Background
The University of the Highlands and Islands Partnership is committed to providing an excellent education and high-quality services to our students from enrolment to graduation. We value complaints and use information from them to help us improve our services. (UHI 2020)
Revised Model Complaints Handling Procedure (MCHP) April 2021
The Scottish Public Services Ombudsman Act 2002 provides the legislative basis for The Scottish Public Services Ombudsman (SPSO) to publish Model Complaints Handling Procedures (MCHPs) for all public bodies under the SPSO's jurisdiction, which includes Further Education and Higher Education.
The Further Education MCHP was first developed by SPSO in partnership with Scotland’s Colleges and published by Glasgow Clyde College in August 2013.
SPSO revised and reissued MCHPs in 2020, following consultation with all public sectors. The new version includes a core text (which is consistent across all public services in Scotland), with some additional guidance and examples specific to each sector. The implementation date for the revised MCHP is April 2021.
The purpose of the MCHP is to provide a standardised approach to dealing with complaints across the further and higher education sector in Scotland. In particular, the aim is to implement a standardised and consistent process for complainants to follow which makes it simpler to complain, ensures staff and complainant confidence in complaints handling, and encourages Colleges to make best use of lessons from complaints.
What are the main changes to the CHP?
- There is now a core text standardised across all sectors (with additional sector-specific text and examples in each version).
- The CHP is presented in five parts to make relevant information easier to find.
- Organisations may resolve a complaint by agreeing any action to be taken with the complainant, without making a decision on whether to uphold/not uphold. There must be a clear record of the resolution agreed and signposting to next stage.
- Organisations must agree points of complaint and outcome sought with the complainant at the start of the complaint.
- The six-month timeframe to make a complaint also now applies where the complainant wishes to escalate to Stage 2 because they are unhappy with the Stage 1 response.
- Organisations must share relevant parts of the complaint and response with any staff members complained about and provide them with information about the complaint process and support available.
- Organisations should set out actions staff may take to support equal access to the complaints process (including for vulnerable groups).
- Organisations must respond to complaints on the organisation’s own social media channels by signposting to the complaint process and support available.
- Where a complaint is brought by an MP/MSP, the organisation must handle it in line with the CHP.
- Organisations must report and publish on complaint statistics in line with PIs published by the SPSO.
Complaints
The University of the Highlands and Islands partnership’s definition of a complaint is: ‘an expression of dissatisfaction by one or more members of the public about the University partnership’s action or lack of action, or about the standard of service provided by or on behalf of the University partnership'
A complaint may relate to, but is not restricted to the following:
- the admissions process;
- the disciplinary process;
- a request for a service or for information which has not been actioned or answered;
- wrong information about academic programmes or College services;
- the quality and availability of facilities and learning resources;
- accessibility of our buildings or services;
- failure or refusal to provide a service;
- inadequate quality or standard of service, or an unreasonable delay in providing a service;
- dissatisfaction with one of our policies/procedures or its impact on the individual;
- failure to properly apply law, procedure or guidance when delivering services;
- failure to follow the appropriate administrative process;
- conduct, treatment by or attitude of a member of staff or contractor; or
- disagreement with a decision (except where there is a statutory procedure or an established appeals process).
You need to know what does not constitute a complaint. The following are not complaints by definition:
- a request for information or an explanation of policy or practice;
- a disagreement with academic judgment;
- a concern from a student about another student’s conduct;
- a routine first-time request for a service;
- a request for compensation only;
- issues that are in court or have already been heard by a court or a tribunal;
- disagreement with a decision where there is a statutory procedure for challenging that decision e.g. FOI or subject access requests, or an established appeals process;
- a request for information under the Data Protection or Freedom of Information (Scotland) Acts;
- a grievance by a staff member or a grievance relating to employment or staff recruitment;
- a concern raised internally by a member of staff (which was not about a service they received);
- a concern about a child or an adult’s safety;
- an attempt to reopen a previously concluded complaint, where we have already given our final decision;
- abuse or unsubstantiated allegations about our organisation or staff; or
- a concern about the actions or service of a different organisation, where we have no involvement (except where the other organisation is delivering services on our behalf).
Who can make a complaint? And, how can we support them?
