We usually need to ask the higher education provider for information about the complaint when we are reviewing it. We expect providers to give us the information we ask for – without it, it is difficult if not impossible for us to fairly review the complaint. Although we try to be flexible with our deadlines when we can, delays in providing the information we ask for can hold up our review and be distressing for the student.
If we decide that the complaint is Justified or Partly Justified we normally make Recommendations to the provider. We expect the provider to comply with our Recommendations promptly, and this is important to give confidence to students who complain to us. Asking providers to comply with our Recommendations - and checking that they have done so – is one of the ways that we help improve policies and practices in higher education providers.
We expect providers to help us with the administration of our review of Large Group Complaints. Without this help it would be very difficult to manage large groups effectively.
What happens if a provider doesn’t comply with our request for information?
When we ask for information during our review we try to make sure that our requests are proportionate to the individual complaint. We will normally set a deadline within which to respond. The provider can contact us if it is unsure why we have asked for something or has concerns about what we have asked for, or to ask for more time to respond. We may be able to agree to the provider giving us the information we need in a different way, for example, by giving us an extract from a document instead of the whole document.
If a provider has not given us the information we have asked for by the deadline we have set, and has not been given more time, we will contact the provider to ask for the outstanding information.
Stage 1 – formal warning
If the provider doesn’t respond or provide the information requested we will write to the provider setting a new deadline and warning that if we don’t receive the information that we have asked for by that date, we may review and decide the complaint on the basis of the information we have.
If we don’t have enough information to continue with our review and if the provider still does not send us the information we have asked for we will write to the provider warning that if it does not provide the information we will report that to our Board. We will send a copy of this letter to the Vice Chancellor, Principal, Chief Executive or equivalent.
We may make a Recommendation that the provider should pay compensation to the student in relation to any delays caused because it did not respond within a reasonable timeframe to our requests for information.
Stage 2 – decision that the provider has not complied (Rule 12.6)
If the matter is not resolved at stage 1, the Independent Adjudicator will consider the case and decide whether the provider has complied with our request for information. If it has not, the Independent Adjudicator will write to the Vice Chancellor, Principal, Chief Executive or equivalent giving a final opportunity to respond. A copy of this letter will normally be sent to the Chair (or equivalent) of the provider’s governing body.
If the provider still does not give us the information we have asked for, or if at any time the provider tells us that it is refusing to give us the information or can’t do so without good reason, we will record that as a failure to comply with our request for information, even if the provider gives it to us at a later date.
Stage 3 – reporting non-compliance
When the Independent Adjudicator has decided that the provider has not complied with our request, they will inform the Chair of our Board, who will normally inform the Chair (or equivalent) of the provider’s governing body that the failure to comply will be reported to our Board.
When we have decided that a provider has not complied with our request for information we will give an account of the provider’s actions in our Annual Report. This will include any steps taken by the provider to provide the information we have requested after a report to our Board has been made. We also include information about compliance and timeliness in the provider’s Annual Statement, and we may report it elsewhere.
If a provider does not respond to our request for information and we decide this indicates concerns about systemic issues we may share information about the case or cases with the Office for Students, the Higher Education Funding Council for Wales, and/or other relevant bodies.
What happens if a provider doesn’t comply with our Recommendations?
Providers and students have the opportunity to comment on the practicalities of the Recommendations we propose to make before they are finalised. We set a timeframe for the provider to comply with our confirmed Recommendations and we ask it to send us copies of its offer letter to the student, and tell us what it has done to comply with any good practice Recommendations we have made.
Once we are satisfied that a provider has complied with our Recommendations, we will confirm this to the provider and (where appropriate) to the student.
Providers and students can ask us to reopen our review in certain circumstances and, if we agree to do that, then any Recommendations we have made will usually be put on hold until we have completed a further review of the complaint.
We will contact the provider if it hasn’t told us that it has complied with our Recommendations, or if it looks as if it has not complied fully, by the deadline we have set. We will set out any outstanding issues and may set a new deadline.
Stage 1 – formal warning
If there is no satisfactory response, we will write to the provider warning that if it does not comply with our Recommendations then we will report that to our Board and in our Annual Report. We will send a copy of this letter to the Vice Chancellor, Principal, Chief Executive or equivalent.
Stage 2 – decision that a provider has not complied (Rule 14.10)
If the matter is not resolved at stage 1, the Independent Adjudicator will consider the case and decide whether a provider has complied with our Recommendations. If it has not, the Independent Adjudicator will write to the Vice Chancellor, Principal, Chief Executive or equivalent giving a final opportunity to respond. A copy of this letter will normally be sent to the Chair (or equivalent) of the provider’s governing body.
If the provider still does not comply, or if at any time the provider tells us that it is refusing to comply, we will record that as a failure to comply, even if the provider complies at a later date.
Sometimes, even though it appeared at the time that the provider had complied with our Recommendations, it comes to light at a later date that the provider has not complied fully. For example, a student may complain to us about the outcome of a process following our Recommendation that the provider should rerun that process. We might conclude that the provider did not comply fully with our Recommendations on the student’s original complaint when we are reviewing the new complaint. If that happens we will write to the provider to explain that it has not complied with our Recommendations on the first complaint.
Stage 3 – reporting non-compliance
When the Independent Adjudicator has decided that the provider has not complied, they will inform the Chair of our Board, who will normally inform the Chair (or equivalent) of the provider’s governing body that the failure to comply will be reported to our Board.
When we have decided that a provider has not complied with our Recommendations we will give an account of the provider’s actions in our Annual Report. This will include steps taken by the provider to comply with Recommendations after a report to our Board has been made. We also include information about compliance in the provider’s Annual Statement, and we may report it elsewhere.
If a provider does not comply with our Recommendations and we decide this indicates concerns about systemic issues we may share information about the case with the Office for Students, the Higher Education Funding Council for Wales, and/or other relevant bodies.
What happens if a provider persistently delays in complying with our requests for information or Recommendations?
If a provider persistently delays in providing information we have asked for or complying with our Recommendations that can indicate that there is a problem with the provider’s administration.
Where there is a pattern of delays we will talk to the provider about our concerns and give it the opportunity to improve its processes. If it doesn’t, then the Independent Adjudicator may decide to report this to our Board and in our Annual Report. We include information about compliance and timeliness in the provider’s Annual Statement.
If we decide the provider’s interactions with us indicate concerns about systemic issues we may share information about this with the Office for Students, the Higher Education Funding Council for Wales, and/or other relevant bodies.
What happens if a provider doesn’t help us with the administration of our review of a Large Group Complaint? (Rule 14, Additional Rules for Large Group Complaints)
In some circumstances, where the provider has discussed the existence of a Large Group Complaint with us before it issues a Completion of Procedures Letter, we may ask the provider to include some specific information in the letter, for example, a link to a special Complaint Form for the Large Group Complaint. We may also ask the provider to send information to students who are likely to have been affected by the issue.
We will contact a provider if it has not done something we have asked it to do to help with the administration of a Large Group Complaint, by the deadline we have set. We may set a new deadline.
If the provider doesn’t help us in this way we may decide to follow the same process we follow where a provider doesn’t respond to our requests for information.
If a provider does not comply with our Recommendations on a Large Group Complaint, we may decide to follow the same process we follow where a provider doesn’t comply with Recommendations made on an individual student’s complaint.
Last updated August 2021