A3: Academic Appeals Regulations

These regulations should be read in conjunction with the University’s Academic Appeals Procedure (which must be complied with).

A.3.1 Introduction

A.3.1.1 The University’s regulations for Academic Appeals apply to all academic courses, other than those where an alternative appeals procedure is specified, e.g. research degrees. The regulations apply where students wish to appeal a decision of an assessment board.

A.3.1.2 Where an appeal also contains within it elements of a complaint, it is possible for it to be reclassified and processed using the complaints procedures, if appropriate.

A.3.1.3 Confidentiality will be respected in conducting all aspects of the appeal.

A.3.2 Extenuating circumstances affecting performance

A.3.2.1 Separate regulations cover extenuating circumstances (see sections A.2.6.7 of Regulations for Taught Courses). Those regulations set out the responsibility of students to notify the University of any circumstances that may affect their assessments as soon as they arise. This should be prior to assessments taking place, unless there are circumstances which mean notification is not possible.

A.3.2.2 If a student has good reason for being unable to submit an extenuating circumstances claim prior to the published Advice Centre deadline in advance of the assessment board which considers their results, the student may use these regulations to appeal against the decision of the assessment board.

A.3.3 Responsibilities

A.3.3.1 The University has responsibility for providing and informing all students of the existence and location of the assessment and course regulations, as well as procedures governing extenuating circumstances and appeals.

A.3.3.2 Presumption of good faith

A.3.3.2.1 There is a presumption that assessment boards act in good faith and within the principles of natural justice.

Section B3: 1 A.3.3.2.2 There is a presumption that any appeal is submitted in good faith by the student.

A.3.3.3.3 The University will take every reasonable step to safeguard the position of the student pending the outcome of the appeal.

A.3.4 Appeals and Academic Judgement

A.3.4.1 An appeal will not be accepted when it is based on a disagreement with the academic judgement of the assessment board. Academic judgement includes assessing an individual piece of work, and/or reaching a decision on a student’s progression, or on the final level of the award, based on the marks, grades and other information relating to the student’s performance.

A.3.5 Stages of the Appeals Process

A.3.5.1 There are two stages to the appeals process. Students cannot proceed to Stage 2 unless Stage 1 has been completed. The criteria on which a Stage 1 or Stage 2 appeal can be submitted are set out below, along with the process to be followed.

A.3.6 Criteria for Submission of Stage 1 Appeal

A.3.6.1 Students are entitled to appeal the decision of an assessment board when one or more of the following grounds apply:

a) The student considers that there was a computational or administrative error in the assessment results.

b) The student considers that there were defects or irregularities in the conduct of examinations or in written instructions or advice relating thereto where there is a prima facie case that these could have had an adverse effect on the student’s performance.

c) The assessment board failed to take into account approved extenuating circumstances reported by the student prior to the board which he/she believes might have adversely affected their performance, or there were extenuating circumstances of which the student had good reason for failing to make the board aware in advance of the meeting. Students who have signed to say they are Fit to Sit cannot subsequently submit an appeal.

In the latter case under c) above, the student must show good reason why such extenuating circumstances were not made known to the Faculty/campus prior to the assessment board. Where a student could have reported extenuating circumstances to the Faculty/campus prior to the assessment board, those circumstances cannot subsequently be cited as grounds for an appeal.

A.3.6.2 An appeal cannot be submitted until after the award and progression board results are published.

Section B3: 2 A.3.7 The Stage 1 Appeal Process

A.3.7.1 A Stage 1 appeal must be lodged with the Student Casework Unit within 10 working days of the publication of award and progression board results. Full details of how to submit a Stage 1 appeal are contained in the Academic Appeals Procedure.

A.3.7.2 Every effort will be made to deal promptly with Stage 1 appeals that meet the grounds for appeal, and any subsequent Stage 2 appeals, in order to enable students to proceed to the next stage of a course or to a subsequent course of study at the appropriate time should the appeal be successful. Appeals should be dealt with within 10 working days. However, depending on the complexity of the case and the time of submission of an appeal, students may find that the appeals process necessarily delays their ability to progress.

A.3.7.3 Students must accept that they may not be able to graduate at the same time as the other students on their course if they submit an Academic Appeal, which needs to be considered and resolved prior to a final decision being made on the award to which they are entitled.

A.3.7.4 Following an initial investigation by the Chair (or nominee) of the relevant assessment board, one of the actions set out below shall be taken.

