D/5.5 Grievance resolution procedures for postgraduate research students

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5.5.1 Principles
5.5.2 Application
5.5.3 Definitions
5.5.4 Informal resolution
5.5.5 Formal resolution
5.5.6 External agencies
5.5.7 Other considerations
Related Documents
Modification History

5.5.1 Principles

QUT aims to provide quality postgraduate research training which enables candidates to complete their degrees successfully within the prescribed time frame.

The following principles underpin the University’s grievance resolution process for postgraduate research students.

• The University is committed to ensuring an environment for working and learning that is harmonious, fair and just.
• The principles of natural justice and procedural fairness are integral to the investigation and resolution of grievances.
• Grievances will be resolved as early as possible and at the local level where possible.
• All grievances will be dealt with in a supportive environment without victimisation or intimidation of anyone connected with the grievance either during or subsequent to a grievance resolution procedure.
• All grievances will be managed with strictest confidentiality.

Grievances regarding discriminatory practices are handled separately under the University's grievance resolution procedures for discrimination related grievances ( A/8.5 ), and should be referred to the Equity Director in the first instance.

Grades for coursework undertaken as part of a higher degree by research may be reviewed under the University's procedures for review of grades (see QUT Student Rules and E/9.1 ).

Other sources of assistance available to postgraduate research students are outlined on the Research Students Centre website.

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5.5.2 Application

1. These procedures will apply in any grievance, where either one or both of the complainant or the respondent is a QUT postgraduate research student except as outlined in clause (b) below. These procedures are limited to apply to grievances arising from QUT activities, whether on or off campus, normally but not exclusively of a research nature. These procedures relate to the resolution of grievances (perceived grounds for complaint) concerning:
• individual academic staff members (eg supervisory practice, interpersonal relationships relating to research candidature);
• facilities and resources.

2. These procedures will not apply if the subject of the grievance relates to the following:

• matters where the grievance does not relate to a postgraduate research student’s course of study;
• matters where procedures are specified under the QUT Student Rules and/or the Doctor of Philosophy Regulations;
• matters which are the subject of an academic decision and which fall within the terms of reference of Appeals Committee;
• harassment or discrimination;
• decisions of QUT Council;
• the content of approved University policy;
• matters where the complainant or the respondent have engaged an external agency such as the Queensland Ombudsman or a practising lawyer.

3. Where the Dean of Research and Research Training considers that the alleged actions or behaviours of a staff member which constitute the grievance may involve misconduct or serious misconduct as defined in the relevant enterprise bargaining agreement or policy, the Dean of Research and Research Training must report the matter to the Deputy Vice-Chancellor (Research and Commercialisation) who in turn will notify the Vice-Chancellor. The Vice-Chancellor may decide to handle the matter in accordance with the relevant procedures for misconduct and serious misconduct (B/8.5).

4. Except in special circumstances, as determined by the Deputy Vice- Chancellor (Research and Commercialisation) in consultation with the Dean of Research and Research Training, a grievance may not be lodged later than six months after the date on which the grievance was alleged to have arisen.

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5.5.3 Definitions

Grievance

A " grievance " is a real or perceived cause for complaint, disagreement, conflict, dispute or similar problem.

Complainant

A " complainant " is an individual or several individuals who claim to have experienced a negative or unfavourable impact arising from a stated grievance.

Respondent

A " respondent " is an individual or several individuals who are alleged by a complainant to be responsible for the circumstances comprising the grievance.

Postgraduate research student

A “ postgraduate research student ” is a candidate of an award defined as a research higher degree by the University (ie Doctor of Philosophy, Professional Doctorate by Research, Masters by Research).

Responsible faculty member

Within each faculty a senior member of staff is nominated as the “ responsible faculty member “ to assist in informal and formal grievance resolution.

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5.5.4 Informal resolution

A complainant is strongly encouraged to resolve the matter directly with the respondent, and every assistance will be given to facilitate this. A postgraduate research student should seek the assistance of the responsible faculty member for informal negotiation of a grievance. A postgraduate research student may also seek advice from the Dean of Research and Research Training.

