Calendar 2014/15

[Procedures for Partner Institutions: All partner institutions delivering programmes validated by the University of Exeter are required to follow the procedures below, except that 'College Dean' shall be taken to mean Head of the academic unit concerned, who shall keep the Principal of the partner institution informed.]

1

Introduction

1.1

Students have a right of appeal against academic decisions and recommendations made by Boards of Examiners¹ and Faculty Boards (or Deans of Faculty acting on their behalf) that affect their academic progress. These procedures set out the grounds of appeal permitted and the mechanisms by which that right can be exercised. These procedures also set out the grounds on which an academic appeal is not permissible.

1.2

Complaints relating to the quality of teaching or supervision, or other circumstances that relate to the delivery of a programme of study before the point of assessment or the submission of a thesis or dissertation, are not subject to these procedures. They should instead be raised under the University's student complaints procedure.

1.3

These procedures describe how students may submit an academic appeal to the University and the grounds under which they may do so. It is important for students to distinguish between those grounds when making their case and also between an appeal and a complaint (for which different procedures are in place). If after discussing an appeal with a College or academic unit a student is still in doubt over any matter relating to an intended appeal, advice may be sought from the following offices:

• Student Cases Office
• Advice Unit, Students' Guild, Forum
• Academic Support Unit, Penryn Campus
• The FXU, Penryn Campus

1.4

Academic appeals come under the authority of the Senate of the University. Senate has delegated others to act on its behalf in such matters. These procedures explain how appeals should be submitted, and who will consider academic appeals on behalf of Senate.

1.5

Staff named in these procedures may also delegate responsibility for managing the Academic Appeals procedure to other University staff acting on their behalf.

1.6

Appeals will be treated with due diligence and confidentiality, but you should understand that those considering an appeal will normally require access to the documentation presented in support of it in order to come to an informed decision.

1.7

You should appreciate that appeals will not always produce the outcome preferred. However, whatever the decision, you will be informed of the result of a formal appeal and the reasons for it.

1.8

If your academic appeal is of a particularly sensitive nature, and you would like to make some early enquiries on a confidential basis, please contact the Guild's Student Advice Centre (FXU for Penryn Campus Students) or the relevant Faculty Office, which may be able to offer you advice.

2

Right of Appeal

2.1

Appeals may be made in respect of the following areas relating to the process of assessment:

1. a formal assessment result²
2. a degree classification
3. a decision consequential to an academic failure (e.g. termination of registration
4. Postgraduate research students may also appeal against a decision relating to their registration status, such as transfer to continuation status, change of mode of study, early submission of thesis etc.
5. the decision reached is one which no reasonable body, properly directing itself, could have arrived at (for Mitigation Appeals)
6. decision consequential to unsatisfactory academic progress

2.2

For the following areas of potential dispute, separate procedures apply:

• Equality and Diversity Policy 
• Dignity and Respect Policy 
• Complaints (see para 4.3 below)

2.3

The submission of an appeal will not be to the detriment of your academic position.

3

Grounds of Appeal

3.1

Grounds of appeal in relation to the areas listed under para 2.1 above are allowed as follows:

(a) Material circumstances affecting your performance of which a Board of Examiners or the Board of the Faculty (or the Dean of Faculty acting on its behalf) had not been aware before reaching its decision, only if you can present reasonable grounds why such circumstances had not been presented to the Board in advance of its meeting (see 5.2); and/or

(b) Procedural irregularities in the formal conduct of an assessment or in reaching another academic decision; and/or

(c) Evidence of prejudice or of bias on the part of one or more examiners and/or markers.

4

Exclusions from Appeal

4.1

The following grounds cannot be considered as the basis for an appeal:

(a) Dissatisfaction with the academic judgment of the internal and external examiners and/or markers including the Board of Examiners (see 4.2);

(b) Dissatisfaction with the formative assessment of work by academic staff (i.e. marks that have no bearing on a student's formal progress). Such concerns should be raised through the Complaints Procedure;

(c) Matters of dispute that are dealt with under the student complaints procedure (see also 4.3).

4.2

The inclusion of an independent element in the assessment of work through internal second marking (or single marking and moderation internally or externally) is normally sufficient to refute the argument that there have been inadequate checks on the accuracy and appropriateness of the marking, and to preclude an appeal on the ground of prejudice and bias.

4.3

You should note that complaints relating to the quality of teaching or supervision, or other circumstances that relate to the delivery of a programme of study before the point of assessment or the submission of a thesis or dissertation, are not subject to these procedures. They should instead be raised under the University's student complaints procedure.

