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England and Wales High Court (Administrative Court) Decisions |
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You are here: BAILII >> Databases >> England and Wales High Court (Administrative Court) Decisions >> Maxwell, R (on the application of) v The Office of the Independent Adjudicator & Anor [2010] EWHC 1889 (Admin) (23 July 2010) URL: http://www.bailii.org/ew/cases/EWHC/Admin/2010/1889.html Cite as: [2010] ELR 637, [2010] EWHC 1889 (Admin) |
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QUEEN'S BENCH DIVISION
ADMINISTRATIVE COURT
Strand, London, WC2A 2LL |
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B e f o r e :
____________________
The Queen on the application of Shelley Maxwell |
Claimant |
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- and - |
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The Office of the Independent Adjudicator -and- The University of Salford |
Defendant Interested Party |
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Sam Grodzinski (instructed by E J Winter & Son) for the Defendant
Hearing dates: 6 and 7 July 2010
Judgment: 23 July 2010
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Crown Copyright ©
Mr Justice Foskett:
Introduction
The OIA
6.1 The Reviewer will carry out a review of the complaint to decide whether it is justified in whole or in part.
6.2 The review will normally consist of a review of documentation and other information and the Reviewer will not hold an oral hearing unless in all the circumstances he or she considers that it is necessary to do so.
6.3 The normal method of dealing with a complaint will be as follows:
6.3.1 once a complaint has been accepted the Reviewer will send a copy to the relevant HEI for its comments and the Reviewer may also require the HEI to respond to specific questions and requests for information;
6.3.2 the response of the HEI to the complaint will then be sent to the complainant to allow the complainant to comment on it;
6.3.3 if the Reviewer considers it necessary further investigation or enquiries will be made;
6.3.4 prior to issuing a Formal Decision the Reviewer will (unless the Reviewer considers it unnecessary to do so) issue a draft decision (and any draft recommendations) in order to give the parties the opportunity to make representations as to any material errors of fact they consider have been made.
6.4 The parties shall comply promptly with any reasonable and lawful request for information the Reviewer may make relating to the review.
6.5 The Reviewer shall not be bound by legal rules of evidence nor by previous decisions of the OIA.
6.6 Notwithstanding the above the Reviewer may at any time seek to achieve a mutually acceptable settlement of a complaint (including, with the consent of the parties, through the appointment of a mediator) whenever he or she considers it appropriate.
6.7 The Reviewer may terminate or suspend consideration of a complaint, and/or make a Formal Decision based on information currently available, as he or she considers appropriate, if it appears to the Reviewer that,
6.7.1 the HEI has satisfactorily dealt with the complaint;
6.7.2 the complaint would be better considered in another forum;
6.7.3 there are proceedings taking place within the HEI or elsewhere which may be relevant to the complaint; or
6.7.4 a party has unreasonably delayed or has otherwise acted unreasonably.
7.1 The Reviewer will issue a Formal Decision, and any Recommendations the Reviewer decides to make, to the complainant and the HEI as soon as is reasonably practicable.
7.2 The Formal Decision and any Recommendations shall be in writing and contain reasons for the Formal Decision and for any Recommendations.
7.3 In deciding whether a complaint is justified the Reviewer may consider whether or not the HEI properly applied its regulations and followed its procedures, and whether or not a decision made by the HEI was reasonable in all the circumstances.
7.4 The Reviewer may, where the complaint is justified in whole or in part, make Recommendation(s) that the HEI should do something or refrain from doing something. Those Recommendation(s) may include, but not be limited to, the following:
7.4.1 that the complaint should be referred back to the HEI for a fresh determination because its internal procedures have not been properly followed in a material way;
7.4.2 that the complaint would be better considered in another forum;
7.4.3 that compensation should be paid to the complainant, including, at the Reviewer's discretion, an amount for inconvenience and distress;
7.4.4 that the HEI should take a course of action that the Reviewer considers to be fair in the circumstances;
7.4.5 that the HEI should change the way it handles complaints;
7.4.6 that the HEI should change its internal procedures or regulations.
7.5 The OIA expects the HEI to comply with the Formal Decision and any accompanying Recommendations in full, and in a prompt manner.
