Doctoral and MPhil Handbook

Policy changes

Academic Grievance policy and procedures (Chapter 8)

Revised policy approved by Research Graduate School Committee at Meeting 4/2005 (6 May 2005).

Former policy

8.1 Grievance and appeal procedures

8.1.1 Underlying policy for handling student grievances on academic and related matters

• Academic grievances should always be resolved at departmental level, where possible. It is considered that informal procedures are more likely to be effective than formal proceedings and should always be based upon principles of mediation and conciliation.

• Should such grievances not be resolved in the department, the faculty representative of the Research Graduate School Committee would consider the matter further at faculty level.

• Should this inquiry also fail to settle the grievance, the Research Graduate School Committee would move to set up an advisory panel. Membership of the advisory panel would be determined on a case-by- case basis, but would be chaired by the chairman of the Research Graduate School Committee (or nominee) and should include at least one other member outside the faculty involved, but from a cognate discipline. In determining the membership of the advisory panel, university policies regarding gender balance and avoidance of any potential conflict of interest must be maintained. The candidate may exercise a right of veto concerning membership of the panel in no more than two instances. Any change of membership due to unforeseen circumstances, should be notified to the candidate before the meeting of the panel.

Every effort should be made to settle these matters confidentially and in a timely manner.

8.1.2 Handling student grievances on administrative matters

If necessary, any unresolved matter should then be brought to the attention of the university grievance officer (campus manager, Clayton and Berwick), who is charged with investigating and settling administrative complaints under Section 8 – 'Grievance and appeals procedures' of the university's Education Policy. Should this inquiry also fail to settle the grievance, the Research Graduate School Committee would move to set up an advisory panel. Membership of the advisory panel would be determined on a case-by-case basis, but would be chaired by the chairman of the Research Graduate School Committee (or nominee). In determining the membership of the advisory panel, university policies regarding gender balance and avoidance of any potential conflict of interest, must be maintained. Every effort should also be made to settle the matter in a timely manner.

The final arbiter on all grievance matters is the Research Graduate School Committee.

Revised policy (changes have been highlighted in italics)

Academic Grievance policy and procedures for higher degree by research candidates

8.1.1 Policy

The purpose of this policy is to ensure that the resolution of academic grievances follows standard procedures. An academic grievance may be defined as any matter related to candidature and scholarships within the jurisdiction of the Monash Research Graduate School Committee. Administrative procedures are the subject of separate guidelines.

In general, it is desirable that grievance procedures should be kept as informal as possible and based on principles of mediation and conciliation. Complaints should be considered close to the source of the problem. Candidates should first discuss any concern with the staff member(s) involved, and, if this is not satisfactory, with the head of department. Only if these approaches are unproductive should other mechanisms come into play. Even then, informal procedures are likely to be more effective than formal hearings.

Most faculties have established grievance processes to deal with candidates' complaints. Others are encouraged to do so. All faculties are advised to appoint a senior academic staff member to hear complaints from candidates in relation to academic matters. This officer shall investigate complaints and mediate where appropriate, in order to facilitate the resolution of individual candidate grievances of an academic nature, but only on matters relating to the fairness and consistency of procedures, not those involving academic expertise and judgment. He or she shall also monitor the impact of policies, processes, rules and regulations on candidates generally, identifying issues and problems which need to be addressed and suggesting improvements. The existence and role of these officers should be publicised to candidates in the faculty and they should meet regularly with student representatives.

8.1.2 Procedures

1. The candidate is encouraged to resolve the difficulty with the staff member(s) in question, in accordance with the relevant faculty or departmental procedures.
2. If a resolution cannot be reached, the candidate is encouraged to discuss the difficulty with the head of the appropriate department or school (or nominee) on a confidential basis.

3. If the difficulty has still not been resolved, a written request for resolution of the matter may be made to the senior member of staff nominated by the dean by either the candidate or the person with whom the matter has been discussed at step 2. The matter is now considered a grievance.

4. The senior member of staff nominated by the dean may then attempt to resolve the grievance through further negotiation or mediation, or may advise the complainant in writing that the grievance is considered to be lacking in substance, or frivolous and/or vexatious, and that no enquiry is to be made. This process should be concluded within a maximum of 20 days from the receipt of the grievance by the senior member of staff.

5. If the grievance has not been resolved nor the complaint dismissed, the senior member of staff nominated by the dean must convene a Faculty Grievance Committee, which would be established on an ad hoc basis and would usually consist of 3-4 people for each case. This committee should be convened within 35 days from the receipt of the grievance by the senior member of staff.

6. The outcome of the Faculty Grievance Committee's deliberations must be communicated in writing to both parties involved in the grievance. This communication should normally include an offer from the senior member of staff nominated by the dean to debrief or otherwise provide further assistance to either party. This communication should be registered, in order to provide evidence of the receipt of the document. The committee must reach a decision within a maximum of 50 days from the receipt of the grievance by the senior member of staff.

