Changing Higher Education Through Better Complaints Handling
Surviving and steering change in higher education through better complaints handling is crucial for universities and students alike. This includes navigating regulatory shifts, prioritizing resources, and engaging strategically to improve overall satisfaction and trust within the system.
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CHANGING HIGHER EDUCATION THROUGH BETTER COMPLAINTS HANDLING Surviving and Steering Change ENOHE 2013 Rob Behrens CEO and Independent Adjudicator rob.behrens@oiahe.org.uk Oxford Friday, 12 April 2013 1
Surviving and steering change Introduction The Present State: Navigating Regulatory Change while keeping the ship afloat Mandates and Resources: Must, should, could and can t Evidence-Based Approach: Looking out to look in Strategic Engagement: Prioritising where we are going and how we get there Afterword 2
A. THE PRESENT STATE THE OIA POSITION POLICY SHIFT Market principles in fee charging. Oversight by Super- Quango No to The Browne Report evidence-light, uncosted super-quango Students at heart of system paying raised tuition fees. Legislation for level playing field for public and private suppliers Higher Education White Paper: Students at the Heart of the system CM.8122, June 2011 Yes to level playing field Technical consultation: a new, fit-for-purpose regulatory framework for the Higher Education Sector, August 2011 Legislation postponed. Joined-up regulatory partnership to oversee mediated market system including independent OIA. Yes to joined- up regulatory partnership Government Response to Consultations, June 2012 3
Universities and student complaints: the context Record of universities in OIA Decisions Overall student satisfaction Judicial Review of OIA Decisions Public Trust of Professions Student perceptions of complaints handling 4
Number of complaints received by the OIA 2500 Over 2000 2000 1605 1500 1341 Combined for England and Wales 1007 England 1000 900 1491 734 Wales 1285 586 542 931 500 859 682 544 508 114 76 56 52 42 41 34 0 2005 2006 2007 2008 2009 2010 2011 2012 5
Number of complaints closed by the OIA 2000 Around 1800 1800 1600 1443 1400 1200 1000 886 825 786 800 600 400 200 0 2008 2009 2010 2011 2012 6
What is complained about: 2012 80% 71% 70% 60% 50% 40% 30% 20% 9% 10% 6% 3% 3% 3% 2% 1% 1% 0% Academic status Service Issue (Contract) Academic Misconduct, Plagiarism & Cheating Financial Other Discrimination & Human Rights Disciplinary matters (not academic) Welfare & Accommodation Admission 7
Student satisfaction: 2010-2012 National Student Survey results Questions 2010 NSS 2011 NSS 2012 NSS Satisfied 1-4 The teaching on my course 83% 84% 86% 5-9 Assessment and feedback 66% 68% 70% 22 Overall satisfaction 82% 83% 85% 8
Student satisfaction: complaints handling 2012 Student level of agreement with the following statements 5 - Agree Strongly 4 3 2 1 - Disagree Strongly I was kept informed by the university of the progress of my matter 6 12 17 15 49 The issue was taken seriously by my university 6 10 11 13 58 I felt supported during the proceedings 4 3 6 13 75 The university dealt with my casewithin a reasonable time 3 6 11 16 64 I had all the help I needed during the proceedings 3 4 9 16 67 The university tried to resolve the complaint/appeal/case 1 7 13 12 66 0 20 40 60 80 100 9
Length of university process Length of process from first proceedings until a decision was given by the university 2012 2009 0-2 Months 8% 18% 3-4 Months 17% 21% 5-6 Months 12% 21% 6-12 Months 21% 21% More Than 12 Months 34% 20% 10
Complainant lived experience of university complaints processes 11
Impact of institution size on complaint numbers 120 100 80 Number of complaints 60 Smallest institution 40 Trendline 20 0 12 Largest institution
Relation between internal complaints and appeals and complaints received by the OIA 1000 900 800 700 Number of complaints received with COP Letter dated 2012 600 500 Number of COP Letters issued 400 300 Institutions which issued least COP Letters 200 100 0 Institutions which issued most COP Letters 13
B. MANDATES, RESOURCES AND APPROACH OIA mandates OIA is not a Regulator and has no power to: Compel HEIs to implement OIA Decisions or Fine HEIs But has powers to: Publish details of non-compliance Publish summaries of Formal Decisions by name of HEI where there is a public interest Publish Annual Letters to HEIs setting out their complaints handling record Share material including Formal Decisions with Regulatory partners with a relevant right or interest Headquarters in Reading, Berkshire. FTE of 55, Budget of circa 4 millions p.a. 2004 Higher Education Act establishes - impartial, independent, adjudication for all HEIs in England and Wales after internal process exhausted OIA independence set out in Act and Scheme Rules, confirmed by HE White Paper (2011) and by Court of Appeal (Sandhar 2011). Examines all acts and omissions of HEIs beyond admissions, academic judgement and employment issues. Tests are whether HEI has abided by Regulations and/or whether decision is reasonable in all the circumstances. Service free to students and former students 14
Accountabilities/governance Not for Profit Company Limited by Guarantee Charity Registered with Charities Commission Subject to Judicial Review. Nearly 40 challenges to date, mostly unsuccessful. Constitutional relationship with Secretary of State and Welsh Assembly Minister Independent Adjudicator appointed under Nolan Rules of fair and open competition for limited terms and independent of Board in all Formal Decisions Board has majority of independent members recruited under Nolan Rules and minority of directors nominated by HE sector stakeholders Annual Open Meeting to mark launch of Independent Adjudicator s Annual Report 15
C. EVIDENCE-BASED, CONSULTATIVE APPROACH On-going consultation programme to develop the OIA itself and the way the sector deals with student complaints Informs strategic and operational plans Through: Question papers Written submissions Complainant survey Round-table meetings Options to choose from Routine, regular visits to HEIs and students unions Learning from other sectors 16