7.6 Where Recommendations require the HEI to take a particular course of action it should do so within the time scale stipulated or, where no time scale is indicated, as soon as is reasonably practicable. The HEI shall, if requested, report to the Reviewer on such compliance.
7.7 Any non-compliance by an HEI with a Recommendation will be reported to the Board and publicised in the Annual Report.
Judicial review
"49 I have no difficulty in concluding that OIA is amenable to judicial review:
(a) Though it is not necessarily determinative, the entire procedure for dealing with student complaints about the decisions of HEIs is set up by statute. That is an important aspect.
(b) The Secretary of State (and the Assembly in Wales), may designate a body corporate as the designated operator for review of student complaints (Section 13 of the 2004 Act).
(c) OIA has been so designated.
(d) The body must not be designated unless the designating body is satisfied that it is providing a scheme for the review of qualifying complaints that meets conditions set out in Schedule 2 to the Act (Section 13(3)).
(e) The designated operator must comply with duties set out in Schedule 3 (Section 14).
(f) The governing body of every qualifying institution must comply with any obligation imposed on it by the scheme (Section 15(1)). There is a strong public element and public interest in the proper determination of complaints by students to HEIs.
(g) The range of potential complaints is broad and the function contemplated for OIA cannot be categorised merely as regulating contractual arrangements between student and HEI.
50 The designated operator should, in my view, be subject to the supervision of the High Court. The wish of OIA, which I readily accept to be genuine and well-intentioned, to be free from supervision should not be upheld. Its aspiration to be an informal substitute for court proceedings is not inconsistent with the presence of supervision by way of judicial review. OIA's decisions, will, it is to be hoped and expected, be based on fairness and a consideration of higher education practices … but I do not see that impeded by the existence of a limited remedy in the courts if OIA has exceeded its powers or acted in a manner inconsistent with the Statute under which it operates. However well-intentioned, an important scheme available to resolve a wide range of disputes affecting HEI's and the large number of students who attend them should not be free from that supervision. For it to become a law unto itself would not achieve the statutory intention.
51 The nature and extent of that review must, however, be based on the nature of the Scheme, the duty involved and the powers exercised. Schedule 2 of the Act does not require that the duty to review complaints be exercised in any particular way. The duty is to make a decision as to the extent to which a complaint is justified. The degree and manner of supervision to be exercised by the court will vary from institution to institution and from statutory scheme to statutory scheme (R v Parliamentary Commissioner for Administration Ex Parte Dyer [1994] 1 WLR 621, at 626).
…
55 It is neither necessary, nor appropriate for present purposes, to say more by way of generality. The Statute leaves OIA with a broad discretion. Decisions may, however, be challenged where, for example, there have been breaches of the rules of natural justice, by way of bias or relevant procedural injustice, or where there has been such scant or inappropriate consideration of a complaint that what had occurred could not fairly be described as a review.
56 In its decision on complaints, OIA is expected to follow rational and fair procedures and to give adequate reasons for its decisions and recommendations. Thus the procedures followed and the decision letters which emerged can properly be scrutinised with that object in mind."
"73 That decisions under the Scheme are amenable to judicial review is plain from the statutory context within which the Scheme has been established and the nature of the function being performed by the OIA in reviewing qualifying complaints against HEIs. The concession that judicial review would lie in a case of bias or other procedural unfairness was inevitable; but there is no principled basis for drawing a line at procedural unfairness and not accepting the availability of judicial review to correct other legal errors in the decision-making process.
74 The OIA's concern that the availability of judicial review will impair the efficient operation of the Scheme by introducing undue formality and legalism is misplaced. The number of cases in which an application for judicial review could get past the permission stage is likely to be very small. There is a broad discretion under the Scheme as to how the review of a complaint will be carried out (see below). The decision whether a complaint is justified involves an exercise of judgment with which the court will be very slow to interfere. A complainant dissatisfied with the OIA's decision will often have the option of pursuing a civil claim against the HEI, which may well be an appropriate alternative remedy justifying in itself the refusal of permission to apply for judicial review of the OIA's decision. In the present case, permission was granted only because certain issues of general principle were raised. In the ordinary course a case of this kind could be expected to have little chance of getting through the permission filter.
