Research Higher Degrees Policies and Procedures

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Appendix F: Conciliation and Arbitration Procedures relating to Supervised Higher Degree Research

The following principles and procedures shall be observed:

1	Coverage
	In December 2002 the Universities Australia published a 'Guidelines for Maintaining and Monitoring Academic Quality and Standards in Higher Degrees', which has been adopted by the University. In accordance with the Guidelines, the University developed its own document entitled 'Research Higher Degrees Policies and Procedures'. The following procedures for the conciliation and arbitration of problems about supervised higher degree research concern any matters which are covered by the 'Research Higher Degrees Policies and Procedures'. The procedures also apply to faculty policies, procedures and practices which relate directly to the application of the 'Research Higher Degrees Policies and Procedures'. The University has developed a Policy on Intellectual Property and any matter relating to intellectual property shall be referred to the Chair of the University Research Higher Degrees Committee. These procedures should be used by a candidate when he or she has reason to believe that a policy or procedure has not been followed properly or has been applied in a manner which constitutes unfair treatment, and this has been detrimental to his or her candidature.
2	Policy Statement
	The University is committed to ensuring that higher degree candidates are able to engage in high quality programs of supervised research. As a means to achieve this goal, the University has adopted policies and procedures for the administration of research higher degrees which include clear definitions of the responsibilities of candidates, supervisors and the University. While these provisions will enable supervised research to proceed smoothly, it is recognised that at times problems about aspects of candidature may arise. To ensure that such problems can be resolved fairly and expeditiously, the University has adopted the procedures contained in this document, and committed itself to resolving problems about supervised research through conciliation. If resolution cannot be achieved in this way, a means for arbitration will be provided through the University Research Higher Degrees Committee.
3	Contact Officers and Conciliators
	3.1	Contact Officer In consultation with the Heads of the relevant Academic Organisational Units and the postgraduate student members of the Higher Degrees Committee in a faculty, each Executive Dean of the Faculty shall appoint an appropriate number of members of the academic staff of the faculty as Contact Officers to provide the relevant parties with access to advice and support, and the means to achieve resolution of matters. Contact Officers will be selected on the basis that they can demonstrate effective interpersonal skills and a good level of understanding of the administration of higher degree matters and the operation of these procedures; and have appropriate experience in supervising the research of higher degree students. It is the responsibility of Contact Officers to act in accordance with these procedures to: - provide advice to students and staff about the University's policies and procedures for the administration of research higher degrees; - provide support to students and staff in relation to the Conciliation and Arbitration Procedures Relating to Supervised Higher Degree Research; - provide a first point of contact to enable the parties to resolve a matter of concern in accordance with Stage 1 of the procedures outlined in Section 5 below; - refer a candidate to a Conciliator, if the parties are unable to resolve a matter.
	3.2	Conciliators Conciliators must be accredited in mediation and have had recent experience in mediation. In the event that a Conciliator does not have experience in the supervision of research higher degree students, they may seek advice about supervising such students and the administration of higher degree matters and the operation of these procedures. A Conciliator or co-conciliators will be appointed from a pool of appropriately qualified people within the University in consultation with the relevant parties. It is the responsibility of Conciliators to act in accordance with these procedures to: - make all reasonable attempts to resolve matters through mediation in accordance with Stage 2 of the procedures outlined in Section 5 below; - refer a candidate to the Chair of the University Research Higher Degrees Committee if a matter cannot be resolved by conciliation.
4	Principles
	- The normal expectation is that most matters of concern to candidates will be resolved through discussion at the local level. However in exceptional circumstances, a candidate may proceed directly to a formal review of a matter in accordance with Stage 3 of the procedures (refer Section 5 below).
	- The procedures outlined below will be administered with reference to principles of natural justice and fairness to all parties.
	- Strict confidentiality will be observed at all times, which means that only those directly and legitimately involved in the resolution of a matter shall be informed about it.
