Doctoral and MPhil Handbook

Policy changes

Termination Procedures (Chapter 8.3.1 - 8.3.6)

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

Former policy

8.3.1 Initiation of recommendation to terminate

Termination proceedings must be initiated, by the head (of department/school/centre) after consultation with the candidate and the candidate's supervisor (see section 8.3.3). The head might, for example, recommend that candidature not be continued in section C of the Annual Progress Report. In such cases, a document in support for this recommendation must be attached to the progress report and forwarded to Monash Research Graduate School, and concurrently, the candidate notified in writing of the department's determination that the initial stages of the termination procedure have now commenced. A copy of the head of department's letter to the candidate should be forwarded to the Monash Research Graduate School at the same time.

Information about a termination process should be provided to staff members strictly on a need-to-know basis.

8.3.2 Termination, research misconduct and non-confirmation of candidature Failure

If it is possible to take action under either piece of legislation, the Research Graduate School Committee will decide which shall apply. If a decision is made to proceed via the termination process in the doctoral regulations, no reference should be made to misconduct in any documentation.

If a candidate is found to have submitted work he/she has previously submitted for a different award, this will breach the doctoral regulations. It might also amount to misconduct on the basis that it is a practice which seriously deviates from those commonly accepted when reporting research. However, it will not constitute plagiarism which means the use of ANOTHER PERSON'S work or ideas without appropriate acknowledgement.

Note: Appeals related to a recommendation not to confirm candidature following a period of probation are referred to in Appendix D.

8.3.3 Check list/guidelines for faculty/department

Due process is considered by the committee to include the following:

• After consultation with the supervisor and candidate, the head of department (or nominee) will issue an initial warning letter which would indicate that the department intends to proceed with a recommendation for termination unless, within a specified time, certain written requirements are met.

• This communication should be followed by a meeting between candidate, supervisor, head (or head's nominee) together with a representative of the faculty graduate studies committee (or equivalent) to confirm the exact nature of the tasks and targets to be completed satisfactorily by the candidate within the agreed timeframe. In the event of non-compliance or partial compliance by the candidate, the head of department or nominee will notify the candidate in writing that the department will be recommending termination to the Research Graduate School Committee and that the candidate will have the right to submit, within a specified time, a written statement to that committee.

• Copies of these letters and supporting documentation will be placed on relevant faculty and central files. It is the responsibility of the department to make a case for termination, supported by documentation, to the Research Graduate School Committee.

8.3.4 Research Graduate School

Following receipt of a termination recommendation from the relevant academic department/unit, the Research Graduate School Committee will notify the candidate in writing by registered mail of the departmental recommendation, and advise of the right to appeal to a Research Graduate School Committee Termination Sub Committee. The candidate will be given 14 days to indicate whether he/she wishes to lodge a written appeal to the Manager of the Monash Research Graduate School against the recommendation to terminate.

If the committee does not hear from the candidate, it will make the recommendation to terminate the candidature.

Should the candidate wish to be heard, the committee would convene a Termination Sub Committee to hear the candidate's submission in confidence. Membership would comprise:

• the 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 the person who as representative of the faculty graduate studies committee, met earlier with candidate, supervisor and head to confirm exact nature of tasks and targets to be completed

• a departmental representative (but not the supervisor or head)

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

• a research student representative from another faculty, and

• additional co-opted members such as a member of the Faculty of Law, as required or as appropriate. In determining membership of the Termination Sub Committee, 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 the scheduled meeting, a quorum of two-thirds of the Termination Sub Committee shall hear the case.

Candidature (but normally not scholarship) shall continue while the appeal is heard and a determination made by the Research Graduate School Committee.

Following the candidate's notification of the intention to appeal, and within a reasonable timeframe, 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 to terminate candidature.

• 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 date 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).

Whether choosing a written or 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. If the student wishes to be accompanied by a legally qualified person, he or she must first seek the permission of the Research Graduate School Committee. 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. If the student wishes to be accompanied by a non-legally qualified person, his or her intention to do so should also be notified to the committee.

