UK Quality Code for Higher Education Chapter B9: Complaints and appeals on academic matters Consultation discussion event January 2013

Programme – 11.20Introduction to the day, and to the Quality Code – 11.45Introduction to the Chapter scope and Expectation – 12.30Small group discussions – 13.15Lunch – 13.30Introduction to the Chapter Indicators of sound practice – 14.45Small group discussions – 15.00Tea/coffee break – 15.30Questions and closing plenary

Setting and maintaining threshold academic standards Part A Assuring and enhancing academic quality Part B Information about higher education provision Part C UK Quality Code for Higher Education

Chapters of the Quality Code A1: The national level A2: The subject and qualification level A3: The programme level A4: Approval and review A5: Externality A6: Assessment of achievement of learning outcomes B1: Programme design and approval B2: Admissions B3: Learning and teaching B4: Supporting student achievement B5: Student engagement B6: Assessment of students and accreditation of prior learning B7: External examining B8: Programme monitoring and review B9: Complaints and appeals B10: Management of collaborative arrangements B11: Research degrees Part A: Setting and maintaining threshold academic standards Part B: Assuring and enhancing academic quality Part C: Information about higher education provision General introduction

What is the UK Quality Code for Higher Education? How does the Quality Code relate to legislation? What are Expectations? What are Indicators? What are the overarching values? Why does the UK need a Quality Code for Higher Education? How has the Quality Code been developed? Who is the Quality Code for? Who enforces the Quality Code? How is the Quality Code organised? General Introduction

Explanation Indicators of sound practice Expectation: what higher education providers expect of each other and which students and the public can expect of all higher education providers Quality Code: components

Quality Code – under construction The existing elements of the Academic Infrastructure put back together in a different order Some reworking to cover topics in a more appropriate way Some completely new chapters e.g. student engagement Review and editing of the whole for consistency and to reduce duplication

Part A: Setting and maintaining threshold academic standards Part B: Assuring and enhancing academic quality Mar 2012Part C: Information about higher education provision Oct 2011Chapter B7: External examining Jun 2012Chapter B11: Research degrees Chapter B5: Student engagement Sep 2012Chapter B3: Learning and teaching Dec 2012Chapter B10: Management of higher education with others Apr 2013Chapter B9: Complaints and appeals on academic matters Chapter B6: Assessment of students and accreditation of prior learning Mar 2013Chapter B4: Supporting student achievement Chapter B1: Programme design and approval Chapter B2: Admissions Chapter B8: Programme monitoring and review Oct 2013Chapter A1: The national level Chapter A2: The subject and qualification level Chapter A6: Assessment of achievement of learning outcomes Chapter A3: The programme level Chapter A4: Approval and review Chapter A5: Externality Building the jigsaw

Creating the pieces Scoping Advisory Group Consultation Publication

In numbers... Number of delegates at all consultation events = 1183 Number of consultation responses = 673

Chapter B9: Complaints and appeals on academic matters

Timescales July – August 2012Scoping and planning September 2012First Advisory Group meeting October 2012Second Advisory Group meeting 26 November-31 January Consultation period 9, 11, 15 and 17 JanuaryConsultation events March 2013Third Advisory Group meeting April 2013Publication

Feedback from… Equality Challenge Unit Office of the Independent Adjudicator Scottish Public Services Ombudsman

The role of the OIA Cardiff 17 January 2013 Imran Abrahams Assistant Adjudicator THE UK QUALITY CODE – STUDENT COMPLAINTS AND APPEALS

The OIA – Office of the Independent Adjudicator for Higher Education The OIA – Office of the Independent Adjudicator for Higher Education Independent of HEIs and of Government Independent of HEIs and of Government Majority of Board from outside the world of higher education Majority of Board from outside the world of higher education Operates in England and Wales Operates in England and Wales The OIA and the Quality Cod e

Not a regulator, but: Member of the Regulatory Partnership Group Member of the Regulatory Partnership Group Part of QAA Advisory Group developing Chapter B9 of the Code Part of QAA Advisory Group developing Chapter B9 of the Code Memorandum of Understanding signed with QAA, December 2012 Memorandum of Understanding signed with QAA, December 2012 – Sharing of information including: Information gathered through complaints to the OIA that suggests broad concerns about academic quality Information gathered through complaints to the OIA that suggests broad concerns about academic quality Information gathered through the QAA Complaints and Concerns scheme that suggests issues with HEI complaints or appeals systems Information gathered through the QAA Complaints and Concerns scheme that suggests issues with HEI complaints or appeals systems

Appropriate remedies for higher education Appropriate remedies for higher education Free service for students Free service for students Common system across England and Wales Common system across England and Wales Faster, cheaper, specialist alternative to courts Faster, cheaper, specialist alternative to courts Feedback that can be used to improve complaints handling and the student experience Feedback that can be used to improve complaints handling and the student experience Independent Adjudication, free from government or HEI influence Independent Adjudication, free from government or HEI influence The OIA provides:

Complaint handler of last resor t The OIA receives a small number of complaints compared to the number of enrolled students in England and Wales The OIA receives a small number of complaints compared to the number of enrolled students in England and Wales Around one in seven of complaints that have reached the end of internal HEI procedures is referred to the OIA Around one in seven of complaints that have reached the end of internal HEI procedures is referred to the OIA Number of complaints increases each year; provisional figure for 2012 is over 2000 complaints received (25 per cent increase on 2011) Number of complaints increases each year; provisional figure for 2012 is over 2000 complaints received (25 per cent increase on 2011)

We review complaints about any act or omission of an HEI We review complaints about any act or omission of an HEI – Academic appeals, assessments and grades (2011: 70 per cent). – Contractual and service issues (2011: 10 per cent). – Discrimination and Human Rights (2011: 3 per cent). – Others. Student must normally have exhausted HEIs internal processes (appeal or complaint) before complaining to OIA Student must normally have exhausted HEIs internal processes (appeal or complaint) before complaining to OIA What does the Scheme cover?

