Post on 21-Dec-2015
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
The University of Sydney Page 2
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
The University of Sydney Page 3
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)
The University of Sydney Page 4
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
The University of Sydney Page 5
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
The University of Sydney Page 6
Public sector ombudsmen in Australia’s federal system
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The University of Sydney Page 7
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
The University of Sydney Page 8
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
The University of Sydney Page 9
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)
The University of Sydney Page 10
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
The University of Sydney Page 11
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
The University of Sydney Page 12
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
The University of Sydney Page 13
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
The University of Sydney Page 14
Case studies – complaints highlighted in annual reports (2004-2014)
The University of Sydney Page 15
Case studies – student complaints highlighted in annual reports (2004-2014)
The University of Sydney Page 16
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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The University of Sydney Page 17
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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The University of Sydney Page 18
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?
The University of Sydney Page 19
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
The University of Sydney Page 20
Principles drawn from analysis of case studies: what should universities do? Principle Action
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
The University of Sydney Page 21
Principles drawn from analysis of case studies: what should universities do? Principle Action
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
The University of Sydney Page 22
Principles drawn from analysis of case studies: what should universities do? Principle Action
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)
The University of Sydney Page 23
Principles drawn from analysis of case studies: what should universities do? Principle Action
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
The University of Sydney Page 24
Principles drawn from analysis of case studies: what should universities do? Principle Action
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
The University of Sydney Page 25
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?)
The University of Sydney Page 26
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For further information and feedbackpatty.kamvounias@sydney.edu.au