Applicant Complaints and Appeals Policy

Applicant Complaints and Appeals Policy

1. Introduction and background

1.1 The University of Northampton strives to achieve high quality in all its
interactions with applicants. There will, however, be times when an applicant
feels dissatisfied with the service and wishes to complain. The arrangements for
handling complaints described herein are in line with UK Quality Code, reflecting
the principles of natural justice, being as transparent and open as confidentiality
issues permit.

2. Purpose and scope

2.1 The Applicant Complaint and Appeal Policy is ultimately the responsibility of
Senate, devolved to the Head of Admissions and Head of International Student
Recruitment & Marketing.

2.2 This Policy covers all applicants for all University of Northampton courses,
including those delivered through Partners. Where the admissions process is
devolved to a Partner, the Head of Student Admissions will normally appoint an
investigator from that Partner organisation in the first instance.

2.3 Complaints and appeals will be handled with due consideration to confidentiality
for both students and staff. Any person named in a complaint will be informed
of its substance and will have the right to contribute to any investigation.
Information contained within the complaint will be made available only to those
members of staff involved in its resolution.

2.4 No applicant bringing a complaint or appeal under this policy, whether

successfully or otherwise, will be treated less favourably by any member of staff
than if the complaint/appeal had not been brought. If evidence to the contrary is
found in this regard the member of staff concerned may be subject to
disciplinary proceedings under the relevant University policy.

3.0 Definitions

3.1 For the purposes of this Policy, a 'complaint' is defined as the expression of a
specific concern on the application of admissions procedures or a related
admissions service.

3.2 For the purposes of this Policy, an ‘appeal’ is defined as a request for a review of
a decision concerning selection or admission and can be lodged only after such a
decision has been made.

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3.3 For the purposes of this policy, where an individual role is named this refers to
that role or a nominee.

4.0 Key principles

4.1 Complaints/appeals should be made no more than ten days after the notification
date of the initial decision made by the University of Northampton, unless there
is a good reason for the delay.

4.2 Appeals and complaints will not be accepted against the academic and/or
professional judgment of the University (e.g. validity of prior qualifications,
interview or audition decisions).

4.3 Appeals and complaints will not be accepted regarding legitimate occupational
health issues or decisions made because of criminal convictions except in
exceptional circumstances.

4.4 Complaints/appeals made anonymously or by a third party will not be

considered except in exceptional circumstances.

4.5 There is an expectation that appeals and complaints will be attempted to be

resolved informally in the first instance, with this policy only instigated where
such informal resolution has not proved to be satisfactory.

4.6 Records will be kept in relation to the nature and outcome of complaints and
appeals, the time taken to resolve them and equal opportunities issues such as
gender and ethnic origin of complainants/appellants.

4.7 Applicants should feel confident that they can make genuine submissions
without fear of any reprisal.

4.8 Privacy and confidentiality will be assured unless disclosure is necessary to

progress the complaint or appeal. The demand for confidentiality may make it
difficult for a specific complaint to be dealt with. If confidentiality is a problem,
the complainant may discuss with the Head of Admissions how their
complaint/appeal may be dealt with. In accordance with good practice in the
sector, and within its jurisdiction, the University will facilitate access to
documentation and information that is material to a complaint.

4.9 If a complaint/appeal is made by an applicant who is under the age of 18, unless
it is the applicant’s express wish that this should not be done, the University will
notify the parents or guardians of the applicant in writing and keep them
informed of the progress of the complaint/appeal. The University will permit the
parents or guardians of the applicant to act on their behalf during the process,
provided the applicant has confirmed agreement beforehand.

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4.10 The University has guidance on the use of compensation and/or refunds in cases
of applicant complaints.

5. Complaint/Appeal Handling Procedure

5. 1 If an applicant is dissatisfied with the outcome of his/her application, has

attempted informal resolution and considers the outcome from that informal
resolution to be unsatisfactory, h/she is entitled to make a formal
complaint/appeal, using the designated Applicant Complaint/Appeal Form. The
complainant/appellant should detail the issue, any steps already taken to resolve
the issue, the reasons why they remain dissatisfied and the desired outcome(s).