• The candidate shall be notified of the proposed membership of the Termination Sub Committee 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.

• The candidate may also elect not to have a research student representative on the sub committee and the candidate should notify his or her preference to the Manager of the Monash Research Graduate School within 14 days of the date of the registered letter.

• Should the candidate decide to withdraw from candidature after the Termination Sub Committee has submitted its recommendation to the Research Graduate School Committee, that committee will deal with each matter in the order in which they are received.

• A copy of the termination regulations and guidelines will be enclosed in the letter.

As soon as possible after receipt of the candidate's response to the letter and normally within 14 days, 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 membership of the sub committee shall be confirmed.

• The candidate shall be informed whether the request for a legally qualified person to accompany him or her to the Termination Sub Committee has been approved.

• The candidate will be forwarded a copy of the agenda and agenda papers for the Termination Sub Committee meeting at least five 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 days prior to the meeting. The chair of the Termination Sub Committee shall be given guidelines on how to run these proceedings.

• The Termination Sub Committee shall make a recommendation to the Research Graduate School Committee and, having considered the case, the Research Graduate School Committee shall make a final decision and advise the student accordingly. Where there may be a significant delay between the Termination Sub Committee's advice to the Research Graduate School Committee and the final determination by that committee, the candidate will be advised of the recommendation the Termination Sub Committee will make to the Research Graduate School Committee. The candidate will be notified in writing by registered mail of the committee's final decision within seven days of the Research  Graduate School Committee meeting.

Throughout the termination process, every effort should be made to finalise the matter as expeditiously and confidentially as possible.

A written record of any termination proceedings must be retained in the university's central Records Management Office for a minimum period after the last action date regarding the matter, in accordance with the university policy on disposal of records.

8.3.5 Order of hearings

However, it is likely that the issues raised in relation to the grievance will also be presented as part of the student appeal against termination. If the two overlap, it is appropriate for the Termination Sub Committee to consider the issues concerned as part of the student appeal against termination of candidature. In such cases, a grievance would not be subsequently considered unless it was based on issues that could not have been covered by the Termination Sub Committee.

Revised policy (changes have been highlighted in italics)

Termination Procedures

(Part II doctorate regulations and Masters Degrees by Research (General) regulations available at http://www.monash.edu.au/pubs/calendar/facultyregs/)

8.3.1 Initiation of recommendation to terminate

Termination proceedings must be initiated, by the Head (of Department/School/Centre) after consultation with the candidate and the candidate's supervisor (see section 8.3.4). The Head might for example, recommend that candidature not be continued in Section C of the Annual Progress Report. In such cases a document in support for this recommendation, endorsed by the dean (or dean's nominee) must be attached to the progress report and forwarded to MRGS, and concurrently, the candidate notified in writing of the departmental and faculty determination that the initial stages of the termination procedure have now commenced. A copy of the dean's letter to the candidate should be forwarded to the Monash Research Graduate School at the same time.

Information about a termination case should be provided to staff members strictly on a need to know basis.

8.3.2 Termination, Research Misconduct and Non Confirmation of Candidature

If a candidate is found to have submitted work he/she has previously submitted for a different award, this will breach the Doctoral Regulations. It might also amount to misconduct on the basis that it is a practice which seriously deviates from those commonly accepted when reporting research. However, it will not constitute plagiarism which means the use of ANOTHER PERSON'S work or ideas without appropriate acknowledgement.

Non confirmation of candidature is dealt with elsewhere [link to that document].

8.3.3 Publication of termination procedures

8.3.4 Check list/guidelines for faculty/department

Due process is considered by the committee to include the following:

• After consultation with the supervisor and candidate, the head of department (or nominee) will issue an initial warning letter which would indicate that the department intends to proceed with a recommendation for termination unless, within a specified time, certain written requirements are met. A copy of the letter should be sent to the supervisor and a representative of the faculty graduate studies committee (or equivalent).

