Content
1. Purpose of Policy
2. Definitions
3. Application & Scope
4.Policy Principles
5. Framework for Resolving HDR
Student Academic Grievances 6. Stage 1 - Informal Resolution
7. Stage 2 - Formal Resolution by
Faculty
8. Stage 3 - Pro Vice Chancellor
(Research) (PVC(R))
9. Stage 4 - HDR Appeal Committee
10. Stage 5 - Council Committee of
Appeal (Student Matters)
11. Roles and Responsibilities Flowchart - HDR Student
Academic Grievance Process (pdf - 16KB)
Schedule 1:
Sample Faculty Academic
Grievance Resolution Flowchart (pdf document - KB)
Schedule 2:
Appeal against Decision
or Action Affecting Academic Experience (pdf document
- KB)
1. Purpose of the Policy
1.1 The University aims to provide a fair, equitable and
productive learning environment for all its students.
This policy seeks to support the achievement of this
goal by providing a transparent and consistent process
for resolving Higher Degree Research (HDR) student academic
grievances. The policy affirms the UOW Guiding Principles
contained in the University Strategic Plan.
2. Definitions
Key terms used in this policy are defined as follows:
| Word / Term |
Definition |
| academic grievance |
a complaint by a HDR student concerning a decision, act or omission of a member of UOW staff or committee which affects the student's academic experience |
| conciliation |
an impartial third party assists in the process of grievance resolution |
| due process |
procedural rights under this policy, other policies (including University, Faculty or Unit policies), University rules and codes of practice, and includes the application of the principles of natural justice |
| in good faith |
honestly and with propriety |
| HDR student |
a person:
- who has been accepted for admission to or enrolled in any Postgraduate research degree offered at, or in conjunction with, the University of Wollongong [or the Wollongong University College]; or
- whose body of HDR work (e.g. a research thesis) is incomplete or still under examination;
- who was enrolled as a HDR student and whose body of HDR work (e.g. a research thesis) was examined as part of their HDR candidature at the University |
| natural justice |
the right to be given a fair hearing and the opportunity to present one's case, and the right to have a decision made by an unbiased decision-maker |
| representative student body |
the University of Wollongong Students' Association or the Wollongong University Postgraduate Association |
| research progress review |
a review of an HDR candidate's progress that occurs at various stages through out the HDR candidate's candidature and includes the First year research proposal reviews, Faculty progress reviews and annual progress reviews, as described in the HDR First Year Research Proposal Review Guidelines and HDR Progress Review and Probation Guidelines |
3. Application & Scope
3.1 The Academic Grievance Policy (Higher Degree Research (HDR) Students) applies to HDR candidates enrolled at University
of Wollongong and sets out:
a. the general approach of the University of Wollongong
(UOW) in resolving grievances relating to decisions,
acts or omissions of UOW staff or committees (excluding the Thesis Examination Committee (TEC) which covered in the Appeals Against Higher Degree Research Thesis Examination Outcomes Policy which affect
the academic experience of HDR students; and
b. informal and formal procedures which HDR students
should follow in pursuing grievances regarding their
academic experience.
3.2 This policy does NOT cover grievances that arise from outcomes of the HDR thesis examination process. Because of the prescribed nature of the examination process for Higher Degree Research theses a separate policy has been developed. This policy is titled the Appeals Against Higher Degree Research Thesis Examination Outcomes Policy.
3.3 This policy also does NOT apply to campus access and order, student conduct and discipline
or student discrimination, harassment or vilification,
which are addressed in other policies, referred to in
3.4. Procedures for Student grievances relating to Honours
students and coursework components of HDR candidature
are addressed in the Academic Grievance
Policy (Coursework and Honours Students). Procedures relating to HDR thesis examination outcomes are addressed in the Appeals Against Higher Degree Research Thesis Examination Outcomes Policy.
Complementary
Documents and Other Grievance Policies
3.4
Policies and guidelines pertaining to HDR candidature
processes may be contained in a number of complementary
documents not covered by this policy, including:
3.5 This list is not exhaustive and students should consult
the University website
for information regarding other UOW grievance resolution
processes and the most recent versions of the above documents and policies.
Review
3.6 To ensure its efficacy, this policy will be reviewed
by the University
Research Committee(URC) every two years. Any
amendment to this policy must receive the approval of
Academic
Senate.