4.4

Academic appeals submitted outside of the timeframe set out in 6.1 will normally be excluded from consideration unless you can present reasonable grounds for why the appeal was not submitted within the normal deadline.

4.5

You should be aware that anyone making unwarranted and unsubstantiated allegations concerning the reputation or conduct of members of staff may be subject to disciplinary proceedings.

5

Responsibilities of Students

5.1

You should note with care the time constraints outlined in these procedures. You are responsible for compiling documentation in support of an appeal.

5.2

It is your responsibility to inform your Dean(s) of College ³ or academic unit concerned in writing and without delay of any circumstances that you think may have affected your performance in an assessment. Please refer to the procedures for submission of mitigating evidence provided by your College. Circumstances notified in this way will be considered at the appropriate Board of Examiners or by any group of examiners delegated by the Board to make judgements on its behalf.

5.3

You are reminded that under the University's procedures for the disclosure of assessment results, you have access to your marks through your Colleges under prescribed conditions⁴. General feedback on your performance should be offered by the College, thereby possibly reassuring you of the appropriateness of the outcome of an assessment.

6

STAGE 1: APPEAL TO DEAN OF COLLEGE

6.1

A formal appeal must be submitted using the Stage 1 Appeal Form to the College Dean (or their representative⁵ within 10 working days of being notified of an academic decision relating to paragraph 2.1. All supporting evidence should be attached to the form. Where possible you should indicate what remedy you seek.

6.2

Colleges should normally aim to resolve an academic appeal within 4 working weeks of receipt of the appeal, or otherwise inform you of the expected delay.

6.3

On receipt of the appeal the College Dean or nominated representative shall decide whether you have presented a prima facie case for appeal as set out under 3.1. Should an appeal materially involve the College Dean, another senior member of staff of the College will consider the case.

6.4

If no prima facie grounds for appeal are found, the College Dean or their representative can dismiss the appeal, informing you in writing of the reasons for doing so. Colleges should aim to fully address all issues raised in the student’s Stage 1 appeal in their response letter. A copy of the letter should be forwarded to the Student Cases Office. 

6.5

If the College Dean/representative decides that there is a prima facie case for appeal, the case will be investigated by a College appeal panel consisting of the College Dean, the College Manager and Chair of the Board of Examiners (or other nominees as delegated by the College Dean/representative). The majority of the panel should not be materially involved in the substance of the appeal. The student will be sent a copy of the minutes of the meeting.

6.6

If the panel upholds the appeal, the case will normally be referred back to the Board of Examiners or appropriate College committee (such as Mitigation Committee). In this case, Colleges should follow their normal procedures for considerations by the Board of Examiners, including involvement of External Examiners where appropriate⁶. In most cases, this could be achieved via electronic means. Care should be taken to ensure student confidentiality and equity in the treatment of marks.

6.7

The College Dean will normally inform you of the outcome of the Board of Examiner's consideration, and this will be reported to the appropriate Dean via the Student Cases Office.

7

STAGE 2: ACADEMIC APPEAL COMMITTEE

7.1

An appeal will only be accepted where:

(a) you submit further material circumstances which could not reasonably have been expected to have been submitted for consideration to a College appeal panel during the Stage 1 process;

(b) if there is evidence of procedural irregularity during the Stage 1 process;

(c) if there is evidence of bias during the Stage 1 process;

(d) if the decision reached during the Stage 1 process is one that no reasonable body (properly directing itself, and taking into account all relevant factors) could have arrived at.

7.2

You should submit a Stage 2 Appeal to the Student Cases Office (studentcases@exeter.ac.uk) by sending an Academic Appeal Form using the Stage 2 Appeal Form together with a written statement detailing the grounds for appeal (reference Paragraph 7.1) within 10 working days of being notified of a Stage 1 Academic Appeal decision. You should also enclose a copy of your Stage 1 appeal and any correspondence from the College in respect of their decision.

7.3

The University should normally aim to resolve an academic appeal within 4 working weeks of receipt of the appeal, or otherwise inform you of the expected delay.

7.4

A Student Cases Policy Advisor, (as nominee of the Director of Academic Services and Deputy Chief Operating Officer) and a Dean of Faculty past or present (or nominee) will consider whether there are prima facie grounds for considering the case before a Committee of Academic Appeal.

7.5

If no prima facie grounds for appeal are found, the Student Cases Policy Advisor and Dean of Faculty (or nominee) will dismiss the appeal, informing you in writing of the reasons for doing so.

7.6

If it is decided that there are prima facie grounds for a stage 2 appeal, the Student Cases Policy Advisor will arrange for a (non standing) Academic Appeal Committee to be convened.

