(1) This Policy replaces the HDR Academic Grievance Policy and the Appeals Against HDR Thesis Outcomes Policy. (2) The University aims to provide a fair, equitable and productive learning environment for all its students. This Policy supports the achievement of this goal by providing a transparent and consistent process for resolving all student complaints including Higher Degree Research (HDR) students’ academic complaints. (3) The Policy affirms the UOW core values contained in the University Strategic Plan 2013 – 2018. (4) This Policy applies to HDR candidates enrolled at the University of Wollongong and sets out the general approach of the University of Wollongong (UOW) in resolving academic complaints. (5) This Policy addresses academic complaints by HDR candidates including appeals against academic decisions affecting HDR candidature. (6) Management of student complaints relating to research methods subjects undertaken by Honours students are addressed in the Review and Appeal of Academic Decisions Policy. (7) Procedures for student complaints relating to coursework subjects taken as part of a HDR degree are addressed in the Review and Appeal of Academic Decisions Policy. (8) 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 policy documents. (9) Policy documents pertaining to HDR candidature and thesis submission are contained in a number of complementary documents, as are complaint procedures and rules which are not covered by this Policy, including: (10) The list included at clause 9 is not exhaustive and students should consult the University website for information regarding other UOW complaint resolution processes and the most recent versions of the listed documents and policies. (11) In the case of HDR students enrolled in a UOW program delivered by a third party, the Policy applies with the modifications set out in Schedule 1. (12) This Policy does not apply to students studying at the University of Wollongong in Dubai, who may make academic complaints using the UOWD Student Academic Grievance Policy. (13) The University will accept anonymous complaints and will take action, in accordance with this Policy, to investigate issues or concerns raised by anonymous complainants. (14) One central component of the University’s approach to academic complaints is the operation of the Student Ombudsman, an independent and impartial senior officer who is responsible for reviewing student complaints and who will discharge the functions of that office in accordance with the terms of reference set out in the Review and Appeal of Academic Decisions Policy. (15) The following principles must be adhered to when dealing with an academic complaint: (16) The University is committed to the principles of continuous improvement and monitors academic complaints to identify trends that may require proactive measures to minimise or eradicate subsequent academic complaints. (17) A flowchart depicting the stages in the HDR academic complaint process can be found at Schedule 2. (18) Examples of the types of Higher Degree Research academic complaints include, but are not limited to: (19) There is one informal and there are three formal stages in the HDR academic complaint resolution process: (20) At each step in the HDR academic complaint process the staff member to whom the matter has been referred: (21) Where a HDR academic complaint is not resolved at any stage after one calendar month, the student may proceed to the next stage. (22) At all stages of resolving HDR academic complaints, students may be accompanied and assisted by a support person at any relevant meeting. (23) Students wishing to lodge an appeal in relation to a HDR thesis examination outcome will bypass Stage 1 and follow the process outlined under Stage 2. (24) An appeal against a HDR thesis examination outcome may be against: (25) The only grounds permitted for an appeal against a HDR thesis examination outcome are: (26) A HDR candidate who believes that they have grounds for appeal under one of the conditions noted in clause 23 in relation to the examination of their thesis and wishes to appeal the outcome, must follow procedures outlined in Stage 2 of this Policy (see section 8 below). (27) The appeal must be lodged in writing as provided for Stage 2 complaints and must clearly state the reasons for appeal and any supporting evidence. The onus is on the HDR candidate to provide evidence of circumstances outlined in clause 23. (28) A HDR candidate who has a question or concern about a decision, act or omission that affects their academic progress within the scope of this Policy should first approach their Supervisor(s) directly to discuss the matter. The HDR candidate may alternatively seek advice informally from other appropriate persons in the Faculty (e.g. Head of School, Head of Postgraduate Studies, Associate Dean Research). (29) HDR candidates are encouraged to seek to resolve any issues or concerns informally wherever possible before initiating formal complaint resolution procedures under Stage 1. HDR candidates should seek informal resolution as soon as possible after the decision, act or omission has occurred. If informal complaints 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 1). (30) Where an issue or concern is not resolved informally, a HDR candidate may lodge a written complaint with the relevant Faculty Designate for action in accordance with this Policy. (31) The complaint must: (32) If the Faculty Designate has had prior