july 2011
ARCHIVE
FOR REFERENCE ONLY
What happens next?
The OIA’s guide to your complaint once you
have submitted your Complaint Form
www.oiahe.org.uk
What happens next?
The purpose of this booklet is to guide students who have submitted
an OIA Complaint Form through the stages of the OIA’s review process
and answer any questions. Please read this document carefully before
contacting us with any further queries.
Contents
Introduction
5
Making a complaint
6
We can provide our literature in different formats. Please contact us if
What happens when my OIA Complaint Form
you have any questions regarding this or our complaints process on
is received by the OIA?
[email protected] or 0118 959 9813.
I have been unable to obtain a Completion of Procedures
Letter from my university. What will happen with my complaint?
6
7
My Complaint Form was sent in within the three month
deadline but I have been informed it is not eligible for your
Scheme. Why could this be?
7
When does the university receive a copy of my documents?
8
What about data protection legislation?
9
What if information I provide is confidential?
9
Can I provide electronically recorded material?
9
What happens when my case is allocated to a case-handler?
10
How are the OIA and my case-handler independent?
10
What should I do next?
11
Providing information to the OIA
13
What information will the case-handler ask the
university to provide?
13
What happens if the university refuses to provide
the information the case-handler has requested?
13
What happens when the case-handler receives the
university’s representations and information?
14
3
What happens next?
The OIA’s Process
15
What should I do once I receive the university’s representations?
15
Why do I have to put my representations in writing? 16
I can’t respond by the deadline my case-handler
What happens next?
Introduction
The Office of the Independent Adjudicator for Higher Education
(OIA) provides an independent, transparent Scheme to review
has set. What should I do?
16
The OIA’s Review
17
The OIA is an inquisitorial Scheme. What does this mean?
17
How does the OIA decide whether a complaint is Justified?
17
Will the OIA look at the complaint in the same way as a court?
18
What if my complaint is about discrimination?
18
Institutions are required by the Act to participate in the Scheme. For
a complaint is Justified?
19
include all participating institutions. A list of all participating universities
Can the OIA terminate or suspend the review?
19
The OIA’s Decision
20
Preliminary Decisions
20
Formal Decisions
21
Recommendations and Remedies
24
What types of Recommendation can the OIA make?
24
Does the OIA hold meetings or hearings to decide whether
student complaints against individual institutions.
The OIA was designated as the operator of the students’ complaint
Scheme in England and Wales under section 13 of the Higher Education
Act 2004 with effect from 1 January 2005. All Higher Education
ease of reference, we use the word ‘university’ throughout this leaflet to
and further information about the Scheme can be found on our website
at www.oiahe.org.uk.
Does the university have to follow the
Recommendations made by the OIA?
24
Do I have to accept the OIA’s Decision?
25
How does the OIA know if the university has
complied with its Recommendation?
25
Service complaints
26
What if I am dissatisfied with the way my complaint
has been handled?
4
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www.oiahe.org.uk
5
What happens next?
Making a complaint
What happens when my OIA Complaint Form
is received by the OIA?
What happens next?
I have been unable to obtain a Completion of
Procedures Letter from my university. What will
happen with my complaint?
If you have not received a Completion of Procedures Letter but you have
Once your form is received by the OIA it is loaded onto our database and
provided evidence of trying to obtain one, we will write to the university
we acknowledge its receipt.
to ask what stage of the process your complaint has reached. If the
university’s procedures have not been completed we ask the university
If your paper form is not signed we will be unable to progress your
to explain to you what you need to do to progress your complaint. As a
complaint until we receive a signed copy. We will write to you asking you
general rule, we can only consider your complaint once it has completed
to sign it.
the internal processes of the university.
If your complaint is received outside the three month deadline and no
reasons are given, we will normally write to you to inform you that your
complaint is out of time and therefore ineligible. If you have given reasons
for missing the deadline your case will normally be allocated to a casehandler who will consider whether to accept your complaint out of time.
