Opportunities to consider complaints, appeals and other processes in partnership arrangements
81It is good practice to ensure that complaints, appeals and other internal processes are considered at key points throughout the lifecycle of the partnership.
When setting up new partnerships
Identifying responsibilities
82Good communication between the partner providers and between different teams within the providers is essential. Teams establishing and managing the partnership arrangements need to have a good understanding of how complaints, appeals and other internal processes should work so that they can make sure arrangements work well between the different partners. Teams managing complaints, appeals and other internal processes need to be familiar with the relevant parts of the partnership arrangement so that they understand which partner provider is responsible for different aspects of the student’s studies and experience.
83When setting up a new partnership partner providers should make sure that they are aware which providers are covered by our Scheme and which students are covered. We always welcome a conversation if providers would like some advice as to whether they are covered by our Scheme.
84Providers should set out in writing the obligations and responsibilities of each partner for the handling of student complaints, academic appeals and other internal processes. Broadly the division of responsibilities for handling internal processes is a matter for the providers to decide between themselves taking account of their particular regulatory context and roles. It is important to identify who has responsibility for the operation (as distinct from any regulatory responsibilities) of specific parts of the internal processes, including early resolution stages.
85Providers working in partnership may wish to agree, and set out in writing, arrangements for how to manage a large group complaint or academic appeal.
Gathering and sharing information
86It is good practice to set clear expectations from the start of the partnership arrangement about information that can be shared when complaints, appeals and other internal processes operate. It can be helpful to explore approaches to record-keeping so that each provider understands what the other may expect them to supply for different types of process. It may be appropriate to consult information management specialists, for example, to ensure compliance with relevant data protection legislation or to set up secure and efficient data sharing systems. Providers should take steps to ensure that necessary information can be shared with relevant administrative, investigative and decision-making functions, whilst maintaining an appropriate level of confidentiality, privacy and security.
87It is good practice to set clear expectations from the start of the partnership arrangement about participation by each partner within these internal processes. For example, so that relevant staff respond to requests for information promptly and fully, even where the requests originate from the other provider. In particular, providers in England and Wales may wish to consider how they can influence the time taken by partner providers that may not be working to our Good Practice Framework timeframes.
Delivering remedies
88It is good practice to set clear expectations from the start of the partnership arrangement as to which provider has responsibility to take actions identified as appropriate during complaints, appeals and other internal processes. Providers may need to offer an individual remedy to a student or to implement changes to practice. Sometimes partners may need to work together to agree on and provide a remedy. Students should not be put in a position where their situation remains unresolved because partners are unable to agree on what actions are to be taken and by whom.
Access to advice & guidance
89Before entering into partnership arrangements, it is good practice to consult with student representative bodies, if the providers have them, and/or with staff in relevant student support roles, about which services students studying on courses subject to partnership arrangements are able to access. It is good practice to document the outcome of these consultations.
Learning from complaints
90It is good practice to establish at the beginning of a partnership arrangement how providers will share learning from complaints, appeals and other internal processes.
Looking ahead
91It is good practice when setting up new partnerships to look ahead to when the partnership may end. For example, it is helpful for providers to establish in principle arrangements for the retention of relevant student records or other information which could be relevant to a student complaint, appeal or other internal process.
During partnership arrangements
Communication
92Providers should publish clear information for students about their complaints, appeals and other internal processes. The information should:
- describe the overall purpose of the process
- give an overview of what steps will be followed
- indicate whether a partner organisation will be involved during the process
- describe some possible outcomes of the process and any limits on what the process may address
- set out clearly the steps a student should take to begin the process, including any deadlines that apply.
93It is not necessary for the documentation to set out in detail how each complaint, academic appeal or other issue will be handled. The provider that receives the complaint, academic appeal or other concern at the first stage should tell the student what they need to do if they wish to progress the matter to the next stage. It may be helpful to include some information in course specific handbooks.
94Where students are expected to engage with more than one organisation during an internal process, providers should direct students to the appropriate route for contact, for example by providing an email address, link to a web contact form, or phone number. It is not good practice to expect students to identify the relevant person or function to contact.
95Students on courses of study that are delivered within a partnership arrangement may be members of more than one academic community, and/or professional community. They may study and live alongside students who are studying towards qualifications awarded in quite different contexts. Students are often alert to differences in their experiences and value consistency of approach. It is important that providers in partnership arrangements operate their internal processes in ways that result in overall consistency of decision-making in respect of students on similar routes.
