Regulations Governing Appeals by Students on Taught Programmes 2005/06

1. General Principles

1.1 The University of Southampton is committed to ensuring that we provide a high quality educational experience for all our students, and that our assessment procedures and processes are explicit, valid and reliable. We recognise, however, that there may be occasions when students feel that they have cause to question the recommendation of examiners or School Board and have evidence to support their claims. Such cases will be considered under the Regulations Governing Appeals by Students on Taught Programmes as set out below.
1.2 The University will seek to ensure that all appeals which are supported by appropriate evidence are treated seriously, constructively and sensitively. It will also seek to ensure that such requests are dealt with promptly, with fairness and consistency. All requests will be handled with due regard to the University's Equal Opportunities Policy. Reviews and appeals will be monitored over time to ensure these principles are upheld.
1.3 Students submitting a request for a review or an appeal will not suffer any disadvantage or recrimination as the result of making such a request in good faith.
1.4 All students considering submitting a request for a review are strongly encouraged to seek the advice of colleagues in the Students' Union Advice and Information Centre (SUAIC).
1.5 If a student has a disability or special needs that would prevent them from using the procedures as set out below, the process can be adjusted to accommodate their needs. Schools seeking advice about making such adjustments should seek advice from the Education Quality Coordinator: Student Complaints, Appeals and Feedback in the Educational Development Service in the first instance.
1.6 These procedures can be made available in alternative formats. Please contact the Education Quality Coordinator: Student Complaints, Appeals and Feedback in the Educational Development Service in the first instance, indicating the format required.

2. Grounds on which Review Requests may be Submitted

2.1 Students on award-bearing courses leading to certificates, diplomas, first degrees or postgraduate instructional degrees have the right to request a review by a Review Panel of any recommendation of a Board of Examiners, Fitness to Practice Panel or School Board that relates to their studies, or of a decision by Senate to terminate their programme of study, if they produce evidence of one or more of the following.
2.1.1 That their performance has been adversely affected by illness or by other factors (eg: family crisis) which, in exceptional circumstances, they were unable or for valid reason unwilling to divulge to the Board of Examiners, Fitness to Practice Panel or School Board before it reached its decision.
2.1.2 That there had been a material administrative error in the conduct of the examination.
2.1.3 That the examination had not been conducted in accordance with the appropriate regulations for that course.
2.1.4 That some other material irregularity had occurred.
2.1.5 That, in reaching its decision, the Board of Examiners or School Board had erroneously concluded that they had cheated or plagiarised or attempted to gain an unfair advantage in an element of work submitted for a degree.
2.1.6 That the supervision of their dissertation project or external placement was unsatisfactory to the point that their performance was seriously affected.
2.2 Students may not question the classification of their award or the marks awarded for any individual component of a programme of study unless evidence is submitted under one of the grounds of 2.1 above. Under no circumstances may students question the academic judgement of the examiners, and any request based on such grounds will be dismissed. Questioning academic judgement includes, for example, a claim that in the student's view a piece of work deserved a better mark.
2.3 A request for a review may only be made by a student; it may not be lodged by a representative or by a parent.

3. Section A : Informal Discussions

3.1 Students wishing to request a review and who have evidence under 2.1.1 to 2.1.6 above should, in the first instance, discuss the matter with their Tutor or an appropriate person in the School such as the Programme Director. Schools should note that any member of staff involved in the discussions at this point may not be included as a member of the Review Panel if the request proceeds to the next level. Schools should be aware of the potential sensitivities of such discussions, particularly where issues are to be raised under 2.1.1 above, and may wish to provide opportunities for students to discuss such matters with a member of staff of the same gender. When considering issues raised under 2.1.1, Schools should be aware of particular cultural sensitivities and differences which may affect domestic and personal circumstances and definitions of 'family', and bear in mind that cultural differences may sometimes inhibit students from raising personal issues at the most appropriate time. Students may, if they wish, have a friend/representative from the Students's Union accompany them to any such discussions.
3.2 It is hoped that in many cases these informal discussions will be able to resolve a student's concerns and may lead, if appropriate, to a Board of Examiners, Fitness to Practice Panel or School Board agreeing to amend a recommendation without the necessity of convening a Review Panel (see paragraph 4 below). The student and those members of academic staff who have been consulted are strongly advised to keep written records of all such discussions and of their outcome.