7. The senior member of staff nominated by the dean may monitor, or be directed by the Faculty Grievance Committee to monitor, the resolution of the dispute for a maximum period of six months, and may wish to make further recommendations (in writing) should the settlement not resolve the dispute to the satisfaction of both parties.

8. A grievance case would be considered closed upon receipt by the senior member of staff nominated by the dean of a written withdrawal of the grievance by the complainant, or of a written agreement between the parties or when a faculty grievance committee determines that there is nothing further that the faculty can offer in order to settle the grievance and the candidate has not appealed to the Chair of the Research Graduate School Committee pursuant to step 9.

9. Decisions of the Faculty Grievance Committee or of the senior member of staff nominated by the dean may be appealed by the candidate in writing to the chair of the Research Graduate School Committee.  An appeal should be submitted to the manager of the Monash Research Graduate School within 14 days of receipt of the decision of the Faculty Grievance Committee.  An appeal must be in writing and include the grounds for the appeal. It will not be sufficient for a candidate to ask for a re-hearing of the original complaint. The candidate must provide some reasons why he/she considers the committee's decision to be incorrect or unfair.

10. The chair of the Research Graduate School Committee shall then investigate the matter, and, subject to the appeal being considered neither frivolous and/or vexatious, will establish an MRGS Grievance Appeal Panel to consider the matter within a reasonable time frame. Every effort must be made to deal with the matter in a timely fashion. The candidate will be notified by registered letter of the decision to convene an MRGS Grievance Appeal Panel.

11. The candidate will be required to respond to the registered letter within 14 days. The candidate will be given the right of veto of membership  within the fourteen day period only,  but may exercise that right in up to two cases; may present his or her case either in writing or orally (or both); and has the right to be accompanied by another non legally qualified person. The candidate must inform the Research Graduate School Committee of his/her intention to be so accompanied and the name of that person. Should the candidate wish to be accompanied by a legally qualified person, he/she must first seek the approval of the Research Graduate School Committee, and provide the name of that person.

12. The candidate will be notified of the time and place of the meeting and within 14 days (or as soon as possible thereafter) of the receipt of the candidate's response the agenda and agenda papers will be forwarded to the candidate. Such papers will be transmitted to the candidate within five days of the scheduled panel meeting.

13. The recommendation of the Grievance Appeal Panel by way of a written report shall be communicated to the Research Graduate School Committee at its next meeting.

14. The decision of the Research Graduate School Committee shall be considered to be final and the candidate shall be advised accordingly. Where there may be a significant delay between the MRGS Grievance Appeal Panel advice to the Research Graduate School Committee and the final determination of the latter committee, the candidate will be advised of the recommendation of the MRGS Grievance Appeal Panel. The candidate will then be advised by registered mail of the committee's final decision within seven days of the Research Graduate School Committee meeting.

8.1.3 Faculty where grievance is to be lodged

8.1.4 Persons who may bring a grievance

8.1.5 Frivolous and/or vexatious grievances (Step 4)

The senior member of staff nominated by the dean may determine that the grievance in question is frivolous and/or vexatious, and determine that no enquiry is necessary. As for all other decisions related to the grievance process, the complainant must be advised of this determination in writing, and may make appeal to the dean, if they so desire.

The chair of the Research Graduate School may subsequently determine that an appeal of a determination of a Faculty Grievance Committee is similarly frivolous and/or vexatious and dismiss the grievance appeal. This decision of the chair of the Research Graduate School Committee must also be communicated to the complainant in writing.

8.1.6 Records of proceedings

Written records of any grievance proceedings/complaints must be kept in a secure location in the office of the dean of the faculty for a minimum of five years after the last action date regarding the grievance or complaint (in accordance with university policy on disposal of records), although individual circumstances may require the retention of records after that time. Similarly, the appeal matter considered by the MRGS Grievance Appeal Panel shall be retained by the Records Management  Office for a minimum period after the last action regarding the matter, in accordance with the university policy on disposal of records. These matters are considered to be absolutely confidential and any records must be destroyed in the same way as for all confidential records when no longer required to be kept.

8.1.7 Support and advice (Step 11)

The candidate is to be advised at the time of the initiation of academic grievance procedures that he or she may bring to any hearings into the matter a support person.  As in research misconduct and termination hearings, this may be any person whether legally qualified or not (subject to 11 above), although this person is not to act as an advocate for the student.  Similarly, the staff member(s) would not be represented by an advocate, although would be equally entitled to bring a person to the hearing as a support person. Should the matter proceed to an appeal to the MRGS Grievance Appeal Panel, both the candidate and the staff member(s) would be entitled to an adviser, should they so desire.

