Content
1. Purpose of the Policy
2. Definitions
3. Application and Scope
4. Principles of Grievance
Resolution
5. Appeal Process
Grounds for Appeal
Appeal Procedures - The Three Stage Process
Stage 1 - Appeals to the Pro Vice-Chancellor (Research) (PVC(R))
Possible outcomes
Decision if appeal upheld
HDR candidate to be notified
Stage 2 - Appeals to the HDR Appeal Committee
Lodging an appeal
HDR Appeals Committee procedures
Outcome of appeal
Stage 3 - Appeals to Council Committee of Appeal (Student Matters)
Lodging and referral of appeal
Council committee of Appeal (Student Matters)
6. External Appeals Flowchart - Process for HDR Appeals against Thesis Examination Outcomes
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 against thesis examination outcomes.
2. Definitions
| Word / Term |
Definition |
| appeal |
a complaint by a HDR student concerning a decision, act or omission of a member of UOW staff or committee or thesis examiner which affects the student's thesis examination outcome. Examples of the types of complaints that may be covered by this definition in relation to this policy include:
a. failure of research thesis supervisor(s) to fulfil responsibilities, in relation to the thesis examination process only, as defined in the Code of Practice - Supervision ;
b. failure of the academic unit to fulfil its responsibilities, in relation to the thesis examination process only, as defined in the Code of Practice - Supervision;
c. failure to adhere to the requirements of the HDR Course Rules , governing examination of theses;
d. failure to adhere to mandatory requirements of the Code of Practice - Supervision in relation to assessment or examination requirements of theses;
e. failure to follow due process in handling thesis examinations. |
| 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:
i. who has been accepted for admission to or enrolled in any Postgraduate research degree offered at, or in conjunction with, the University of Wollongong; and
ii. whose body of HDR work (e.g. a research thesis) is incomplete or still under examination; or
iii.
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 |
Right to be given the opportunity to present one's case, and the right to have a decision made by an unbiased decision-maker. |
| representative student body |
University of Wollongong Students' Association or the Wollongong University Postgraduate Association. |
3. Application and Scope
3.1 This policy applies to HDR candidates enrolled, and submitting their HDR thesis for examination, at University of Wollongong and sets out the general approach of the University of Wollongong (UOW) in resolving grievances relating to decisions, acts or omissions of UOW staff or committees or thesis examiners which affect the thesis examination outcome.
3.2 This policy does NOT apply to other HDR grievances, including appeals relating to termination of candidature or other HDR process. Procedures for the above student grievances are addressed in the Academic Grievance Policy (Higher Degree Research (HDR) Students). Procedures for Student grievances relating to Honours students and coursework components of HDR candidature are addressed in the Academic Student (Coursework) Grievance Policy. This policy does NOT apply to issues relating to campus access and order, student conduct and discipline or student discrimination, harassment or vilification, which are addressed in other policies, referred to in 1.3.
3.3 Policies and guidelines pertaining to HDR candidature
processes may be contained in a number of complementary
documents, as are grievance procedures and rules which
are not covered by this policy, including:
3.4 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.
4. Principles of
Grievance Resolution
4.1 The following general principles underpin the UOW approach
to the resolution of academic grievances:
a. Parties involved in a grievance must participate
in the grievance resolution process in good faith.
b. Grievance resolution processes should be applied
fairly, flexibly and expeditiously.
c. All parties involved in a grievance should be treated
with respect and impartiality.
d. The principles of natural justice should be observed.
To this end the parties involved in a grievance have
a right to be given the opportunity to present one's case and to have a decision made
by an unbiased decision-maker.
e. 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.
f. 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.
g. 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.
h. In making a determination about a grievance, the
evidence will be judged on the balance of probabilities.
5. Appeal Process
Grounds for appeal
5.1 The only grounds normally permitted for an appeal (as defined in section 2) against a decision not to award a postgraduate research degree or not to allow re-submission of a thesis for re-examination, are: a. procedural irregularities in the examination process; or
b. documented evidence of prejudice or of bias in the examination process;
Appeal Procedures - The Three Stage Process
5.2 There are three possible stages in the HDR Candidate appeals against HDR thesis examination outcomes:
Stage 1: Written appeal to the Pro Vice-Chancellor (Research (PVC(R))
- see Section 5
Stage 2: Written appeal to HDR Appeals Committee- see
Section 6
Stage 3: Written appeal to Council Committee of Appeal - Student Matters - see Section
7
Stage 1 - Appeals to the Pro Vice-Chancellor (Research) (PVC(R))
5.3 A HDR candidate who believes that they have grounds for appeal under one of the conditions noted in 5.1 above in relation to the examination of their thesis under rule 10.50 - 10.63of the General Course Rules, and wishes to appeal the outcome, must refer the matter in writing to the Director of the Research Student Centre within ten working days of being notified of the decision of the Thesis Examination Committee.