4. Policy Principles
The following general principles underpin the UOW approach
to the resolution of academic grievances:
4.1 UOW is committed to the early and informal resolution
of grievances. HDR students should therefore attempt
to resolve any grievances in an informal way with the
person involved before initiating formal grievance resolution
processes.
4.2 Parties involved in a grievance must participate
in the grievance resolution process in good faith.
4.3 Grievance resolution processes should be applied
fairly, flexibly and expeditiously.
4.4 All parties involved in a grievance should be treated
with respect and impartiality.
4.5 The principles of natural justice should be observed.
To this end the parties involved in a grievance have
a right to present one's case and to have a decision made
by an unbiased decision-maker.
4.6 Candidates with a grievance must provide all evidence
on which they are basing their case, which may include:
correspondence, medical certificates, or other documentary
evidence.
4.7 All parties involved in the grievance will be provided
with sufficient and relevant documentation of any allegation
or complaint brought against them and will be given
appropriate opportunities to respond to such allegations
or complaints.
4.8 The confidentiality of parties involved in a grievance
should be respected at all times, subject to the need
to fully investigate the matter and any legal requirements
for disclosure. When formal grievance procedures are
instigated all parties involved will be expected to
be a party to a written confidentiality agreement.
4.9 In making a determination about a grievance, the
evidence will be judged on the balance of probabilities.
5. Framework for Resolving
HDR Student Academic Grievances
5.1 This policy addresses academic grievances by HDR candidates
including appeals of academic decisions affecting HDR candidature (but does not cover those relating to coursework and thesis examination). Where ever possible, all HDR candidate's
academic grievances should follow the five stage process
listed in 5.2 below.
The Five Stage Process
5.2 There are five possible stages in the HDR Candidate academic
grievance resolution process:
Stage 1: Informal approach to person directly involved
- see Section 6 below
Stage 2: Formal grievance resolution by Faculty - see
Section 7 below
Stage 3: Appeals to PVC(R) - see Section
8 below
Stage 4: Appeals to HDR Appeals Committee - see Section
9 below
Stage 5: Appeals to Council Committee of Appeal (Student
Matters) - see Section 10 below
5.3 At all stages of resolving academic grievance, students may be accompanied and assisted by a support person at any relevant meeting.
5.4 At any stage in this process the HDR candidate may
consult the Dean of Students for confidential advice
and guidance. The Dean of Students may clarify the issues
with the student and suggest possible directions for
resolution of the grievance. 5.5 The Dean of Students may, with the HDR candidate's
consent:
a. refer the student to another person, or student
representative body, who can provide relevant advice
or assistance with the aim of resolving the grievance;
and/or
b. facilitate negotiation of the grievance between
the parties.
5.6 Grievances or appeals relating to recommendations affecting
candidature status must be addressed
formally, as follows:
Grievances or Appeals
Regarding Recommendations of the Research Proposal Review
Committee, or by the Head of Postgraduate Studies or
Dean, following HDR Progress review
5.7 Grievances by HDR students who have been advised, following
their HDR Research Proposal Review or HDR Student Progress
Review, that a recommendation has been proposed to transfer
their candidature from Doctoral to Masters by
Research, or that they be placed on a period of probation,
or that their candidature be terminated, must be addressed
formally, starting from Stage 2 - see Section 7.
Grievances or
Appeals by HDR candidates regarding Termination of Candidature
5.8 Grievances or appeals by candidates whose candidature
has been terminated by the Pro Vice Chancellor (Research),
after a period of probation, must be made formally,
starting from Stage 3 - see Section
8.
6. Stage 1 - Informal Resolution
6.1 A HDR candidate who has a question or concern about
a decision, act or omission that affects their academic
experience, should first approach their Supervisor(s)
directly to discuss the matter. The HDR candidate may
then seek advice informally from other appropriate persons
in the Faculty (e.g. Head of Unit or Head of Postgraduate
Studies or Dean).
6.2 HDR candidates are encouraged to seek to resolve any
issues or concerns informally under Stage 1 wherever
possible before initiating formal grievance resolution
procedures under Stage 2. If informal grievances are
not resolved within ten (10) working days of notification by the candidate
of an issue, the HDR candidate may instigate formal
Faculty resolution processes (Stage 2).