• This communication should be followed by a meeting between candidate, supervisor, head (or head's nominee) together with a representative of the faculty graduate studies committee (or equivalent) to confirm the exact nature of the tasks and targets to be completed satisfactorily by the candidate within the agreed timeframe. In the event of non compliance or partial compliance by the candidate, the dean (or nominee) will notify the candidate in writing that the department/faculty will be recommending termination to the Research Graduate School Committee and that the candidate will have the right to submit, within a specified time, a written statement to that committee that he/she wishes to be heard in relation to the recommendation to terminate.

• Copies of these letters and supporting documentation will be placed on relevant faculty and central files. It is the responsibility of the department/faculty to make a documented case for termination for consideration and endorsement by the dean, prior to transmission to the Research Graduate School Committee.

8.3.5 Research Graduate School Committee Termination Sub Committee and the candidate's right to be heard

If the committee does not hear from the candidate then it will make the recommendation to terminate the candidature.

Should the candidate wish to be heard, the committee would convene a Termination Sub Committee to hear the candidate's submission in confidence. Membership would comprise:

• the 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  the person who as representative of the faculty graduate studies committee, met earlier with candidate, supervisor and head to confirm exact nature of tasks and targets to be completed;

• a departmental representative (but not the supervisor or head);

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

• a research student representative from another faculty, not being a member of the Research Graduate School Committee; and

• additional co-opted members such as a member of the Faculty of Law, as required or as appropriate.

In determining membership of the Termination Sub Committee, 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 the scheduled meeting, a minimum of four members of the Termination Sub Committee shall hear the case. Candidature (but normally not scholarship) shall continue while the candidate exercises his/her right to be heard and a determination is made by the Research Graduate School Committee.

Following the candidate's notification of the intention to be heard, 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 be heard in relation to the departmental/faculty recommendation to terminate candidature.

• 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 date 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). Whether choosing a written or 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.  If the student wishes to be accompanied by a legally qualified person, he or she must first seek the permission of the Research Graduate School Committee. 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. If the student wishes to be accompanied by a non legally qualified person, his or her intention to do so should also be notified to the committee.

• The candidate shall be notified of the proposed membership of the Termination Sub Committee and shall be informed of his or her right to veto up to two members of the sub committee as originally proposed. This right of veto must be exercised by the candidate within 14 days of the date of the registered letter.

• Should the candidate decide to withdraw from candidature after the Termination Sub Committee has submitted its recommendation to the Research Graduate School Committee, that committee will deal with each matter in the order in which they are received.

• A copy of the termination regulations and guidelines will be enclosed in the letter.

As soon as possible after receipt of the candidate's response to the letter and normally within 14 days, 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 sub committee meeting.

• The membership of the sub committee shall be confirmed.

• The candidate shall be informed whether the request for a legally qualified person to accompany him or her to the Termination Sub Committee has been approved.

The candidate will be forwarded a copy of the agenda and agenda papers for the Termination Sub Committee 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. The chair of the MRGS Termination Sub Committee shall be given guidelines on how to run these proceedings.

The Termination Sub Committee shall make a recommendation to the Research Graduate School Committee and, having considered the case, the Research Graduate School Committee shall make a final decision and advise the student accordingly.

Where there may be a significant delay between the Termination Sub Committee's advice to the Research Graduate School Committee and the final determination by that committee, the candidate will be advised of the recommendation the Termination Sub Committee will make to the Research Graduate School Committee.  The candidate will be notified in writing by registered mail of the committee's final decision within seven (7) days of the Research Graduate School Committee meeting.

Throughout the termination process every effort should be made to finalise the matter as expeditiously and confidentially as possible.

A written record of any termination proceedings must be retained in the university's central Records Management Office for a minimum period after the last action date regarding the matter, in accordance with the university policy on disposal of records.

8.3.6 Order of hearings

However, it is likely that the issues raised in relation to the grievance will also be presented as part of the student exercising his/her right to be heard in relation to the recommendation to terminate. If the two overlap, it is appropriate for the RGSC Termination Sub Committee to consider the issues concerned as part of the Termination Sub Committee hearing. In such cases, a grievance would not be subsequently considered unless it was based on issues that could not have been covered by the RGSC Termination Sub Committee.