This page contains NTNU's "Procedure for handling avd follow up of deviations in education and learning environment". The procedure is mandated in Guideline - report and follow up deviations - education quality, which is a part of NTNU's Quality system for education.

Decided by: Director of the Education Quality Division
Valid from: 1 January 2023

Main page: Guideline - report and follow up deviations - education quality | Education Quality
Norsk versjon: Prosedyre - håndtere og følge opp avvik - utdanning og læringsmiljø

This procedure describes how the units handle and follow up on deviations related to education or learning environment reported by staff or students at NTNU.

Before reporting a deviation, students and staff must try to resolve the matter at the lowest possible level by providing input and suggestions for improvement through NTNU’ regular channels.

• Students are expected to give feedback and input through active student participation, for instance directly to their teacher and by taking an active part in evaluation processes. Student union representatives have a particular responsibility for student participation. Student supervisors, teachers, course coordinators or student union representatives may, if necessary, guide the students as to how they can contribute.
• Staff are expected to provide their feedback related to any needs for change in courses and study programs through participating in dialogue in their academic environments, in the study program councils or through evaluation reports.

If these actions do not have the desired outcome, both students and staff may file a deviation report in accordance with the guidelines for reporting, follow up and handling of deviations in education and learning environment at NTNU.

Purpose

The purpose of this procedure is to make sure that all reported deviations are handled and followed up on in a way that ensures that necessary and corrective measures are implemented to improve the situation, remove the cause of the deviation, and prevent future recurrencies.

Definition

Deviation

See the guidelines for notification, follow up and handling of deviations in education and learning environment for definitions in connection with this procedure.

Limitations

Notifications concerning grave and unacceptable conditions in education or learning environment shall not be reported as deviations in EQS - NTNU's digital deviation report system. Examples of such incidents include bullying, harassment, sexual harassment, violence, threats, threatening behaviour, deviations that are not being followed up etc. Such grave and unacceptable incidents must be reported via the notification form, and all units at NTNU are obliged to ensure that such incidents are handled in accordance with NTNU’s guidelines for notification cases (staff) or NTNU’s guidelines for notifications concerning incidents that only involve students (pdf).

Students or staff who are in doubt about what to do or how to report such incidents may contact the following officials, who all have duty of confidentiality:

• Students: Student advisor, the student ombuds, the faculties' notification receptions (in Norwegian) or SiT counselling services
• Staff: Your immediate supervisor, a union representative, HR-services or NTNU’s Occupational Health Services

Responsibilities

Notification recipient

The notification recipient is the person at the Faculty who has been delegated the task of receiving all notifications of deviations in education and learning environment. The notification recipient shall, in accordance with the guidelines for notification, handling and follow up of deviations in education and learning environment:

• Assess whether the content of the notification falls under the definition of a deviation, whether it contains sensitive personal information or concerns unacceptable conditions and then decide on further processing.
• Ensure that the notification is forwarded to the responsible case worker at the faculty or to another faculty, or justifiably reject it.
• Ensure that notifications concerning grave and unacceptable conditions are re-registered in the proper notification form and let the person who sent the notification know why this is done.
• Collaborate with other units at NTNU in the handling of deviations in cases where this is appropriate.

Case worker

The case worker receives reports from the notification recipient at the faculty and is responsible for assessing the content of the notification and decide on a further course of action in accordance with the guidelines for notification, handling and follow up of deviations in education and learning environment. The case worker is responsible for:

• Assessing the content of the notification and deciding on how it should be processed.
• Monitoring that the case is processed in a satisfactory manner, obtaining necessary, and in some cases supplementary, information and thus ensuring sound documentation in EQS.
• Submitting the case for a hearing if there is a need for internal discussions or other clarifications.
• Following up on the implementation of corrective measures and closing the deviation case.
• Following up reported deviations as soon as possible and within a reasonable period of time (4 weeks) in accordance with the provisions of the Public Administration Act § 11a. If it takes a disproportionately long time to process the case, the case worker is obligated to send a preliminary response.

Procedure for handling and follow up of deviations EQS

The forms are dynamic, and choices made along the way will affect the content. Focusing the mouse pointer over the?-symbol, leads to the appearance of explanatory text for the field in question.