involvement in the complaint process at an earlier stage, in order to avoid any perceptions of a conflict of interest, the Faculty Executive Dean must refer the matter to an alternative Faculty Designate who must not be below the level of an Associate Dean. (33) After examining the complaint, any other relevant documentation and, if necessary, speaking to the student and other relevant parties, the Faculty Designate may: (34) At each step in the Faculty complaint process, the Faculty Designate: (35) Should the Faculty Designate fail to respond within ten (10) working days and fail to inform the student of any extension to the specified time limit to respond, this is deemed to be a refusal to take action on the complaint and the student is entitled to move to Stage 2, if they wish to pursue the complaint further. (36) Faculties must keep a copy of all documentation relating to any complaint in accordance with the UOW Records Management Policy. (37) The Faculty Designate 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 Student Ombudsman if the student believes that there are grounds for appeal as specified in clause 38. (38) Where the HDR candidate considers that: (39) The HDR candidate may refer the matter, in writing, to the Student Ombudsman within twenty (20) working days of receiving a formal decision from the Faculty Designate as per Stage 1 of the process. (40) Should the Student Ombudsman, following an initial review of the matter, determine that the matter requires further consideration; the Student Ombudsman may request the Manager, Graduate School of Research or the Faculty to prepare a report for the Student Ombudsman on the background to the matter. (41) In considering the matter the Student Ombudsman will, where necessary in order to determine the appeal fairly: (42) In considering the matter the Student Ombudsman will: (43) After examining the relevant documentation and, where necessary, speaking to relevant parties, the Student Ombudsman may: (44) The Student Ombudsman may conciliate the matter in order to clarify the issues with the student and suggest possible directions for resolution of the academic complaint. (45) The Student Ombudsman may, with the student’s consent: (46) Where the Student Ombudsman decides that the evidence does not support the outcome of the Stage 1 process or that due process has not been followed by the Faculty, he/she may: (47) Where the matter is referred back to the Faculty for reconsideration under clause 46(b), the Faculty must report back their final determination on the matter including reasons to the Student Ombudsman within a designated time limit. (48) Where the matter is referred back to the Thesis Examination Committee for reconsideration under clause 46(c), the Thesis Examination Committee must report back their final determination on the matter including reasons to the Student Ombudsman within a designated time limit. (49) Where the Student Ombudsman makes a determination under clause 46(d) he/she must notify the relevant Faculty, in writing, of that decision as soon as practicable. (50) Once the matter is finalised, the Student Ombudsman must notify the Dean of Graduate Research and the Manager, Graduate School of Research of the outcome of the academic complaint as soon as practicable. (51) Once the matter is finalised, the Student Ombudsman must notify the student, in writing, of the final decision regarding their academic complaint, including reasons for the decision, and of the student's right to appeal to the Deputy Vice-Chancellor (Research and Sustainable Futures) under Stage 3 if they believe that there are grounds for appeal as specified in section 9. (52) Where the HDR candidate is not satisfied with the outcome of their academic complaint under Stage 2, the candidate may appeal the outcome, in writing, to the Deputy Vice-Chancellor (Research and Sustainable Futures), on the ground that: (53) The appeal must: (54) If the Deputy Vice-Chancellor (Research and Sustainable Futures) has had prior involvement in the matter, or if a conflict of interest exists on the part of the Deputy Vice-Chancellor (Research and Sustainable Futures), the Vice-Chancellor and President will nominate an alternative officer to determine the appeal in place of the Deputy Vice-Chancellor (Research and Sustainable Futures), in accordance with clauses 55-63. (55) The Deputy Vice-Chancellor (Research and Sustainable Futures) will conduct a preliminary assessment of the appeal, to determine whether the appeal meets the requirements of clause 52. (56) Following the preliminary assessment, the Deputy Vice-Chancellor (Research and Sustainable Futures) will: (57) In his/her review of a HDR academic appeal, the Deputy Vice-Chancellor (Research and Sustainable Futures), or other member of staff as per clause 56(b) may: (58) The Deputy Vice-Chancellor (Research and Sustainable Futures) or other member of staff as per clause 56(b) must keep an adequate record of the evidence and his/her decision. (59) Where the matter was referred to another member of staff as per clause 56(b), the member of staff will recommend an outcome to the Deputy Vice-Chancellor (Research and Sustainable Futures). (60) Where the Deputy Vice-Chancellor (Research and Sustainable Futures) decides there are insufficient grounds for the appeal he/she will advise the student that there are insufficient grounds for the appeal and that the decision of the Student Ombudsman shall be upheld. (61) Where the Deputy