University Calendar 2011/12
Section IV : General Regulations
Regulations Governing Academic Appeals by Students


PREFACE
CONTENTS
SEMESTERS
SECTION I
SECTION II
SECTION III
SECTION IV
SECTION V
SECTION VI
SECTION VII
SECTION VIII
SECTION IX
SECTION X
SECTION XI
SECTION XII
SECTION XIII
SECTION XIV
 
ARCHIVE 2004/5
ARCHIVE 2005/6
ARCHIVE 2006/7
ARCHIVE 2007/8
ARCHIVE 2008/9
ARCHIVE 2009/10
ARCHIVE 2010/11
The Academic Appeals Regulations may be accessed in other formats: for further information please contact the Quality, Standards and Accreditation Team. See Appendix D for Appeals Guidance Notes.
 
1. Scope of Regulations
  1.1 These regulations apply to all students at the University of Southampton. There are separate procedures for Student Complaints.
  1.2 For the purposes of these Regulations:

Academic Appeals Panel Means the panel whose composition is set out in paragraph 4.7.
Appeals Request Form Means the form for submitting an appeal for consideration by the Academic Appeals Panel.
Member of the University Means student or member of staff currently enrolled at or employed by the University.
Relevant Body or Bodies

Means any or all of the following: Academic Integrity Panel, Board of Examiners, Fitness to Practise Panel, Faculty Programme Committee, Senate, Upgrade Panel or Committee
Faculty Education Manager Means the Faculty Education Manager of the Faculty in which the student making the appeal is enrolled.
Senate Appeals Committee Means the committee whose composition is set out in paragraph 5.8 below.
Senate Appeals Request Form Means the form for submitting an appeal for consideration by the Senate Appeals Committee.
  1.3 Appeals may be made against recommendations and decisions of the Relevant Bodies.
     
2. Grounds for Appeal
  2.1 Students may only appeal against a decision made by one of the Relevant Bodies if they can produce evidence of one or more of the following grounds:
  • That they possess new evidence not available at the time the Relevant Body made its decision.

  • That their performance had 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 disclose to the relevant body before it made its decision.

  • That there had been a significant failure in the application of procedures which had affected the decision of the Relevant Body.
  2.2 Questions relating to unsatisfactory teaching and supervision are dealt with under the Regulations Governing Student Complaints. Students who would like further clarification about complaints or appeals should contact the Students' Union Advice and Information Centre (SUAIC) suaic@susu.org for free, independent, specialist advice.
  2.3 Under no circumstances may students question the academic judgement of the examiners and any appeal based on such grounds will be dismissed.
     
3. Preliminary Discussions before making an Appeal
  3.1 Before making an appeal students should first hold preliminary discussions of their case with an appropriate person in their Faculty. For example, in the case of a student on a taught course this could be a tutor; in the case of a postgraduate research student this could be a member of the supervisory team. Students are also advised to consult SUAIC suaic@susu.org at this stage. Preliminary discussions should take place without delay to enable the student to meet the timescales for submission of a formal appeal (see paragraph 4.3). A note of the meeting, signed as a correct representation of the outcomes by the student and the Faculty member, should be made and placed in the student’s file. It is good practice for this to be undertaken by an independent note taker. Where agreement on the outcomes cannot be reached the student and the Faculty member may submit separate records of their understanding of the outcomes of the meeting. A written record as evidence of the preliminary meeting will be required prior to any subsequent formal appeal process.
  3.2 The possible outcomes of such discussions are as follows:
  • The Faculty Member involved in the preliminary discussion recommends a change of decision to the Relevant Body which accepts the student's case and amends its original decision in the student's favour.

  • The student decides not to make a formal appeal.

  • The student decides to make a formal appeal.
     