A.3.7.4.1 The Chair (or nominee) of the assessment board shall inform the University Secretary (or nominee) in writing that, as a result of the investigation, there is no reason to re-consider the student’s case. The Chair (or nominee) will provide an explanation in writing.

A.3.7.4.2 The Chair (or nominee) shall arrange for the assessment board to re-consider the decision of the board if the Stage 1 appeal investigation indicates that:

. there is evidence of a computational or administrative error and/or; . there were defects or irregularities in the conduct of examinations or written instructions or advice relating thereto and/or; . the assessment board had information concerning exceptional personal circumstances which it did not take into account or did not, for good reason, have information which it now considers should be taken into account.

A.3.7.5 The University Secretary (or nominee) shall be informed in writing of the full circumstances of the case. The University Secretary (or nominee) shall then inform the student of the action being taken.

A.3.8 Criteria for Submission of Stage 2 Appeal

A.3.8.1 A student is only entitled to access the Stage 2 appeal process once the Stage 1 appeal process has been completed.

A.3.8.2 Appeals will only be considered where they are based on the following grounds:

a) the student has evidence that the procedures at Stage 1 were not conducted in line with the regulations;

Section B3: 3 b) the student has evidence which for good reason was not available at the time their Stage 1 appeal was submitted.

A.3.9 The Stage 2 Appeal Process

A.3.9.1 A Stage 2 appeal must be lodged with the Student Casework Unit within 10 working days of the notification of the outcome of a Stage 1 appeal. Details of how to submit a Stage 2 appeal are contained in the Academic Appeals Procedure.

A.3.9.2 Every effort will be made to deal promptly with Stage 2 appeals that meet the grounds for appeal. Stage 2 appeals should be dealt with within 20 working days, however, depending on the complexity of the case and the time of submission of an appeal, students may find that the appeals process necessarily delays their ability to progress.

A.3.9.3 An initial investigation of the Stage 2 appeal shall be carried out by the University Secretary (or nominee). In the following circumstances the University Secretary (or nominee) is required to disallow any appeal, within 10 working days of its receipt:

a) If there is no evidence to show that the procedures at Stage 1 were not conducted in line with the regulations.

b) If it is based on evidence which the student could have made available at the time of the Stage 1 appeal.

c) If the appeal was submitted outside of the 10 working days deadline.

A.3.9.4 If it is decided by the University Secretary (or nominee) that the appeal meets either of the two grounds for submission of a Stage 2 appeal, it shall be referred to an Academic Appeals Board consisting of three persons drawn from a Standing Academic Appeals Panel and the President of the Students Union (or nominee). Details of the procedures relating to the Standing Academic Appeals Panel and the Academic Appeals Board are set out in the Academic Appeals Procedure.

A.3.9.5 With the prior written agreement of the student and the University Secretary (or nominee), a case may be expedited by referral for executive action by the Chair of the Standing Academic Appeals Panel. The only decisions available to the Chair shall be:

a) To refer the case back to the relevant assessment board for further consideration.

b) To refer the case to a full Appeals Board for decision.

A Stage 2 appeal shall not be rejected by the Chair’s executive action.

A.3.9.6 The student shall be offered a personal hearing by the Academic Appeals Board and may be supported, for example by a friend or a representative of the Students’ Union. At least twenty four hours before the meeting of the

Section B3: 4 Committee, the student should advise the Secretary of the name and status of the person accompanying them. Although the University would not anticipate the attendance of a legal representative, the Chair of the hearing may exercise discretion should the student indicate that they wish to bring someone with a legal background. The student may not send any other person to an Appeals Board in his/her stead.

A.3.9.7 Students will be provided with a date for their hearing. Should the student request a revised date, the hearing will be rearranged once only. Students should inform the University at least 48 hours in advance of the original hearing if they require a revised date. Should a student not attend a hearing, the meeting will take place in their absence; in that case, however, students are strongly advised to provide a written submission for the Committee.

Procedural irregularities

A.3.9.8 If there is evidence of procedural or other irregularity in relation to the assessment decision against which the student is appealing, the Academic Appeals Board shall have the power to annul the relevant decision(s) of the assessment board. If an error or irregularity is found to have affected more than one student, the Academic Appeals Board may take action including, if necessary, recommending to the Academic Board the appointment of new external examiners, in order that revised recommendations may be made in respect of the student(s).