96If there are significant differences in the availability, operation or possible outcomes of internal processes for students on courses of study subject to a partnership arrangement, compared to students studying with only one provider, then providers should be able to present a clear rationale for this to students. Providers should be mindful of their obligations to provide clear information to applicants that could be material to their decision to study for a qualification under a particular route or via a particular partner. For example, it would be appropriate for a delivery provider to draw students' attention to a re-assessment policy in operation on a course of study delivered in partnership with a particular awarding partner, if that policy is more restrictive than its approach on similar courses not delivered in a partnership arrangement.
97It is important that staff are given appropriate information and training on the points above so that they can correctly advise students.
Making changes to policies and procedures
98Partners should have mechanisms in place for regularly reviewing policies and procedures and for agreeing any changes which impact students. Where an awarding partner changes their policies and/or procedures and this will affect the partnership arrangements with the delivery partner, there should be systems and processes in place to ensure these changes are agreed with the delivery partner and communicated to staff and students.
99Partners should also consider the impact of possible changes to administrative processes (for example records keeping practice) on handling complaints and appeals within partnership arrangements.
Proportionality and Timeliness
100Where a student matter must be considered by more than one provider, it is good practice for the providers to complete the internal process within the timeframes described in other sections of the Good Practice Framework. This is usually 90 calendar days for the completion of formal and review stages.
101There will be circumstances when, for good reason, the process will need to take longer. Where the timescale needs to be extended, the provider that is carrying out that stage of the process should explain this to the student and should keep them regularly updated about the progress of their complaint, academic appeal or other matter. Failure to have prepared a process that applies to students on courses subject to partnership arrangements will not usually be a good reason for the consideration of the student’s concerns to take longer.
102Where providers are working together it is particularly important for procedures to be proportionate. It will not usually be appropriate to expect students to duplicate or repeat a full process at more than one provider about the same matters, either concurrently or consecutively. The Good Practice Framework: Handling complaints and academic appeals says that it is good practice for complaints and academic appeals procedures to include no more than three stages. This still applies where more than one provider is involved.
Advice and Guidance
103It is good practice to ensure students have access to well-resourced sources of advice and guidance. Often this support will be based within the student representative body at the provider. Where a provider does not have an established student advice service or student representative body, it should consider making arrangements with its partner providers, or with other neighbouring providers, to enable its students to access support services.
104Where this is not possible providers should ensure that staff members who are independent of the matter being considered under the internal process can give students advice and guidance about the process.
Training
105Providers may consider offering joint training in the operation of complaints, appeals and other internal processes to staff across their partners.
106It is good practice for all staff to have some understanding of complaints, appeals and other internal processes so that they can direct students to relevant information. It is important that people operating internal processes know where to direct students for support, within the context of partnership arrangements.
Learning from complaints
107Providers should regularly review the operation of their partnership arrangements in respect of complaints, appeals and other internal processes and take steps to address any concerns.
108Providers should also regularly review the information generated within complaints, appeals and other internal processes about the experiences of students and the quality and standards of the courses being delivered in partnership arrangements. It is good practice for this information to form part of both informal and formal evaluation of the partnership arrangements, for example when deciding whether to continue an arrangement with a specific partner.
109It is good practice for providers that are working together to share and implement learning from complaints, appeals and other internal processes from students on these courses. It can be appropriate to share learning even where the other partner has no direct role to play in a particular process. The data should be anonymised as appropriate.
110Similarly, it is good practice for providers that are working together to share information with each other about complaints made to us by students on those courses. For example, an awarding provider that issued a Completion of Procedures Letter to a student at the end of an academic appeals procedure, could tell the delivery provider if that student goes on to complain to us, and could share our decision with the delivery provider. In the same way, it is good practice for a delivery provider to tell the relevant awarding provider if a student it has sent a Completion of Procedures Letter to goes on to complain to us, and to share our decision with the awarding provider.
111This sharing of information helps providers to identify and address the causes of complaints, appeals, misconduct, or other concerns and, where appropriate, training opportunities can be identified and improvements made.
When arrangements between partner providers substantively change or end
112All providers should have in place plans that outline how the risks to students of a significant change in partnership arrangements will be managed. Providers in England that are regulated by the OfS will have published a Student Protection Plan setting out what students can expect to happen if a course, campus or provider closes, and this should include arrangements with partners. HEFCW requires all regulated and/or funded institutions in Wales to have a student charter which outlines how the student interests are protected in cases where a course or institution ceases to exist. CTER may also require providers in Wales to produce a Learner Protection Plan, setting out how a provider will protect learners’ interests in the event of course disruption or closure, and how providers might facilitate the transfer of learners to other providers. Other providers may have prepared similar documents as part of their risk management processes or to meet other regulatory requirements. It is good practice for partners to check that the plans prepared by each party in a partnership arrangement are compatible and maintained.
