Complaints Policy
and Procedures
Document
Author:
Approving Body:
David Devlin
Membership Development
Manager
Board of Trustees
Date of approval:
Review date:
Document History
Version
Date
Changes
1
5/7/2016
-
1.1
1.2
8/8/2016
20/9/2016
-
Reason
Document
creation
CEO changes
CEO Changes
Author
DD
DD
DD
Policy Outline
This policy contains the policy and procedures on how to make a Complaint to and
about SAUWS. SAUWS’ complaints policy and procedure is intended to ensure that all
complaints are handled fairly, consistently, appropriately and wherever possible
resolved to the complainant’s satisfaction.
You should read this policy if:
 You would like to make a complaint about SAUWS, one of our staff, officers,
volunteers or services that we provide.
 You are dealing with a complaint and need to review the processes.
Informal complaints can be raised at any time by speaking to the line manager of the
service or staff member that you are dissatisfied with.
Please note that this policy is not suitable to used for complaints regarding SAUWS
elections. Complaints of this nature should be sent in writing to the Depute Returning
Officer at [email protected]
SAUWS Complaints Policy and Procedure
SAUWS is committed to providing an excellent service to its members and other
stakeholders, working in an open and accountable way that builds trust and respect.
We have developed a Complaints Policy and Procedure that explains our approach to
receipt and handling of complaints.
We aim to ensure that:
 Making a complaint is as easy as possible
 We treat a complaint as a clear expression of dissatisfaction with our service
which calls for an immediate response
 We deal with it promptly, politely and when appropriate confidentially.
 We will respond in the appropriate way – for example with an explanation or
apology or information on any action taken.
 We will learn from complaints both upheld and not upheld and use them to
improve the services that we offer.
 We will regularly review our complaints policy and procedures.
SAUWS recognises that some concerns raised may be informal in nature, and we aim
to deal with these quickly. In the first instance we would expect a complaint to be
raised directly with the individual, or manager concerned. But if concerns cannot be
resolved informally to the satisfaction of both sides, then the formal complaints
procedure will be followed.
Definition
SAUWS defines a complaint as any expression of dissatisfaction with our services,
staff, elected officers, volunteers or trustees, whether justified or not.
Responsibilities
SAUWS’ responsibility will be to:
 Acknowledge the formal complaint in writing.
 Respond within a stated period of time.
 Deal reasonably and sensitively with the complaint.
 Take appropriate action where required.
The complainants’ responsibility is to:
 Raise their complaint promptly and directly with the person concerned, if this is
appropriate and where their complaint cannot be resolved satisfactorily
informally, then the formal complaints procedure should be followed.
 Explain the complaint as clearly and as fully as possible, including any action
they have taken to date.
 Allow SAUWS a reasonable amount of time to deal with the matter as detailed
in the formal complaints procedure.
 Recognise that some circumstances may be beyond SAUWS’ control.
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Monitoring and Reporting
Trustees of SAUWS will receive an annual anonymised report of complaints made and
their outcomes and recommendations.
Confidentiality
Except in exceptional circumstances, every attempt will be made to ensure that both
the complainant and SAUWS maintain confidentiality. However, the circumstance
giving rise to the complaint may be such that it may not be possible to maintain
confidentiality. Should this be case, the situation will be explained to the complainant.
Scope of the Complaints Policy
The SAUWS complaints policy is based on a three stage process (as detailed in the
Complaints Procedure).

The Complaints Policy will apply to all services, staff, elected officers and
Trustees that SAUWS has or provides, with the exception of our elections
process.

If at any time during the investigation of a complaint matters arise that warrant
investigation under disciplinary proceedings, or through a criminal investigation,
the complaints procedure will be suspended until those investigations are
concluded. Similarly the complaints procedure should be suspended if a
complainant is actively seeking legal redress.

Where a complaint is against a member of staff, elected officer or Trustee they
should be informed of the support services available to them.