A.3.10 Conclusions of the Academic Appeals Board

A.3.10.1 The Academic Appeals Board shall be empowered to take either of the following decisions:

a) That the Stage 2 appeal be rejected and no further action be taken.

The decision of the Appeals Board shall be final and the matter shall, therefore, be regarded as closed.

b) That the matter be referred back to the relevant assessment board for further consideration, with clear reasons for this decision being provided.

In exceptional cases only, the Academic Appeals Board may specify the composition of the assessment board. Where the case is referred back to the assessment board, the Academic Appeals Board may, where appropriate to the circumstances of the case, require an officer of the Student Casework Unit to attend the meeting of the assessment board as an observer.

A.3.10.2 If as a result of a Stage 2 appeal the marks, grades or classification of a student are altered the student’s record will be updated in line with the procedures.

A.3.10.3 The Academic Appeals Board hearing shall be conducted in accordance with the procedures set down by the University.

Section B3: 5 A.3.10.4 The student and the Chair (or nominee) of the assessment board shall be notified of the decision of the Academic Appeals Board by the University Secretary (or nominee) within 5 working days of the hearing. A.3.10.5 The Academic Appeals Board may make recommendations for consideration by the Regulations Advisory Group or the Academic Board as appropriate on any matters arising from the consideration of appeals.

A.3.11 Office of the Independent Adjudicator

A student whose appeal or complaint is unsuccessful may, following issue of a Completion of Procedures letter, lodge a complaint with the Office of the Independent Adjudicator (OIA). Details of the OIA and the relevant information in relation to the Scheme can be accessed at www.oiahe.org.uk. Further information and advice can be obtained from the Student Casework Unit.

Section B3: 6 Academic Appeals Procedures 2014-2015

These procedures must be complied with and should be read in conjunction with the University’s Academic Appeals Regulations. A separate version of the procedures may be available in relation to students at the Royal Welsh College of Music and Drama, adapted as appropriate to its organisational structure and relationship with the University. Appeals from students studying at collaborative partners will be dealt with by the relevant Faculty.

1 Introduction

1.1 Authoritative guidance on the applicability and operation of these procedures is available from the Student Casework Unit. Students should also consider seeking advice from the Students’ Union or the University’s Student Support and Library Services.

1.2 When an appeal which is received by the Student Casework Unit is considered to contain within it elements of a complaint, a decision will be made on whether the appeal as a whole, or elements of it, should be reclassified and processed using the complaints regulations and procedures. The University Secretary’s Office will discuss the decision with the Faculty and the student concerned.

1.3 In relation to circumstances which may have affected a student’s performance in assessment, reference should be made to the separate regulations and procedures concerning extenuating circumstances.

1.4 The University, through its faculties, is responsible for ensuring that students are aware of the regulations and procedures relating to appeals, as well as those relating to extenuating circumstances. Attention should be drawn to the regulations and procedures prior to key assessment periods in the academic year.

2 Stage 1 Appeal Procedures

2.1 A Stage 1 appeal must be made within 10 working days of the publication of assessment results. The appeal must be made using the ‘Application for Stage 1 Appeal Form’, which is available at http://uso.southwales.ac.uk/StudentCasework/AP/ or by contacting the Student Casework Unit or the Students’ Union. The completed form should be submitted to the University Secretary’s Office.

2.2 Stage 1 appeals must include full details and supporting evidence indicating which of the grounds for appeal set out in the regulations are applicable to the case. The grounds are:

Section B3: 7 a) The student considers that there was a computational or administrative error in the assessment results.

b) The student considers that there were defects or irregularities in the conduct of examinations or in written instructions or advice relating thereto where there is a prima facie case that these could have had an adverse effect on the student’s performance.

c) The assessment board failed to take into account approved extenuating circumstances reported by the student prior to the board which he/she believes might have adversely affected their performance, or there were extenuating circumstances of which the student had good reason for failing to make the board aware in advance of the meeting. Students who have signed to say they are Fit to Sit cannot subsequently submit an appeal.

In the latter case under c) above, the student must show good reason why such extenuating circumstances were not made known to the Faculty/campus prior to the assessment board. Where a student could have reported extenuating circumstances to the Faculty/campus prior to the assessment board, those circumstances cannot subsequently be cited as grounds for an appeal.