What do we do? We review complaints to see whether they are Justified, Partly Justified or Not Justified : We review complaints to see whether they are Justified, Partly Justified or Not Justified : – Did the universities properly apply regulations and follow procedures? – Was the universitys decision reasonable in all the circumstances? We also make good practice recommendations We also make good practice recommendations Dissemination of good practice and feedback to HE sector Dissemination of good practice and feedback to HE sector

What we cant look at (ineligible complaints) Academic Judgment. Academic Judgment. – Matters for which only the opinion of an academic expert will suffice Outside time limits (three years from event; three months from COP letter). Outside time limits (three years from event; three months from COP letter). Matter is or was subject of court proceedings (unless formally stayed). Matter is or was subject of court proceedings (unless formally stayed). Admissions. Admissions.

1: QAA Quality Code B9 Trends in OIA complaints: Trends in OIA complaints: – Procedural fairness – Lack of clarity in complaint/appeal processes – Perception of bias – Delay! OIA considers what is good practice OIA considers what is good practice Significant factor: has HEI followed QAA indicators of sound practice? Significant factor: has HEI followed QAA indicators of sound practice?

2: QAA Quality Code B9 OIAs Pathway 3 – sector wide consultation and report: OIAs Pathway 3 – sector wide consultation and report: – Early Resolution pilots – Jan to March 2013 – Good Practice Framework – sector wide; voluntary; complement QAA Quality Code

How to contact us By post: By post: – Third Floor, Kings Reach, Kings Road, Reading, RG1 3AA Tel: Tel: Online: Online:

Themes and the Expectation

Definitions Complaint: the expression of a specific concern about matters that affect the quality of a students learning opportunities Appeal: a request for a review of a decision made by an academic body about student progression, assessment and awards

Scope All students including graduates Admissions covered in B2: Admissions Further guidance for research students in B11: Research Degrees Important to have clear arrangements with partners (further guidance in B10: Managing higher education provision with others)

Themes (1) Equality and diversity embedded Working in partnership with students in the design and review of procedures informal arrangements for resolution Fit with independent review

Themes (2) Complaints and appeals as a source of information (but distinction between feedback and complaints/appeals) Positive engagement information and guidance Good design and implementation

Expectation Higher education providers have procedures for handling student complaints about the quality of learning opportunities and appeals against academic decisions which are fair, efficient, accessible and timely and which promote enhancement.

Questions Is the scope and limits of the Chapter sufficiently clear? Have equality and diversity issues been adequately addressed? Is the wording and scope of the Expectation appropriate?

Indicators of sound practice

General principles (1-2) Providing the opportunity (scope/application) Creating the confidence to use the opportunity Students have the opportunity to raise matters of concern without risk of disadvantage. Engaging positively when do use the procedures alternative means – how much detail? An approach that encourages positive engagement and offers opportunities for early resolution.

Information, advice and guidance (3-4) Change of language – e.g. publicly dropped Accessible – broad meaning Accessible information on procedures Enabling informed decisions Procedural advice versus advocacy Inclusion of reference to staff Appropriate advice and guidance for students and staff

Internal procedures: design and implementation (5-6) Separate indicators? Separate roles? Level of detail? Good design enables... Reasonable or efficient? Same words different meanings?...procedures that are timely, fair and reasonable

Action, monitoring and enhancement (7-8) Communication – reasons? Remedies Independent review Appropriate action is taken Improving the procedures Monitoring data - examples Learning from – part of systematic approach to enhancement Monitor, evaluate and reflect

Questions Are the Indicators appropriately worded to reflect the Expectation? Are the indicators ordered and grouped in a logical order? Is anything missing from the Chapter?

Key points from earlier events

Expectation Generally supportive handling – no better alternative efficient – some reservations Clarify promote enhancement remit of chapter – academic matters – is clear cf not sure about learning opportunities Timely – different HEI and student expectations?

Indicators Importance of interaction with other procedures – harassment, discipline Equality and diversity over repeated 50/50 split on whether to keep 5 & 6 as two indicators Meaning of accessible Split 2 – early res could be part of 5 Welcome reference to staff (4) Include sharing of good practice as part of evaluation (8)

Order of indicators Majority content with existing order Some suggestions that 5&6 belong after 1

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Scoping events: Part A: Setting and maintaining threshold academic standards, B1: Programme design and approval and B8: Programme monitoring and review, B6: assessment of students and accreditation of prior learning 25 th February- Cardiff 28 th February- Belfast 4 th March- London 5 th March- Glasgow