4. The Academic Appeals Process
  4.1 The Faculty Education Manager is responsible for ensuring that processes are correctly followed and appropriate records kept.
  4.2 An appeal may only be made by the student concerned; it may not be made by a representative or relative.
  4.3 Once preliminary discussions have taken place and been completed, the student should submit an Appeals Request Form if they decide to make a formal appeal. SUAIC will provide support to complete the form if necessary. The completed form must show the grounds for appeal and the outcome the student seeks. Appropriate written evidence must be submitted with the form which should normally be returned to the Faculty Education Manager within 20 working days of notification of the decision giving rise to the appeal. If a student wishes to appeal against the results of supplementary (July/August/September) examinations, the form should normally be returned within 5 working days of the publication of the results.
  4.4 Once the form has been received, the Faculty Education Manager will check that the student has attempted to resolve the matter through preliminary discussions with staff. No appeal can be considered unless such discussions have taken place.
  4.5 After an appeal has been lodged a  Chair of the Appeal Panel will be appointed. The Chair should be an Associate Dean from outside the Faculty from the list of trained persons held by the Quality, Standards and Accreditation Team. The Appeal Request Form and supporting documents will normally be provided to the nominee of the Dean (normally an Associate Dean) in the Faculty where the appeal is lodged and to the Panel Chair to consider whether evidence of one of the grounds for appeal has been presented.  If they rule that no such evidence has been presented, they may refuse the appeal request and shall provide reasons in writing to the student normally within 10 working days of the Appeal Request Form being lodged.  In such a case the Faculty Education Manager will notify the Vice-Chancellor’s Office and a Completion of Procedures letter will be issued.
  4.6 Provided preliminary discussions have taken place, and it is accepted under clause 4.5 that the student has presented evidence under one of the grounds for appeal in clause 2.1, the Faculty Education Manager will convene a meeting of the Academic Appeals Panel normally within 20 working days of receipt of the Appeal Request Form.
  4.7 The Academic Appeals Panel will normally comprise:
  • The appointed Chair
  • The nominee of the Dean (normally an Associate Dean) in the Faculty where the appeal is lodged
  • A senior member of the Faculty in which the appeal is lodged.
    Care should be taken that the members of the appeal panel from within the Faculty do not have an individual relationship with the student (e.g through personal tutoring, small group teaching, project/dissertation supervison etc).
    In the case of a student taking a programme with joint honours the panel Chair should not be from either Faculty associated with the student’s programme.
    Wherever possible the Academic Appeals Panel should include at least one member of the same gender as the student.
  4.8 The Chair may also co-opt onto the Academic Appeals Panel:
  • An additional independent member of another Faculty or Professional Service.
  • An external representative of the relevant profession (where a programme of study is subject to validation by an external professional body).
  4.9 Members of the Academic Appeals Panel should not have been involved in small group teaching/supervising of the student or in previous discussions with the student about their case.
  4.10 Once a date for the Academic Appeals Panel has been decided, the Faculty Education Manager will send copies of these regulations to all parties. The Faculty Education Manager will also confirm the following points in writing to the student:
  • The date, time and place of the meeting.
  • The members of the Academic Appeals Panel
  • That the student is entitled to attend in person, alone or accompanied by an independent adviser from SUAIC or another Member of the University.
  4.11 All documentation, including the notes of the preliminary discussions (refer to 3.1) will be sent to the student and Academic Appeals Panel no less than 7 working days before the date of the Academic Appeals Panel meeting.
     
  Academic Appeals Panel Meeting
  4.12 The following people will be present at the Academic Appeals Panel meeting:
  • The student making the appeal or the student's representative (see below).
  • The independent adviser from SUAIC or another Member of the University accompanying the student - ie: the student's representative.
  • Members of the Academic Appeals Panel and the Secretary.
  • A representative of the Faculty concerned who will present the Faculty's case.
    The student is strongly advised to attend the Academic Appeals Panel Meeting. However, if the student decides not to attend, they may nominate a representative to take their place. The Academic Appeals Panel reserves the right to proceed with the appeal if the student does not attend and does not nominate a representative.
  4.13 All those present must, at all times, treat any evidence as confidential.
  4.14 The Academic Appeals Panel may wish to hold a private meeting before the start to consider the written evidence. After this, at the appointed time, the Chair will invite the student, the student's representative and the Faculty's representative to enter the room together.
  4.15 The Chair will then:
  • Welcome the student, introduce those present, explain their roles and the procedure to be followed.

  • Invite the student to confirm the grounds of their appeal and the outcome which they are seeking.

  • Invite the Faculty to set out the facts of the case and explain its reasons for not changing its original decision.

  • Invite the student to present their case and make any comments on the Faculty's introductory remarks.

  • Invite the Faculty's representative to add any further comments.

  • Invite the Panel to question the student and the Faculty's representative.

  • Give the student and the Faculty the opportunity to raise any further points.
    The student's representative may be invited to speak at the student's request or the request of the Chair.
  4.16 The student, the student's representative and the Faculty's representative will then leave the room at the same time and the Academic Appeals Panel will consider its decision in private. The decision must be made solely on the basis of the evidence presented at the Academic Appeals Panel Meeting.
     