2.3 If the ground under which the student wishes to submit a Stage 1 appeal is that there were extenuating circumstances of which the student did not make the University or the assessment board aware in advance of the board meeting, very clear reasons and evidence must be submitted for not raising the extenuating circumstances at an earlier stage.

2.4 If a student submits any evidence which turns out to be false, they will be dealt with under the Regulations and Procedures Governing Student Conduct.

3 The Procedure which is followed once a Stage 1 Appeal has been received

Initial investigation

3.1 Upon receipt of a Stage 1 appeal, the Student Casework Unit shall check the submission to ensure it is complete, is submitted on one or more of the permissible grounds for appeal and has been submitted within 10 working days of the publication of the assessment results. An appeal which does not meet these requirements will be returned to the student without further processing.

3.2 In the case of appeals which meet the above requirements, the Student Casework Unit shall ask the Chair (or nominee) of the relevant assessment board to take the necessary steps to verify the facts to which the application refers. The Chair (or nominee) of the relevant assessment board shall ensure that the facts are verified within 10 working days of the date of receipt of the application. At the same time, the Student Casework Unit shall acknowledge receipt of the application, informing the student of the action being taken.

3.3 If cases prove to be complex or require the submission of further details and evidence, they may take longer to process. In such cases, students should be aware that the procedure of submitting a Stage 1 appeal may delay their ability to progress to the next stage of their studies at the time they had expected to do so. Every effort will, however, be made to deal promptly with all appeals.

Section B3: 8

3.4 The outcome of the initial investigation will be either that there is a case for the assessment board to reconsider the student’s results or that there is no case. In the former case, the Chair (or nominee) of the assessment board will ensure that the case is considered and that a decision is made on the action to be taken in relation to the student’s results.

3.5 When a decision has been made to either accept or reject the Stage 1 appeal, the Chair (or nominee) of the relevant assessment will convey the decision in writing to the University Secretary (or nominee), setting out clearly the reasons for the decision. The University Secretary (or nominee) will then inform the student of the outcome and of any action to be taken.

3.6 The student will also be advised to discuss the action they may then need to take with their Faculty/campus administration team.

3.7 Where the Stage 1 appeal has been rejected, the student may be able to proceed to a Stage 2 appeal, provided the case meets the grounds for appeal set out in the regulations.

3.8 Where appropriate, the University Secretary (or nominee), in consultation with the Chair of the assessment board, will arrange for the student’s record to be amended as necessary.

4 Stage 2 Appeals Procedures

4.1 Any Stage 2 appeal must be submitted using the Appeal Form which is available from http://uso.southwales.ac.uk/StudentCasework/AP/, from the Student Casework Unit, or from your campus administration team. The completed Stage 2 appeal form must be sent to the University Secretary within 10 working days after the date on which the student was notified of the outcome of the Stage 1 appeal. Stage 2 appeals will not be accepted unless they are submitted using the Stage 2 Appeal Form.

4.2 Appeals will only be considered where they are based on the following grounds:

a) The student has evidence that the procedures at Stage 1 were not conducted in line with the regulations.

b) The student has evidence which for good reason was not available at the time their Stage 1 appeal was submitted.

4.3 When a Stage 2 appeal is received the University Secretary (or nominee), will acknowledge receipt within 3 working days and, where appropriate to the circumstances of the case, consult the appropriate staff.

4.4 If the University Secretary (or nominee), after considering the Stage 2 appeal, concludes that it is based on factors which were known to the assessment board when the student's result was determined, the Stage 2 appeal will be disallowed. Stage 2 appeals which are submitted outside the 10 working day deadline will also be disallowed. Stage 2 appeals which do not contain evidence will also be disallowed.

Section B3: 9 4.5 If it is decided by the University Secretary (or nominee) that the appeal meets either of the two grounds for appeal, arrangements will be made by the Student Casework Unit to set up an Academic Appeals Board drawn from a Standing Academic Appeals Panel and the President of the Students’ Union (or nominee). 4.6 The Standing Academic Appeals Panel will consist of:

1. 3 members appointed by Academic Board 2. 4 academic representatives of each Faculty (as a minimum).

4.7 The Academic Appeals Board will consist of:

3. one of the members of the Standing Academic Appeals Panel appointed by Academic Board 4. two of the academic representative on the Standing Appeals Panel, drawn from faculties unconnected with the appeal under consideration 5. the President of the Students’ Union (or nominee).