The appropriate manager should be informed of the receipt of a stage 1 formal
complaint. A complete record of the entire process should be kept. A copy of all
reports, transcripts of interviews and other relevant information should be
forwarded to the Manager for immediate review. You can find a list of managers
at www.sauws.org.uk/union/contactus

SAUWS may, at any stage of the formal complaints procedure, review a
complaint and give a decision, without a formal investigation, where a member
of the management team deem the complaint to be deliberately repetitive of
vexatious. Examples of such complaints being unsubstantiated or repetitive
complaints against an individual or service, or where a complaint has previously
been investigated and appropriate action already taken.

When appealing against a complaint outcome, the complainant will be asked to
state why they are dissatisfied with how their complaint was handled and the
outcome.
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Please note:
It is not appropriate for the formal complaints procedure to be used when dealing
with complaints regarding elections. Such complaints should be sent to the Depute
Returning Officer at [email protected]
Formal Complaints Procedure
SAUWS operates a three stage complaints procedure. The process for each stage is
outlined as follows.
Stage 1
1.1 If you are unable to resolve the issue informally and wish to make a formal
complaint, you should request a copy of SAUWS’ formal Complaints Policy and
Procedures from the contact details below. This will be sent to you within 5
working days. If we hear nothing further by 28 calendar days from this date we
will regard the complaint to be closed.
1.2 Upon receipt of SAUWS’ Complaints Policy and Procedure, you should write a
formal of complaint to the contact details below,.
1.3 In your complaint, you should set out the details of your issue, the consequences
for you as a result, and the remedy you are seeking.
1.4 You can expect the complaint to be acknowledged within 5 working days of
receipt. SAUWS will strive to respond with an outcome within 10 working days.
1.5 All complaints should be sent to the Administrative Assistant. If your complaint is
regarding the SAWUS Administrative Assistant then your complaint should be
addressed to the SAUWS Chief Executive. If your complaint is regarding the CEO
it should be addressed to the Chair of the Trustee Board.
1.6 Our Contact details are:
SAUWS
The Students Union
Storie Street
Paisley
PA1 2HB
Telephone Number: 0141 849 4151
E: [email protected]
Web address: www.sauws.org.uk
Stage 2
2.1
If you are dissatisfied with the stage 1 response to your complaint, then you
should write to the person outlined in section 1.5. You can expect your request
to be acknowledged within 5 working days of receipt.
2.2
A stage 2 complaint will be coordinated by a member of the Management Team,
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or other delegated member of staff, who will respond within 20 working days
with a full written response, giving details of the further stage in the complaints
policy.
2.3
SAUWS aim is to resolve all matters as quickly as possible however, if a matter
requires more detailed investigation, you will receive an interim response
describing what is being done to deal with your complaint and when a full reply
can be expected and from whom.
Stage 3
3.1
If you are not satisfied with the response from stage 2, you then have the
option of asking for a review of your complaint in writing to the Chief Executive
of SAUWS, stating the reason why you are dissatisfied with the outcome of your
complaint. You should do this within 10 working days of receiving the written
response from stage 2.
3.2
The Chief Executive, in conjunction with the Chair of the Board of Trustees will
respond normally within five working days to inform you of the action which will
be taken to investigate the complaint, and the expected timescale of the
investigation.
3.3
If your original complaint is against the Chief Executive then the Chair and the
Vice-Chair of the Board of Trustees will handle the final appeal stage.
3.4
The relevant history of the complaint will be made available to the Chief
Executive, and or the Chair/Vice-Chair so that a full investigation can be carried
out. That investigation may include interviews with the complainant, any staff
involved, and any witnesses and will also include documentation evidence
where appropriate.
3.5
The outcome of the investigation will be communicated to the complainant in
writing with details of any action taken and time-scale for implementation (if
applicable and appropriate). All appropriate members of staff will also receive a
copy of this report, which will also be presented to the Board of Trustees.
3.6