7. Stage 2 - Formal Resolution
by Faculty
Faculty Procedures
7.1 Each Faculty must develop written procedures
for resolving grievances covered by this policy, which:
a. comply with the procedural requirements in section
6.3 below; and
b. stipulate processes for receipt and acknowledgement
of applications.
7.1.2 These procedures must be submitted to the University
Research Committee (URC) for approval.
7.2 The Faculty grievance procedures, and the names
and contact details of relevant staff, must be clearly
communicated to HDR candidates. (A sample flowchart
that could be adapted and used for this purpose is attached
as Schedule 1.)
Application of
Faculty Procedures
7.3 A HDR candidate undertaking coursework who has
a concern about a mark awarded for an assessment task
or a final mark of grade for a subject should refer
to the Academic Grievance Policy (Coursework and Honours Students).
7.4 Where an issue or concern is not resolved informally
under Stage 1, an HDR candidate may lodge a written
application with the relevant Faculty for the grievance
to be formally resolved in accordance with that Faculty's
grievance procedures.
7.5 A HDR candidate who has a grievance concerning
a recommendation of a Research Proposal Review Committee or Faculty Head of Postgarduate Studes (HPS) or Dean following a HDR Research Proposal Review or HDR Candidate Progress Review may only lodge a formal grievance application on one or more of the following grounds:
a. failure to follow the requirements of the HDR First Year Research
Proposal Review, or HDR Candidate Progress Review, in
accordance with the Code
of Practice - Supervision and HDR
Course Rules;
b. relevant new or additional information is available
that was not available to a person or committee conducting the review.
Procedural Requirements
7.6 HDR candidates must lodge a formal grievance
application, in writing, to a person (or committee)
specified by the Faculty as responsible for determining
the grievance (e.g. Head of School, Head of Postgraduate
Studies, Sub Dean, Associate Dean, Dean).
7.7 The application must:
a. be lodged by the HDR candidate within twenty
(20) working days of either:
(i) the unsuccessful resolution of the grievance
at Stage 1; or
(ii) written notification of the outcome of a formal review;
b. include the HDR candidate's name, identification
number and contact details; and
c. state the nature of the grievance, specific issues
to be addressed and the form of resolution sought.
7.8 If a person specified in clause 7.7 has been
involved in the grievance process at an earlier stage,
there is a conflict of interest and the matter will
be referred directly to the next designated person in
the Faculty grievance resolution process.
7.9 At each step in the Faculty grievance process
the person to whom the matter has been referred:
a. may exercise his/her discretion to extend the specified
time limit for application or referral and must inform
the candidate in writing of that decision as soon as
practicable, and
b. must respond to the student's grievance in writing
within ten (10) working days.
7.9.1 Should the Faculty fail to respond within ten (10) working days,
this is deemed a refusal and candidates are able to
move to Stage 3, if they wish to pursue the grievance
further.
7.10 The HDR candidate's grievance and the response
of each of the people to whom the grievance has been
referred must be clearly documented. (A sample form
that can be used by Faculties to document the progress
of a grievance is attached as Schedule
2).
7.11 Faculties must keep a copy of all documentation
relating to any grievance in accordance with the UOW
Records Management Policy.
HDR Candidate to be Notified
7.12 The Faculty member with responsibility for handling
the grievance must notify the HDR candidate, in writing,
of his/her decision regarding the matter and of the
HDR candidate's right to appeal to the Pro Vice Chancellor
(Research) if they believe that there are grounds for
appeal as specified below:
7.13 A HDR candidate may apply to appeal to the Pro
Vice Chancellor (Research) on the grounds that:
a. due process has not been adhered to by a Faculty
member or committee during Stage 2 of the grievance
resolution process;
b. relevant new or additional information is available
that was not available to a person involved in determination
of the grievance at Stage 2.
7.14 The person in the Faculty responsible for dealing
with formal grievances under the Faculty procedures
must inform the student in writing of the right to refer
the matter to the PVC(R).
8. Stage 3 - Pro Vice Chancellor
(Research) (PVC(R))
8.1 Where a matter remains unresolved after a HDR candidate
has followed the grievance resolution process of the
relevant Faculty under Stage 2, the HDR candidate may
refer the matter, in writing, to the Director of the Research Student Centre (RSC) within twenty
(20) working days of receiving a formal decision from the Faculty
member responsible for handling the grievance at Stage
2 of the process.