  Possible Outcomes of the Academic Appeals Panel
  4.17 The Academic Appeals Panel may:
  • Uphold the student's case and agree to implement the outcome they are seeking.
  • Uphold the student's case and offer an alternative outcome.
  • Dismiss the student's case.
  4.18 In addition the Academic Appeals Panel may:
  • Make recommendations for a change in the Faculty/University procedures.
  • Require the student to abide by specific conditions.
  4.19 The Faculty Education Manager will prepare a written report of the Academic Appeals Panel's decision which will be signed by the Chair of the Panel and sent to the Academic Appeals Panel and the student, normally within 5 working days of the meeting. If the Panel has dismissed the appeal, the letter to the student should include details of the procedure for making an appeal to the Senate Appeals Committee.
     
5. Senate Appeals Committee
  5.1 Students may appeal to the Senate Appeals Committee against the decision of the Academic Appeals Panel if they can produce evidence of one or both of the following grounds:
  • That they possess new evidence not available at the time of the Academic Appeals Panel meeting.
  • That there had been a significant failure of due process in the conduct of the Academic Appeals Panel.
  Senate Appeals Committee Process
  5.2 The Secretary (see 5.8) of the Senate Appeals Committee is responsible for ensuring that processes are correctly followed and appropriate records kept.
  5.3 An appeal may only be made by the student concerned; it may not be made by a representative or a relative.
  5.4 The student should submit a Senate Appeals Request Form to the Secretary, normally within 20 working days of the Academic Appeals Panel decision, indicating their grounds for appeal and enclosing relevant documentation and evidence.
  5.5 After a Senate appeal has been lodged, the Senate Appeals Request Form and supporting documents will normally be provided to Chair of the Senate Appeals Committee who will consult with at least one other member of the Senate Appeals Committee to consider whether evidence of one of the grounds for appeal has been presented.  If they rule that no such evidence has been presented, they may refuse the Senate appeal request and shall provide reasons in writing to the student normally within 10 working days of the Senate Appeal Request Form being lodged.  In such a case a Completion of Procedures letter will be issued by the Vice-Chancellor.
  5.6 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 ask the Faculty if it wishes to amend its decision in the light of new information provided by the student. The Faculty should respond normally within 5 working days of this request. If the Faculty agrees to amend its decision, the appeal succeeds and the Secretary will inform the student accordingly.
  5.7 If the Faculty stands by its original decision, the nominee of the Dean (normally an Associate Dean) should send the Secretary a written statement outlining the reasons for the decision and all the documentation considered by the Academic Appeals Panel. The Secretary will then convene a meeting of the Senate Appeals Committee, normally within 25 working days of receiving the student's Senate Appeals Request Form.
  5.8 The Senate Appeals Committee will normally comprise:
  • The Vice-Chancellor or nominee (Chair).
  • A Dean or nominee other than those concerned in the original appeal.
  • A member of academic staff who is also a member of Senate agreed by the President of the Students' Union.
  • President of the Student's Union or nominee.
    Wherever possible the Senate Appeals Committee should include at least one member of the same gender as the student.
    The Education Quality Coordinator: Student Complaints, Appeals and Feedback will act as Secretary.
  5.9 The Chair may also co-opt onto the Senate Appeals Committee:
  • An additional independent member of another Faculty or Professional Service.
  • An external representative of the relevant profession (where a programme of study is subject to validation by an external professional body).
  5.10 Members of the Senate Appeals Committee should not have been involved in teaching/supervising the student or in previous discussions with the student about their case.
  5.11 Once a date for the appeal has been decided, the Secretary will send copies of these regulations and all the documentation that will be considered at the Senate Appeals Committee to the student and to members of the Senate Appeals Committee. The Secretary will also confirm the following points in writing to the student:
  • The date, time and place of the meeting.
  • The members of the Senate Appeals Committee.
  • That the student is entitled to attend in person alone or be accompanied by an independent adviser from the Students' Union Advice and Information Centre (SUAIC) or another member of the University.
  Senate Appeals Committee Meeting
  5.12 The following people will be present at the Senate Appeals Committee meeting:
  • The student making the appeal.
  • The independent adviser from SUAIC or another Member of the University accompanying the student - ie: the student's representative.
  • Members of the Senate Appeals Committee and the Secretary.
  • Dean of Faculty concerned or nominee.
    The student is strongly advised to attend the Senate Appeals Committee meeting. However, if the student decides not to attend they may nominate a representative to take their place. The Senate Appeals Committee reserves the right to proceed with the appeal if the student does not attend and does not nominate a representative.
  5.13 All those present must, at all times, treat any evidence as confidential.
  5.14 The Senate Appeals Committee may wish to hold a private meeting before the start to consider the written evidence. After this, at the appointed time, the Chair will invite the student, the student's representative and the Faculty's representative to enter the room together.
  5.15 The Chair will then:
  • Welcome the student, introduce those present, explain their roles and the procedure to be followed.

