11.6 Stage Two: Formal Stage

1. Where early resolution of a complaint has been unsuccessful, or has been exhausted without appropriate resolution of the matter, the student may take their complaint to Stage 2.

2. Where students are studying under collaborative arrangements at a Partner Institution and initial proceedings have been unsuccessful or have been exhausted without appropriate resolution at the Partner Institution, the student may make a Stage 2 complaint directly to Aberystwyth University.

The submission of a Stage 2 complaint

3. Every Stage 2 complaint must be submitted on the Formal Complaints Form and submitted to the Academic Registry at casework@aber.ac.uk, normally within 10 working days of the student having received written notification that the early resolution stage has been completed. A formal complaint submitted in any other format will not be considered.

4. Students who submit a Stage 2 complaint that does not follow the Procedure will be directed to the right procedure and support will be made available to them, where this is felt appropriate. Following submission of a complaint submitted under the correct procedure, students will receive a written acknowledgement of the complaint, normally by e-mail, within 5 working days from the Academic Registry.

5. As per the instructions on the form, the complaint should clearly set out the following:

(i) the nature of the complaint: this should be brief and to the point, referring to any specific events

(ii) evidence should be provided that the student has exhausted the early resolution stage of the complaints procedure by providing, for example, a copy of the relevant e-mail trail and/or a copy of the written outcome from the person who attempted to resolve the matter

(iii) a statement as to why the student remains dissatisfied and the outcome they are seeking

(iv) copies of any relevant documentary evidence and correspondence, which support the complaint, must be attached.

The investigation process

6. Upon receipt of a formal complaint form, the Academic Registry will consider the complaint and will decide whether it is eligible for consideration, based on the acceptable grounds for a complaint (11.1 above). If it is not eligible, the Registry will inform the student.

7. If it is eligible, the Registry will ask the relevant Head of Department, or for students studying at a Partner Institution, the relevant ‘AU Partnership representative’ (link academic from relevant Aberystwyth University academic discipline or the Deputy Registrar for Academic Partnerships, Academic Registry) to investigate, where they must either arrange to interview all interested parties, or gather further evidence from relevant persons at their discretion.

8. The Head of Department, or AU Partnership representative, must also arrange to meet the student if they have requested a meeting at the point of submitting the formal complaints form. Any individual invited to attend an interview or meeting will be entitled to be accompanied by any of the individuals noted in 11.3 above.

9. Upon consulting the relevant evidence, the Head of Department, or AU Partnership representative, must complete an Investigation form and prepare a letter addressed to the complainant, detailing their investigations, which outlines the process followed, the information gathered, the conclusions drawn and any recommendations made. General advice can be sought from the Academic Registry (casework@aber.ac.uk) on issues relating to the procedures when considering the case, and any possible outcomes or redress, if felt necessary.

10. The letter, together with copies of any written evidence which was used to form the judgement, must be submitted to the Academic Registry (casework@aber.ac.uk), which is responsible for issuing the formal outcome to the student. Copies of the response will be circulated to all interested parties and an electronic copy kept on file.

Conflicts of interest

11. If at any point it is identified that the matter involves the Head of Department, or AU Partnership representative in an actual or perceived conflict of interest (e.g. they could be the subject of the complaint or have competing interests or loyalties), or if they have had any direct involvement in the case at any previous stage, then the matter will be immediately referred to the Pro Vice-Chancellor, Associate Dean or Director to which the Head of Department is accountable; they will then proceed as outlined under paragraphs 1 and 2 of Section 11.5, above, upon receipt of the complaint and evidence submitted.

12. If the Pro Vice-Chancellor, Associate Dean or Director also feel that there is a conflict of interest or have had any previous direct involvement in the case, the case will be referred to another Pro Vice-Chancellor, Associate Dean or Director who will continue to proceed as outlined above under paragraphs 1 to 4 of Section 11.5 above.

Timeframe

13. Upon receipt of the fully completed complaint form and associated evidence, each Stage 2 complaint should be resolved within 6 working weeks. If it appears that a response will be delayed, students will be informed why this is, and will be kept informed of progress. At all stages of the formal process, students will be contacted by the Academic Registry at casework@aber.ac.uk