8.2 Once the Director, RSC has been notified of a grievance, the
he/she must write to the Faculty requesting copies of all documentation
relevant to the grievance.
Procedures
8.3 The Director, RSC shall prepare a report for the PVC(R). In preparing the report the Director, RSC shall:
a. give the HDR candidate concerned an opportunity
to be heard and advise him/her of procedures and time
requirements;
b. invite any staff member or student, whom he/she
considers may assist the review, to attend a meeting;
c. provide both the HDR candidate and the person or
committee against whose decision the student is appealing
with copies of all papers that will be provided to the PVC(R) for consideration;
d. permit the student to nominate staff or students
to be invited to speak with the Director, RSC in support of
his/her case;
e. allow the HDR candidate to be accompanied by a person
who may lend support but who shall not be permitted
to address the Director, RSC;
f. keep an adequate record of the evidence;
g. with the consent of the HDR candidate concerned,
allow any member of the University to have access to
that record;
h. outline their findings and advise the candidate
and any other relevant parties of the decision in relation
to the student's request for reconsideration.
Possible Outcomes
8.4 After examining the relevant documentation and receiving the report of the Director, RSC, and speaking
to relevant parties if considered necessary, the PVC(R) may:
a. refuse to take the matter further if there are insufficient
grounds for the grievance; or
b. decide whether there has been a failure by the Faculty
to observe due process and take appropriate action in
accordance with section 8.5 below; or
c. make any other decision as deemed appropriate under
the circumstances.
Decision Regarding
Due Process
8.5 Where the PVC(R) decides that due process has
not been followed by the Faculty, he/she may:
a. conciliate the matter;
b. refer the matter, in writing, back to the Faculty
for reconsideration of the matter in accordance with
due process; or
c. refer the matter to the Higher Degree Research (HDR)
Appeals Committee.
8.6 Where the PVC(R) makes a decision under section
7.2.1(c) above, he/she must notify the relevant Dean
and the person in the Faculty responsible for dealing
with the grievance, in writing, of that decision as
soon as practicable.
HDR Candidate to
be Notified
8.7 The PVC(R) must notify the HDR candidate, in
writing, of his/her decision regarding the matter and
of the HDR candidate's right to appeal to the HDR Appeals
Committee if they believe that there are grounds for
appeal as specified below.
9. Stage 4 - Appeal to Academic
Review Committee
9.1 The membership of the HDR
Appeal Committee is set out in its terms of reference.
Lodging an Appeal
9.2 If HDR candidates disagree with the outcome and have grounds to appeal (as outlined in 9.3(i) and (ii) below), then they may appeal the decision to the HDR Appeals Committee, following procedures as set out in Stage 4 of this document.
9.3 A HDR candidate may appeal to the HDR Appeal
Committee on the grounds that: a. due process has not been adhered to by:
i) the Director, RSC or the PVC(R), during
Stage 3 of the grievance resolution process; or
ii) the PVC(R) in terminating or transferring candidature
of a higher research degree student on probation under
section 10.36 and 10.37 of the HDR
Course Rules.
9.4 Under certain circumstances (as outlined in the HDR Course Rules) after the end of a probationary period the PVC(R) has the power to:
a. recommend a transfer of candidature from a PHD to a Masters by Research; or
b. terminate the candidature.
In this circumstance the HDR candidate may apply to appeal to the HDR Appeals Committee on the following grounds only:
(i) due process has not been adhered to by the PVC(R), during Stage 3 of the grievance resolution process; and/or
(ii) relevant new or additional information is available that was not available previously.
9.5 HDR candidate who appeals under this section
must have exhausted all appropriate grievance resolution
processes available to them under Stages 1, 2 and 3.
9.6 An application to appeal must:
a. be lodged, in writing, with the Director
of the Research Student Centre within twenty (20) working
days of receiving written notification of a final decision
at Stage 3;
b. state fully the reasons for the appeal; and
c. include any relevant documentary evidence to support
the appeal.
9.7 Where the HDR Appeal Committee is not satisfied
that the appeal is based on the ground of lack of due
process, they will uphold the original recommendation.