Anyone who receives, requests, or is affected by our services, or their representative can make a complaint. They can do this either verbally or in writing, including face-to-face, by phone, letter or email. Complaint issues may also be raised on digital platforms (including social media) and where a complaint issue is raised via a digital channel managed and controlled by The University Partnership (for example an official Twitter address or Facebook page), we will explain that we do not take complaints on social media, but we will tell the person how they can complain.
All members of the community have the right to equal access to our CHP and it is important to recognise the barriers some may face complaining. These may be physical, sensory, communication or language barriers, but can also include their anxieties and concerns. Complainants may need support to overcome these barriers and we will do this by:
- proactively checking whether those who contact us require additional support to access our services;
- helping vulnerable customers identify when they might wish to make a complaint;
- providing interpretation and/or translation services for British Sign Language users;
- helping customers access independent support or advocacy to help them understand their rights and communicate their complaints (for example, through the Scottish Independent Advocacy Alliance or Citizen’s Advice Scotland); and
- providing a neutral point of contact for complaints, where the relationship between the complainant and frontline staff is significant and ongoing.
What are the different stages of complaint?
The stages of complaint
|
Stage 1 Frontline response |
Stage 2 Investigation |
Independent external review |
|
For issues that are straightforward and simple, requiring little investigation
On-the-spot apology, explanation, or other action to put the matter right
Complaint resolved or a response provided in five working days or less (unless in exceptional circumstances)
Complaints addressed by any member of staff, or alternatively referred to the appropriate point for frontline response
Response can be face-to-face or by telephone (though sometimes we will put the decision in writing)
We will tell the customer how to escalate their complaint to Stage 2 |
Where the customer is not satisfied with the frontline response, or refuses to engage at the frontline, or where the complaint is complex, serious or ‘high-risk’
Complaint acknowledged within three working days
We will contact the customer to clarify the points of complaint and outcome sought (or where these are already clear, we will confirm them in the acknowledgement)
Complaint resolved or a definitive response provided within 20 working days following a thorough investigation of the points raised |
Where the customer is not satisfied with the Stage 2 response
The SPSO will assess whether there is evidence of service failure or maladministration not identified by us
Some complaints may also have an alternative route for independent external review e.g. Awarding Bodies |
Independent external review
Once Stage 2 has been completed, if the customer is still dissatisfied with our decision or the way we dealt with the complaint, they can ask the SPSO and/or the Scottish Qualifications Authority/other awarding body or SQA Accreditation to look at it.
The SPSO considers complaints about the quality of service and maladministration and may also look at the way we have handled a complaint. SPSO are not able to look at academic judgment, and they do not have the power to revise course awards. All Investigation Stage responses must signpost to the SPSO, as well as to the SQA/other awarding body or SQA Accreditation where relevant.
Awarding bodies are responsible for safeguarding quality in assessment and certification of the qualifications they award through Colleges. Each awarding body stipulates how centres must operate and fulfil their functions in terms of qualifications assessment and certification, via a set of standard terms. Examples of complaints that awarding bodies may consider include situations where a candidate believes there has been perceived unfairness in assessment arrangements, assessment feedback or reassessment opportunities. If a student is dissatisfied with the response from the awarding body, they may ask SQA Accreditation to consider their complaint further.
What is the time limit for making a complaint?
The customer must raise their complaint within six months of when they first knew of the problem, unless there are special circumstances for considering complaints beyond this time (for example, where a person was not able to complain due to serious illness or recent bereavement).
Where a customer has received a Stage 1 response, and wishes to escalate to Stage 2, unless there are special circumstances they must request this either:
- within six months of when they first knew of the problem; or
- within two months of receiving their Stage 1 response (if this is later).
We will apply these time limits with discretion, taking into account the seriousness of the issue, the availability of relevant records and staff involved, how long ago the events occurred, and the likelihood that an investigation will lead to a practical benefit for the customer or useful learning for the College.
We will also take account of the time limit within which a member of the public can ask the SPSO to consider complaints (normally one year). The SPSO have discretion to waive this time limit in special circumstances (and may consider doing so in cases where we have waived our own time limit).
What should I do when I receive a complaint?
If you receive a complaint you should consider four key questions:
- What exactly is the customer's complaint (or complaints)?
- What does the customer want to achieve by complaining?