If they decide not to accept your complaint, they will write to you
There are some complaints which fall outside our Rules. For example,
explaining why.
we cannot look at a complaint which:
If we decide that your complaint is not eligible, you have the right to
appeal this decision to a Deputy Adjudicator.
If your complaint is received within the three month deadline it is normally
allocated to a case-handler who will decide how to deal with your complaint.
6
My Complaint Form was sent in within the
three month deadline but I have been informed
it is not eligible for your Scheme. Why could
this be?
www.oiahe.org.uk
• Concerns admission to the university
• Relates to academic judgment
• Is the subject of court or tribunal proceedings (unless those
proceedings have been “stayed” or adjourned)
• Concerns student employment
• Has been dealt with before by the OIA.
Tel: 0118 959 9813
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What happens next?
In some cases, the OIA can decide not to accept a complaint. For example,
What happens next?
What about data protection legislation?
we might reject the complaint if we consider that:
By signing the OIA Complaint Form you have consented to the release
• It does not materially affect the complainant as a student
• The complaint relates to events which took place more than three
of your personal data for the purposes of our review. We may need to
exchange information about your complaint with the university and with
other persons and organisations (for example, to find out important facts
years ago
• The complaint is frivolous or vexatious
• The university has satisfactorily dealt with the complaint
• The complaint would be better considered in another forum
• There are proceedings taking place within the HEI or elsewhere
which may be relevant to the complaint
relating to your complaint).
What if information I provide is confidential?
If you provide us with statements from fellow students containing personal
• A party has unreasonably delayed or has otherwise acted unreasonably
• There are other good reasons for doing so.
information you should ensure that you have their permission to show
that information to the OIA and the university. We will place little (if any)
reliance on such statements if they cannot be shared with the university.
Further information about our Rules and how we apply them is available
We will usually disregard information submitted to us in confidence. This
on our website at http://www.oiahe.org.uk/about-us/using-the-
is because we are a transparent Scheme and we review your complaint as
scheme.aspx.
it was looked at by the university and will not usually consider material the
When does the university receive a copy
of my documents?
university has not already seen.
Please redact (cover up) confidential information about third parties which
is not relevant to our investigation before sending us the information.
When we write to inform you that your complaint is being allocated to
a case-handler we will usually send a copy of your OIA Complaint Form
Can I provide electronically recorded material?
and supporting documents to the university so they can prepare their own
documents. This is done in order to make the handling of the case faster
You can send us a recording, e.g. of a meeting between you and the
and more effective.
university, provided that it has not been made illegally. However, two
copies must be provided so that it can be disclosed to the university.
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www.oiahe.org.uk
Tel: 0118 959 9813
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What happens next?
What happens next?
If you have sent us an OIA Complaint Form and have any concerns
subscribe to the Scheme and are required to pay a subscription fee to the
about your documentation please contact us as soon as possible.
OIA. The Scheme is free to students.
What happens when my case is allocated
to a case-handler?
The Independent Adjudicator and Chief Executive, Robert Behrens, ensures
that Decisions are made on merit and that they adhere to our Rules. Our
Board of Directors is responsible for preserving the independence of the
The case-handler will read through all the documentation you have
Scheme and the role of the Independent Adjudicator. The Board consists
provided. They might:
of a majority of independent directors from outside the Higher Education
sector. The Board plays no role in the review or determination of individual
• Contact you or the university to ask for some further information
complaints and does not see our Formal Decisions.
or to see whether your complaint can be resolved at that stage,
Case-handlers are independent and impartial. To avoid any potential
for example by conciliation
• Decide that your complaint cannot be considered further
• Make a Preliminary Decision about your complaint
• Proceed with a full review of your complaint.
The case-handler will write to you setting out what they have done
conflict of interest your complaint will be reviewed by a case-handler who
has not worked or studied at your university. All Formal Decisions are
considered and approved by a member of the Approval Team.
