Grievance Procedures for Academic or Resource Matters - Research Masters and Doctoral Candidates

Policy and Procedures

Preamble
Grievance procedures have been developed for the following types of complaints:

Personal (e.g. harassment) – see the University’s Harassment: Policy and Procedure

Appeals (e.g. confirmation of candidature, satisfactory progress with candidature, examination of thesis) – see relevant degree Requirements

Academic or resources matters within research candidature (e.g. difficulties with professional/academic standards, access to infrastructure or support for the project, stipend or fee issues) – see procedures outlined below.

1. Principles

1.1 The following principles shall apply throughout the implementation of any grievance or complainant procedure involving Research Masters or Doctoral Candidature not covered by the relevant degree Requirements Appeal Procedures.

1.2 Confidentiality must be maintained to the greatest possible extent, with communication limited to persons to whom disclosure is consistent with official position and responsibility, or with appointment to assist in the resolution of the grievance under Section 2. below, and the Dean, Graduate Research Studies in accordance with Section 4. below. However, it must be recognised that the public interest may require the University to release confidential information to appropriate authorities, e.g. in response to a subpoena or search warrant.

The principles of equal opportunity, procedural fairness (natural justice) shall apply at all stages of a complaint resolution process. To ensure procedural fairness the following conditions must be met:

• The allegations must be stated clearly in writing.

• The person facing the allegations has a right to be heard (i.e. to show why actions should not be taken).

• The persons resolving the complaint must be free from bias and must conduct themselves in a matter that demonstrates this (i.e. have no conflict of interest).

In addition,

• If the complaint is formally investigated (see 3.1-3.19) , the panel should provide its findings and the reasons for those findings in writing.

• There should be an avenue for the findings to be appealed

1.3 The response to formal written complaints shall be initiated within five working days of notification.

1.4 The preferred method of resolution shall be by discussion, raising awareness, mediation and a process of conciliation which aims not to make a finding or to allocate blame but to assist the parties to reach agreement on an acceptable outcome.

1.5 A process for formal investigation of grievances shall be available for cases where mediation/conciliation has proved unsatisfactory or is inappropriate.

1.6 Appropriate steps shall be taken to ensure harmonious working and academic relationships during and after the procedures.

1.7 All staff and students of the University shall be informed of the policy and procedures and that they may consult in confidence, the Dean, Graduate Research Studies (or nominee), the Associate Dean Research Training in Cairns, the relevant Research Student Monitor, members or representatives of the Postgraduate Student Association . Nothing in this document shall pre-empt the right of the individual to seek appropriate legal redress outside the University.

1.8 In formal consultation with the Registrar (or nominee), the Dean of Graduate Research Studies (or nominee) will determine whether a complaint is frivolous or vexatious and should be dismissed.

1.9 If any of the steps 2.4 – 3.19 are invoked the Registrar and Head of School must be informed in writing by the Dean, Graduate Research Studies (or nominee) whilst observing the University Privacy Policy.

1.10 If any of the steps 2.4-3.19 are invoked the University may offer counselling to staff or students involved outside the formal processes of mediation or investigation.

2. Steps in Grievance Resolution

Advice and Self Help

2.1 The complainant consults the Dean, Graduate Research Studies (or nominee ), Associate Dean Research Training (Cairns), the relevant Research Student Monitor and/or a member or representative of the Postgraduate Students Association and receives clarification and advice. If appropriate, the complainant then addresses the matter with the alleged respondent.
or
The complainant composes an appropriate letter to the alleged respondent setting out the grievance.
The Dean ,Graduate Research Studies (or nominee), Associate Dean Research Training (Cairns), the relevant Research Student Monitor and/or a members or representatives of the Postgraduate Students Association may advise on the composition of the letter if requested.

Grievance Contact Officer Assistance

2.2 The complainant consults the Dean, Graduate Research Studies (or nominee), Associate Dean Research Training (Cairns), the relevant Research Student Monitor and/or a member or representative of the Postgraduate Students Association who accompanies the complainant to address the matter with the alleged respondent

Intervention

2.3 The complainant requests the Dean, Graduate Research Studies (or nominee), the Associate Dean Research Training (Cairns), the relevant Research Student Monitor and/or a member or representative of the Postgraduate Students Association to approach an appropriate authority (e.g Principal Supervisor, School Postgraduate Liaison Officer, Head of School) with a request for intervention.

Mediation

2.4 The Dean, Graduate Research Studies (or nominee) appoints an independent external or internal Mediator to act as an intermediary between the parties with the aim of reaching a mutually acceptable solution.

Conciliation

2.5 The Mediator shall be appointed by the Dean, Graduate Research Studies (or nominee) following consultation with both parties and with their written agreement to conducting the mediation within a mutually agreed framework which may have to be renegotiated as the mediation progresses.

2.6 The Mediator many not act in any matter in which he or she has been consulted by one of the parties prior to the mediation.

2.7 Each party may be accompanied to the mediation meetings by a staff member of the University or a staff member of the Student Association or nominee of the Postgraduate Student Association. The parties shall be given notice of the meeting(s), an account of the matter to be discussed, and an explanation of the mediation process.

2.8 Mediation does not imply that there is a case to answer. It is not the role of the Mediator to make a formal finding but to ensure that each party has the opportunity to state their case and to be heard.

