1. GENERAL PRINCIPLES
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The University of Southampton is committed to ensuring that we provide for our applicants high quality and fair admissions procedures. We recognise, however, that there may be occasions when applicants will feel that they have cause for complaint. In this context, a complaint is defined as an expression of dissatisfaction either about the way in which an application has been handled, or the outcome of the selection or fees classification process. In either case, it may concern actions or lack of actions by the University or its staff. Complaints may be made by individual applicants or by groups of applicants; they may not be lodged by a representative, a parent, a school or any other third party. This Complaints Procedure sets out how applicants may seek to have complaints addressed. It should be recognised that the vast majority of applicant complaints can be handled fairly, amicably, and to the satisfaction of all concerned without recourse to this procedure. In the first instance, applicants with a complaint should raise it informally with the relevant admissions tutor. If this course of action proves unsatisfactory, then the procedure set out in this document should be observed.
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| 1.1 |
The relevant prospectus will carry a statement to the effect that selectors will make every effort to be fair but that if applicants are dissatisfied with the way their application has been handled, they should contact the relevant selector. The prospectus should also alert them to the possibility of writing to the Admissions and Student Data Office Co-ordinator for a copy of these procedures in the event that they are still dissatisfied.
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| 1.2
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The University will seek to ensure that all complaints are treated seriously, positively and constructively. It will also seek to ensure that complaints are dealt with promptly, with fairness and consistency and with due regard to the University's Equal Opportunities Policy. If a complaint is found to be justified, the University will take such action or provide such remedy as may be appropriate, and will do so promptly. If a complaint is not upheld, the reasons for the decision will be communicated to the complainant.
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| 1.3 |
Complainants will not suffer any disadvantage or recrimination as the result of making a complaint in good faith.
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| 1.4 |
Complainants, and those against whom complaints are made, may expect complaints to be dealt with confidentially and that their privacy will be respected. However, it may be necessary to disclose information to others in order to deal with the complaint; in these circumstances, the parties concerned will be informed of such disclosure.
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| 1.5 |
Anonymous complaints will not be dealt with under this procedure. Staff who receive anonymous complaints will be expected to use their discretion and judgement as to how to handle such complaints.
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| 1.6 |
The University believes that complaints should be resolved as near as possible to the incident(s) giving rise to the complaint. For this reason, this Complaints Procedure provides for there to be a number of stages, both informal and formal, in the handling of a complaint. Complaints will not be rejected solely on the grounds of minor procedural deficiencies on the part of the complainant. At each stage of the process, the person to whom the complaint has been referred shall, if it is upheld wholly or in part, apply such remedies as are within their powers. If they consider that the remedy is outside their powers, they shall refer the matter to the appropriate authority.
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| 1.7 |
Each Head of School will monitor on an annual basis complaints which have been referred to him/her and will be responsible for implementing, or recommending to the appropriate authority, changes to systems or procedures suggested by the nature and pattern of the complaints received. Such records will contain: name (anonymised), age, gender and ethnicity of complainant; programme of study applied for by the complainant; summary of complaint; summary of outcome. The outcome of such monitoring may also inform other processes or activities such as arrangements for interview or standard correspondence with applicants. Formal complaints submitted to the Head of Admissions and Student Data will also be monitored. The Director of Student Services shall receive annually a report on the outcome of the monitoring processes and shall consider, in the light of the report, whether changes to the University's systems and to the Complaints Procedure itself would be appropriate.
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| 1.8 |
This Complaints Procedure may be invoked by any individual who has submitted a formal application for full-time or part-time study at the University of Southampton (either via UCAS/ NMAS/GTTR/SWAS or direct to the University). It does not apply to applicants for courses offered at an Accredited College, or to applicants for courses which are wholly or partially delivered by an partner FE College, except where selection for the full course is the responsibility of the University of Southampton.
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| 1.9 |
Advice about the Complaints Procedure may be obtained from the Admissions and Student Data Office, the appropriate admissions tutor, or from the Advice and Information Centre in the Students' Union.
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| 1.10 |
This Complaints Procedure was approved by Recruitment Strategy Committee on 17 April 2002 and by Learning and Teaching Strategy Committee on behalf of Senate on 1 May 2002. It was updated, by Chair's action, to reflect the revised university structures introduced on 1 August 2003. This procedure forms part of the University's overall quality assurance framework. It is informed by the Quality Assurance Agency for Higher Education's Code of Practice for the Assurance of Quality in Recruitment and Admissions, and in particular by precept 9. It will also be available on the University's web site.