4. Section B : Formal Review

4.1 If discussion with the Tutor or other appropriate person in the School fails to resolve the issue, students should complete a Review Request Form and submit this to the Manager of the School in which they are enrolled. The form will set out the grounds for the review and the revised decision sought. If the review is based on exceptional circumstances, written evidence (such as a medical certificate) must be produced. If the request for review is based on evidence that the student had been previously unwilling to divulge to the Board of Examiners, Fitness to Practice Panel or School Board, the form should include the reasons why the student was unwilling to produce such evidence at an earlier stage. The form should be accompanied by supporting documentation as appropriate. A request for review should normally reach the School Manager within 21 working days of the announcement of the recommendation of the Board of Examiners or School Board, or of the decision of Senate; or within 7 working days of the announcement of the results of supplementary examinations.
4.2 As soon as the request for a review has been received, the School Manager will first check that the student has sought to resolve the difficulty through informal discussions with the appropriate staff. If satisfactory evidence has not been supplied of any informal discussions, the student will be informed that no review can be entertained until such time as these have taken place. If the appropriate informal discussions have been completed but have not been able to resolve the issue, and the student has presented evidence under one of the grounds for review in paragraph 2.1, the School Manager will, normally within 14 working days of receiving the student's request for a review, begin procedures to convene a meeting of the Review Panel and will notify the student of the following points in writing:
4.2.1 the date, time and place of the meeting;
4.2.2 the members constituting the Panel on this occasion;
4.1.3 that the student is entitled either to attend in person, alone or accompanied by any other member of the University willing to assist in this way; or to be represented in his/her absence by such a person or to have the case heard unrepresented; and that it is in the student's own interests to be so accompanied or represented.
4.3 The student will also be sent a copy of these Regulations if these have not already been supplied.
4.4 As early as possible before the meeting of the Review Panel, the School Manager will forward to members of the Panel a copy of the review request form and supporting documentation together with a record of the student's marks and any other documentation that is relevant to the appeal, including a statement from the School of its reason(s) for being unable to respond positively to the student's request, and/or a statement from the student's Tutor. One copy of these documents will be sent to the student. A copy of these Regulations will be sent to the Panel members if they have not already received these.
4.5 The Review Panel will normally comprise the Dean of the Faculty or his/her nominee who will Chair the Panel, the Head of School or his/her nominee, and the Head or other senior member of another School. (None of the Panel shall have been involved in teaching the student or in previous discussions with the student about their case.) The School Manager will act as Secretary to the Review Panel. In the case of a review relating to a programme of study that is subject to validation by an external professional body, the Chair may co-opt onto the Panel an external representative of the relevant profession or an additional independent memberof an associated School. So far as is practicable, the Panel should include at least one member of the same gender as the student. If it appears that the case may raise particular cultural or other sensitivities, the Chair may co-opt an additional member able to advise on these issues, or otherwise seek advice as s/he sees fit.
4.6 This Panel will review the matter in the presence of the Chair of the relevant Board of Examiners or another colleague designated to speak on behalf of the School; and of the student, if the latter has chosen to attend the meeting.
4.7 The meeting of the Panel will normally follow this format:
4.7.1 The Chair will welcome the student, introduce those present and explain their roles and the procedure to be adopted, and indicate the various options that are open to the Panel.
4.7.2 The Chair will then invite the School to set out the facts and chronology of the matter, outlining its case.
4.7.3 The Panel will then question the School's representative.
4.7.4 The Chair will then invite the student to present their case and to make any comment upon the School's introduction.
4.7.5 The Chair will then invite the Chair of the Board of Examiners , or another colleague designated to speak on behalf of the School who is in attendance, to add any further comment.
4.7.6 The panel will then question the student.
4.7.7 Finally, the Chair will give the student the opportunity to raise any further points.
4.8 All those present, other than members of the Panel and the Secretary, shall then withdraw and the Panel will consider its decision. The decision shall be arrived at solely on the basis of the information presented: if any new considerations emerge during the Panel's deliberations which the Panel consider to be relevant, those who have withdrawn shall be recalled, told what these considerations are, and given an opportunity of commenting on or refuting them.
4.9 When considering issues raised under paragraph 2.1.1, the Panel should be aware of particular cultural sensitivities and differences which may affect domestic and personal circumstances and definitions of 'family', and bear in mind that cultural differences may sometimes inhibit students from raising personal issues at the most appropriate time.
4.10 The Panel may:
4.10.1 uphold the student's case and request the Board of Examiners, Fitness to Practice Panel or School Board to amend its recommentation(s) after consultation with the external examiner. The external examiner should be consulted where general issues or issues of principle arise which may impact upon overall standards or affect other students;
4.10.2 dismiss the case but request a change in the procedures of the School or the Board of Examiners, Fitness to Practice Panel or the School Board;
4.10.3 dismiss the case if the grounds are unsubstantiated or if the substance of the case would not have affected the recommendation of the Board of Examiners, Fitness to Practice Panel or School Board, or the decision of Senate.
4.11 The Panel may either invite the student to come into the hearing immediately afterwards and announce its decision, to be confirmed in writing, at that time; or it may instruct the School Manager to convey its decision in writing to the student within seven working days of the conclusion of the hearing. In either event, the letter to the student shall include details of the procedures of the Senate Appeals Committee (Section C below), if the Panel's decision is not to accept the student's application.
4.12 All those present shall, at all times, treat any evidence given at the hearing as confidential.
4.13 Schools are asked to monitor the number of Review Panels held annually by gender, ethnicity and disability of the student making the request, and to report on this as an appendix to their Annual Operating Statement. The relevant Faculty will then make a composite report to AQSC based on School data.

