1. The University of SydneyPage 1 Assessing the impact of parliamentary ombudsmen on administrative decisions in Australian universities 12th ENOHE Annual Conference University Ombudsmen’s Pioneering Past, Confident Present, Challenging Future Innsbruck, 28-30 May 2015 Patty Kamvounias

2. The University of SydneyPage 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

3. The University of SydneyPage 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 data total 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-datahttps://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)

4. The University of SydneyPage 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 campus First university ombudsman established in 1977 at UNE (University of New England) By 2000 there are 5: + UTS, LA Trobe, QUT, CQU By 2015 there are 12: + CSU, Macquarie, Monash, RMIT, Southern Cross, Uni SA, Sunshine Coast

5. The University of SydneyPage 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

6. The University of SydneyPage 6 Public sector ombudsmen in Australia’s federal system 6

7. The University of SydneyPage 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

8. The University of SydneyPage 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

9. The University of SydneyPage 9 How many complaints about universities?

10. The University of SydneyPage 10 How many complaints about universities? Trend for 2 universities in the State of New South Wales

11. The University of SydneyPage 11 How many complaints about universities? Trend for 2 States

12. The University of SydneyPage 12 Areas of complaint to Ombudsman Victoria: Annual Report 2009-10 12 2013-2014 Annual Report 631 complaints about universities mainly from students Topic of complaint: Enrolment Fees and charges Assessment and grades Conduct of appeals

13. The University of SydneyPage 13 Types of complaints OmbudsmanMost 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

14. The University of SydneyPage 14 Case studies – complaints highlighted in annual reports (2004-2014)

15. The University of SydneyPage 15 Case studies – student complaints highlighted in annual reports (2004-2014)

16. The University of SydneyPage 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) 16

17. The University of SydneyPage 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 17

18. The University of SydneyPage 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?

19. The University of SydneyPage 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

20. The University of SydneyPage 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

21. The University of SydneyPage 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 matters give 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

22. The University of SydneyPage 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 discretion consider 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)

23. The University of SydneyPage 23 Principles drawn from analysis of case studies: what should universities do? Principle Action Principle 5: keep proper records Records should be: Accurate Rectified if not accurate Retained -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

24. The University of SydneyPage 24 Principles drawn from analysis of case studies: what should universities do? Principle Action Principle 6: manage complaints properly -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

25. The University of SydneyPage 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?)

26. The University of SydneyPage 26 26 For further information and feedback patty.kamvounias@sydney.edu.au