The HDR candidate must be notified, in writing, of such
a decision as soon as practicable. Unless they are relevant
to particular points made in the case put forward by
the HDR candidate, the examiners' reports will not
normally
be placed before the HDR Appeals Committee.
HDR Appeals
Committee Procedures
9.8 In its review of a case the Committee shall:
a. give the HDR candidate concerned an opportunity
to be heard and advise him/her of Committee procedures
and time requirements;
b. invite any staff member or student, whom it considers
may assist the review, to attend the meeting and advise
such persons of Committee procedures and time requirements;
c. provide both the HDR candidate and the person or
committee against whose decision the student is appealing
with copies of all papers circulated to the Committee;
d. permit the HDR candidate to nominate staff or students
to be invited to appear in support of his/her case;
e. allow the HDR candidate to be accompanied by a person
who may lend support but who shall not be permitted
to address the Committee;
f. hold all its proceedings in camera and keep an adequate
record of the evidence and its decision;
g. with the consent of the HDR candidate concerned,
allow any member of the University to have access to
that record;
h. outline their findings and advise the HDR candidate,
the PVC(R) and any other relevant parties of the Committee's
decision in relation to the student's request for reconsideration.
Outcome of Appeal
9.9 Where the Committee decides that due process
has not been adhered to it may refer the matter back
to the person or committee against whose decision the
student has appealed for reconsideration of the matter
in accordance with due process.
9.10 Where the matter is referred back to a person
or committee under 8.3.1, that person or committee must
report back to the Chair of the HDR Appeal Committee
within ten (10) working days.
9.11 The Committee must notify the HDR candidate,
the Dean of the Faculty, the Dean of Students, (where
relevant) and the Pro Vice-Chancellor (Research) of
the outcome of the appeal within ten (10) working days of the
meeting, or as soon as practicable thereafter. Where
the appeal was unsuccessful, the HDR candidate must
also be informed of their right to apply to the Vice-Principal
(Administration) to appeal to the Council
Committee of Appeal.
10. Stage 5 - Council Committee
of Appeal (Student Matters)
Lodging and Referral
of Appeal
10.1 A HDR candidate who claims lack of due process
in the proceedings of persons or committees noted in
Stage 4 above may lodge an appeal, in writing, to the
Vice-Principal (Administration) within twenty (20) working
days of notification of the Committee's decision.
10.2 If the Vice-Principal (Administration) is satisfied
that the appeal is based on grounds of lack of due process,
he/she shall refer it to the Council Committee of Appeal
(Student Matters).
Council Committee
of Appeal (Student Matters)
10.3 The membership and powers of the Council
Committee of Appeal (Student Matters) are set out
in its terms of reference.
External Appeals
10.4 A Student who is dissatisfied with the outcome or conduct of an appeal within the University may ppeal to an external agency. Student have the right to make a complaint to the NSW Ombudsman when there is evidence of maladministration or miconduct by the University of Wollongong.
11. Roles & Responsibilities
11.1 All persons involved in investigations of academic grievance have a responsibility to conduct
themselves in accordance with this Policy and its procedures.
11.2 The University has a responsibility to:
a. ensure that this Policy and its procedures are accessible and communicated to all staff and
students
b. ensure that this Policy and its procedures are implemented and applied consistently across all
faculties and academic units
c. promote best practice in resolving academic grievance, and
d. ensure that the process for resolving academic grievances allows for:
i. timeliness of response;
ii. fairness of consideration
iii. respect for privacy; and
iv. keeping all parties informed of their rights and responsibilities in relation to academic
grievances.
11.3 Students have a responsibility to conduct themselves in accordance with the Code of Practice:
Students, Code of Practice – Supervision and the Code of Practice - Research and follow the
requirements of this Policy and other policies.
11.4 Faculties have a responsibility to develop written procedures for resolving grievances covered by this
Policy which:
a. comply with the procedural requirements in clauses 7.3 to 7.14 and
b. stipulate processes for receipt and acknowledgement of applications Schedule 1
Sample Faculty Academic
Grievance Resolution Flowchart (pdf - KB)
Schedule 2
Appeal against Decision
or Action Affecting Academic Experience (pdf - KB)
Last Updated:
January 29, 2008
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