75 The core requirement under paragraph 6.1 of the Scheme to "carry out a review of the complaint to decide whether it is justified in whole or in part" does not prescribe the form that such a review is to take. Nor does paragraph 7.3 of the Scheme, which is in permissive terms. A review of the kind contemplated by paragraph 7.3, under which the reviewer considers "whether or not the HEI properly applied its regulations and followed its procedures, and whether or not a decision made by the HEI was reasonable in all the circumstances", is entirely consistent with paragraph 6.1 and with the purpose of the Scheme. But so too is a more intensive form of review, involving an enquiry de novo and a fresh decision on the merits. Which of those approaches to take, or whether to take some middle or different course, is a matter of discretion. In this, as in other matters, little assistance is to be derived from reference to the former jurisdiction of the university visitor, which the statute abolished. The Scheme represents a new approach to the review of qualifying complaints and is not intended to replicate the old system."
"However, it does not follow that the procedures and decisions of the OIA are to be treated as if it were a judicial body or that every complaint must be investigated in the same way. The nature and seriousness of complaints referred to the OIA is likely to vary widely and is therefore likely to call for a variety of different approaches. I am unable to accept, therefore, the submission that in every case the OIA is bound to examine the underlying merits of the dispute and cannot properly limit itself to a review of the decision which has given rise to the complaint. It is for the OIA in each case to decide the nature and extent of the investigation required having regard to the nature of the particular complaint and on any application for judicial review the court should recognise the expertise of the OIA and is likely to be slow to accept that its choice of procedure was improper. Similarly, I should not expect the court to be easily persuaded that its decision and any consequent recommendation was unsustainable in law."
The nature of the OIA
" … I think it is clear that the purpose of the Act was to create a system under which students at higher education institutions could take complaints quickly and with a minimum of expense to a central body for consideration by people with experience of the world of higher education in order to obtain a speedy decision on the merits of their grievances and, where necessary, an appropriate solution without the need to resort to formal proceedings, whether within the institutions themselves or through the courts. The Act therefore contemplates that the designated operator, currently the OIA, will be performing a public function, albeit not one that involves the determination of the legal rights and obligations of the parties involved in the complaint. As such it cannot be equated to a body established by one or more institutions to act as an arbitrator, mediator or conciliator in a purely private capacity. Moreover, I do not think that there can be any doubt that Parliament intended the designated operator to undertake a fair and impartial investigation into the complaint in each case and to reach a conclusion based on the materials before it, while drawing on its own experience of higher education …."
"8. We who act on behalf of the OIA regard the Scheme as a true alternative system to the courts. This is because students may make complaints to the OIA under the Scheme about any act or omission of an HEI, except any act or omission relating to the exercise of academic judgement (which is specifically excluded from the Scheme by section 12(2) of the HEA 2004). Many of those complaints could be taken to the courts, but students choose to come to us because we offer a speedy, user-friendly and free service and because our decisions are based on fairness and a consideration of higher education practices rather than legal rights. If a student does not accept the determination of a complaint under the Scheme, then he or she is free to seek a remedy by going to the courts.
9. Furthermore, the solutions which we offer are tailored to the needs of complainants and the industry. For example, we may suggest an apology or an explanation, or we may recommend that an HEI changes the way it does something. These are remedies that the courts may not be able to offer. Examples of recommendations that reviewers acting on behalf of the OIA have made include these:
(1) that an HEI should review student accommodation licences for unfair terms;
(2) that an HEI panel should re-consider an academic appeal as a result of following unfair procedures and should pay compensation for stress and inconvenience caused;
(3) that an HEI's reasonable adjustments in respect of a student with dyslexia were inadequate, and that the student should be allowed to re-take an examination; and
(4) that an HEI should apologise to a student for the HEI's delay in dealing with a complaint.
10. We explain to students that there is no need for them to engage the services of a lawyer, and that our own staff make every effort to help would-be complainants in telephone enquiries (of which we would receive around 1000 per year) or in the handling of the complaints which they make under the Scheme. Many of those enquiries might otherwise be directed to the HEIs. In this regard we share some of the characteristics of a conciliation or alternative dispute resolution service. We believe that this is what Parliament had in mind when permitting (by section 19 of the HEA 2004) complainants an additional two months to take a discrimination case to the courts, following a referral to the Scheme.
