The University of SydneyPage 1 Assessing the impact of parliamentary ombudsmen on administrative decisions in Australian universities 12th ENOHE Annual

The University of Sydney Page 1

Assessing the impact of parliamentary

ombudsmen on administrative

decisions in Australian

universities12th ENOHE Annual Conference

University Ombudsmen’s Pioneering Past, Confident Present, Challenging FutureInnsbruck, 28-30 May 2015

Patty Kamvounias


Overview

– Higher education in Australia– Ombudsmen and public universities: some statistics

– Number of complaints– Type/topic of complaints– Case studies

– Learning from complaints– Limitations in the research and the way forward


Australian higher education: a snapshot

– 40 Universities (37 public institutions and 3 private)– Other higher education providers– Department of Education - Higher Education Statistics

2013 Full year higher education student datatotal number of students = 1, 313, 776

• 75% domestic students • 92.5% enrolled at public universities

– https://www.education.gov.au/selected-higher-education-statistics-2013-student-data

– Costly (mix of full fee courses and government supported student places)

– large number of international students (mostly from non-English speaking backgrounds)

– competitive entry (especially for professional courses like law and medicine)


Dealing with student grievances and appeals: within universities– policies and procedures to deal with student disputes and misconduct

required by:Higher Education Support Act 2003 (Cth)Education Services for Overseas Students Act 2000 (Cth)

examples include rules/by-laws dealing with discipline and committees dealing with academic appeals, research misconduct etc

– office of the University Visitor (from 1994 to 2003, visitorial jurisdiction of Governor of each of the relevant states was abolished – now functions are ceremonial only)

– 12 universities have an ombudsman on campusFirst university ombudsman established in 1977 at UNE (University of New England) By 2000 there are 5: + UTS, LA Trobe, QUT, CQUBy 2015 there are 12: + CSU, Macquarie, Monash, RMIT, Southern Cross, Uni SA, Sunshine Coast


Dealing with student grievances and appeals: outside universities

– Courts and tribunals (State, Territory, Commonwealth level)

– NO single national ombudsman to deal with student complaints in Australia: contrast

– Parliamentary ombudsman (State, Territory, Commonwealth level): can investigate complaints about public institutions (from students, staff and others)

– Overseas Student Ombudsman (Commonwealth level):can investigate overseas student complaints about private institutions


Public sector ombudsmen in Australia’s federal system

6


Public universities in Australia

7

Western Australia

4

Queensland 7

Northern Territory

1

South Australia

3

Tasmania 1

New South Wales 10

Victoria 9

Australian Capital Territory/Commonwealth 1 + 1


Public sector ombudsmen

– can investigate student complaints about public institutions– have expressed concerns about the rising number of complaints

and the quality of university complaint handling– ESOS requires arrangements for independent external review

(usually state or territory ombudsman)– OSO refers international students in public institutions to relevant

state or territory ombudsman

– Public sector ombudsmen are required to submit annual reports to parliament– Research:

review all annual reports for the period 2004-2014 to ascertain and consider the number of complaints received about universities; the type of complaints; how the ombudsman responded and the outcome of the complaint process


How many complaints about universities?

212 217 211239

297

393

461508

635691 682

0

100

200

300

400

500

600

700

800

2003-4 2004-5 2005-6 2006-7 2007-8 2008-9 2009-10 2010-11 2011-12 2012-13 2013-14

Total number of complaints about universities received by the State, Territory and Commonwealth Ombudsman offices 2003-4 to 2013-14 (not including Victoria)


How many complaints about universities? Trend for 2 universities in the State of New South Wales

1513

10

4

9

20

8 8

24

27

32

5

0

31

11

2 3

7 6 7

17

0

5

10

15

20

25

30

35

2003-4 2004-5 2005-6 2006-7 2007-8 2008-9 2009-10 2010-11 2011-12 2012-13 2013-14

Number of complaints about the University of Sydney and the University of Technology Sydney received by the NSW Ombudsman office 2003-4 to 2013-14


How many complaints about universities? Trend for 2 States

87

55 60 5279

9481

104 112 113135

71 74 74

113130

182

262 270

333

367338

0

50

100

150

200

250

300

350

400

2003-4 2004-5 2005-6 2006-7 2007-8 2008-9 2009-10 2010-11 2011-12 2012-13 2013-14

Number of complaints about universities received by the Queensland and the NSW Ombudsman offices 2003-4 to 2013-14


Areas of complaint to Ombudsman Victoria:Annual Report 2009-10

981, 21%

747, 16%

596, 12%525, 11%

511, 11%

432, 9%

268, 6%

244, 5%

226, 5%215, 4%

Public prisons

Private prisons

VicRoads

Office of Housing

Child Protection

Universities

Hospitals

School Education

State Trustees Ltd

Universities

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2013-2014 Annual Report

631 complaints about universities mainly

from students

Topic of complaint:Enrolment

Fees and chargesAssessment and grades

Conduct of appeals


Types of complaints

Ombudsman Most common

Public sector Ombudsmen

Enrolment; admission; exclusion; academic assessment; unsatisfactory progress; examinations; academic misconduct; special consideration; fees and penalties; course information; complaint handling; personal information and privacy; student grievance; student records; transfer/release letters; employee grievance; human resource management issues

Overseas Student Ombudsman

Refunds and fee disputes; refusal of student transfer to another provider; report to DIBP for failing to meet attendance requirements and/or failure to meet course progress requirements