Planned substantive changes or the ending of a partnership
113There are a variety of ways that a partnership may change for example transition from a sub-contractual partnership to a validated partnership. Where substantive changes are being made providers will need to consider many of the same issues as if a partnership were ending. Whatever the circumstances of the change to the partnership it is important that students’ ability to raise complaints and appeals is not negatively impacted and providers should communicate any transitional arrangements for these processes clearly.
114Partnerships may cease when both partners decide to end the arrangement. Where the ending of a partnership is planned this may be after all cohorts have completed their studies. It is good practice to consider what arrangements may be necessary to support students who may not finish with their cohort, for example, students who have taken a period away from study due to health reasons.
115Under consumer legislation, students must be given any material information about the course they are applying for before they apply. If a provider has made changes before an offer has been made, these changes should be brought to the student’s attention when the provider makes an offer so that the student can make an informed choice about the offer. If the provider anticipates, when it is making the offer, that partnership arrangements might change after the student accepts the offer, then the provider must tell students what could change, when and how, so that the student can agree to this.
116When a partnership is coming to an end, providers should explain to students clearly what is happening and when. It is good practice for providers to coordinate this communication, so that it is clear, consistent and is not overwhelming. Some students will be more engaged than others and easier to reach, and so different methods and styles of communication will be needed. Sensitivity may also be needed around the timing of important communications. It’s important to keep records of communications so that they are available if a student later complains.
117It is good practice to ensure that mechanisms to operate complaints, appeals and other internal processes continue to exist for a period after the delivery of teaching, learning and research activities has ended for students. Opportunities for students to raise concerns about something that happened when a partnership arrangement was in place should not be unreasonably curtailed by the end of that agreement. Where the end of the partnership arrangement is likely to affect how a provider can respond to or address students’ concerns, it is good practice to explain this to the students concerned.
118Whenever partnerships come to an end, it is good practice to identify any complaints, appeals or other internal processes already underway in respect of students on affected courses. It may be appropriate to expedite these matters so that students can be given an outcome of the process. Providers should consider prioritising any disciplinary or fitness to practise procedures, so that students are not unfairly disadvantaged in their further studies and careers by the existence of an incomplete investigation.
119It is important to make arrangements for the retention of relevant student records, so that student matters raised within a reasonable timeframe after the end of the partnership can be investigated effectively. It is also good practice to tell students what information is being retained. For example, students may need to understand what will happen to a portfolio of work, or how they can seek a reference, confirmation of their academic attainment, or financial status in the future.
Unplanned ending of a partnership
120Sometimes partnerships may come to an end earlier than anticipated or at short notice, while students are still studying on the course. For example, financial, governance or other difficulties may lead to the breakdown of a partnership arrangement between a delivery provider and the awarding partner.
121The ending of a partnership might lead to the closure of a course or campus. If this happens, providers will need to operate flexibly to support all students and to minimise the impact of the course, campus or provider closure on them.
122When a partnership ends unexpectedly students are likely to raise a number of concerns. We encourage providers in this situation to contact us to discuss how existing complaints, appeals and other internal processes may be adapted to take account of the new circumstances. Providers will need to operate flexibly.
123If a partnership ends suddenly because one partner has closed, it is likely to be appropriate for the provider that hasn’t closed to assume responsibility for responding to the students’ concerns. Where the provider that hasn’t closed is a member of our Scheme, it should issue Completion of Procedures Letters to students. The letter can explain whether the issue would usually have been the responsibility of the partner that has closed and set out what the provider has and hasn’t been able to do in the particular circumstances.
124Where a delivery provider is closing or withdrawing, it is good practice for the awarding provider to try to find alternative arrangements that enable students to complete a course that they expected to lead to its award (where the awarding partner is regulated, this is likely to be a regulatory requirement). In some cases, the students may be able to transfer to the awarding provider, or to another delivery partner.
125Where an awarding provider is closing or withdrawing, the delivery partner may be able to find another awarding provider to work with. It’s important to discuss this change with students and explain what the impact may be on the students’ experience and the award they will receive. Where it is not possible to replace the awarding provider with another, both providers need to work with the students to find suitable providers to transfer to.
126Where a partnership breaks down our starting point when reviewing complaints will be any relevant student protection plans, the agreement between the partner providers, the policies and procedures that implement that agreement, and any regulatory requirements the providers should follow. We will also take into account the information provided to the students.