What should I do next?
regarding your complaint, and explaining their reasons. If they decide
that your complaint cannot be considered further, you will have the
If we have asked you to provide any further information or we have
opportunity to appeal to a Deputy Adjudicator.
misunderstood your complaint, you should contact us as soon as possible.
How are the OIA and my case-handler
independent?
Otherwise you do not need to provide us with any other information or
contact us again until we either issue a Preliminary Decision or ask you to
comment on the university’s representations (see page 15).
The OIA is funded by subscriptions from universities based on the number
of students at the university and not the number of complaints brought
to the OIA or their outcomes. All universities in England and Wales must
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www.oiahe.org.uk
Tel: 0118 959 9813
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What happens next?
What happens next?
Providing information
to the OIA
You should contact us if you:
• Move house or change address
If we do not have an up-to-date address for you we may not be
able to contact you. In that case we would have to terminate our
review of your complaint.
• Start legal proceedings
What information will the case-handler ask
the university to provide?
The amount and type of information we ask for depends on your
You must tell us immediately. We will discontinue the review unless
complaint. However we will usually ask for all documentation related to
the proceedings are put on hold (by being formally ‘stayed’, or
your appeal or complaint to the university. This may include submissions,
adjourned). If you decide to put the proceedings on hold you will
witness statements and any evidence that was considered by the university,
need to send us evidence of this before we can continue with
correspondence, the decision and any notes, minutes or record of the
reviewing your case.
events and the relevant regulations. We will also ask the university for its
comments in response to your complaint to us.
• Wish to appoint a representative to act on your behalf
While it is preferable for you to handle your own complaint, you
can give us your written authority to liaise with a representative on
your behalf. You must ensure your representative knows all about
your complaint and is able to keep you informed as we will only
What happens if the university refuses to
provide the information the case-handler
has requested?
correspond with your representative. If you appoint a representative
Universities have a statutory duty to provide us with all the information
on your OIA Complaint Form but decide you would prefer to
we ask for, provided our request is reasonable, whether or not it supports
handle your own complaint, please let us know.
the university’s case. The information must be relevant to the complaint
and it must be lawful for the university to provide it. Failure to provide all
relevant information is a breach of our Rules and we may draw adverse
inferences if we discover that it has been withheld. Sometimes we will ask
the university’s Point of Contact to certify that the information provided is
complete.
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www.oiahe.org.uk
Tel: 0118 959 9813
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What happens next?
What happens when the case-handler
receives the university’s representations
and information?
What happens next?
The OIA’s Process
What should I do once I receive the
university’s representations?
Under our Rules, we determine the nature and extent of our review of
your complaint. We will read through all the documentation that the
You should read through all the information the university has provided.
university provides in relation to your complaint and decide either that:
The OIA is a transparent Scheme. This means all the information the
university provides will be sent to you before we issue our Formal Decision.
• We have sufficient information to issue our Decision and we will
If you wish to comment on the university’s representations and the
send you a Preliminary Decision along with the university’s
information it has provided, you must do so in writing so that we can
information. If either you or the university disagrees with our
share your comments with the university.
Preliminary Decision you will have the opportunity to comment and/
or provide further information. (See The OIA’s Decision section on
You should:
page 20)
• Comment on any specific points the university has made or any
or that:
documents that it has provided that you disagree with or which you
believe are inaccurate.
• We need further information or your complaint requires further
consideration. If this is the case we will send you all the information
• Send any documents that you have not already provided and say
the university has provided and ask you to comment, usually within
how they support the points you have made and the complaints
28 days. After this we will usually issue a Draft Formal Decision.
you have asked the OIA to consider.
If appropriate we may try to conciliate the complaint between yourself and
• Tell us if any relevant documents are missing.
the university.
You do not have to comment on the university’s representations but you
should inform your case-handler that you have received the documents
and do not wish to add anything further.
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Tel: 0118 959 9813
15
What happens next?
Why do I have to put my representations
in writing?