Vice-Chancellor (Research and Sustainable Futures) decides that there are sufficient grounds for the appeal he/she will refer the matter back to the Faculty, Thesis Examination Committee, or Student Ombudsman (as appropriate) for reconsideration. (62) Where the matter is referred back to the Faculty, Thesis Examination Committee or Student Ombudsman, the Faculty, Thesis Examination Committee or Student Ombudsman (as appropriate) must report their final determination on the matter including reasons to the Deputy Vice-Chancellor (Research and Sustainable Futures) within a designated time limit. (63) The Deputy Vice-Chancellor (Research and Sustainable Futures) must notify the student, the Executive Dean of the Faculty, the Dean of Graduate Research and the Student Ombudsman of the outcome of the appeal within ten (10) working days of his / her determination. (64) Any time limit set in this Policy may be extended at the discretion of the investigating officer, for example, to provide adequate time to gather evidence and convene a meeting or because of special circumstances demonstrated by the student. (65) At any point during the HDR academic complaint process, a student who is dissatisfied with the outcome or conduct of an appeal against an academic complaint or HDR Thesis Examination outcome may lodge a complaint with 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. The NSW Ombudsman may choose to not investigate a matter until the University has had sufficient opportunity to remedy/rectify the academic complaint internally. (66) If a staff member is involved in an academic review or complaint against a decision arising from a matter in which they have a real or perceived conflict of interest, they should disqualify themselves from the investigation and an appropriate alternative staff member should be appointed. (67) Files relating to HDR academic complaints considered by the Faculty will be retained and disposed of by the Faculty in accordance with the UOW Records Management Policy. (68) Files relating to HDR academic complaints considered by the Student Ombudsman will be retained and disposed of by the Office of the Student Ombudsmen in accordance with the UOW Records Management Policy. (69) Files relating to HDR academic complaints considered by the Deputy Vice-Chancellor (Research and Sustainable Futures) will be retained and disposed of by the Graduate Research School in accordance with the UOW Records Management Policy. (70) All persons involved in investigations of HDR academic complaints have a responsibility to conduct themselves in accordance with this Policy. (71) The University has a responsibility to: (72) Students and staff involved in HDR academic complaints have a responsibility to follow the requirements of this Policy. (73) Third party provider – a higher education provider (other than the University of Wollongong Dubai - UOWD) with which UOW has an agreement for the delivery of UOW courses at or in conjunction with that institution. (74) Where a HDR student is enrolled in a UOW program delivered by a Third Party Provider, this Policy applies with the modifications set out in this Schedule. (75) Where they do not exist, the course owning faculty will designate staff at the third party provider who hold positions equivalent to those specified in this Policy: (76) An appeal by a student, as per Stage 3, must be lodged in accordance with section 9 respectively with either: (77) An appeal lodged with the Academic Registrar (or equivalent) of the third party provider must be referred to the Deputy Vice-Chancellor (Research and Sustainable Futures). (78) An appeal meeting may be conducted by teleconference or video-conference. In such a case, a member of staff of UOW or the third party provider may be present to assist the student at the third party provider’s premises. This does not preclude the right of the student to nominate their own support person in accordance with this Policy. (79) HDR Academic Complaints flowchartHigher Degree Research (HDR) Student Academic Complaints Policy
Section 1 - Purpose of Policy
Section 2 - Application and Scope
Section 3 - Principles of Complaints Resolution
Section 4 - Flowchart
Section 5 - Process for HDR Academic Complaints
HDR Academic Complaints
The Four Stage Process
Process for Appeals against HDR Thesis Examination Outcomes
Grounds for Appeal
Process for Appeal
Section 6 - Informal Resolution
Section 7 - Stage 1 - Formal Complaint to Faculty
Procedural Requirements
Section 8 - Stage 2 – Referral of Complaint to Student Ombudsman
Possible Outcomes
Conciliation
Decision and Outcome
Notification of Outcome
Section 9 - Stage 3 - Appeal to the Deputy Vice-Chancellor (Research and Sustainable Futures)
Lodging and Referral of Appeal
Consideration of Appeal by Deputy Vice-Chancellor (Research and Sustainable Futures)
Outcome of Appeal
Section 10 - Extension of Time Limits
Section 11 - External Review
Section 12 - Conflict of Interest
Section 13 - Record Keeping
Section 14 - Roles and Responsibilities
Section 15 - Schedule 1 - Application of Policy to Third Party Providers
Definition of “Third Party Provider”
Application
Procedural Matters
Section 16 - Schedule 2 Flow Charts
Section 17 - Definitions
Word/Term
Definition (with examples if required)
Academic complaint
A complaint by a HDR student concerning a decision, act or omission of a member of UOW staff, committee or thesis examiner which affects the student's candidature or thesis examination outcome.