11. In our experience, the mere possibility of judicial review causes delay and expense. The OIA deals with over 500 complaints a year, all of which will have already been subject to the rigours of an HEI's own internal complaints procedures. Students and HEIs need to have complaints reviewed swiftly without excessive formality or legalism so that the parties can move on. Sometimes all that is necessary for a student who has a belief that an HEI has in some way acted wrongly is to have that belief vindicated. On some occasions, such vindication could not be achieved if the reviewers of complaints under the Scheme were bound to apply only legal principles. On other occasions, the Scheme as it stands and as it is operated by the OIA provides such a sense of vindication at no costs to the complainant and at minimal cost to the HEI, so avoiding the need for the student to spend much money in challenging the HEI in legal proceedings."
"The OIA does not consider itself to be a free alternative to the courts, nor is it appropriate for us to be so. We are an alternative dispute resolution (ADR) scheme offering an informal, independent and (generally) speedy route for students to air their complaints …."
The Claimant's case
(i) The appropriateness and speed of implementation of the adjustments necessary to meet the Claimant's disability in the light of the information available.
(ii) The quality of services provided by certain individuals within the University.
(iii) The accuracy of some information provided by the Equality and Diversity Office in relation Stage 2 of the Claimant's complaint.
(iv) Communication between and integration of the efforts of various parts of the University and the Access report on the Claimant's needs.
"On balance I feel that the university is responsible for some of the things that went wrong for you in the session 2004/05. We were aware of your needs from August 2004 and, although we would not have known that an assessment of need had been carried out until we received the report, we could have done more to put measures in place from an early stage. The delay in implementing arrangements affected in part your ability to gain access to lecture material. You had some access to this material at this time through attendance at lectures, recordings of lectures and notes from the web. Later you had access to notes taken by note takers and eventually to some transcribed material. I accept that you did not have the appropriate level of access to the lecture material. The delay in the assessment of need did not affect your access to other course material such as books and journals, although it may have had an impact on your ability to make notes from these sources. I accept too that your attempts to find the solution that suited you best in dealing with the lecture material may have affected the effort that you could devote to other forms of learning. I understand that you did not submit any material for assessment or sit any exams. It is impossible to know what results you would have obtained if you had done so, or to gauge the impact of a paucity of lecture notes on any result that you might have obtained."
"… She says that the University had accepted that it was responsible for some of the things which went wrong during 2004/5. However, she also notes that she does not think that it is acceptable that it has agreed to only meet the tuition fees for repeating level 1. She says that she had now developed Irritable Bowel Syndrome due to the University's failure to meet her needs and could not return to the University at present. She will therefore have lost 2 years of her University career. She had now lost the opportunity of certain State benefits which she was relying on to help fund her through University. She had also taken a Student Loan of £4,000 and received a grant of £2500 due to the fact that she was a student with dependent children, which would no longer be available to her. In addition she would now be liable for fees of £3000 p.a. ....
... In conclusion, Ms Maxwell states that the remedy offered by the University is totally unacceptable".
"The issue of whether Ms Maxwell was discriminated against or was treated less favourably by the University on the basis of her disability was not raised by her at any stage of the University's Complaints Procedure, and is not subject to the Completion of Procedures letter. Accordingly, this review has not considered the question of discrimination. It has however, taken into account the question of discrimination in considering whether the University followed its procedures correctly and whether its decision was reasonable".
"In considering issues related to disability discrimination the OIA does not act as a court. It does not investigate in the same manner as a court, nor make findings which are based on the supposition as to what a court might have done in the same case. However, it is appropriate for the OIA to refer to the law and guidance on disability discrimination to form an opinion as to best practice and to decide whether the University has acted fairly."
"Following the issue of the draft decision, both parties wrote to us, noting that discrimination had formed part of the Claimant's complaint to the University and to us, and should be included in the scope of our review. The complaint file was reviewed again at the Formal Decision stage in accordance with our usual practices, and we realised that paragraph 37 was inaccurate and self-contradictory. It was therefore deleted. Along with other amendments, a sentence was added to paragraph 33, "This Decision does not make findings about disability discrimination". Our substantive findings and recommendations were not changed. It is not uncommon for the OIA to make changes at the Formal Decision stage: that is the purpose of the further review, following the issuing of the draft."