What happens next?
The OIA’s Review
Once we have all the information we require we will review the full
It is important to put your representations in writing because the OIA
complaint file and make a Decision as to whether the complaint is
is a transparent Scheme which shares all the information provided by
Justified, Partly Justified or Not Justified. Each complaint is individual so
the university with you and vice-versa. The university must also put its
this process can take some time. Eligible complaints can take six months
representations and any comments it wishes to make in writing. If we
or longer to conclude.
speak to you on the telephone and there are points that you want to
be considered during the review, you should also put them in writing.
The OIA is an inquisitorial Scheme. What does
this mean?
If you find it difficult to put your representations in writing, for example
because you have a specific learning difficulty, please contact us. We may
The OIA decides what information it needs to carry out its review and to
be able to take your representations over the telephone. If we do that,
reach a Decision about a complaint and asks you and the university for
we will send you our note of what you have said so that you can confirm
that information. This means we may not respond to each point that you
its accuracy. We will then send that note to the university.
or the university make, nor review documents that we do not consider
I can’t respond by the deadline my case-handler
has set. What should I do?
You should contact your case-handler as soon as possible and before the
relevant. Essentially it is up to us to decide how a complaint can best be
dealt with.
How does the OIA decide whether a complaint
is Justified?
deadline giving the reason why you require an extension. We may ask for
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evidence to support your request. The case-handler will consider extension
We will normally consider whether or not the university properly applied its
requests on a case-by-case basis. If you are given a number of extensions
regulations and followed its procedures, and whether or not any decision
this may delay the Decision.
made by the university was reasonable in all the circumstances.
www.oiahe.org.uk
Tel: 0118 959 9813
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What happens next?
What happens next?
Will the OIA look at the complaint in the same
way as a court?
Does the OIA hold meetings or hearings to
decide whether a complaint is Justified?
No. Our procedures, criteria and remedies are different. We are primarily
Most complaints are decided on the documents provided to us by both
looking at the overall fairness of the university’s Decision so we may take
parties without the need for a face-to-face meeting. Our Rules provide
into consideration matters that a court or tribunal might not.
that we will not hold an oral hearing unless we consider that it is necessary
What if my complaint is about discrimination?
to do so. In practice we find that this is not normally necessary because
we are able to determine whether or not complaints are Justified from our
consideration of the evidence submitted in writing (or where appropriate
Under the Higher Education Act 2004, students who bring a complaint
by telephone). If the case-handler considers that a hearing might be
to the OIA about sex, race or disability discrimination are allowed an
necessary or a student requests a hearing, the complaint will be referred
additional time within which to institute court proceedings over and above
to a Deputy Adjudicator to consider.
the usual time limits set by the courts. However, you should bear in mind
that the time limits set by the court will start running when the original
Can the OIA terminate or suspend the review?
incident occurred.
We may terminate or suspend our review of a complaint if, in our opinion,
In considering issues related to discrimination the OIA does not act as a court.
the university has satisfactorily dealt with the complaint, the complaint
It does not investigate or make legal findings in the same manner as a court.
is being considered or would be better considered elsewhere, or where a
However, it is appropriate for the OIA to refer to the law and guidance on
party has unreasonably delayed or has otherwise acted unreasonably. We
discrimination to form an opinion as to good practice and to decide whether
may also terminate our review if you do not inform us of a change in your
the university has acted fairly. So, for example, we might look at whether a
contact details and we do not have any means of contacting you or if you
university has given adequate consideration to whether its procedures are
ignore correspondence that we send you.
placing a disabled student at a substantial disadvantage and, if it has not, we
might recommend that it does so. However, we would not make a finding
We may also suspend our review of your complaint if you ask us to do
that the university had discriminated against the student.
so, provided you have good reasons. We will not be able to suspend it
indefinitely though. We will agree with you about how long the complaint
should be suspended for.
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www.oiahe.org.uk
Tel: 0118 959 9813
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What happens next?