7.7

Academic Appeals Committees will normally only consider the appeal against the grounds specified in 7.1 and will not take the form of a re-hearing of the original appeal except in so far as is necessary to decide the merit of the appeal.

8

STAGE 2: ACADEMIC APPEAL COMMITTEE PROTOCOL

8.1

An Academic Appeal Committee shall comprise:

• A Dean of Faculty present or past (or nominee), who shall chair the Committee;
• An academic member of Senate;
• A Guild Executive Officer.

No person shall serve as a member of the Academic Appeal Committee who is also associated with your Discipline and/or programme of study.

8.2

You will be informed of the date of the meeting of the Committee meeting at least 10 working days in advance. You may choose to appear before the Committee but the Committee may also hear a case, by mutual agreement in your absence.

8.3

You may be accompanied by a colleague or friend, normally a member of the University or partner institution. You must inform the secretary of the Committee of the name of anyone you wish to accompany you at least 5 working days before the meeting. The person accompanying you may speak on your behalf with the agreement of the Chair.

8.4

The Committee will also invite the College Dean or academic unit (or appropriate representative) and may call other members of the University or partner institution. The Committee may also consider written comment by the External Examiners made during the examining process or in response to a direct enquiry by the Committee.

8.5

Copies of all documents to be considered will be circulated to you and to the Appeal Committee at least five working days before the meeting. Such documentation will normally comprise the original notice of appeal, papers relevant to the appeal's earlier consideration by the College and the reasons of the Dean and Student Cases Policy Advisor for referring the case to the Committee.

8.6

The meeting will commence with private discussions within the Appeal Committee to clarify matters of process. Both you, the person accompanying you and the College Dean (or their nominee) may then attend throughout the duration of the hearing.

8.7

First you, and then the College Dean and will be asked to give a statement about the case, and to answer any questions from the Committee. Then any other members of academic or other staff implicated in the appeal will be interviewed in turn by the Committee.

8.8

You, the person accompanying you and the College Dean will then be asked to leave while the Committee considers its decision. The Committee, having considered the evidence, may uphold or reject the appeal, such a decision being final.

Such a decision may include a recommendation to annul a decision of the Board of Examiners and substitute it with an alternative decision. If the Committee's recommendation is to change an award this will require Senate approval.

8.9

The Academic Appeal Committee will keep a record of its deliberations and decisions and submit a report to Senate. The Secretary of the Committee will notify you in writing of the Committee's decision and the reasons for it, within five working days of the meeting.

8.10

If an appeal is upheld by the Academic Appeal Committee, you can apply to the Head of Academic Policy and Standards for the reimbursement of reasonable and proportionate incidental expenses incurred by the appeal (excluding fees for any legal advice).

9

Appeals against decisions made under the Code of Good Practice - Unsatisfactory Progress

9.1

You should submit an Academic Appeals Form - Unsatisfactory Progress to the Student Cases Office (studentcases@exeter.ac.uk) together with a written statement detailing your grounds for appeal within 10 working days of being notified of the final decision made by the Faculty Dean.

9.2

An appeal will only be accepted if

(a) you submit further material circumstances which could not reasonably have been expected to have been submitted for consideration by the College at an earlier stage

(b) if there is evidence of procedural irregularity

(c) if there is evidence of bias

(d) if the decision reached is wholly unreasonable in all the circumstances

9.3

The University aims to resolve your appeal within 4 working weeks of receipt or otherwise inform you of the expected delay.

9.4

A Student Cases Policy Advisor, (as nominee of the Director of Academic Services and Deputy Chief Operating Officer) and a Dean of Faculty past or present (or nominee) who has not previously been involved in the case will consider whether there are grounds for appeal.

9.5

The Student Cases Policy Advisor and the Dean may either uphold the appeal, dismiss the appeal or refer the matter to an Appeal Committee - Unsatisfactory Academic Progress.

Committee Protocol as for Stage 2 - see section 8

9.6

If the appeal is dismissed, this exhausts the university's internal appeals process and a Completion of Procedures letter will be issued which will contain details of the Office of the Independent Adjudicator.

10

Completion of the University's Academic Appeal Process

10.1

There are no other University appeal procedures beyond those stages detailed above. If you are not satisfied with the outcome after the completion of the University's procedure, you can apply to the Office of the Independent Adjudicator for Higher Education⁷

11

Annual Report

11.1

Each year a report will be prepared for the appropriate Faculty Boards and Senate by Professional Services, detailing general matters or issues arising from recent academic appeals.