4.8 If it is concluded, after discussion with the student and the University Secretary (or nominee), that it is appropriate for the Chair of the Standing Academic Appeals Panel to take executive action on the appeal, this will be arranged. The Chair will then decide to:

a) efer the case back to the relevant assessment board for further consideration or;

b) refer the case to a full Academic Appeals Board for decision.

4.9 Where the appeal is be heard by an Academic Appeals Board, the student will be informed in advance of the time and date of the meeting and will be able to attend if they so wish. As noted in the regulations, the student may request a change of date of the meeting, but will only be allowed to change it on one occasion.

4.10 The Faculty(s) concerned will also be invited to send a member of staff to attend the hearing and, at the invitation of the Chair of the Appeals Board, to contribute to the hearing.

4.11 The hearing will take place in the event of the unavailability of any of those parties. Notice of the Appeals Board hearing to the student

4.12 Not less than 5 working days before the meeting of the Appeals Board, the Secretary will despatch a notice of the meeting by e-mail to the student’s University email account. Additionally, notification may be sent by the most appropriate postal route (e.g. standard or recorded delivery) to the student’s last recorded address. The case may then be heard whether or not the student attends the hearing.

Documentation and Evidence

4.13 The documentation supplied to the Appeals Board should contain the both ‘Stage 1 Appeal’ form and ‘Stage 2 Appeal’ form, together with all supporting documentary evidence submitted by the student, the official assessment board marks list for the relevant assessment (if appropriate), appropriate course and University regulations and the relevant minute record of the assessment board. Additionally, the Appeals Board may request evidence from the Chair of the assessment board, or his/her representative, in support of the decision made concerning the student(s) in question.

Section B3: 10 This will also form part of the documentation. The student’s personal tutor or counsellor may be invited to attend or to submit a written report if appropriate.

Procedures during the hearing

4.14 The Appeals Board will consider the documentation and evidence and decide on issues to be raised with the student and Faculty representatives. The student and Faculty representatives will then be called in together to the meeting to discuss the issues. The student and Faculty representatives will then withdraw and the Appeals Board will reach a conclusion.

5 Conclusions of the Academic Appeals Board

5.1 The decision of the Academic Appeals Board will be either:

a) That the appeal be rejected and no further action be taken.

In the case above, the decision of the Academic Appeals Board shall be final and the matter shall, therefore, be regarded as closed.

b) That the matter be referred back to the relevant assessment board.

In exceptional cases only, the Appeals Board may specify the composition of the assessment board. Where the case is referred back to the assessment board, the Appeals Board may, where appropriate to the circumstances of the case, require an officer of the Student Casework Unit to attend the meeting of the assessment board as an observer.

5.2 Where the matter is referred back to the relevant assessment board, it should meet within six working weeks to conclude whether, in the light of the deliberations of the Academic Appeals Board, there is a case for amending the previous decision on the student’s case.

5.3 A full report of the Academic Appeals Board’s deliberations shall be provided by the University Secretary (or nominee), to the Chair of the assessment board, including recommendations or advice in relation to the case

5.4 Following its deliberations, the assessment board should provide its decision to the University Secretary, including a copy of the relevant extract from the minutes. On receipt of the decision the University Secretary (or nominee) may, in exceptional cases only, refer the case to the Chair of the Standing Academic Appeals Panel for review of the procedures followed. If it transpires that a serious procedural irregularity has occurred, the case may be referred back to the relevant assessment board for reconsideration.

5.5 The University Secretary (or nominee), shall inform the student in writing of the decision of the assessment board, and of the reasons for the decision. If, as a result of an appeal, the marks, grades or classification of a student is altered the student’s record will be updated. Should the decision of the Academic Appeal Panel change the student’s class of degree a replacement certificate will be sent out upon receipt of the original certificate.

Section B3: 11 5.6 The Appeals Board may make recommendations for consideration by the Regulations Advisory Group or the Academic Board as appropriate on any matters arising from the consideration of appeals.

6 Office of the Independent Adjudicator

A student whose appeal or complaint is unsuccessful may, following issue of a Completion of Procedures letter, lodge a complaint with the Office of the Independent Adjudicator (OIA). Details of the OIA and the relevant information in relation to the Scheme can be accessed at www.oiahe.org.uk. Further information and advice can be obtained from the Student Casework Unit.

Section B3: 12