5. Section C : Appeal to the Senate Appeals Committee

5.1 Students have the right of appeal to the Senate Appeals Committee against a decision of the Review Panel, but such an appeal may only be lodged on the following grounds.
5.1.1 That they possess fresh evidence not available at the time of the Review Panel or that they possess evidence that, for reasons that must be explained, they were unwilling to divulge at the time of the Review.
5.1.2 That there had been a material administrative or procedural error in the conduct of the Review Panel.
5.2 An appeal may only be lodged by a student; it may not be lodged by a representative or by a parent.
5.3 A student wishing to exercise the right of appeal shall give written notice to the Director of Student Services indicating the grounds for appeal within 21 working days of the findings of the School Review Panel. The Education Quality Coordinator: Student Complaints, Appeals and Feedback, based in the Educational Development Service, will act on behalf of the Director of Student Services in taking forward the request. If the Chair of the Senate Appeals Committee judges that the student has provided sufficient grounds for the appeal to be entertained, the Secretary of the Senate Appeals Committee will send a copy of this statement to the relevant Head(s) of School(s) asking if it contains information not known to the Review Panel. In the light of the information in the student's statement, the School may agree to change its recommendation in which case the appeal succeeds without a hearing. After an appeals has been lodged, the Chair of the Senate Appeals Committee, following discussion with at least one other member of the Committee and a review of the documentation available to the Review Panel, may rule that the appeal is groundless and should be dismissed, The rationale for this decision should be recorded. In this case the Secretary of the Committee will send a full written explanation to the student, normally within 21 working days of the appeal being lodged.
5.4 If the School wishes to stand by the decision of the Review Panel, the Secretary shall, normally within 21 working days, convene a meeting of the Senate Appeals Committee and shall notify the student of the following points in writing:
5.4.1 The date, time and place of the meeting.
5.4.2 The members constituting the Committee on this occasion.
5.4.3 That the student is entitled either to attend in person, alone or accompanied by his/her Tutor or by any other member of the University willing to assist in this way, or a representative of the student's Trade Union or professional organisation or a legally-qualified person; or to be represented in his/her absence by such a person; and that it is in the student's own interests to be so accompanied or represented.
5.4.4 That the Committee reserves the right to take legal advice on its own behalf and, if the student elects to be accompanied or represented by a legally qualified person, it may also invite its legal adviser to be present at the hearing.
The student shall also be sent a copy of these Regulations if these have not already been supplied.
5.5 The Appeals Committee shall consist of:

The Vice-Chancellor or a Deputy Vice-Chancellor in the Chair
A Head of School other than that concerned
A member of the academic staff who is also a member of Senate from a Panel selected annually by the President of the Students' Union.
A sabbatical officer of the Students' Union nominated by the President