"In considering the issues related to disability discrimination the OIA does not act as a court. It does not investigate in the same manner as a court, nor make findings which are based on the supposition as to what a court might have done in the same case. However, it is appropriate for the OIA to refer to the law and guidance on disability discrimination to form an opinion as to good practice and to decide whether the University has acted fairly. This Decision does not make findings about disability discrimination."
The substance of the Claimant's case
"In reviewing complaints, we do not determine questions of law or civil liability. Our role is to decide whether a student's complaint is justified; it is not to determine whether an HEI has breached a statutory obligation. That would be a matter for the relevant court to decide. The decisions which we issue are reasoned, but do not amount to formal judgments and do not generally set out legal arguments and case law."
"If the OIA made a finding based on disability discrimination this would have helped planning future academic study and when I start to seek employment. I would redeem my self-worth by having the university face up to their errors. It would make me feel that I deserve the opportunity to further my education and secure future prospects. Having a piece of paper which states disability discrimination took place would help enormously when I approach prospective employers in the future. It would help to explain the gaps in my educational record and in particular the length of time it took between the completion of my studies and my seeking employment."
The submissions on the legal framework
"(2) If, in relation to proceedings or prospective proceedings under section 28V –
(a) the dispute concerned is referred for conciliation in pursuance of arrangements under section 31B before the end of the period of six months mentioned in sub-paragraph (1), or
(b) in England and Wales, in a case not falling within paragraph (a), the dispute concerned relates to the act or omission of a qualifying institution and is referred as a complaint under the student complaints scheme before the end of that period,
the period of six months allowed by sub-paragraph (1) shall be extended by two months."
(a) the need to eliminate discrimination that is unlawful under this Act;
(b) the need to eliminate harassment of disabled persons that is related to their disabilities;
(c) the need to promote equality of opportunity between disabled persons and other persons;
(d) the need to take steps to take account of disabled persons' disabilities, even where that involves treating disabled persons more favourably than other persons;
(e) the need to promote positive attitudes towards disabled persons; and
(f) the need to encourage participation by disabled persons in public life.
The practical framework from the OIA's perspective
" … The OIA's procedures are informal and the review is usually based on written representations by the parties. Students do not need to appoint legal representatives because of the informality of our procedures and the inquisitorial nature of our approach …
…
Our casehandlers have a thorough understanding of the law and guidance on disability discrimination which enables them to form an opinion on good practice and whether an HEI has acted reasonably. We provide training on induction on discrimination law in general, and disability discrimination in particular, and it forms part of our on-going training programme. Since our inception we have received training from SKILL: the National Bureau for Students with Disabilities; the Equality Challenge Unit; the National School of Government; a university disability officer; and several barristers specialising in disability law. Members of staff have attended external training events on the Disability Equality Duty, the Single Equality Scheme and the approach taken by other ombudsman-type organisations to discrimination complaints. We hold our own workshops, with internal and external speakers, on discrimination issues.
If the Court decided that we were obliged to make determinations of discrimination, that would require a substantial change to our approach:
1. The parties' representations would have to become more like legal pleadings and we would need to seek legal submissions on the issue. It would be difficult for students to make such submissions without the benefit of legal advice or representation.
2. We might have to hold hearings to take witness evidence and allow the cross examination of witnesses so that we could determine questions of fact. We have the power to hold oral hearings where we consider it is necessary to do so (rule 6.2). In practice, we have not found it necessary to hold an oral hearing because we have been able to determine whether or not the complaints we have reviewed so far are justified from our consideration of the evidence submitted in writing (or where appropriate by telephone) under our inquisitorial procedures. If we were required to hold an oral hearing in each of the complaints where issues of discrimination were raised that would have a significant impact on our resources – both in terms of staffing and physical premises.
3. Our approach would have to be considerably more legalistic and less informal. Our decisions would have to become more like legal judgments, citing the appropriate case law and arguments."
The position taken on jurisdiction by the OIA
"The decision under challenge did not assert that the OIA had no power to make a formal determination on whether there has been discrimination contrary to the DDA. The OIA's straightforward position was and remains that it is neither necessary nor appropriate for it to make such a determination."
Discussion
Conclusion