2.9 Both parties shall normally have the opportunity to state their views in the presence of the other. The Mediator may seek separate interviews at any stage of the process

2.10 If the parties agree, the relevant supervisor(s), Head of School or any other person may be invited to attend a mediation conference to assist in formulating a resolution.

2.11 The parties and any other persons present will be asked to sign a confidential written record of any agreement at the end of the mediation. The record will be retained by the Dean, Graduate Research Studies. If the agreement requires the expenditure of University funds, the agreement must be discussed with the Dean, Graduate Research Studies prior to signing. The Dean will need to discuss such requirements with the appropriate Head of School, Faculty PVC or DVC.

2.12 No other information about the parties shall be disclosed without their consent, except where the Mediator holds a reasonable belief that failure to disclose to an appropriate authority will lead to serious consequences.

2.13 Evidence of anything said or done during mediation shall not be admissible in any other action taken under these or other University procedures.

3. Formal Investigation of Academic or Resource Disputes or Grievances Not Covered By Degree Requirements

Requests

3.1 Any person (such as the candidate, supervisor or Head of School) who is formally involved with a dispute or grievance associated with the candidature of a research student which is not covered by the relevant degree Requirements Appeal Procedures or the University’s Harassment Policy and Procedures, may make a confidential written request, to the Dean, Graduate Research Studies (or nominee) for a formal investigation.

3.2 A formal investigation shall be approved only if other options have not proved satisfactory or if, in the opinion of the Dean, Graduate Research Studies (or nominee), other options are inappropriate. The Dean may need to seek appropriate expert advice as required.

3.3 A request to investigate must be supported by a written statement describing the grounds for complaint.

3.4 The complainant may seek assistance from any person with the preparation of the written statement. However, complainants should exercise caution to avoid defamation.

Action on Requests

3.5 When the Dean, Graduate Research Studies (or nominee) has determined that an investigation is the appropriate means of dealing with a complaint, a statement of the allegations shall be made available to the respondent by the Dean, Graduate Research Studies (or nominee).

3.6 The respondent may seek assistance from any person with the preparation of the response. A copy of the response shall be forwarded by the Dean, Graduate Research Studies (or nominee) to the complainant.

3.7 The Dean, Graduate Research Studies (or nominee) shall appoint a panel to investigate the complaint and to make recommendations on appropriate action. The panel will normally consist of :

(a) two academic members of the Board of Higher Degrees by Research Committee (from a faculty other than the complainant’s faculty), one of whom shall act as chair; and

(b) two postgraduate students nominated by the President of the Postgraduate Student Association.

3.8 A Board of Higher Degree by Research Committee member or Postgraduate Student may not serve on any panel in any matter upon which he or she was earlier consulted by one of the parties.

Proceedings of the Panel

3.9 The function of the panel is not to mediate/conciliate but to investigate and determine the facts in dispute, and to make recommendation about resolution. The panel shall be guided in all its actions by the principles of equal opportunity and procedural fairness (natural justice) as stated in 1.2 above.

3.10 Proceedings of the panel should be held in confidence. No information about the investigation shall be disclosed except to a person to whom disclosure is consistent with his or her official position and responsibilities.

3.11 Should the respondent fail to submit a written reply to the complainant’s allegation, or refuse or fail to appear in person before the panel, the panel may meet and make a determination on the complainant after investigating the matter without having heard from the respondent.

3.12 Each party may be assisted at the hearing by a staff member of the University, staff member of the Student Association or member or nominee of the Postgraduate Student Association.

3.13 Each party may speak for themselves or through the person assisting.

3.14 After investigation, the panel shall first consider whether the complaint is substantiated and then consider the formulation of appropriate recommendations.

Substantiated Complaints

3.15 If the complaint is found to be substantiated, the panel may make such recommendations to the Deputy Vice-Chancellor (Research & Innovation) ( or nominee) and if appropriate the relevant line manager, as it considers necessary to resolve the matter.

Complaints not Substantiated

3.16 When the complaint is found to be without substance, the Deputy Vice-Chancellor (Research & Innovation) (or nominee) shall so advise the complainant, the respondent, the relevant Head of School and the Dean, Graduate Research Studies.

Report of the Panel

3.17 The panel shall give reason for its determination in a written report to the Deputy Vice-Chancellor (Research & Innovation ) (or nominee) the Graduate Research School and relevant parties, normally within 28 days of the conclusion of the investigation. A copy of the panel’s report shall be made available to the complainant and the respondent.

Appeals

3.18 If a party to the complaint believes that the above procedures were not followed correctly, he or she may lodge an appeal with the Deputy Vice-Chancellor (Research & Innovation) (or nominee). The Deputy Vice-Chancellor (or nominee) shall consider the submission and, if the complaint is deemed to have substance, shall direct the grievance be re-examined. Any appeal shall not be heard by any person previously involved in the grievance. There shall be no other grounds for appeal.

3.19 Any request for an appeal shall be lodged within 30 days of the issue of the notice of advice of the findings of the panel of investigation.

4. Operation

4.1 The Dean, Graduate Research Studies (or nominee) shall be responsible for the operation of the procedures, and shall have access to all relevant meetings and records.

4.2 The Manager Graduate Research School shall ensure safe keeping of relevant records.

Approval Details

Modification History