Notification recipient – receipt form

Submitted reports about deviations in education and learning environment will automatically generate an e-mail from “EQS NTNU” to the notification recipient at the unit in question. The e-mail contains a clickable link which will open the report in EQS:

• The notification recipient shall assess whether the content of the report falls under the definition of a deviation.
• If the answer is yes, and the case is to be handled at the recipient’s own Faculty: Choose the option «YES, APPROVED for further processing» and follow instructions given in the form for how to transfer it to the local unit for processing and closing of the case.
• If the answer is yes, but the case must be transferred to another faculty: Choose “CHANGE UNIT RESPONSIBLE”. The case is transferred to another unit for processing. Follow the instructions given in the form for how to change unit.
• If the answer is no, choose «NOT APPROVED» and follow the instructions in the form how to close the case.
• If the case is considered to concern grave and unacceptable conditions, the notification recipient has an obligation to «re-register» the notification in the SpeakUp!-form to ensure that it is processed in accordance with the guidelines for the handling of notification cases. The person who has submitted the report shall be informed that the case has been re-registered as a notification case. Choose «NO, REJECTED NOTIFICATION CASE» and follow instructions in the form for how to close the case.
• When all the fields in the form have been filled in, please press «completed receipt form».

Case worker – process form

Reports forwarded from the notification recipient will automatically generate an e-mail from “EQS NTNU” to the case worker at the unit in question. The e-mail contains a clickable link, which will open the message in EQS:

• The case has been transferred to be handled by the case worker at the local unit: Choose “YES, APPROVED for further processing” and follow the instructions in the form for processing and closing of the case.
• When you as case worker have filled in all the fields in the form, please press «completed receipt form»

Measures and/or hearing

EQS offers both notification recipient and case worker the opportunity to establish measures and/or arrange a hearing in connection with the processing of the report, see procedure for measures in EQS. A hearing may be arranged to grant others temporary access to the case and give them the opportunity to take part in the assessment before the case is closed, in order to:

• Consider which measures that should be carried out before the case is closed, who should be involved in the considerations and who should be responsible for carrying out the measures.
• Clarify relevant measures with the line manager before implementation
• Clarify further process with the person responsible for carrying out the measures.

Closing a report in EQS

Both the notification recipient and the case worker may be responsible for closing deviation cases. The main rule is that the local case worker will close the case according to the method described in EQS procedure for closing a case in EQS, unless otherwise agreed with the notification recipient.

Reporting

E-mails from the system (EQS)

The following e-mails will automatically be sent out from EQS:

• «[EQS NTNU] Notification recipient for «deviation xxx», ID xxx» is sent to the case worker when a new report of a deviation in education or learning environment is registered.
• «[EQS NTNU] The message «xxx», ID xxx has been closed» is sent to the person who has reported the matter when the case has been processed and closed.
• E-mails in connection with measures and hearings are also sent out from EQS.
• The line manager is notified when a deviation is reported.

Cases that must be processed outside EQS

• Personal information or other sensitive data must not be registered in EQS. Examples include reports of grave irregularities such as bullying, harassment, violence, threats etc., as well as issues concerning individual facilitation of studies/study environment.
• Deviations that take a disproportionately long time to process according to the provisions of the Norwegian Administration Act § 11a and that are not followed up by the responsible unit may be regarded as grave irregularities in education and learning environment. Both students and staff have the opportunity to submit notifications of such irregularities through the SpeakUp!-form. Such notifications will be processed and saved in the archive system ePhorte as ordinary notification cases in accordance with relevant guidelines. If such a notification is received, the deviation must be closed with an explanatory comment.

For information:

• Consider carefully who should receive letters and case notes concerning the case, for instance other unites at NTNU or external coordinating bodies. If you are unsure, contact the notification recipient at the faculty.
• The report can be issued as a pdf from EQS and be sent as an e-mail attachment. NB: Assess whether the content of the report warrants any extra measures such as a need for encryption.

Contact

• If there is a need to change access, contact the local EQS administrator at the faculty
• System administrator EQS Education: utdanning@ntnu.no

See also

• Guidelines for notification, follow up and handling of deviations in education and learning environment
• Procedure for reporting deviations in education and learning environments