	- A candidate shall be free to cease the conciliation and arbitration procedures at any stage. However, this shall not prevent the University Research Higher Degrees Committee pursuing a matter at the level of general policy.
	- At all stages of the conciliation and arbitration procedures, matters of concern to candidates will be dealt with as expeditiously as possible.
	- All parties will be kept informed of the progress of a matter.
	- Any person who has a direct interest or involvement in a matter shall not be involved in considering it or determining its outcome.
	- All relevant documentation will be made available to all parties involved in a matter prior to the consideration of the matter at each stage of the procedures.
	- At all stages of the procedures, the candidate and the staff member who is the subject of a matter have the right to be accompanied by a person of their choice. However, such a person may not represent the candidate or the staff member.
5	Procedures
	Candidates who consider that they have a serious problem with any aspect of their candidature should normally endeavour to resolve it by discussion with their supervisor and, where appropriate, the Head of the relevant Academic Organisational Unit. Where a problem is not resolved by discussion and the candidate considers that it is necessary to take the matter further, the following procedures shall be followed. If, during the course of these procedures, any party to a matter is unable to attend in person due to an approved absence from the University (including students studying in the external mode or students in an offshore program), alternative arrangements may be made to replace a personal interview.
	Stage 1: The candidate should approach a Contact Officer. Contact Officers shall provide advice and support to the candidate and make all reasonable attempts to assist the candidate to resolve the matter. The Contact Officer may consult the Chair of the Faculty Higher Degrees Committee . If the matter is not resolved at this stage the candidate may seek resolution by conciliation through the Head of the Equal Opportunity Unit.
	Stage 2: The role of the Conciliator shall be to bring the relevant parties together and make all reasonable attempts to resolve the matter through conciliation. The Conciliator shall provide the Chair of the Faculty Higher Degrees Committee and the parties with a summary of the conciliation and any outcome. It is the normal expectation that this stage will take no longer than twenty-one days. If the matter is not resolved by mediation or within the specified timeline, and the candidate wishes to seek resolution by conciliation, the candidate must present a case in writing to the Chair of the University Research Higher Degrees Committee.
	Stage 3: The Chair of the University Research Higher Degrees Committee shall appoint and chair a Review Panel of three Committee members which must include one student and one academic staff member. Where the Chair is unable to act due to prior involvement in the case, the Vice-Chancellor or nominee shall appoint a Chair. The Review Panel shall be empowered to determine the matter on behalf of the University Research Higher Degrees Committee. Because it is recognised that a number of staff may have been involved in a matter, the Chair of the University Research Higher Degrees Committee shall select a person or persons to act as the respondent. The respondent(s) shall be given a copy of the written advice from the candidate and be asked to provide, within ten days, written comments on the matter. The candidate shall receive a copy of the responses at least seven days in advance of the meeting of the Review Panel. The Review Panel shall normally interview the candidate and the respondent(s) together. The candidate and the respondent(s) shall have the right to be accompanied by a person of their choice. The Review Panel shall, whenever possible, make a decision within thirty working days from the date when the matter was first brought to the attention of the Chair of the University Research Higher Degrees Committee. The Review Panel shall notify the candidate and the respondent(s) in writing within five working days of its decision and the reasons for it. The Review Panel shall provide to the University Research Higher Degrees Committee a written report on the general nature of the matter and its outcomes.