A postgraduate research student:

• with a grievance about supervision should normally endeavour to resolve it by discussion with the principal supervisor;
• with a grievance about other aspects of their candidature, such as facilities or administrative decisions, should normally request the assistance of their principal supervisor in resolving the problem, and should seek assistance from the responsible faculty member as referred to above;
• is encouraged to talk to the responsible faculty member about the nature of their grievance and any resolution sought.

The responsible faculty member may:

• consult with another appropriate person;
• liaise with University support services;
• act as a mediator in the conflict and facilitate a conciliation or mediation meeting between the complainant and the respondent and other relevant interested persons.

The responsible faculty member will report back directly to the student on their recommendation for resolution.

It is recommended that the informal resolution process take no more than 10 working days. Where the student does not accept the resolution provided or the matter is delayed beyond the recommended 10 working days, they may consider lodging a formal complaint.

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5.5.5 Formal resolution

A complainant may apply formal procedures to resolve a grievance. However, informal resolution of grievances is preferred over formal complaints. Postgraduate research students and their supervisors should always attempt to resolve problems by open discussion and negotiation in the first instance, as described in section 5.5.4 above. When necessary, formal complaints can be made using the procedures outlined below.

Faculty staff members involved in formal grievance resolution processes are encouraged to maintain file notes for future reference.

To make a formal complaint, the postgraduate research student, as complainant:

• must lodge a written complaint with the Dean of Research and Research Training within six months of the occurrence of the grievance;
• may choose to elect a support person who may be a representative of the QUT Postgraduate Students Association and/or QUT Student Guild and who may attend any interviews with the complainant. This person must not be a practising lawyer.

The following formal procedures will apply during the First Stage (faculty investigation) and Second Stage (Research Degrees Committee investigation).

The responsible faculty member (First Stage) and/or Research Degrees Committee Review Panel (Second Stage) will:

• advise the respondent of the complaint and request a written response from the respondent;
• provide details of the response from the respondent to the complainant for consideration prior to final discussion of the complaint;
• refer the complainant to relevant support services as appropriate;
• liaise with the complainant and respondent to resolve the issue;
• talk to other relevant stakeholders as required;
• maintain notes and provide a response to the complainant, the respondent and other stakeholders as detailed below.

Each stage (ie First Stage and Second Stage) should normally take no more than 20 working days. This time line may be extended for extenuating matters such as the availability of relevant staff or students. The process should progress upwards through each stage as required until resolved.

a) First Stage - Faculty investigation

Where a grievance is not resolved informally the complainant should lodge a formal written complaint with the Dean of Research and Research Training who will delegate the investigation as appropriate. The executive dean of faculty will be kept informed of the investigation as it progresses.

The responsible faculty member, as investigator, will:

• provide a copy of the written complaint to the respondent and request a written response within five working days;
• within 10 working days, convene and chair a meeting with the head of school, the respondent and the complainant;
• encourage all parties to make reasonable attempts to resolve the matter and ensure they have access to relevant information, records and persons;
• formulate a recommendation for resolution of the grievance and discuss this in a formal meeting with the complainant and respondent.

Following such discussion, the responsible faculty member shall provide to the executive dean of faculty, the complainant and the respondent a written report on the grievance, the meeting and investigation outcomes and recommendations.

The report may either:

• confirm how the matter has been resolved;
• make a one-off request for additional time to resolve the matter;
• recommend that the matter be referred to Research Degrees Committee.

Where appropriate, the responsible faculty member may make recommendations to the executive dean of faculty or others for further action.

b) Second Stage – Research Degrees Committee investigation

Where a grievance is not resolved within the faculty, the complainant, the respondent and/or the faculty may refer the grievance back to the Dean of Research and Research Training as the Chair of Research Degrees Committee. The Deputy Vice-Chancellor (Research and Commercialisation) will be kept informed of the Research Degrees Committee investigation as it progresses.

