1. British Accreditation Council: The OIA
Sally Adams, Senior Assistant Adjudicator

2. Who are we? What do we do?
Operator of Higher Education students’ complaint scheme
We review complaints about acts or omissions of member Providers
Since 2005
We recommend changes to practice and / or remedies for students
Ombudsman of last resort
We promote good practice in handling complaints and academic appeals
Free to students
Over 15,000 complaints
Almost universal compliance
Our processes are governed by the Rules of the OIA Scheme.

3. Higher Education Act 2004: Qualifying institutions
Pre 1 September 2015
Post 1 September 2015
Consumer Rights Act 2015 amended the Higher Education Act 2004
Providers offering Higher Education courses designated for student support funding
Providers with Degree Awarding Powers
Brought in:
FE and sixth-form providing Higher Education
Alternative providers
SCITTS
Broadly universities in England and Wales
Some “Non-Qualifying institutions” joined voluntarily
All students on Higher Education courses at member Providers have recourse to the OIA, not just students on courses designated for student support funding. Consumer Rights Act gives OIA discretion to determine what is an HE course for purposes of ‘new’ CRA members – definition on website -and next slides]
Student support funding is defined by legislation. Includes Higher Education maintenance and tuition fee grants and loans. Also includes Disabled Students’ Allowance funding for Higher Education courses. This funding is provided through the Student Loans Company and administered through Student Finance England or Student Finance Wales, as applicable.
Providers which are not ‘Qualifying Institutions’ under the HEA (as amended) may apply to join the OIA Scheme voluntarily as ‘Non-qualifying institutions (NQIs)’. They should contact for an informal conversation in the first instance.
NB. Membership might be changing further in light of the White Paper published last week (Success as a Knowledge Economy: Teaching Excellence, Social Mobility and Student Choice). Our remit will be extended to include all providers on the new HE register.
If a Provider ceases to be a ‘Qualifying Institution’ e.g. ceases to offer Higher Education courses or courses designated for student support funding, they will continue to be a member of the OIA Scheme for a period of 12 months to ensure that students can still bring a complaint to the OIA. Providers which cease to be members of the OIA Scheme will still be required to comply with the OIA’s requests for information and with any recommendations made by the OIA about complaints which arose when the Provider was a member of the Scheme.

4. What do we mean by ‘Higher Education’? (1)
First degree, e.g. BA, BSc, B.Ed
Foundation degree
Higher National Diploma (HND)
Diploma of Higher Education (DipHE)
Higher National Certificate (HNC)
Certificate of Higher Education (CertHE)
CertEd (teaching qualification in the FE sector)
Initial Teacher Training courses leading to Qualified Teacher Status (schools sector) or Diploma in Education and Training (FE sector)
Taught postgraduate degrees, e.g. MA, MSc, PGDip, PGCert
Research degrees, e.g. MPhil, PhD, EngD, DPhil
Students studying at providers brought into membership of the OIA by the Consumer Rights Act may only complain to the OIA if they are studying on an HE course. The definition of “higher education” might change as a result of the recent White Paper
[Students at ‘old’ members – mostly universities – can complain to us whatever course they are on]

5. What do we mean by ‘Higher Education’? (2)
The course should also be validated or awarded by an ‘appropriate body’, i.e.
A body with UK degree awarding powers and on the Department for Business, Innovation and Skills’ list of Recognised Bodies
For HNC / HNDs, either EdExcel or the Scottish Qualifications Authority
For Diplomas in Education and Training in the FE sector, a recognised awarding body on the Ofqual register
For Initial Teacher Training courses leading to Qualified Teacher Status (QTS), QTS must be awarded by the National College for Teaching and Leadership (in England) or the Education Workforce Council (in Wales)
Again, this might change as a result of the recent White Paper

6. BAC accredited providers
Member of the OIA?
HE Students should be signposted to the OIA at the end of the internal procedures
Non-HE students continue to have recourse to BAC complaints procedure
Not a member of the OIA?
Students have recourse to the BAC complaints procedure
Memorandum of Understanding between OIA and BAC
OIA will share with BAC information about complaints received about BAC accredited providers

7. Our remit (1) Common areas of complaint What we cannot look at
Academic appeals
Admissions
Extenuating circumstances
Academic judgment
Teaching provision and facilities
Matters subject to legal proceedings
Disciplinary matters
Student employment matters
Academic misconduct (including plagiarism)
Bullying and harassment
Fitness to practise
Discrimination

8. Our remit (2) We will not normally consider complaints
that have not been through the internal procedures at the Provider
about events that happened before the Provider joined the OIA Scheme (unless events formed part of a course of conduct which continued after the Provider became a member)
We will not consider complaints where we receive the OIA Complaint Form more than 12 months after the conclusion of the Provider’s internal procedures
The deadline for bringing a complaint to the OIA used to be 3 months but this was extended in July 2015 to 12 months in order to meet the requirements set out by the EU to be the ADR Entity for Higher Education. This reflected in the new Rules of the OIA Scheme.