- Can I achieve this, or explain why not?
- If I cannot respond, who can help?
If the complaint seems straightforward and you are able to deal with it, you should do so and ensure that details of the complaint and how you resolved it are forwarded to complaints@uhi.ac.uk for logging and trend analysis. If the complaint seems straightforward, but you cannot deal with it because you are unfamiliar with the issues or area of service involved, you should email details of the complaint to complaints@uhi.ac.uk and one of the Quality Officers will pass it to the most appropriate person for response at Stage 1.
If the complaint does not seem straightforward and cannot realistically be closed within five working days, again details should be emailed to complaints@uhi.ac.uk and one of the Quality Officers will pass it to the most appropriate manager for investigation and response at Stage 2.
Dealing with a complaint at Stage 1 – Frontline response
Frontline response aims to respond within five working days to straightforward complaints that require little or no investigation. The main principle is to respond at the earliest opportunity and as close to the point of service delivery as possible. We may respond by providing an on-the-spot apology where appropriate, or explaining why the issue occurred and, where possible, what will be done to stop this happening again.
Frontline Response must be completed within five working days. In exceptional circumstances, a short extension of time may be necessary and if this is the case, we will tell the customer about the reasons for the extension, and when they can expect a response. The maximum extension that can be granted at Frontline is a further five working days i.e. no more than ten working days in total from the date of receipt of the complaint. If a complaint has not been closed within ten working days, it will be escalated to Stage 2 for a final response.
If we convey the decision face-to-face or on the telephone, we are not required to write to the customer as well (although we may choose to). We must however:
- tell the customer the outcome of the complaint (whether it is resolved, upheld, partially upheld or not upheld);
- explain the reasons for our decision (or the agreed action taken to resolve the complaint); and
- explain that the customer can escalate the complaint to Stage 2 if they remain dissatisfied, and how to do so.
Even if the response is not in writing, a full and accurate record of the decision given to the customer must be kept. If you deal with a complaint at Stage 1 you should email your findings to complaints@uhi.ac.uk for logging and trend analysis.
Stage 1 complaints - Case studies
Two related lectures were cancelled due to bad weather. A student complained to the Head of School that this would disadvantage her and her classmates in the forthcoming exam.
Stage 1 Response and actions taken:
- The Head of School contacted all affected students and apologised for the cancellations.
- The Head of School scheduled two extra lectures and gave details of times and locations.
- All appropriate information was passed to complaints@uhi.ac.uk for logging on the database.
A woman complained to College reception that students in the hall of residence threw food out of a window as she was passing. She said this had been very unpleasant and it had damaged her clothes.
Stage 1 Response and actions taken:
- The receptionist apologised on the College’s behalf, took a note of complainant contact details and passed them to quality.ic@uhi.ac.uk for forwarding to the hall of residence manager.
- The hall of residence manager apologised in writing and explained that the College will seek to identify the students to invoke the Student Disciplinary Procedure thus ensuring that their behaviour does not recur.
- All appropriate information was passed to complaints@uhi.ac.uk for logging on the Complaints database.
A student complained that his profile, which he had provided for use on the College website, had been incorrectly reproduced, attributing information to him that belonged to someone else.
Stage 1 Response and actions taken:
- The College wrote to the student with an apology, explanation of how the mistake happened, and how it will be resolved.
- The College replaced the version on the College website, making sure the correct text was added.
- All appropriate information was passed to complaints@uhi.ac.uk for logging on the database.
A student complained that she received a fine for the late return of library books when she had, in fact, returned the books on time.
Stage 1 Response and actions taken:
- A member of library staff checked and confirmed that the books had been returned on time, but that the librarian had failed to update the computer system to reflect this.
- The student received an explanation and an apology from the member of staff.
- All appropriate information was passed to complaints@uhi.ac.uk for logging on the database.
Dealing with a complaint at Stage 2 – Investigation
Investigation aims to explore the complaint in more depth and establish all the relevant facts. The aim is to resolve the complaint, or to give the customer a full, objective and proportionate response that represents our final position.
Stage 2 is appropriate where:
- the customer is dissatisfied with the Frontline response or refuses to engage at the Frontline stage;
- the complaint is not straightforward; or
- the complaint relates to serious, high-risk or high-profile issues.
