receives written outcome from the Registrar.

Is the outcome satisfactory?

Statistical information is gathered in annual reporting to Institute Quality Committee for enhancement

Is the appeal upheld?

The complaint is referred back to be investigated by a new Investigating Officer – see 2.

We will send you a Completion of Procedures Letter when you have reached the end of our processes and there are no further steps you can take internally.

NO YES

3. Student can appeal to the CEO/Principal within 10 working days of the

outcome letter.

NO YES

The appeal will be considered by the CEO/Principal (or nominee) and their

decision is final. Student receives written outcome within 20 working days of

submitting their appeal.

If the complaint is closely related to an academic matter, students may have a right to refer their complaint to the appeal stage of the LJMU Student Complaints Procedure.

When all internal complaint and appeal procedures have been depleted, students can refer their complaint to the Office of the Independent Adjudicator.