6	Outcomes
	The intended outcome of a successful resolution is that the candidate is able to resume his or her candidature without further difficulties, and that the effect of any previous disadvantage on the candidate is minimised. Where a problem is resolved through arbitration, the Review Panel of the University Research Higher Degrees Committee shall determine a suitable outcome with reference to the scope and intent of the 'Research Higher Degrees Policies and Procedures' and within the limits of the Committee's authority. With regard to issues arising from consideration of a matter which are beyond the Committee's authority, the Review Panel shall recommend action to other committees and parties as appropriate. Where there is evidence:
	(i)	that a matter has substance, outcomes such as the following may result:
		- where a supervisory arrangement has broken down, alternative supervisory arrangements may be made;
		- a previous decision or action taken under a policy or procedure may be reviewed and revised;
		- where the matter relates to inadequate provision of resources or facilities, it may be recommended that this inadequacy be redressed;
		- the candidate may receive an extension of candidature and a recommendation may be made to the Deputy Vice-Chancellor (Research) that an extension of funding for a scholarship or other award should be granted; and
		- where there is evidence that a member of staff or a person appointed as a supervisor may be guilty of serious misconduct, disciplinary action may be taken and it may be recommended that the Vice-Chancellor initiate proceedings against a staff member under the relevant industrial award. These procedures cannot find a staff member or a person appointed as a supervisor guilty of misconduct.
	(ii)	that a matter does not have substance, it will be dismissed.
	(iii)	that a matter is malicious or vexatious, the Review Panel may recommend that the Vice-Chancellor initiate proceedings under Statute 6.4 Student Conduct.
7	Appeals
	Where a candidate has received a determination from the Review Panel of the University Research Higher Degrees Committee and believes that proper process has not been followed, he or she may appeal to the Student Appeals Committee. Such an appeal must be lodged with the Director, Academic and Student Services within 21 days of the date of dispatch of the notification from the Chair of the Review Panel about the outcome of the matter. The appeal must:
	- be accompanied by a copy of the letter to the candidate informing him or her of the decision of the Review Panel;
	- include details of the appeal and the action which the student has taken so far;
	- specify what outcome is being sought.
	On receipt of the appeal, the Director, Academic and Student Services (or nominee) shall: acknowledge receipt, check the documentation to ensure that it is complete and that a case has been outlined, and if not seek the missing information; refer the matter to the Student Appeals Committee which shall proceed in accordance with the policy on the Student Appeals Committee.
	Where a staff member has cause to believe that a determination of the Review Panel reflects unfairly on his or her academic standing, the staff member may approach the Head of the relevant Academic Organisational Unit and the Executive Dean of the relevant faculty requesting an investigation of the matter. If it is found that the determination of the Review Panel reflects unfairly on the academic standing of the staff member, the Executive Dean of the Faculty shall ensure that the documentary records contain a statement of that finding.
8	Record keeping
	To ensure that these procedures operate effectively to resolve problems, it is important that records are kept and that they are maintained in a secure manner. Records will be kept in confidence, and in accordance with University policy and the provisions of the SA Freedom of Information Act 1991.
	- Contact Officers will not retain any record of the matters in which they are involved other than for the purposes of recording informal actions taken to resolve a matter. Notes may be taken while the matter is in progress, but they should be destroyed as soon as the Contact Officer's involvement has concluded.
	- Conciliators will keep brief records of matters in which they are involved, ensure that these records are confidential and kept in a secure place, and provide a summary of the conciliation and any outcome, to the Chair of the Faculty Higher Degrees Committee.
	- The Chair of the Faculty Higher Degrees Committee will ensure that these records are confidential and kept in a secure place. The records will be destroyed at the end of 7 years if no further problems arise between the parties.
	- If a candidate decides to refer an unresolved matter to Stage 3, the Conciliator will submit a copy of his or her records and report to the Review Panel of the University Research Higher Degrees Committee.
	- The Review Panel appointed by the Chair of the University Research Higher Degrees Committee will keep records to assist it to resolve a matter by arbitration. All records will be confidential to the members of the Panel and the Secretary, and will be kept in a secure place by the Secretary. The Secretary will destroy these records at the end of 7 years if no further problems arise between the parties.
	- The parties to a matter shall be entitled to have access to all records held about that matter and shall be required to maintain strict confidentiality. All parties to the matter shall normally include the candidate and the respondent(s) and those that accompany them, the Head of the relevant Academic Organisational Unit, the Executive Dean of the relevant faculty, and members of the Review Panel.