Research Degrees Committee shall appoint a Review Panel to examine the complaint, consisting of:

• the Dean of Research and Research Training (or nominee) as Chair, and
• two members of Research Degrees Committee who have not been previously involved in the matter.

The Review Panel will:

• investigate the grievance;
• consider the written complaint and response;
• review the report prepared by the responsible faculty member as an outcome of the First Stage investigation;
• invite stakeholders in the grievance to provide additional information;
• meet with the complainant and respondent to resolve the grievance;
• ensure that the complainant and respondent have at least seven working days to consider any new information/comments they have gathered prior to meeting with them;
• provide a report indicating resolution of the grievance or make other recommendations to the Deputy Vice-Chancellor (Research and Commercialisation).

The recommendation from the Review Panel, acting on behalf of Research Degrees Committee, will be referred to the Deputy Vice-Chancellor (Research and Commercialisation) within 20 working days from when the grievance was referred to the Research Degrees Committee. The Deputy Vice-Chancellor (Research and Commercialisation) may:

• confirm how the matter has been resolved;
• make a determination that additional time is required to resolve the matter.

A complainant is entitled to cease proceedings at any stage. Any further pursuit of the matter would occur separately and without reference to the complainant.

The Dean of Research and Research Training will maintain a register of formal complaints made by postgraduate research students. A grievance register report, incorporating only de-identified data, shall be reviewed annually by Research Degrees Committee for the purposes of policy and procedure review, and shall be referred to University Research and Innovation Committee and University Academic Board, where appropriate.

c) Requirement to participate at each level

Staff and/or students involved in these procedures must participate in good faith. A complainant must proceed through the formal procedures as described above. This ensures the potential to resolve the problem at the local level where possible.

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5.5.6 External agencies

A complainant may decide to use an external agency to assist in resolving a grievance, for example by taking the grievance to the Queensland Ombudsman. However, QUT is committed to facilitating the resolution of grievances without the need to make recourse to external agencies.

If a complainant, while participating in the procedures outlined in section 5.5.5 above, also chooses to involve an external agency:

• the head of school or nominee, the responsible faculty member and the Dean of Research and Research Training must be notified by the complainant in writing;
• the Dean of Research and Research Training, in consultation with the Deputy Vice-Chancellor (Research and Commercialisation) and relevant faculty and school staff, will determine whether or not formal proceedings will cease. In the event of cessation of proceedings before a resolution is achieved, all decisions and agreements arising from these procedures will be void and all records will be annotated accordingly.

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5.5.7 Other considerations

a) Vexatious grievances

If a grievance is found to be vexatious then appropriate action against the complainant may be considered, including misconduct proceedings.

b) Duty of disclosure

By participating in these procedures, a complainant agrees that the nature of their grievance may be disclosed to the Director, Corporate Finance. Such disclosure is for the purpose of liability assessment and may be done without identifying the individuals concerned in the grievance.

c) Victimisation

Disciplinary action in accordance with relevant University policies may be taken against any person who victimises another person because of their involvement in these grievance resolution procedures, or because of their support of a complainant or a respondent. Such victimisation could include, for example, harassing or bullying the respondent or complainant, making overt or implied threats about a person's academic or career progress, or bias in the assessment of a student's academic work.

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Related Documents

MOPP A/6.1 Grievance resolution policy

MOPP A/8.11 Grievance resolution procedures for discrimination related grievances

MOPP D/2.6 QUT Code of Conduct for Research

MOPP D/2.7 Procedures for dealing with allegations of research misconduct

MOPP D/3.1 Intellectual property policy

MOPP D/5.2 Research Degrees Committee

MOPP D/5.4 Code of Good Practice for Postgraduate Research Studies and Supervision

MOPP D/6.1 University research ethics

MOPP E/2.1 QUT Student Code of Conduct

MOPP E/9.3 Student Ombudsman

MOPP Appendix 1(c) QUT Student Rules

MOPP Appendix 9 Doctor of Philosophy Regulations

Research Training Quality Assurance System

Research Students Centre website

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Modification History

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