What happens next?
The OIA’s Decision
Formal Decisions
As explained on page 14 there are two types of Decision depending on
What happens when the case-handler completes their full review?
your case – a Preliminary Decision or a Formal Decision. In both instances
The case-handler will advise you that they have completed their review
you will have the opportunity to comment before the Decision is finalised.
of your complaint and that the Draft Formal Decision has been passed to
For more information on when we use each Decision please see the chart
the Approval Team. We may ask you or the university to provide further
on page 23. We may decide that your complaint falls outside our Rules and
information before we finalise and issue the Draft Formal Decision.
so we cannot look at it as explained on page 7. We may also decide not to
accept a complaint for a number of reasons as explained on page 8.
What should I do when I receive a Draft Formal Decision?
For more information on what a Draft Formal Decision is please see page 14.
Preliminary Decisions
Both you and the university will have 14 days to comment on any material
factual inaccuracies. This means you should comment on any inaccuracies or
A Preliminary Decision has been issued, what happens now?
omissions in the facts which affect the Decision that has been made in respect
For more information on what a Preliminary Decision is please see page
of your case. If our Draft Formal Decision is that your complaint is Justified
14. If you disagree with our Preliminary Decision you must write to us
or Partly Justified and we have made any Recommendations, you may also
explaining why, along with any additional information or evidence that
comment on the practicalities of the course of action we are recommending.
supports your complaint within 21 days. If you do not respond we will
issue a Formal Decision Letter. If you need extra time, you should contact
What if a party provides new information after the Draft Formal
us before the deadline explaining why.
Decision has been issued?
It is possible that we might disregard such information because the party
If our Preliminary Decision is that your complaint is Justified or Partly Justified,
will have had the opportunity to provide full information before the Draft
the university will have the opportunity to provide further information.
Formal Decision was issued.
Any further information provided will be considered by a member of the
What happens after the Draft Formal Decision has been issued?
Approval Team, consisting of senior adjudication staff, who will decide
We will consider any comments you or the university make on the Draft
whether to investigate further or issue a Formal Decision Letter which will
Formal Decision. In some cases we may ask you or the university to
conclude your complaint.
respond to the other’s comments. We may make some amendments to
the Draft when the Formal Decision is issued.
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Tel: 0118 959 9813
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What happens next?
What happens next?
The case-handler requests further
information from the university
Very occasionally we might issue a second Draft Formal Decision. We
would only do this if the comments on the Draft Formal Decision cause us
to change the outcome of the complaint or Recommendations which we
make so significantly that we consider you and the university should have
a further opportunity to comment.
If no comments are received, the Formal Decision will be issued. If you
need extra time you should contact us before the deadline explaining why.
If the case-handler feels they have
enough information they will issue a
Preliminary Decision
The case-handler asks you to comment
on the university’s representations
You and the university have 21 days to
comment on the Preliminary Decision
The case-handler may ask you or the
university for further information
A member of the Approval Team
considers any comments or new
information provided
The case-handler reviews the full case
and requests any further information.
They will then prepare a Draft Formal
Decision
Can I continue my complaint if I am unhappy with the
Formal Decision?
Our review of your complaint ends when we issue our Formal Decision,
although we will monitor the university’s compliance with any
Recommendations which we make.
Our Decisions are not binding. However, we are impartial and cannot give
you any advice as to any alternative action you may be able to take if you do
not accept the outcome of our review.
How long will the OIA keep documents for?
Our hard copy file will normally be destroyed one year after we issue the
The OIA issues
a Formal
Decision and
your complaint
is closed
The OIA decides
your complaint
requires further
investigation
and requests
the university’s
representations
A member of the Approval Team
considers the Draft Formal Decision
before it is issued to you and the
university. You and the university have
14 days to comment on any material
factual inaccuracies
The OIA issues a Formal Decision
Formal Decision or after the file is closed. Some electronic records will be
kept for longer. Our data protection policy can be found on our website
http://www.oiahe.org.uk/about-us/data-protection.aspx.