9. Our review
We review student complaints to see whether they are Justified, Partly Justified or Not Justified
Focus of our review is the Provider’s final decision as set out in its Completion of Procedures (CoP) letter
In deciding whether a complaint is Justified, we consider the following key issues:
Did the Provider properly apply its regulations and follow its procedures?
Were those procedures reasonable?
Was the Provider’s decision reasonable in all the circumstances?

10. Our recommendations (For Justified / Partly Justified complaints)
To put the student back into the position they were in before whatever they complained about happened
Both parties have the opportunity comment on the practicalities of our recommendations
Types of recommendation include:
Provider to reconsider appeal or complaint
Provider to review / change its procedures
Provider to pay financial compensation
We monitor compliance by the Provider
Instances of non-compliance published in Annual Report (very rare)
Student does not have to accept an offer made pursuant to our recommendation(s)

11. Our review process Student submits OIA Complaint Form
Initial assessment: is the complaint eligible for review?
Complaint Form sent to Provider for comment; Provider asked to provide relevant documentation (complaint / appeal file)
Provider’s response sent to the student for comment; student’s comments shared with the Provider
Opportunities for informal resolution / settlement considered at every stage
Optional and agreed by both parties; avoids need for full review
If proceeding to full review, Complaint Outcome issued normally within 90 days of receiving the full complaint file
If Justified or Partly Justified, both parties given the opportunity to comment on the practicality of our recommendations
The 90-day deadline runs from the date on which we consider the complaint file to be complete, not the date when we receive the student’s Complaint Form. The deadline can be extended if the complaint is particularly complex.

12. Complaints involving collaborative provision
Students on Higher Education courses may be able to complain to the OIA about:
Acts and omissions of the Provider at which they are studying; and / or
Acts and omissions of the Provider which awards the qualification they are studying for
BUT…
Only if the Provider is a member of the OIA Scheme
Normally, only about events which occurred after the Provider joined the OIA Scheme
Only about matters for which the Provider is responsible

13. OUR BASIC PRINCIPLES: more than one OIA member provider
If complaint issue is the responsibility of the delivery provider, student can complain directly to OIA
Student does not have to go through multiple stages of procedures at delivery provider and then awarding provider before coming to OIA
Awarding provider is likely to have overall responsibility for academic quality and standards (QAA Quality Code)
Complaints about academic quality
Final stage of academic appeals procedures
Procedures should clearly signpost the student
Different types of collaborative arrangement (e.g. validated, franchised). Franchised or ‘sub contractual’ – student has contractual relationship with franchising provider and responsibility for all complaints/appeals may lie with that provider.
More information on our website

14. PRACTICALITIES: Complaints about more than one OIA member provider
‘Case-by-case’ basis
Separate complaints but linked reviews
Starting point: What does the partnership agreement between the providers say?
Who is responsible for what?
Grey areas – only part of complaint relates to academic standards?
: transition period – working with providers to develop our understanding and guidance as we receive the first complaints

15. Qualifications awarded by external awarding bodies e. g
Qualifications awarded by external awarding bodies e.g. HNC/D awarded by Pearson/Edexcel
Awarding bodies:
are regulated by Ofqual and/or Qualifications Wales (QW)
are not required to join the OIA Scheme and have not joined voluntarily
have some responsibility for student complaints
Agreement between OIA and Ofqual/QW
Providers should signpost HE students to OIA at the end of internal procedure
OIA will determine whether complaint falls within its remit or relates to overall quality or standards of the qualification and so should be forwarded to relevant awarding body
REMINDER – student studying at provider brought into OIA membership by Consumer Rights Act? Can only complain to the OIA if is on an HE course
More information on our website -
Complaints falling within OIA remit may include: (i) complaints relating to a member provider’s failure to have followed its internal procedures; (ii) complaints about how a member provider considered a student’s academic appeal (rather than the outcome of the academic appeal itself), for example the member provider’s failure to have considered at all a student’s mitigating circumstances in accordance with its own policy; (iii) complaints relating to bullying or harassment; (iv) complaints relating to pastoral provision or provision of facilities.
Complaints relating to the design, delivery of assessment, moderation and awarding of the qualification are likely to fall within remit of relevant awarding body and so would be forwarded to it by the OIA.

