Adoption of the Policy

This policy was adopted by the Union of Students Executive Team in May 2022 and will be reviewed every two years. The Union does reserve the right to review this policy more frequently if there is justification to do so. This policy works alongside our Standing Order 6 and 7.

This policy was reviewed and amended in December 2024.

Policy Summary

1. Any Student at the University of Derby is entitled to complain about unfair or unreasonable treatment following this process.
2. This process applies to both students and external people wishing to complain about:
   1. Students who are valid Elected Representatives – Student Leaders, Programme Representatives, Community Committee Members, and Community Council Members.
   2. Students who hold a valid Union Membership from a Community.
   3. Students who are carrying out a Volunteering opportunity through the Union.
3. The aim of this procedure is to provide a straightforward and effective process for resolving complaints.
4. This policy aims to ensure, that if it is believed that a breach of conduct is suspected to have occurred, there is a fair and systematic approach to investigating these matters and taking appropriate corrective action.
5. Standards of Conduct are, though not exclusively, those defined by the Union’s policies, legal requirements and Student, Volunteering and Sport Code of Conduct.

Confidentiality

1. The Union cannot guarantee anonymity of those submitting a complaint, particularly in cases where there has been a disclosure which poses a risk to the reporting student or a risk to others and when the law has been broken: terrorism, drug trafficking and money laundering.
2. In cases where anonymity is requested the Union will discuss the potential impact on its ability to manage the complaint effectively and agree a process with the student submitting the complaint.
3. In cases where the Union attempts to retain anonymity, it cannot be held accountable for instances where this cannot be achieved due to the nature of the complaint, or the evidence provided.
4. It is the responsibility of all parties to ensure that the details of the case including (but not limited to) the allegation, the parties involved, and the potential outcomes are kept confidential. Failure to protect the confidentiality of the case could result in dismissal of the case and/or disciplinary action against those involved, including Union employees.
5. The Union of Students will need to keep records of complaints and their investigations to retain information and continuously improve our service. These records will be kept for 6 years after completion of the procedure.
6. Where the concerns may constitute a safeguarding concern, we reserve the right to inform the University.

Submitting a Complaint

1. The Union of Students complaints process does not commence until it has received a completed Complaints Form (appendix A). Complaints need to be submitted within 3 calendar months of the issue arising.
2. In order to address your concerns quickly and effectively, we advise that a complaint form is submitted as soon as possible.
3. The completed Complaints Form should outline the reason for your complaint, providing detailed answers to each section of the form and any evidence available.
4. When completed this should be sent electronically to complaints@derbyunion.co.uk. This will be managed by an impartial senior employee, either the Head of Membership Engagement or Head of Operations who will manage the process throughout its duration. This individual will be referred to as the Complaint Manager. The Complaint Manager will acknowledge receipt of the complaint within five working days.
5. The Complaint Manager will select an appropriate Officer Trustee with no connection to the complaint or individuals associated with it. This Officer Trustee, with the support of the Complaint Manager will review the complaint and determine if:
   1. The complaint should be managed through Stage One of the complaint’s process.
   2. The complaint is not suitable for Stage One and will be escalated to Stage Two of the complaints process.
   3. The complaint does not meet the criteria for the process and is dismissed.
6. Where the concerns may constitute a breach to the Union student code of conduct and the University student code of conduct, a case conference will be arranged as quickly as reasonably possible to decide which elements take precedent. This will involve the Complaints Manager and relevant members of the University such as, but not limited to, the Student Policy and Regulations Manager and/or the University Safeguarding Lead.
7. The Complaints Manager may reach out to you to request additional information or evidence, where required.
8. The Complaint Manager will contact you within 5 working days with details of how the complaint is being managed and which Union staff member has been appointed to manage the stage it has been allocated. This person will not have previous involvement with either party.
9. The Union reserves the right to dismiss any complaints related to issues that arose more than three months before the date of the complaint submission. This decision will be made based on the severity of the allegations.
10. Any complaints alleging sexual assault will be referred directly to our Sexual Violence Liaison Officer who will provide support and guidance, including information on reporting options.