Case studies – complaints highlighted in annual reports (2004-2014)


Case studies – student complaints highlighted in annual reports (2004-2014)


What action can ombudsman take following investigation of a complaint?– When a complaint is sustained after investigation, ombudsman may

recommend that:– conduct be considered or reconsidered by the university– action be taken to rectify, mitigate or change the conduct or its

consequences– reasons be given for the conduct– any practice relating to the conduct be changed– compensation be paid

– Recommendations may be limited to individual complainant (individual redress) OR may include suggestions for university to improve processes to prevent further recurrence of similar conduct (influence administrative decision making processes; assist university to learn from mistakes and use complaints to improve decision making

– “fire-fighting” and “fire-watching”: Harlow & Rawlings (1984) Law and Administration ( London: Weidenfeld and Nicolson)

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What actions have ombudsmen recommended following investigation of a student complaint?– Apology– New investigation– Informal resolution of issues– Accept out of time application– Review and rewrite of policy and procedures– Reimbursement of fees – Conditional re-enrolment of student – Rehearing of appeal by new committee– Amendment to academic records– Clarification of information and policies made available to students– Training about procedural fairness for staff involved in appeals

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Learning from student complaints

– What are the messages in the ombudsmen’s case studies?– Communication– Information– Decision-making processes– Meeting individual needs– Record keeping– Managing complaints– Delay

– What principles can we extract from ombudsmen’s criticisms, commentary, suggestions and recommendations?


Principles drawn from analysis of case studies: what should universities do? Principle Action

Principle 1: communicate effectively with students

Communication should be:

accurate clear updated

-Clearly communicate decisions and grounds for decisions to students-Clearly communicate enrolment requirements and changes to course structure to students-Provide consistent advice about course requirements-Assist students from non-English speaking backgrounds to communicate effectively with the university (e.g. provide information on university website in different languages)-Advise students of conditions imposed on them should their performance fall below required standard-Give sufficient notice to allow students reasonable opportunity to address poor academic performance



Principle 2: provide appropriate information to students

Information should be:accurate clear adequate

-Ensure information on websites and in advertisements promoting courses is adequate, accurate and not misleading ( e.g. Information about entry requirements, course commencement dates, cost of courses, accreditation of courses)-Fully inform students of all circumstances they are entitled to reimbursement of fees and their rights to withdraw without financial penalty-Provide clear advice on any rules that apply ( e.g. Class attendance, deadlines for submitting supplementary assessments and consequences of late or non-submission)-Give full information about appeal rights and processes applying in a given case and used in reaching a decision



Principle 3: follow a proper decision making process

Decision makers should:consider all relevant mattersgive reasons provide explanations

-Give students opportunity to appeal decisions and information about appeals procedure-Provide full and proper reasons for decisions so students can understand decisions and effectively exercise review and appeal rights-Allow students opportunity to comment on and respond to any adverse material arising in course of investigation which formed basis of decision -Provide clear guidelines as to whether/when student will be invited to appear in person before appeals committee or whether can present a written submission-Give students opportunity to address issues causing poor performance and to withdraw without penalty



Principle 4: strive to meet individual needs of students

Decision makers should:exercise discretionconsider exceptional circumstances of individual

- Where appropriate, seek pragmatic solutions to student’s individual needs even when this requires deviating from existing practice/policy ( e.g. allow student to enrol in related degree; allow retrospective withdrawal from unit; accept out of time appeal; allow late payment of fees)

- Ensure policies/practices /decisions do not restrict ability to take into account individual circumstances

- Be alert to needs to students vulnerable through illness or disability and consider how mental health issues can be treated with appropriate sensitivity and confidentiality

- Exercise discretion when appropriate (e.g. ask examiners to consult each other on changes required for thesis to pass; allow student to continue enrolment when only one course needed to complete degree and enrolment cancelled due to unsatisfactory progress)



Principle 5: keep proper records

Records should be:AccurateRectified if not accurateRetained

- Maintain accurate records of student enrolment (and rectify records when necessary)

- Acknowledge and correct errors in results records- Retain records for appropriate time and do not

destroy records prematurely- Keep a written record of discussions with students

about the matters that have a significant impact on their interests



Principle 6:manage complaintsproperly

- Provide progress reports and final outcome for each complaint

- Provide students with information about how to complain within school/university and how to complain to Ombudsman

- Provide whistle blower with reasonable support and encouragement

Principle 7: act without unreasonable delay

- Avoid delay in appeals process- Improve timeliness when addressing complaints - Comply with own regulations in relation to time frames for

resolution of complaints- Be proactive in communicating with students in relation to

delays


Limitations in this study and the way forward

– Limitations– Small sample size: 58 case studies– Analysis of ombudsman publications only– Annual reports: available information is limited/brief (case study v

full investigation report); varied; incomplete across jurisdictions– Future research: what is needed?

– Detailed empirical enquiry: views of university officials and ombudsman staff ( in depth interviews; surveys)

– What was the effect of the ombudsman’s criticisms, commentary, suggestions and recommendations? Response from universities? ( no effect? limited effect? effective in driving improvement in complaint handling? catalyst for change?)


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For further information and [email protected]

Documents

The University of SydneyPage 1 Assessing the impact of parliamentary ombudsmen on administrative decisions in Australian universities 12th ENOHE Annual