5. 2 The Head of Admissions or Head of International Student Recruitment &

Marketing will appoint an investigator to consider the appeal/complaint.

5.3 Where a member of staff is named in a complaint, he/she will be provided with a
copy of the complaint and will be invited to provide a written response, which
will be considered in arriving at a conclusion. The complainant may also be
interviewed.

5.4 The investigation into a complaint/appeal will normally be concluded within one
month of its receipt; the investigator will submit a written report to the Head of
Admissions or Head of International Student Recruitment & Marketing. This
report will include:

• In the opinion of the investigator, whether the complaint is justified. If it is

justified then the investigator should recommend a resolution. This
resolution may or may not be that requested by the complainant.
• Any recommendations to prevent similar problems arising in the future.

5.5 The Head of Admissions or Head of International Student Recruitment &

Marketing will communicate the outcome formally to the complainant; this
outcome notification marks the end of the University’s Applicant Complaint &
Appeal Policy.

5.6 The decision of the Head of Admissions or Head of International Student

Recruitment & Marketing is final.

5.7 Where a member of staff has been named in the complaint or involved in the
investigation he/she will also be informed of the outcome.

5.8 Admissions complaints are not currently subject to oversight by the Office of the
Independent Adjudicator for Higher Education (See

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http://www.oiahe.org.uk/making-a-complaint-to-the-oia/complaints-the-oia-
cannot-look-at.aspx).

5.9 Where the Head of Admissions has a conflict of interest in the case under
consideration, the investigation will be managed by the Academic Registrar or
Head of International Student Recruitment & Marketing, who will also make the
decision on the outcome of the complaint/appeal.

6.0 Key responsibilities

6.1 Head of Admissions or Head of International Student Recruitment & Marketing

will:
• Maintain oversight of process;
• Communicate outcomes of investigation to applicant.

6.2 The Head of Admissions will maintain oversight when the complaint/appeal
relates to applications processed by his/her team (Home UG and PGT
Admissions, All PGR admissions, All DL admissions, All Partner admissions)

6.3 The Head of International Student Recruitment & Marketing will maintain
oversight when the complaint/appeal relates to applications processed by
his/her team (Overseas UG and PGT Admissions)

6.4 The Academic Registrar or Head of International Student Recruitment &

Marketing will maintain oversight where Head of Admissions or Head of
International Student Recruitment & Marketing has a conflict of interest. The
split between the Academic Registrar and the Head of International Student
Recruitment & Marketing mirrors that between the Head of Admissions and the
Head of International Student Recruitment & Marketing.

7.0 Links to related external documents (e.g. QAA)

7.1 UK Quality Code, Advice and Guidance

8.0 Links to internal documents

8.1 University guidance on compensation and refunds

9.0 Appendices

9.1 Summary Sheet

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Summary Sheet:

Policy Title:
Applicant Complaints and Appeals Policy

Purpose of Policy and to whom it applies (please specify cohorts):

To set out how and when applicants to University of Northampton courses can
complain against the application of admissions procedures or a related admissions
service, or request a review of a decision concerning selection or admission

Students applying to courses run in collaboration with others (EWO) should use this
policy if they wish to make an applicant appeal or complaint.

Owner and Department:

Dawn Mains, Head of Admissions, Student & Academic Services

Principal contact:

Dawn Mains

Dissemination and implementation plan:

Via SEC and SSECs
On Web

Date of initial committee approval December 2014

(state committee name):
Date of Senate approval: December 2014

Date for implementation and cohorts December 2014

to which it applies:
Proposed date of annual update: June 2022

Date of last annual update: June 2023

Proposed date of full review: June 2024

Date of last full review: June 2020

Version number and date: 4.0 (June 2018)

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