Complaint
An expression of concern, dissatisfaction or frustration with the quality or delivery of service, a policy or procedure, or the conduct of another person.
Conciliation
A process whereby an impartial third party assists in the process of complaint resolution.
Conflict of interest
Exists where there is a divergence between the individual interests of a staff member or affiliates and their professional obligation to the University, such that an independent observer might reasonably question whether the professional actions or decisions of that staff member are influenced by their own interests or are for their own benefit.
Discrimination
Treating someone unfairly or differently because of their sex, pregnancy, race (including colour, ethnicity and descent), disability, sexual preference, religion, transgender, carer’s responsibilities, marital status, social origin, political belief, employee association activity, irrelevant criminal record or age. Discrimination also includes treating someone the same as someone else, but where the result of doing this unreasonably disadvantages substantially more people of that person’s sex, race, disability, etc.
Due process
Procedural rights under this Policy, other policies (including University, Faculty or Unit policy documents), University rules and codes of practice, and includes the application of the principles of natural justice.
Faculty Designate
Faculty staff member given designated authority to undertake investigations of academic complaints. For investigations of HDR academic complaints, the Faculty Designate will typically be the Head of School, Head of Postgraduate Studies, or Associate Dean Research.
Good faith
Honestly and with propriety.
Harassment
Unwelcome behaviour that makes a person feel belittled, intimidated, offended or apprehensive, and that a reasonable person, taking into account all the circumstances, would expect to cause offence, intimidation or apprehension.
HDR student
A person:
Natural justice
Principles that ensure that decision-making is fair and reasonable. These involve decision-makers informing people of the case against them or their interests, giving them a right to be heard, not having a personal interest in the outcome, and acting only on the basis of logically probative evidence.
Policy document
University rules, policies, standards, codes of conduct, codes of practice, procedures and guidelines.
Prior involvement
Providing advice on or making a determination on the merits of a complaint at an earlier stage in the complaints process. Such participation goes beyond providing advice or guidance on the provisions of the policy or other procedural aspects of the complaints process.
Procedural Irregularity
A circumstance where, in the course of the thesis examination process, University rules, standards, policies, codes, procedures or guidelines have not been followed.
Progress Reviews
A review of a HDR candidate’s progress that occurs at various stages throughout the student’s candidature and includes Research Proposal Reviews, Faculty Progress reviews and Annual Progress Reports.
Staff
All persons appointed by the University as academic or professional services staff regardless of their classification and regardless of whether holding full-time, part-time, or ongoing or fixed term appointments, including conjoint appointments.
All persons engaged by the University as casual employees.
All persons defined as Affiliates in the University Code of Conduct.
Support Person
A person, other than a legal representative, who provides support to a complainant or a respondent during the course of the consideration of a complaint and any subsequent review or appeal process.
Thesis
Also known as a dissertation, a thesis is the document submitted in support of candidature for a Doctoral or Masters by research degree which presents the author’s research and findings.
Thesis Examiner
A thesis examiner is a person appointed by the University to assess by Australian Quality Framework standards appropriate for the relevant Higher Degree Research qualification.
University
The campuses, facilities, operations, resources, staff and services of the University of Wollongong.
Vilification
Anything that happens publicly that could encourage hatred, serious contempt or severe ridicule of a person or group of people, because of their race, ethno-religion, homosexuality, transgender or HIV or AIDS status.
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