Complaints scheme

What complaints does the OISC investigate?

The Office of the Immigration Services Commissioner (OISC) will investigate the following complaints against immigration advisers:

  • the competence or fitness of a person to provide immigration advice or immigration services
  • the competence or fitness of a person acting on behalf of a person providing immigration advice or immigration services
  • an alleged breach of the Code of Standards
  • an alleged breach of the Commissioner's Rules by a person to whom they apply
  • an alleged breach of a rule of a relevant regulatory body

The Commissioner has the power to initiate investigations about the issues listed above without a specific complaint being received.

Complaints Process

  1. A complaint is made to the OISC
  2. The OISC decides if the complaint is about an OISC regulated person and if it is 'relevant matter' (see the complaints scheme). If it is about a member of a Designated Professional Body (DPB), the OISC will pass the complaint to the DPB and the OISC will monitor it.
  3. The complaint is recorded and an enquiry starts
  4. The adviser is informed of the complaint and given an opportunity to respond
  5. Further enquiries are made
  6. The Commissioner considers all the evidence and determines if the complaint is upheld
  7. If the complaint is upheld, then the decision is recorded and there may be four possible outcomes:
    1. For registered advisers the decision is considered at the next application for re-registration
    2. Registered advisers may be required to re-apply for re-registration immediately
    3. Exempted organisations may have their exemption status removed
    4. For both registered and exempted advisers the OISC may lay a Disciplinary Charge before the Immigration Services Tribunal
  8. If the complaint is not upheld there may be two outcomes:
    1. No further action, the adviser and complainant are informed accordingly
    2. No formal action but the auditor may be notified and practice points may be issued

Find out more about the complaints process and the right of the complainant to appeal a decision.

The Commissioner's powers of entry into premises

The Immigration Services Commissioner and people authorised by the Commissioner in writing have the power to enter premises to investigate complaints about:

  1. the competence or fitness of a person to provide immigration advice or immigration services
  2. the competence or fitness of a person acting on behalf of a person providing immigration advice or immigration services
  3. alleged breaches of the Commissioner's Rules and/or Code of Standards

The Commissioner has the power:

  1. to enter premises without force at a reasonable time, to take copies of any document or information held on computer
  2. to take into the premises any equipment thought necessary

The Immigration Services Commissioner does not have power of entry:

  1. if the complaint alleges a breach of the Commissioner's Code of Standards by a person regulated by a Designated Professional Body or equivalent European Economic Area (EEA) regulatory body or the rules of that relevant regulatory body
  2. The Commissioner cannot enter a private residence

Find out more about the Immigration Services Commissioner's Powers and Duties.

Duties on the person who is the subject of a complaint

Any person who is the subject of a complaint must:

  1. comply with any reasonable requirement imposed on him/her by the Commissioner
  2. take such steps as are reasonably required to assist the Commissioner in their investigation

A registered or exempt person must:

  1. allow access to their premises (see the complaints scheme for more detail) for the investigation of any relevant complaint
  2. comply with the requirements of the Commissioner or their staff or agents when they are on those premises investigating a complaint
  3. not delay or obstruct the Commissioner or their staff or agents

Failure to comply with these duties without reasonable excuse may result in the Commissioner imposing sanctions up to and including the cancellation of registration or removal of exemption, or requesting that similar sanctions be imposed by the Immigration Services Tribunal.

Sanctions

On upholding a complaint, the Commissioner may apply the following sanctions:

  1. Where the complaint is against a registered person or persons employed by or under the supervision of a registered person, record the fact that the complaint has been made and the outcome of the investigation. This will then be considered if, and when, the registered person next applies for their registration to be continued.
  2. Where the complaint is against a registered person or persons employed by or under the supervision of a registered person, and the complaint is considered to be sufficiently serious to require immediate action, the registered person will be required to apply immediately for continued registration. The complaint and the matters raised during its determination will be taken into account in determining the application for continued registration.
  3. If the complaint relates to a person the Commissioner has granted a certificate of exemption, or is working for or under the supervision of an exempted person, consideration will be given as to whether the exemption should be withdrawn.
  4. With respect to any relevant person subject to a relevant complaint, other than those regulated by a professional body, the Commissioner can lay a disciplinary charge against them before the Immigration Services Tribunal. This would generally apply only to the most serious matters or where there is a history of complaints. 'Relevant person' includes all persons providing immigration advice or immigration services. This includes those who have been exempted by the Immigration Services Commissioner or are in a category of persons subject to a Ministerial Order under Section 84 (4) (d) of the Immigration and Asylum Act 1999.

If the complaint is made against a person who:

  1. is authorised to practise and regulated by a Designated Professional Body or works under the supervision of such a person
  2. is registered or authorised by a person in another EEA State, responsible for the regulation of the provision of such advice and services or exempted by them
  3. is authorised by a body in another EEA State, which is responsible for the regulation of legal services within that state
  4. is employed or supervised by someone regulated by a person or body within another EEA state

the Commissioner can refer the complaint and their decision to the relevant regulatory body as detailed in the section on Designated Professional Bodies (see Complaint scheme annex C).

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