It is important to be clear from the start of Stage 2 about the points of complaint to be investigated and what outcome the customer wants. Where these are not clear, we must contact the customer to confirm.
Investigation must be completed within 20 working days. In exceptional circumstances, an extension may be required and if this is the case, we will tell the customer about the reasons for the extension, and when to expect a response. The response to the complaint should be in writing and tell the customer the outcome of the complaint (whether it is resolved, upheld, partially upheld or not upheld) and that if they are not satisfied they may seek Independent External Review and how to do so.
Stage 2 complaint - Case study
A student complained that he disclosed several conditions when he started College. Extended learning supports were agreed, including an audio recorder, a laptop, and one-to-one mentoring. It took a long time for the laptop and audio recorder to be provided so the student was given permission to use his electronic tablet to record classes. In the meantime, however a teacher told him to turn it off during class. The laptop eventually provided was faulty, and the College did not do anything about this. The student feels that that not all teachers were made aware of his conditions, because when he suffered migraine symptoms in class on one occasion, a teacher told him to go home, which was dangerous. The College also stopped the student’s bursary and Education Maintenance Allowance, although he had medical certificates to justify his absence from class following a car accident.
Due to the serious and complex nature of this complaint and the requirement to carry out a lengthier investigation, it was immediately reviewed at Stage 2.
The College investigated at all aspects of the complaint and found that delays in agreeing and providing support for the student were unreasonable and this aspect of the complaint was upheld. It was ascertained that incidents involving the electronic tablet and the migraine occurred before the additional support was agreed, therefore the teacher could not have been aware of the student’s additional needs at that time, however it was established that the student’s support agreement had been sent to the wrong department, meaning teachers were not aware of the student’s needs for a further four months. In relation to the EMA and bursary payments it was found that the College had followed agreed procedures in stopping these payments and this aspect of the complaint was not upheld. Actions taken:
- The student received an apology that the provision of support was not consistent and not to the expected standard
- The College improved processes for providing assistive technology and ensuring that all teachers are made aware of support agreements
- The College reviewed processes to ensure that students' responsibilities in relation to self-referral are clear and that automatic referral processes capture all incoming students who identify additional support needs
- All appropriate information was passed to complaints@uhi.ac.uk for logging on the database.
Notifying staff members involved
If a complaint is about the actions of a staff member, we will:
- share the complaint with the staff member, unless there are compelling reasons not to;
- advise them how the complaint will be handled, how they will be kept updated and how we will share the complaint response with them;
- discuss their willingness to engage with alternative complaint resolution approaches;
- signpost the staff member to a contact person who can provide support and information;
- feedback to the person being complained about on the findings and outcome of the complaint investigation;
- advise the member of staff about any implications relating to the decision, including any potential ‘next steps’ and what this might mean for them;
- contact HR without delay for guidance if the complaint investigation findings may lead to disciplinary action or if there is a potential for a criminal investigation; and
- ensure the person being complained about is fully informed if the complaint is then escalated, either internally or to an external agency.
What to do if the CHP does not apply?
Complaints can sometimes be confused (or overlap) with other processes. Specific examples include:
- Academic appeals
- Student conduct
- Service requests
- Discipline or whistleblowing processes
- Compensation claims
- Legal action
If the issue does not meet the definition of a complaint or if it is not appropriate to handle it under this procedure, we must explain to the complainant why we have made this decision. We will also tell them what action (if any) we will take (for example, if another procedure applies), and advise them of their right to contact the SPSO if they disagree with our decision not to respond to the issue as a complaint.
Where a complainant continues to contact us about the same issue, we will explain that we have already given them our final response on the matter and signpost them to the SPSO.
Further information
When to use the Procedure (guidance on identifying what is and what is not a complaint, handling complex or unusual complaint circumstances, the interaction of complaints and other processes, and what to do if the CHP does not apply)
The Complaints Handling Process (guidance on handling a complaint through Stages 1 and 2, and dealing with post-closure contact)
Governance (staff roles and responsibilities and guidance on recording, reporting, publicising and learning from complaints)
Complaints – A Guide for Complainants (information for customers on how we handle complaints)
Link
When using our CHP, please also refer to SPSO’s website www.spso.org.uk which contains lots of useful information.