In the case of an appeal by a student on a programme of study that is subject to validation by an external professional body, the Chair may, after discussion with the Head of that School, co-opt onto the Committee an external representative of the relevant profession. If it appears that the case may raise particular cultural or other sensitivities, the Chair may co-opt an additional member able to advise on these issues, or otherwise seek advice as s/he sees fit. So far as is practicable, the Committee should include at least one member of the same gender as the student. The Director of Student Services or nominee (normally the Education Quality Coordinator: Student Complaints, Appeals and Feedback) shall act as Secretary to the Appeals Committee.
5.6 The Secretary shall forward copies of the student's letter of appeal to the sitting members of the Committee.
5.7 The Head of the student's School shall supply the Secretary with a written statement of the facts upon which the School relies as justifying its decision. Not less than seven working days before the hearing, the Secretary shall send, under confidential cover, copies of the statement to the members of the Appeals Committee, the Head of School and the student's tutor. Two copies shall be sent to the student.
5.8 The Dean of the Faculty or a representative shall attend the hearing of the appeal. The Head of School concerned or their representative shall be entitled to attend the hearing. If the Tutor is not asked to accompany the student (see 5.4.3 above), he or she may be invited by the Secretary to attend on appeal. Otherwise the hearing shall be in private and any other people presenting evidence shall be present only when making their submissions.
5.9 At the hearing the Committee shall first hear any representations made and evidence called by or on behalf of the student and then any further representations made and evidence called on behalf of the School. The Dean, Head of School or Tutor shall be entitled to question any person speaking on behalf of the student, and the student or their representative shall be entitled to question any person speaking on behalf of the School.
5.10 The Head of School or his/her representative, followed by the student or their representative, will be given the opportunity, if they wish, to make short final statements summarising their submissions.
5.11 All those present, other than the members of the Committee and the Secretary, shall then withdraw and the Committee will consider its decision. The decision shall be arrived at solely on the basis of the information presented; if any new considerations emerge during the Committee's discussions which the Committee considers to be relevant, those who have withdrawn shall be recalled, told what these considerations are, and given an opportunity of commenting upon or refuting them.
5.12 The Committee acts on behalf of Senate and may take one of the following courses of action.
5.12.1 The Committee may dismiss the appeal but may request that the Board of Examiners or the School concerned should consider changing its procedures.
5.12.2 Where the appeal is against termination of course, the Committee may uphold the student's appeal and withdraw the decision of Senate that the student's course be terminated on academic grounds. The Committee may make recommendations concerning the repetition of a course or of part of a course, taking into account the School's regulations. The Committee may also recommend that the School shall be responsible for meeting the cost of any tuition fees for which the student may be liable.
5.12.3 The Committee may dismiss the appeal if the grounds are insubstantiated or if, in the case of alleged fresh evidence, it would not have affected the decision of the Board of Examiners or School Review Panel.
5.12.4 Where the appeal is against a decision or recommendation of the School Review Panel, the Committee may:
5.12.5 request the School Board concerned to amend its recommendation: (the external examiner should be consulted where general issues or issues of principle arise which may impact upon overall standards or affect other students);
5.12.6 declare that the relevant assessment(s) be declared null and void and request the School Board to permit the student to undertake the relevant reassessment(s) without paying the normal resit fees;
5.12.7 dismiss the appeal but may request that the Board of Examiners or the School concerned should consider changing its procedures.
5.13 The Commitee shall announce its decision either at the hearing or in writing within seven working days of the hearing. The Secretary shall notify all concerned of the result of the appeal and shall prepare a report for Senate which shall include the reasons behind the Committee's decision.
5.14 A copy of all the papers presented to the Committee will be held by the Secretary of the Committee for a period of twenty-four months after the date of the hearing.
5.15 The number of appeals shall be monitored by School, gender, ethnicity and disability by the Education Quality Coordinator: Student Complaints, Appeals and Feedback.
5.16
 All those present at the hearing shall, at all times, treat any evidence given at the hearing as confidential.
5.17 These regulations described in detail the procedures to be followed in the event of an appeal being lodged by a student registered on a taught course at the University of Southampton. Procedures in the Accredited Institutions will follow the spirit of these regulations but may differ in their detailed application as a consequence of the different academic structures of these institutions.

6. Section D : Grievance to Council

6.1 The decision of the Appeals Committee is final, subject only to the provisions of Section 18.20 of the Statutes of the University. If the mechanisms described above do not produce a solution which the student finds acceptable, it is possible under the University's Statutes (number 18.20) to ask the Council "to entertain, adjudicate upon and, if thought fit, redress any grievance". In such instances, a special committee is set up to reach a view whether there is a prima facie case for consideration and, if so, to consider the matter in detail and to reach an adjudication on behalf of Council. Students wishing to initiate a grievance to Council should write to the Secretary and Registrar setting out the grounds on which they feel aggrieved, and documenting the action they have taken to attempt to resolve the problem.
6.2 At the point at which these internal mechanisms are exhausted the University, through the Vice-Chancellor, will issue a Completion of Procedures letter.