16. Good Practice Framework
The ‘Good Practice Framework for handling complaints and academic appeals’ aims to ensure that:
Complaints and academic appeals are dealt with as quickly as possible
Processes, decisions and the reasons for decisions are clear
Students are appropriately supported

17. How to use the Good Practice Framework
Complements Chapter B9 of the QAA’s UK Quality Code
Provides a model against which Providers can compare their own processes – Providers draft own policies to fit their size and context
If Provider departs from the Framework, it must satisfy itself that there are good reasons for doing so
Under the new White Paper (May 2016), “approved providers” will be required to comply with the Good Practice Framework
New members – joined under the Consumer Rights Act – transition period as they develop their complaints and appeals processes

18. Principles of the Good Practice Framework
1. Accessibility
Procedures are open to anyone who was or is a student
Procedures are easy to navigate – recommended maximum of 3 stages
Procedures give students clear information about how to access advice and support, e.g. Students’ Union
In the case of former students, procedures should specify a time limit within which they should bring their complaint or appeal.

19. Principles of the Good Practice Framework
2. Clarity
Procedures are well signposted and easy to find
Procedures are easy to understand
Procedures give clear definitions about what is a complaint and what are permissible grounds for appeal
Procedures give clear information about time limits

20. Principles of the Good Practice Framework
3. Proportionality
Procedures have 3 stages
Procedures are flexible where a student raises issues which fall under more than one procedure
Example: Student submits an academic appeal including allegations about bullying by his supervisor. Provider informs the student that the appeal will be suspended whilst the bullying allegation is investigated under a separate procedure. If the bullying allegation is upheld, that might inform the outcome of the academic appeal
For complaints: informal stage, formal stage, review stage. For appeals, more likely to be formal stage followed by review stage

21. Principles of the Good Practice Framework
4. Timeliness
Procedures set clear time limits for students to submit complaints and appeals
Formal and review stages normally completed within 90 calendar days
Procedures allow for cases that require swift action, e.g. where external time limits apply or where the student is particularly distressed

22. Principles of the Good Practice Framework
5. Fairness
Each party has an equal opportunity to present their case
Clear reasons are recorded and given to the student to explain the decision
Example: A student’s appeal is to be considered by an appeal panel. The student’s Department comments on the appeal. Those comments should be provided to the student before the appeal panel meets

23. Principles of the Good Practice Framework
6. Independence
Free of conflicts to ensure that decisions are taken by those who do not have an actual or perceived vested interest in the outcome
Example: When a matter is to be considered by a panel, those on the panel should have had no previous involvement in the case

24. Principles of the Good Practice Framework
7. Confidentiality
Procedures should ensure an appropriate level of confidentiality without causing disadvantage
Example: Student submits a complaint supported by witness statements and asks for those statements to be kept confidential. That, however, may prevent the Provider from investigating the case. It is good practice for procedures to set out in what circumstances elements of the case can be kept confidential

25. Principles of the Good Practice Framework
8. Improve student experience
Providers capture learning to ensure that decisions are made consistently, at the right level and that action can be taken on issues identified
Example: It is good practice for Providers to record complaints and appeals in sufficient and proportionate detail so that the data can be analysed and reported to management

26. Examples of good practice
Late submission of appeal
Student receives support for mental health disability and submits an academic appeal on this basis
The appeal is submitted after the deadline – Disability Office confirms that the student has difficulty meeting deadlines due to their disability
Provider should consider whether it would be reasonable to extend the deadline to remove any disadvantage to the student

27. Examples of good practice
Complaint requiring swift action
Student diagnosed with dyslexia before final examinations
Student unhappy with support plan and submits complaint
Provider expedites consideration of complaint and implements changes to support plan before examinations

28. Examples of good practice
Information about a complaints panel
Student’s complaint is to be considered by a complaints panel
The Provider writes to the student in advance of the panel meeting setting out:
The date of the meeting and options if the student cannot attend
The names and job titles of the panel members
The names of attendees and their roles
Whether the student can be accompanied and if so, by whom
An outline of how the meeting will proceed
Copies of all documentation to be considered

29. Examples of good practice
Early resolution of academic appeal
Student is dissatisfied with their results and is considering appealing
Student meets with Head of Department to discuss concerns about their marks
Head of Department explains the marking process and confirms that the student’s marks are properly recorded
Student informed of how to appeal and what the permissible grounds for appeal are
A note of the meeting is made and retained

30. How to contact us and useful links
Tel:
General queries:
Membership queries:
General website:
Collaborative provision -
Good Practice Framework: oiahe.org.uk/providers-and-good-practice/good-practice-framework.aspx
Public interest cases: oiahe.org.uk/providers-and-good-practice/public-interest-cases.aspx
Case studies: oiahe.org.uk/news-and-publications/recent-decisions-of-the-oia/case-studies.aspx