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2. THE PROCESS
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Stage 1: Informal Complaint
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| 2.1 |
The majority of complaints can be resolved satisfactorily on an informal basis. If possible, the complainant should first raise their complaint, either orally or in writing, with the relevant admissions tutor, (or in the case of complaints about fees classification decisions, to the Admissions and Student Data Office Co-ordinator) stating the remedy they are seeking. The complaint must normally be made within two months of the actions (or lack of actions) which prompted the complaint. The admissions tutor (or, for fees classification complaints, the Admissions and Student Data Office Co-ordinator) shall respond to the complaint normally within ten working days of the complaint being made, and shall retain a note of the substance of the complaint and any action taken. If it proves impossible to respond fully within ten working days, the complainant shall be informed of the timescale for the receipt of a full response. If the complaint takes the shape of an appeal against non-selection, the admissions tutor must satisfy himself or herself that the application was considered fairly, and that the decision did comply with the relevant School selection policy. Provided that he or she is satisfied that this is the case, a standard response explaining the School selection policy which has been applied is acceptable at this stage. The response should also draw the applicant's attention to the complaints procedures, in case they wish to pursue the matter further. Similarly, if the Admissions and Student Data Office Co-ordinator is satisfied that the Education (Fees and Awards) Regulations 1997 have been correctly applied, a standard response explaining these regulations is acceptable at this stage. For all other complaints, if a complaint is rejected, the relevant admissions tutor must state the precise reasons.
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| 2.2 |
If a complaint is of a general rather than specific nature, it may be more appropriately addressed to the Admissions and Student Data Office Co-ordinator.
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Stage 2: Written Complaint to Head of School (or for Fees Classification complaints, to the Head of Admissions and Student Data)
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| 2.3 |
If the complainant is dissatisfied with the response they receive from the relevant admissions tutor, they should submit, within ten working days of receiving the response, a written complaint to the Head of School (or, for complaints relating to student fees classification, to the Head of Admissions and Student Data). The written complaint should set out briefly: the nature of the complaint; the informal steps already taken (if any); details of the response received; and a statement as to why the complainant remains dissatisfied and, without prejudice to any formal remedy which might be determined, the remedy they are seeking. The Head of School (or Head of Admissions and Student Data) shall acknowledge receipt of a complaint, in writing, within five working days. The Head of School (or Head of Admissions and Student Data) shall investigate the complaint and shall submit an interim written response to the complainant normally within fifteen working days of receipt of the complaint. If it should prove impossible to respond fully within fifteen working days, the complainant shall be informed in writing of the timescale for receipt of a full response. If the complaint takes the form of an appeal against non-selection, the Head of School will arrange for the application to be considered against the school's normal selection criteria by a second admissions tutor. Where possible, the second admissions tutor will be from the same (or a related) subject background.
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Stage 3: Written Complaint to the Head of Admissions and Student Data (or, for Fees Classification complaints, to the Director of Student Services)
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| 2.4 |
If, having pursued the matter to this point, the complainant remains dissatisfied with the written response, they should, within ten working days of receiving the response, refer the matter in writing to the Head of Admissions and Student Data (or, for complaints relating to fees classification decisions, to the Director of Student Services) enclosing copies of the correspondence exchanged during the earlier stages of the procedure and any other relevant papers.
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| 2.5 |
For complaints relating to fees classification decisions, the Director of Student Services will review the original decision against the requirements of the Education (Fees and Awards) Act and the need for consistency of application of these regulations across the institution. The Director of Student Services' decision following completion of this review shall be considered as final.
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| 2.6 |
For complaints relating to non-selection, the Head of Admissions and Student Data shall acknowledge in writing receipt of a formal complaint within five working days. Subject to his/her being satisfied that the complainant has taken all reasonable steps to resolve the matter informally using the procedures in paragraphs 2.1 to 2.3 above, the Head of Admissions and Student Data shall appoint a person or persons within the University, having no material interest in the complaint, to carry out an investigation. The investigator(s) may seek to resolve the issue on the basis of documentation, after having sought further information from the members of staff involved in the earlier investigation of the complaint and from the complainant; or may, at the investigator(s) discretion, call a hearing at which the complainant and any other persons involved may submit their respective cases. The complainant and the person who is the subject of the complaint may each be accompanied at any such hearing by a friend or colleague who may speak on their behalf if appropriate. In the unavoidable absence of any parties in the hearing, the hearing may be postponed, but the voluntary absence of one of the parties shall not prevent the hearing from proceeding. As applicants may well be resident at some distance from the University, it is expected that such hearings will only be called in exceptional circumstances.
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| 2.7 |
After investigation of the complaint, the investigator(s) shall decide whether the complaint is justified or not and shall submit a report in writing to the Head of Admissions and Student Data containing such recommendations as may be appropriate. The Head of Admissions and Student Data shall determine what action, if any, shall be taken and shall communicate this in writing to the complainant and all other relevant parties, normally within thirty working days of the date of acknowledging receipt of the formal complaint.
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| 2.8 |
The decision of the Head of Admissions and Student Data following completion of this process will be considered as final.
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FURTHER INFORMATION
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| Further information about, or clarification of these procedures is available from Mr Tom Sykes, Office Co-ordinator, Admissions and Student Data Office, University of Southampton, Southampton SO17 1BJ; telephone: 023 8059 6819; fax: 023 8059 3037; e-mail: tas2@soton.ac.uk. |