Sector-wide consultations Pathway 1 February 2010 How to become a service delivery organisation Pathway 2 February 2011 Publication of Annual Letters to HEIs Adding more student representation to Board Extending Scheme to Further Education Colleges Pathway 3 October 2012 Developing sector-wide Early Resolution of complaints Promotion of Good Practice Framework Revisions of Funding model 17
Becoming a service delivery organisation Pathway implementation Implementation Theme Key Actions Pathway: 1 2 3 Mandates Extend Scheme to Non-Qualifying Institutions Extending Scheme to FECs running Foundation Degrees More effective dissemination of mandates and Rules Independence New procedure for service complaints Change of Quorum Rules User Perspective Additional Student Board member Revision of Scheme Application Form, OIA literature, and Guidance on Completion of Procedures and Eligibility Review of Disability Policy and Practice Proportionality, Efficient and Effective Approaches Development of electronic transactions Review of first contact engagement with complainants and develop Early Resolution Review and Revise Funding model Transparency Consult on how to publish Formal Decisions. Publish core information about individual HEI record on complaints. Quality Outcomes Publish indicative guidance on Remedies Review compliance arrangements Develop written good practice guidance 18
D. STRATEGIC ENGAGEMENT Defining Mission and Vision builds on analysis of Present-State, Mandates and Resources, and Evidence-based approach. 2013 Mission Contributing to high quality student experience by the independent and impartial adjudication and resolution of complaints. And promoting good practice in complaints and appeals handling. 2013 Vision By 2015 recognised as a key driver of high quality student experience through: exemplary dispute resolution of student complaints; the dissemination of a sector-wide good practice framework for complaints and appeals handling in universities; and effective contribution to the risk-based regulatory framework of higher education. 19
The OIA as a strategic partner (1) SEVEN STEPS TO EXCELLENCE We must improve Roberto Mancini (1) A Classic Ombudsman Scheme Final resort, independent, impartial, complaints resolution for all HEIs in England and Wales. Faster, cheaper alternative to Courts 10,000 cases closed since inception. (2) With more Authority than Power HEIs disciplined at implementing OIA Formal Decisions not limited to financial compensation and Scheme carrying confidence of the student movement (3) Sensitive to exceptionalism of Higher Education - narrow academic judgement decisions excluded from remit confirming that (i) higher education not a perfect market place, (ii) that students are not customers in the allocation of degree outcomes, and (iii) that academic judgement is not whatever an academic thinks, writes or speaks. (4) Efficient and Effective returning successive annual increases in case closures at lowering unit costs. Generated by significant business process reforms to create Early Resolution through Triage, Mediation and Settlement Decentralisation of responsibility for case decisions risk based Approval and Management (Early) Assessment Team developed and expanded to assess Eligibility Triage and Settlement Processes to resolve cases as early as possible Targets for monthly closures Element of Outsourcing (5) Use of Transparency to generate scrutiny, understanding and Public Trust. Publication of Annual Letters to each HEI, and public interest cases by name of University (but not the student) de- mystifies a hitherto arcane process 21
The OIA as a strategic partner (2) THE WOOLF INQUIRY (6) Member of the Regulatory Partnership Group, sharing material with partners to manage sector risks. (7) Engine of Good Practice sharing to improve professional standards (and the student experience) in face of HE cultural norms sometimes unsympathetic to due process and corporate action. Key current issues are (eg) Academic Misconduct, Post- Graduate Supervision, development of a Good Practice Framework and Early Resolution An inquiry into the LSE s links with Libya and lessons to be learned OCTOBER 2011 However difficult to express, there are different parameters of permissible assistance, and they should not remain unwritten. 22
The OIA as a strategic partner: Early Resolution Pilots and after Canterbury Christ Church wider use of mediation Glamorgan Student Conciliators Sheffield facilitated discussion Kingston training in complaint handling and mediation Huddersfield student conciliators ARC linking pilots to good practice procedure Principles of Early Resolution Initiative Impractical to graft on to English and Welsh HEIs a campus ombudsman concept which sits uneasily with existing arrangements, not available at European universities. Diversity of approaches and record of achievement of a number of existing bodies in supporting students with complaints Student Services Offices Students Union Advice Centres Student Conciliators Graduate Interns Complaint Mediation Schemes Mediation an under-used and not always understood process in HEIs No one size fits all Good Practice Framework (from 2014) OIA-led, non-regulatory, consultative, sector wide, written operational guide on complaints and appeals to concretise QAA Quality Code. 23
AFTERWORD The Hobsbawm Fallacy Why I am right about everything . Johari s Window know what you don t know Keeping Afloat is not the same as heading to port. Regulators and quasi-regulators need to understand the sector they work in. Impartiality and independence are not barriers to dialogue and conversation Learn from the mistakes and successes of others Institutional purity is less important than positive outcomes for complainants with legitimate grievances. For England Expects I forbear to proceed. Tis a maxim tremendous, but trite. And we d best be unpacking the things we need To set ourselves up for the night. Lewis Carroll, The Hunting of the Snark, 1876 24