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The OIA
review process
Tel: 0118 959 9813
If we recommend that the university
makes you an offer, we ask the
university to send us a copy of its offer
letter. If we ask the university to change
its procedures we ask the university to
report back within a specific period
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What happens next?
Recommendations
and Remedies
What types of Recommendation can the
OIA make?
Where we find a complaint to be Justified or Partly Justified, we can
What happens next?
take action it should comply with any time scales we stipulate, or where
we do not indicate a time scale, as soon as reasonably practicable. If we
decide that a university has not complied with our Recommendations, we
would consider that to be a very serious matter which would be reported
to our Board and publicised in our Annual Report. Universities have an
excellent record of complying with OIA Decisions.
Do I have to accept the OIA’s Decision?
make Recommendation(s) to the university. These may include, but are
not limited to, any of the following:
No, our Decisions are not binding on students. You can reject any
Recommendation that we may make (unless the university has made you
• That the university should consider a matter afresh because its
an offer following our Formal Decision and you have already accepted it).
procedures have not been properly followed in a material way
You can pursue any other remedies available. We cannot advise you as to
• That the complaint would be better considered in another forum
• That the university should offer to pay an amount to the student,
including, at our discretion, an amount for inconvenience and distress
• That the university should take a course of action that we consider
any alternative action you may be able to take.
How does the OIA know if the university
has complied with its Recommendation?
to be fair in the circumstances
• That the university should review or change the way it handles
appeals and/or complaints
Where we recommend that an offer be made to the student we will
usually ask the university to send us a copy of the offer letter so that
• That the university should review or change its procedures
we can check it, and to let us know whether the student accepts the
offer. Where we recommend that the university reviews or changes its
or regulations.
Does the university have to follow the
Recommendations made by the OIA?
procedures we will usually ask the university to report back to us within a
specified time.
If a university intends not to comply with a Recommendation it must
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Universities are expected to comply with our Formal Decision and any
inform us in writing, giving any reasons, as soon as reasonably practicable,
Recommendations in full. Where we recommend that a university should
and no later than any date specified by us.
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What happens next?
Service complaints
What if I am dissatisfied with the way my
complaint has been handled?
Whatever the outcome of your case, we hope you will be satisfied with
the level of service we provide.
However, if you are not happy about the way we are handling a complaint
we hope that you will first tell the case-handler. If you are not satisfied
with the explanation which you receive, your complaint will be considered
by a Deputy Adjudicator. If the Deputy Adjudicator considers that your
correspondence raises issues of service quality, the issue will be referred
What happens next?
If you have any queries which have not been answered in this booklet, please
see our website www.oiahe.org.uk or contact us using the details below.
Our contact details:
OIA
Third Floor
Kings Reach
38-50 Kings Road
Reading RG1 3AA
Tel: 0118 959 9813
Email: [email protected]
www.oiahe.org.uk
Twitter:http://twitter.com/oiahe
to the Company Secretary who will respond to you; he can only consider
service quality issues. The Company Secretary will not normally consider
service complaints which are brought more than two months after we
have issued our Formal Decision or the file is otherwise closed.
If the Company Secretary decides that you have raised serious issues
relating to the quality of our service, he will refer your complaint to
the Chair of the Board of Directors. The Board of Directors has no
involvement in our Reviews or our Decisions and will only consider
issues of service quality. For more information please see our website
http://www.oiahe.org.uk/about-us/complaints-about-the-oia.aspx.
For more details on how to make a complaint and recent Decisions
made by the OIA please see our website www.oiahe.org.uk
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www.oiahe.org.uk
Tel: 0118 959 9813
27
Third Floor
Kings Reach
38-50 Kings Road
Reading RG1 3AA
Tel: 0118 959 9813
Email: [email protected]
www.oiahe.org.uk
Twitter:http://twitter.com/oiahe