Annex 1: Useful resources and document references
Commission for Tertiary Education and Research (CTER), Wales
Competition and Markets Authority: Higher education: consumer law advice for providers and students
Education Act 1994 (Section 22)
Higher Education Funding Council for Wales
Office for Students
OIA Completion of Procedures Letters
OIA glossary
OIA Good Practice Framework - Delivering learning opportunities with others
OIA Good Practice Framework – Disciplinary procedures
OIA Good Practice Framework – Fitness to practise
OIA Good Practice Framework - Requests for additional consideration
OIA Good Practice Framework - Supporting disabled students
OIA Guidance on the Rules
OIA Putting things right
OIA Signposting students to our Scheme
Ombudsman Association
Scottish Public Services Ombudsman: The Model Complaints Handling Procedures
Universities UK – Changing the culture: sharing personal data in harassment cases
Annex 2: Glossary
Academic appeal - For the purpose of this Framework an academic appeal is a challenge to or request for reconsideration of a decision by an academic body that makes decisions on student progress, assessment and awards. This may include a request to change marks or progress decisions, or final award classifications.
Complaint - For the purpose of this Framework a complaint is "an expression of dissatisfaction by one or more students about something a provider has done or not done, or about the standard of service provided by or on behalf of the provider". A complaint can be about any aspect of student life, for example about teaching and learning opportunities, assessments, the behaviour of other students or staff members, facilities, equipment, and support, advice and accommodation services, whether delivered directly by the provider or by another person or organisation on behalf of the provider. Where a student wishes to challenge an academic decision this is not normally handled as a complaint.
In line with the language of the Higher Education Act 2004, all submissions to the OIA are called "complaints" whether they relate to a complaint or an academic appeal.
Completion of Procedures Letter (often referred to as a COP Letter) - A Completion of Procedures Letter is a letter which a provider sends to a student when they have reached the end of the provider’s internal processes, whenever there is no further avenue for the student internally. Normally a student can’t complain to us without a COP Letter. We must receive a student’s Complaint Form within 12 months of the date of the Completion of Procedures Letter. For example, if the Completion of Procedures Letter is dated 1 January 2022, we must receive the Complaint Form by 1 January 2023.
Concerns - In this Framework "concern" means an issue, query or request for clarification that is raised locally by a student or students.
Conciliation - In conciliation, as in mediation, an independent person (the conciliator) tries to help the people in dispute to resolve their problem. The process is voluntary and confidential. The conciliator should be impartial and should not take sides. The people in dispute are responsible for deciding how to resolve the dispute, not the conciliator. In some conciliation, the conciliator gives an opinion about what is a reasonable resolution.
Exceptional circumstances - This Framework describes the processes that should usually apply in higher education providers. In exceptional circumstances it may be appropriate to follow different procedures, for example, where it would be very unfair to the student, or the student’s safety might be at risk, if the procedure is applied strictly. Providers should look at cases individually to see whether there might be exceptional circumstances.
Former student - Students should have access to their provider’s procedures for a reasonable period after their studies have concluded or been terminated. Providers’ regulations should set out how long a student has after leaving the provider to bring a complaint or academic appeal, and in what circumstances other procedures, such as disciplinary or fitness to practise processes, might apply to them after they have left the provider.
Governing body (or equivalent) - The governing body of a provider is sometimes known as either the board of governors or council. The governing body or its equivalent, is responsible for overseeing the provider’s activities, deciding its future direction, and fostering an environment in which the provider’s mission is achieved.
Learning opportunities - Learning opportunities refers to how a provider makes its programmes of study available to learners including all modes, levels and places of study.
Mediation - Mediation is a process that is voluntary and confidential. An impartial third party (the mediator) helps people with a dispute to try and reach an agreement. The people with the dispute, not the mediator, decide whether they can resolve their issues, and what the outcome should be. Mediation follows a series of rules or steps that are agreed in advance.
Requests for additional consideration – Students are sometimes taken ill before or during an exam or assessment deadline, or their performance is affected by other unexpected events that are beyond their control. Students are generally able to ask their higher education provider to take these circumstances into account. Most providers in England and Wales have a formal process for this, often called the “mitigating”, “extenuating” or “special circumstances” procedures, or “factors affecting performance”.
Ombudsman – An ombudsman is an independent service that investigates and resolves complaints. Ombudsman schemes are free to use and impartial in their investigations – so they don’t take sides. They make decisions based on what is fair. As well as providing redress for an individual, an ombudsman also identifies any systemic issues and provides feedback to help improve services and complaint handling.
Companies House criteria to register a company name or use a business name with the title "ombudsman" (from 7 April 2015, if not a statutory body) are that it should:
- be certified as a provider of Alternative Dispute Resolution by a competent authority;
- be an Ombudsman Member of the Ombudsman Association;
- have a proven track record in dispute resolution in the relevant sector (normally at least 12 months).
Procedural irregularity - A procedural irregularity is where the procedures and regulations of a provider have not been complied with, giving rise to a complaint or appeal.
Professional, statutory and regulatory body (PSRB) - Professional, statutory and regulatory bodies (PSRBs) are authorised to accredit, approve or recognise specific programmes and courses of study leading to the qualifications of various industries and professions.
Provider – The Framework uses the term "provider" to refer to any higher education provider in England or Wales that is a member of the OIA.
Reasonable adjustments - Under the Equality Act 2010, where a disabled person is at a substantial disadvantage in comparison with people who are not disabled, there is a duty to take reasonable steps to remove that disadvantage by
- changing provisions, criteria or practices;
- altering, removing or providing a reasonable alternative means of avoiding physical features; and
- providing auxiliary aids.
SCITT – Provider of School-Centred Initial Teacher Training.
Student - The term student includes those taking a course of study, including initial teacher training trainees studying at a SCITT and higher education apprentices. It includes those on an interruption of study, temporary withdrawal or temporary exclusion or suspension and those who have recently left a provider.
Student experience - The student experience refers to all the ways a student interacts with the provider during their course of study. It includes but is broader than the student’s learning opportunities.
Student representative body - Student representative bodies, including students' unions, come in all shapes and sizes. They play an important role in supporting students who are unhappy with something they have experienced. Sometimes they can help students and providers to resolve an issue without formal complaints being made. Or they may provide advice or support to a student going through a formal process, sometimes acting as an adviser or representative. Most work with providers to develop and improve regulations and procedures using learning and insights gained from advising and representing students in complaints and appeals. Providers should support and where possible fund student representative bodies so that they can provide this service.
Providers have specific responsibilities for students’ unions which are set out in section 22 of the Education Act 1994.
Student’s representative - An individual who is authorised by a student to act on the student’s behalf through the provider’s processes.
Annex 3: Overview of complaints and appeals processes
Annex 3: Overview of complaints and appeals processes
PDF, 85Kb
Atodlen 3: Trosolwg o’r broses ar gyfer cwynion ac apeliadau
[Cymraeg]
PDF, 44Kb
