Ombudsperson for Student and Academic Services
By establishing the office of a Representative for Academic Quality and Ombudsperson for Student and Academic Services (referred to in the following as “Ombudsperson”) the University up-holds its responsibility in the area of Student and Academic Services to take precautions against misconduct when teaching, offering information or providing advice and support to students. It hereby maintains academic standards in teaching and learning with the aim of guaranteeing students high quality academic and practice-oriented teaching, compliance with study and ex- amination regulations and the availability of the teaching and examination programme necessary to complete their studies within the normal time, as well as the best possible standard of information and advice at all stages of a degree.
The Ombudsperson is there to support students with all issues and complaints in connection with teaching and learning as well as with the advice services, and helps to resolve conflicts, if necessary advising and mediating in difficult situations, and endeavouring to reach an amicable agreement. The Ombudsperson acts impartially, confidentially, neutrally and independently. She is not bound by any specialised instructions. Confidentiality and when needed ensuring total anonymity are her highest principles. Further- more, her work is always carried out with respect and acknowledgement of all those involved or affected and the relevant issues.
Matters for the Ombudsperson include in particular complaints or information about specific misconduct, or a suspicion which requires special protection of the person making the report, or where advice or mediation is requested in critical situations. In some cases, issues can also be matters for the Ombudsperson under the University rules on ensuring good academic practice. This does not affect the responsibilities of the Deans of Studies, central and decentralised Equal Opportunities Representatives, and the Confidential Advisor for severely handicapped persons.
In Ombudsperson matters the identity of the person making the report is uniquely protected. The anonymity of the person making the report is above all preserved if they have not given consent to disclosure in text form or personal data are not necessary to resolve a case in the interests of that person. Third parties who are involved are not entitled to find out the identity of the person making the report for themselves. Those involved or third parties are only permitted access to relevant documents provided personal data is redacted and with the express consent of the person making the report. The Ombudsperson decides on such right of access.
The Ombudsperson is obliged to maintain confidentiality to the extent agreed with the person making the report. In particular, she is not bound to disclose information to superiors or staff at the relevant institutions, or associates of the University except where it contributes to clarifying a case or procedure.
Complaints and suspicion of misconduct, academic or otherwise, in the area of teaching, studies and administrative processes in relation to students involve in particular:
examination, recognition, procedural, equipment and resource questions, difficulties dealing with teaching staff, employees or students, teaching and study related crisis situations and conflicts as well as study conditions and courses, student mobility, curriculum-related problems, likewise availability, advice and other services.
There are no special deadlines or formats for submitting issues. However it is recommended that contact be made within three months of a specific occurrence. Issues should in particular be presented before any associated deadlines elapse (e.g. in connection with the examination process).
An issue can be presented by individuals or groups, and they need not be directly affected by it. Under procedural rules, graduates, students who have relocated, and student drop-outs are entitled to submit matters to the Ombudsperson within one year of deregistration. The Ombudsperson is also free to investigate in similar cases which are presented by employees or become known to her by other means.
On taking on a case, a brief description is compiled stating the subject of the suggestion or complaint. In the case of complaints, besides a brief explanation, information is also gathered about frequency and last occurrence of this issue, contacts who are already involved, the involvement of the person(s) making the report, and their objective and/or desire for a solution.
Complaints and information may on request be submitted anonymously. Where they concern a suspicion of misconduct by members or associates of the University, it is only handled provided the person making the report is also willing to give personal details at least under the special duty of confidentiality that applies to Ombudsperson matters. Where mere accusations, defamatory statements or insults are concerned and no response to the information is possible because of the anonymity, the case is not accepted as there is no evident desire for a solution.
Likewise, a case is not taken on if the information is obviously unfounded and implausible or if the persons making the report do not appear to have an objective and/or desire for a solution to their information. If issues are reported to other offices (Presidential Board, Central Administration, central institutions including University Medical Centre) they inform the Ombudsperson promptly and fully.
Usually, after receiving information, a personal meeting is requested with the person making the report. Third parties who are concerned are notified or involved if their opinion or participation is deemed necessary to achieve a solution. Where necessary further information to help categorise the case is obtained or third parties within the University are asked to give their opinion or to provide files for review. The right of investigation covers all confidential information, files, procedures and data in relation to the case, and the Ombudsperson herself must observe confidentiality about them. The responsible member of the Presidential Board decides on exceptions.
If however mediation is not possible without involving/interviewing persons(s) affected by the issue, then the Ombudsperson may develop proposals for a solution, organise and hold discussions and mediate in conflicts. If she herself is involved, then she can propose a deputy to handle and supervise the procedure.
The Ombudsperson can agree measures and procedures with regard to suggestions, information, complaints, questions or criticism she receives to resolve the issue with those responsible, or issue recommendations to the responsible committees, bodies, responsible people or institutions. The offices concerned are obliged to deal with the recommendations within a reasonable period and, if this is the case, to explain in a statement why recommendations are not followed.
After the introduction of procedures/measures checks take place regularly to see whether the chosen solutions actually result in improvements within a reasonable period (to be agreed). Re- ports or opinions may be requested on this from the responsible offices and if necessary further agreements made about adjustments. The procedures and their implementation should take place promptly.
A procedure/measure is concluded when a necessary measure has been implemented as suggested or in amended form or if analysis of its realistic potential shows that it cannot be pursued by the responsible institution, or if a com- plaint has been remedied, proven groundless, been withdrawn or cannot be further remedied. A case can also be closed if it is largely settled and measures introduced in response have to be continued as new cases. Finally, a memo can be recorded for the files. On conclusion, the Ombudsperson reports on the results. She also makes interim reports on developments where this appears necessary in prolonged procedures. Personal data are deleted after processing is completed or no later than one year after collection.
Case-specific documents are usually kept in electronic form. In the course of work, data and documents about the procedure are recorded in a database for documentation purposes and stored for five years. The data are used in anonymised form for internal analyses and may be used within this scope in presentations at public or private meetings, in electronic systems or as reports in text form.
Every four years the Ombudsperson releases a report giving a summary of the total number and results of all procedures and makes this available to the committees responsible for teaching and learning. Decentralised and central institutions are obliged to use known results and incorporate them in their quality management.
The results and measures benefit both individuals and larger groups. The potential for improvement depends on the relevant issues and follow-up. Hence, ideally, as part of an open and fair culture, faults should be seen as a reason to reconsider and rethink.
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