Appropriate Staff concerned should report back to the Chief Executive within
ten working days of their receipt of the outcome of the Stage 3 complaint,
explaining how they have implemented any recommendations.
3.7
Should a complainant still be dissatisfied with the outcome of the stage 3
complaint, they will be informed of their right to seek further redress.
3.8
If the initial complaint is regarding how the Students’ Association, as a charity is
run, you can seek further redress from the Office of the Scottish Charity
Regulator. The contact details are outlined in section 3.10
3.9
If the initial complaint is about democratic or representational matters, you can
write to the University, as our governing body under the Education Act 1994.
The contact details are outlined in section 3.10
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3.10 Contact details for further redress:
Office of the Scottish Charity
Regulator (OSCR)
9 Riverside Drive
Dundee
DD1 4NY
Director of Corporate Support
University of the West of Scotland
High Street
Paisley
PA1 2BE
www.oscr.org.uk
www.uws.ac.uk
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Complaints flow chart
The formal complaints procedure should only be followed if the complaint cannot be
resolved informally.
STAGE ONE
The complainant requests a copy of SAUWS Complaints Policy & Procedure. This
will be dispatched within 5 working days. If a formal letter of complaint is not
received within 28 calendar days from dispatch of the Complaints Policy &
Procedure the complaint will be regarded as closed.
Formal letter of complaint
received by appropriate Manager
Complaint acknowledged within
5 working days
Formal letter of complaint received
by appropriate Manager
Investigation and response to
g days
complaint within 10 working
days
(Include complainant’s right to have the
complaint and response reviewed)
Complete record of the complaint
to be retained
(Copy to be sent to the Chief Executive)
Complainant satisfied with
response.
Complainant not satisfied
with response.
(Any feedback on how the
complaint was handled is to be
encouraged)
(10 days to ask for further
consideration)
End of Process
Stage 2 process
begins
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STAGE TWO
Complainant requests further consideration
(Complainant to write to the manager who responded to
the complaint stating the reason why they are
dissatisfied with the outcome of stage one and ask for
further consideration. This must be done within 10 days
of receipt of response from stage 1
Request acknowledged within 5
working days
Formal letter of complaint received
by appropriate Manager
Manager
Informed
Manager or other
delegated staff
member
Further consideration of the
g days
complaint and response to be
carried out within 20 working
days or in the case of a more
detailed investigation an interim
response to be given with
timescales
(Include complainant’s right to appeal)
Complete record of the complaint
to be retained
(Copy to be sent to the Chief Executive)
Manager to
review any
actions
Complainant satisfied with
response.
Complainant not satisfied
with response.
(Any feedback on how the
complaint was handled is to be
encouraged)
(10 days to ask for a Review of the
Complaint from Chief Executive)
End of Process
Stage 3 process
begins
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STAGE THREE
The Complainant ask for a review
Chair of the
Board of
Trustees
informed.
(complainant to ask for a review of their complaint in
writing to the Chief Executive of SAUWS, stating the
reason why they are dissatisfied with the response to
their complaint. This must be done within ten working
days of receiving the written response from stage 2)
Chief Executive to
inform
appropriate
manager of the
review outcome
and
recommendations
for action
Appropriate staff
to report back to
chief executive
within ten
working days of
the receipt of the
outcome
explaining how
they have
implemented any
recommendations
The Chief Executive in conjunction with
the Chair of the Board of Trustees to
respond within five working days,
detailing what action to be taken to
investigate the complaint and the
expected timescale
Investigation of the complaint and
responses given to be carried out and
the outcome given to the complainant
in writing as per the timescale given
Complete record of the complaint to be
retained
Complainant satisfied with
response.
History of
complaint to
be supplied
to Chief
Executive
The Chief
Executive in
conjunction
with the
Chair of the
Board of
Trustees
All
appropriate
members of
staff and the
Board of
Trustees to
receive a
copy of the
review
response
Complainant not satisfied
with response.
(Any feedback on how the
complaint was handled is to be
encouraged)
End of Process
Further Redress
options (section
3.7 onwards)
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