  • Invite the student to present their case and confirm the grounds of their appeal and the outcome which they are seeking.

  • Invite the Dean or nominee to set out the facts of the case and explain the Faculty's reasons for not changing its original decision.

  • Invite the student to question the Dean or nominee.

  • Invite the Dean or nominee to question the student.

  • Invite the Senate Appeals Committee members to question the student and the Dean or nominee.

  • Give the student and the Dean or nominee an opportunity to make a final statement and raise any further points.
    The student's representative may be invited to speak at the student's request or the request of the Chair.
  5.16 The student, their representative and the Dean or nominee will then leave the room at the same time and the Senate Appeals Committee will consider its decision in private. The decision must be made solely on the basis of evidence presented to the Senate Appeals Committee.
     
  Possible Outcomes of the Senate Appeals Committee
  5.17 The Senate Appeals Committee may:
  • Uphold the appeal and agree to implement the outcome the student is seeking.
  • Uphold the appeal and offer an alternative outcome.
  • Dismiss the appeal.
  5.18 In addition the Senate Appeals Committee may:
  • Make recommendations for a change in the Faculty/University procedures.
  • Require the student to abide by specific conditions.
  5.19 The Secretary will prepare a final written report of the Senate Appeals Committee's decision which will be sent to the Senate Appeals Committee and the student normally within 5 working days of the meeting. A report will also be sent to Senate.
  5.20 The Secretary will keep a copy of all the papers presented to the Senate Appeals Committee, and the final report of proceedings, for a period of 2 years after the hearing.
  5.21 The decision of the Senate Appeals Committee is final. At this point the internal appeal mechanisms of the University of Southampton have been completed and a Completion of Procedures letter will be issued by the Vice-Chancellor.
     
6. Complaint to the Office of the Independent Adjudicator
  6.1 Information about the OIAHE's procedures may be found at www.oiahe.org.uk or in the OIAHE's leaflet "An Introduction to the Student Complaints Scheme" which is available from the Students' Union Advice and Information Centre (SUAIC) and the Student Services Centre.
  6.2 Students wishing to make a case to the OIAHE must normally do so within 3 months of the date of the Completion of Procedures letter. A complaint must be made in writing using a Scheme Application Form. The OIAHE will not normally consider a complaint unless it is received within 3 months from the date of the Completion of Procedures letter.
  6.3 The OIAHE scheme covers complaints about an act or omission of an HEI made by:
  • a student at that HEI; or
  • a student at another institution undertaking a course of study, or programme of research, leading to the grant of one of the HEI's awards.
  6.4 The OIAHE scheme does not cover a complaint to the extent that:
  • it concerns admission to an HEI;
  • it relates to a matter of academic judgement;
  • the matter is or becomes the subject of court or tribunal proceedings;
  • it concerns a student employment matter;
  • in the opinion of the reviewer, the matter complained about does not materially affect the complainant as a student;
  • it has been dealt with (or is being dealt with) under any previous rules of the OIA;
  • it is made by the personal representative of a student and the OIA had not received a Scheme Application Form.
    Contact details for the Office of the Independent Adjudicator are:

Office of the Independent Adjudicator
3rd Floor
Kings Reach
38-59 Kings Road
READING
Berks RG1 3AA
Tel: 01189 599813
Email: enquiries@oiahe.org.uk
     
7. Monitoring , Review and Training
  7.1 Academic appeals from students will be monitored, on an annual basis, by Faculties and the University. The outcome of such monitoring may also inform other processes or activities such as programme design or teaching and supervision, and enhance the quality of the student learning experience.
  7.2 The Quality, Standards and Accreditation Team and the Students' Union relevant Sabbatical Officers and Student Union Advice and Information Centre (SUAIC) will organise activities and training to raise awareness of the Academic Appeals Regulations and how they should be used. The Quality, Standards and Accreditation Team will also provide support and guidance notices for staff and students when handling appeals.

Reviewed in July 2011.
APPENDIX A : APPEALS REQUEST FORM
APPENDIX B : SENATE APPEALS REQUEST FORM
APPENDIX C : FLOW CHART OF THE APPEALS PROCEDURE
APPENDIX D : APPEALS GUIDANCE NOTES

Submitted by Corporate Services
Last reviewed: 3-Aug-2011
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