5.4 The written appeal must clearly state their reasons for appeal and any supporting evidence. The onus is on the HDR candidate to provide evidence of circumstances outlined in 4.1.
5.5 The PVC(R) will commence investigation of the appeal based on the written information provided by the student and information available on the student file(s) within ten working days. At his/her discretion, may also seek advice from the relevant Faculty(s) and/or the Director of the Research Student Centre and/or the Chair of the Thesis Examination Committee (TEC). The PVC(R) will not normally interview the student but may request that the Director of the Research Student Centre interview the student on his/her behalf. A response should normally be provided to the student within twenty-eight (28) days.
Possible Outcomes
5.6 After examining the relevant documentation and speaking to relevant parties where appropriate, the PVC(R) may:
a. decide to take no further action if there are insufficient grounds for the appeal; or
b. decide that the grounds for appeal should be upheld and take appropriate action in accordance with section 5.3 below; or
c. make any other decision as deemed appropriate under the circumstances where such a decision is deemed to be in the best interests of the candidate.
Decision if appeal upheld
5.7 Where the PVC(R) decides that the appeal be upheld he/she may:
a. refer the matter, in writing, back to the Thesis Examination Committee (TEC) for reconsideration of the matter; or
b. refer the matter to the Higher Degree Research (HDR) Appeals Committee when in his/her opinion the referral back to the TEC could affect the candidate's right to natural justice; or
c. make any other decision as deemed appropriate under the circumstances.
HDR candidate to be notified
5.8 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.
5.9 A HDR candidate may only apply directly to appeal to the HDR Appeals Committee on the grounds that due process has not been adhered to by the PVC(R) during Stage 1 of the appeal process.
5.10 Procedures for appeal to the HDR Appeal Committee are set out in Section 6 of these guidelines. Any such request must be lodged in writing with the Director of the Research Student Centre within ten working days of the written advice of the decision by the PVC(R).
Stage 2 - Appeals to the HDR Appeal Committee 5.11. The membership of the HDR Appeal Committee is set out in its terms of reference.
Lodging an appeal
5.12 A HDR candidate may only appeal to the HDR Appeal Committee on the grounds that due process has not been adhered to by the PVC(R) in conducting his/her examination under Stage 1 of this process.
5.13 An application to appeal must:
a.be lodged, in writing, with the Director of the Research Student Centre within ten working days of receiving written notification of a final decision from the PVC(R); b. state fully the reasons for the appeal; and
c. include any relevant documentary evidence to support the appeal. The onus is on the HDR candidate to provide such evidence.
HDR Appeals Committee procedures
5.14 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 who may 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 private 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 recommendation in relation to the student's request for reconsideration.
5.15 Unless they are relevant to particular points made in the case put forward by the student, the examiners' reports will not normally be placed before the HDR Appeals Committee.
Outcome of appeal
5.16 Where the Committee decides that the appeal on due process should be upheld it may refer the matter back to the PVC(R) for reconsideration of the matter in accordance with due process within ten working days of the Committee hearing.
5.17 Where the PVC(R) has referred the matter to the HDR Appeals Committee for advice, the Committee shall refer the matter back to the PVC(R) for a decision within ten working days of the Committee hearing.
5.18 The PVC(R) shall advise the candidate of the outcome within ten working days of receiving advice from the HDR Appeal Committee. Where the appeal was unsuccessful, the HDR candidate must also be informed of their right to apply (within ten working days of written notification from the PVC(R)) to the Vice-Principal (Administration) to appeal to the Council Committee of Appeal.
Stage 3 - Appeal to Council Committee of Appeal (Student Matters)
Lodging and referral of appeal
5.19 A HDR candidate who claims lack of due process in the proceedings of HDR Appeals Committee noted in Stage 2 above may lodge an appeal, in writing, to the Vice-Principal (Administration) within ten working days of notification of the PVC(R) resolution in relation to the HDR Appeal Committee's advice.
5.20 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) 5.21 The membership and powers of the Council Committee of Appeal (Student Matters) are set out in its terms of reference.
6. External Appeals
6.1
A student who is dissatisfied with the outcome or conduct of an appeal within the University may appeal to an external agency. Students have the right to make a complaint to the NSW Ombudsman when there is evidence of maladministration or misconduct by the University of Wollongong.
Last Updated:
January 29, 2008
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