Stage One – Informal Process

1. The Union of Students aims to resolve all complaints swiftly and informally where possible.
2. Any complaints that appear resolvable informally will automatically go to Stage One, unless there is sufficient evidence to demonstrate that attempts to resolve the complaint informally have taken place.
3. In most cases, an informal discussion should resolve any difficulties identified. If the student group or individual fails to improve, or sustain improvement, it will be escalated to Stage Two of the process.
4. The allocated staff member will reach out to the reporting student within 3 working days of being assigned to the case. This will be to determine which outcome stated in 5.5 is best used to resolve the complaint.
5. Possible outcomes of a complaint at Stage One could include:
   1. Informal discussion, this may be appropriate when the complaint appears straightforward or both parties’ express willingness to speak directly to each other.
   2. Mediation, this may be appropriate when the complaint is more complex or emotionally charged and a third party facilitating the conversation would be appropriate. Both parties need to agree to mediation for it to take place.
   3. Or by another way that is deemed appropriate. Outcomes will be organised by the coordinator responsible for that area, unless they are highlighted as being too familiar with any of the parties involved.
6. Failure to take reasonable steps to engage in the process could be deemed a breach of our student code of conduct.
7. If a resolution cannot be reached and the complaint remains unresolved then it will be escalated to Stage Two of the process.
8. The Union reserves the right to automatically escalate complaints to Stage Two of the process if, but not exhaustive of:
   1. The complaint is of a potential serious and/or criminal nature such as:
      1. Complaints alleging the use of drugs.
      2. Complaints alleging to harassment and/or discrimination.
      3. Complaints alleging sexual violence or misconduct.
      4. Complaints alleging serious assault.
   2. There is sufficient evidence to support the complaint being escalated to Stage Two in the first instance and/or there is evidence to support the informal process potentially worsening the situation.
   3. Additional evidence is provided during the informal process that increases the severity of the complaint and/or demonstrates a potential risk to others if the complaint is not handled formally.
9. Any behaviour which is suspected of being of a criminal nature may be referred to the police. If you have concerns about this, this can be discussed with the Complaints Manager.
10. If you are dissatisfied with the outcome of Stage One of the process, you may request the complaint is escalated to Step 2 of the complaints process. Complaints must be escalated in writing to complaints@derbyunion.co.uk within 20 working days of the date the informal resolution was attempted. Reasons of escalation may include, but are not limited to:
    1. Informal resolution was not successful and issues have continued.
    2. More evidence has come to light which wasn’t considered at the informal stage. The complainant must be able to evidence why this wasn’t available at the time.

Stage Two – Formal Process

1. If the informal procedure has been followed but the student group or individual fails to improve, or sustain improvement, or the complaint has been escalated past Stage One, the formal procedure should commence.
2. An independent investigator will be appointed by the Complaints Manager. The investigator will be an appropriate Union of Students employee of manager level or above who has had no prior involvement in the complaint.
3. The Complaints Manager will contact you within five working days of this decision being made, outlining the next steps, and introducing the employee who has been appointed as the investigator for the complaint. The Union will have approximately 20 working days from this date to complete the investigation and inform all parties of its outcome.
4. The investigator will contact all parties highlighted in the complaint and any witnesses listed in the complaint during the investigating process.
5. The investigator will share the original complaint with the responding student to ensure they have the right to reply.
6. The investigation may include interviewing witnesses, taking witness statements, viewing social media communications, reviewing images and videos and viewing CCTV, if available to do so.
7. The investigator appointed will collate all available factual evidence in a fair and unbiased manner, following the Complaints Procedure Investigator Guidance.
8. The Investigator will produce a Complaints Procedure Investigator Report that will be shared with the Complaints Manager and Officer Trustee, who will decide the complaint outcome.
9. Possible outcomes for the students include:
   1. No further action should be taken, and the matter is closed.
   2. The complaint is upheld in whole or in part, and an appropriate remedy is made. This could include:
      1. Additional training for the responding person.
      2. A written warning.
      3. A decision is made to remove the responding person from their position/or remove their membership to Communities.
   3. Due to the findings of the investigation, it is decided that the complaint should be escalated to Stage 3 and a disciplinary hearing is arranged.
10. Possible outcomes for the Union of Students include:
    1. Other staff/departments may be briefed (with redacted information to allow you to remain anonymous) to prevent recurrence of the problem.
    2. If the complaint raises an issue that needs to be addressed urgently, the Complaints Manager may take appropriate steps including staff development or review of procedures.
11. The student/students involved in the complaint will receive digital communication outlining the outcome of the complaint within 20 working days of Stage Two commencing. Alongside this the next steps (if any) will be shared with the relevant parties.
12. If you are dissatisfied with the outcome of Stage Two of the process, you are eligible to submit an appeal following the steps outlined in section 9.

Precautionary Action

1. This involves managing the potential risk posed by a student during an ongoing investigation, where the risk is determined by the nature of the alleged misconduct, which:
   1. The student’s continued presence represents a threat to themselves or others.
   2. The suspected behaviour seriously breaches the regulations or infringes on the student, volunteering or sport code of conduct or union policies and procedures.
2. Following report of a complaint, the Complaint Manager and Officer Trustee will consider the potential risk and determine the appropriate precautionary action to be taken. This may include:
   1. An immediate temporary suspension from Union Activities.
   2. An immediate temporary suspension from any leadership positions within the Union of Students.
   3. Agreement of a behavioural contract between the students.
   4. Referral to student services for mental health support for one or both parties involved in the investigation.

Stage Three – Disciplinary

1. If, following Stage Two of the process the appointed Officer Trustee determines there is a case to be answered they will refer your complaint to Stage Three of the process, a disciplinary. Information regarding Stage Three can be found in Standing Order 6, which will be shared with you in this communication.

Appeals

1. Any student/students submitting the complaint or student/students the complaint is related to who are dissatisfied with the decision made at any stage of the process is eligible to appeal the decision within ten working days of receiving the outcome. The appeals form (Appendix B) should be completed and submitted to appeals@derbyunion.co.uk.
2. The following are the only permissible grounds for an appeal:
   1. That there was a procedural irregularity which materially affected the outcome of any step of the process.
   2. That the decision reached was not supported by the evidence provided.
   3. That additional evidence that could not previously be made available has emerged that may impact the decision that has been reached.
   4. There is evidence to support the impartiality of the decision being compromised.
3. The student will be advised within five working days whether the appeal has been accepted.
4. Further information on the appeals process can be found in Standing Order 7. This document will be attached to any communications regarding Stages One – Three.