8.1.8 Order of hearings

Normally, the proceeding first raised should be the first settled, if more than one hearing has been proposed (eg research misconduct, termination, grievance/appeal). Each hearing should be advised that other hearings are proposed.  However, if a candidate is faced with a termination or research misconduct hearing, and subsequently files a complaint of academic grievance, the decision regarding the candidate's termination or research misconduct should be taken prior to commencement of hearings regarding the alleged academic grievance.

No two proceedings as identified above might run concurrently.

The dean of the faculty in consultation with the chair of the Research Graduate School Committee, as appropriate and if required, may determine the order in which hearings should proceed.

These procedures are designed to prevent a candidate who is scheduled for a termination appeal hearing or a research misconduct hearing from making a complaint of academic grievance in order to delay the former hearing(s).

8.1.9 Senior member of staff nominated by the dean (Step 3)

8.1.10 Membership of Faculty Grievance Committee (Step 5)

• Senior member of staff nominated by the dean (chair/convenor)

• Two members of academic staff at the level of lecturer or above

• One research candidate from the relevant faculty nominated by the appropriate student body
   

It may be necessary to appoint to the panel staff from the department in which the grievance originated, in order to provide expertise (for example when the complainant is claiming unfair research training practices). Provided that no member of the panel has had any involvement in the matter which is being enquired into or any other particular connection with the complainant, there will be no conflict of interest or perceived bias.

8.1.11 Membership of MRGS Grievance Appeal Panel (Step 10)

• Chair of the Research Graduate School Committee (or nominee);

• The Associate Dean (Research Degrees) or equivalent, or nominee from the candidate's faculty, not being a person involved in the grievance matter at faculty level, including earlier faculty grievance committee;

• A departmental representative, but not the supervisor, head or other persons involved in grievance matter at faculty level, including earlier faculty grievance committee

• A representative of the Research Graduate School Committee, not being a student member;

• A research candidate representative from another faculty; and

• Additional coopted members as determined necessary by the chair.

In determining membership of the panel, university policies regarding gender balance and the avoidance of any potential conflict of interest, must be maintained.

In the event of a member or members being unable to attend a scheduled meeting, a quorum of two thirds of the panel shall hear the case.

The chair of the MRGS Grievance Appeal Panel shall be given guidelines on how to conduct these proceedings.

8.1.12 Notifications to the candidate by MRGS Grievance Appeal Panel (Step 11)

Following the candidate's notification of the intention to appeal, and within a reasonable time frame, he or she shall be informed by a registered letter of the following:  

• The manager has received notification of the candidate's intention to appeal against the recommendation of the Faculty Grievance Committee.

• The candidate has the right to be heard personally or by way of a written submission, or by both means. Within 14 days of the receipt of the registered letter the candidate should advise the Manager of the Monash Research Graduate School how he or she wishes to be heard. Should the candidate wish to make a written submission, he or she will be advised of a possible structure for the written submission (eg executive summary, detailed chronology, possible solutions).  However, the candidate is not bound by such advice. Whether choosing a written oral presentation (or both), the candidate will also be advised of appropriate support services available (eg Monash Postgraduate Association, Student Rights Officer, Community Services).

• The candidate has the right to be accompanied by another non legally qualified person and should notify the Research Graduate School Committee of his/her intention to be so accompanied, and the name of that person. However, if he/she wishes to be accompanied by a legally qualified person, the candidate must seek the permission of the Research Graduate School Committee. Such person shall act as an adviser but not as an advocate for the candidate. This request must be lodged within 14 days of the date of the registered letter. Should the candidate's request that he or she be accompanied by a legally qualified person be approved, the Research Graduate School Committee will normally arrange for a legally trained person representing the university, to attend the appeal meeting.

• The candidate shall be notified of the proposed membership of the MRGS Grievance Appeal Panel and shall be informed of his or her right of veto concerning membership of the committee in no more than two instances. This right of veto must be exercised by the candidate within 14 days of the date of the registered letter.    

• A copy of the appeal regulations and guidelines will be communicated to the candidate.

Following the candidate's response to the letter and within 14 working days, or as soon as possible thereafter, a further letter shall be sent to the candidate. The letter shall contain the following information:

• The candidate shall be informed of the proposed time and date of the appeal meeting.

• The candidate shall be informed whether the request for a legally qualified person to accompany him or her to the MRGS Grievance Appeal Panel has been approved.

• The candidate will be forwarded a copy of the agenda and agenda papers for the MRGS Grievance Appeal panel meeting at least five (5) days prior to the meeting. An indication of time limits for presentation by either parties or parties shall be included. Should any subsequent documentation be submitted by the candidate or others, this additional material must be forwarded to the candidate and other relevant persons at least two (2) days prior to the meeting.