7. Section E : Complaint to the Office of the Independent Adjudicator

7.1 Should a student feel that his/her complaint has not been satisfactorily resolved through internal mechanisms, there is an external mechanism for review of the University's actions; this is through the Office of the Independent Adjudicator for Higher Education (OIA). Information about the OIA's procedures may be found from www.oiahe.org.uk/summary.asp or in the OIA's leaflet, An Introduction to the Student Complaints Scheme available from the Students' Union, the Head of the Educational Development Service or the Head of Legal Services (and, from October 2005, from the Student Services Centre). The paragraphs that follow (7.2 - 7.14) are based on this information.
7.2 For the OIA to consider a student's case, the student must have exhausted the University's internal complaints procedures and have received a 'Completion of Procedures' letter. The OIA will consider complaints from students or former students about:
  • a programme of study or research for which he or she is or was registered;
  • a service provided to him or her by a higher education institution;
  • a final decision by a higher education institution's disciplinary or appeal body;
  • a designated higher education institution programme validated or franchised by a higher education institution.
It does not consider complaints which:
  • relate to a matter of academic judgement;
  • are or have been the subject of court proceedings;
  • concern student employment matters;
  • relate to an institution which is not a higher education institution;
  • are about admission to a higher education institution.
7.3 Students wishing to make a case to the OIA must normally do so within three months of the date of the Completion of Procedures letter. A complaint must be made in writing, normally using a Scheme Application Form. These forms are available from the Students' Union, the Head of the Educational Development Service or the Head of Legal Services. From October 2005 they will also be available from the Student Services Centre. Forms may also be downloaded from the OIA website www.oiahe.org.uk/literature.asp, or requested from the OIA by telephone or letter (see address in paragraph 7.4 below).
7.4 Completed forms should be returned to OIA, Fifth Floor, Thames Tower, Station Road, Reading RG1 1LXAM. The following documentation must also be enclosed: copy of the Completion of Procedures letter from the University/College; copies of the relevant letters, notes and other supporting documents; copy of the relevant rules and regulations of the University/College; copy of relevant third party statements; Monitoring Questionnaire (optional).
7.5 It is preferable for the student/former student to handle the complaint himself/herself. However, a friend, family member or Students' Union representative, for example, may represent the student provided the complainant gives the OIA written authority to this effect, for example in the Scheme Application Form. In such cases, the student making the complaint will need to ensure that the representative is thoroughly briefed and readily accessible, as the OIA will not correspond with both the student and the representative.
7.6 The University is required to appoint an internal representative to manage any complaints taken to OIA. The name of the University's representative is included in the Completion of Procedures letter.
7.7 The OIA's procedures are informal. The OIA will generally review a complaint based on information provided to them by the parties. The OIA is not a court and expects to decide most complaints without the need for face to face meetings or hearings.
7.8 The student/former student will normally be advised within 21 days whether or not the complaint, or part of it, can be considered within the OIA's remit. If the complaint can be so considered, a copy will be sent to the University for comment. In some cases, the OIA may require the University to respond to specific questions or a request for information. This will normally be completed within a 3 - 4 week period.
7.9 The University's response will normally be sent to the student for comment. The student's response, and any further information requested by OIA, would normally be required within a 3 - 4 week period. The OIA Reviewer may need to ask the student or the University for some further information before issuing a decision.
7.10 The Reviewer will normally issue a draft decision so that both the student/former student and the University can comment on any material inaccuracies. Both parties will normally be asked to respond within 14 days. The Reviewer will then issue a formal decision to both parties and, if the complaint is justified, it will usually be accompanied by the Reviewer's recommendations. This will normally be within 21 days of receipt of comments.
7.11 In deciding whether a complaint is justified, the OIA will consider whether the University properly applied its regulations and followed its procedures, and whether or not a decision made by the University was reasonable in all the circumstances.
7.12 Where a complaint is wholly or partly justified, the Reviewer may recommend that the University does something or refrains from doing something. Recommendations may include (but are not limited to) the following:
  • that the complaint should be referred back to the University for fresh determination because its internal procedures have not been properly followed in a material way;
  • that the University should take a course of action that the OIA considers to be fair in the circumstances;
  • that the University should change the way it handles complaints, or change its internal procedures or regulations;
  • that compensation should be paid to the complainant.
7.13 HEIs are expected to comply with the OIA's formal decision and any recommendations in full and in a prompt manner. Recommendations may require the University to make an offer to the student. If the student accepts the offer then he or she will not be able to take the complaint further. The student is not bound by recommendations and may reject them (if they have not accepted an offer) and pursue any other remedies available.
7.14 Students considering pursuing a complaint through the OIA are strongly advised to make early contact with the Students' Union Advice and Information Centre (SUAIC).