University of Southampton Calendar 2013/14


University Calendar 2013/14 Section IV : General Regulations Regulations Governing Academic Appeals by Students

Introduction

These Regulations are divided in to two sections. Section A gives details of the policy, whilst Section B outlines the procedure to be followed when raising an appeal. A simple summary of the procedure can be found in Appendix D. The University provides further information and guidance for staff and students, which can be found at http://www.southampton.ac.uk/studentadmin/appeals/.

Students can obtain free, independent and confidential advice throughout the appeals process from the SUSU advice centreand are encouraged to do so wherever possible.

For students based overseas, local variations may need to be applied.

Section A

The Policy

1.0

Who can appeal using these regulations?

The following people can appeal using these regulations:

1.1

Individual students currently enrolled at the University of Southampton.

1.2

Individual students who have left the University of Southampton within the last 40 working days (including recent graduates). Only in exceptional circumstances will appeals be considered outside of this timescale.

1.3

Groups of students who are made up of individuals as described in points 1.1 and 1.2 above. In these circumstances normally one student should be prepared to be the spokesperson and correspondent for the purposes of the formal procedure. Each member of the group must be able to demonstrate that s/he has been personally affected by the matter which has been raised. In addition, all students must agree in writing to the spokesperson acting on their behalf.

2.0

Who cannot appeal using these regulations?

The following people cannot appeal using these regulations:

2.1

Those applying to study at the University of Southampton (see Regulations Governing Complaints from Applicants).

2.2

Third parties wishing to raise an appeal on behalf of a student. This includes parents, guardians, relatives or the spouse or partner of a student.

2.3

Students at other Accredited Institutions/Universities; these students are required to follow their respective Institution's regulations for appeals. The University of Southampton will liaise and cooperate with that student's university to resolve any issues outside the framework of these Regulations.

3.0

What types of decisions may a student appeal against under these Regulations?

Provided a student has grounds (see paragraph 4 below) they may appeal against any academic decision made by the University with the exception of the exclusions outlined in paragraph 5 below.

4.0

What grounds does a student need to make an appeal?

Students may only appeal against a decision if they can show on a balance of probabilities:

4.1

That they possess new substantive information supported by evidence which was not known by the student and/or the evidence could not reasonably have been obtained by the student in time to present to the board or panel of the University which made the original decision against which the student is appealing; and/or

4.2

That there has been significant failure of due process in the making of the original decision (including but not limited to irregularity in the procedures of the University or significant computational or administrative errors of fact in results published), which the student believes affected the University's original decision; and/or

4.3

That their performance had been adversely affected by illness or by other factors (e.g: family crisis) which, in exceptional circumstances, they were unable or for valid reason unwilling to disclose to the University before it made its original decision (also see Special Consideration Policy).

5.0

What can't a student appeal against under these Regulations?

5.1

A student cannot appeal against a decision which has been made by the University:

5.1.1

in the proper exercise of academic judgement. As an example, a student cannot appeal simply because he/she disagrees with a decision the University has made or feels that a higher mark should have been given.

5.1.2

under the Regulations Governing Complaints by Students.

5.1.3

under the Student Discipline Regulations.

5.1.4

under the Dignity at Work and Study Policy.

5.1.5

under the Procedures for Investigating Cases of Alleged Misconduct in Research.

5.1.6

under the Fitness to Study Policy.

5.2

A student cannot appeal to the University against a decision which has been made by the Student's Union (see SUSU Complaints Procedure).

5.3

Students cannot appeal against poor teaching or supervision (See Regulations Governing Complaints by Students).

5.4

These Regulations do not cover appeals made persistently and unreasonably by a student based on substantially similar facts so as to constitute repeated demands or representations made on matters which have already been considered or are being considered under these Regulations or any earlier version of regulations governing appeals by students.

5.5

These Regulations do not cover appeals about matters which have already or are currently being considered by the Office of the Independent Adjudicator for Higher Education ("OIA"), a court or tribunal

6.0

Support

6.1

During all stages of the procedure, students may be accompanied to appeals meetings by a member of the University - usually either a member of staff or a fellow student, or by an advisor from the SUSU Advice Centre. Only in exceptional circumstances and by prior agreement may a student be accompanied by someone who is neither a member of the University nor a SUSU advisor.

6.2

The role of the individual accompanying the student is not to offer formal representation, but to offer support and advice to the student.

7.0

Confidentiality

7.1

The University will process all personal information in accordance with its Data Protection Policy.

7.2

Any appeal raised by a student will be treated with the highest level of confidentiality that can be maintained, but the University will disclose information: to inform staff of any allegations made and give them an opportunity to respond as required by natural justice; to allow an investigation to be carried out properly; for the discharge of its duties; or as required by law.

7.3

There may be cases where it is appropriate to preserve confidentiality in relation to the identity of witnesses where there is reasonably perceived to be a need to protect any student or staff from the risk of intimidation or retribution.

7.4

The University may also adapt these Regulations where it is considered undesirable for any one person to give evidence in the presence of another.

7.5

Where a person against whom allegations have been made is not aware of the identity of all those who have given evidence, due weight to this factor must be given and the individual's responses to the allegations must be seen in this context. Natural justice must be observed, meaning that such an individual has the right to fully understand the case made against him/her.

7.6

The outcomes and recommendations from appeals may be shared across the University in the spirit of institutional learning, however any personal information will be removed and handled in accordance with the University's Data Protection Policy.

7.7

Audio and/or visual recording of meetings is not normally permitted. If, due to exceptional circumstances it is agreed in advance that a student is permitted to record a meeting, the recording is confidential and must not be copied, shared with any third party, published or disseminated in any way. A true and complete copy of the recording of the meeting must be provided to the other party as soon as possible after the recording was made.

8.0

Resolving Appeals

If a student's appeal overlaps with other University regulations or policies, advice should be sought from the Head of Academic Appeals and Student Complaints (see Appendix E for contact details) about how to progress the appeal under these Regulations, if at all.

9.0

Monitoring Appeals

Academic appeals from students will be monitored, on an annual basis, by the University. The outcome of such monitoring may also inform other processes or activities and enhance the quality of the student learning experience.

Section B

The Procedure

A simple summary of this procedure can be found in Appendix D. Reasonable adjustments to this procedure can be made, when appropriate, for students with additional needs or to allow for other factors that would otherwise place a student at a disadvantage. If the University and student agree, any meetings may be held by video conferencing, Skype, telephone conferencing or other appropriate means.

This procedure outlines the usual timescales for submission of and responses to appeals at the various stages of the process. Where the University is unable to adhere to stated timescales for any reason, the University will make all reasonable efforts to keep the student informed. Please note that where 'working days' are referred to this excludes weekends, bank holidays and University closure days.

1.0

Notice to Appeal (Stage 1)

1.1

A student must give the University notice of their intention to make an appeal as soon as possible but within 10 working days or in the case of supplementary examinations 5 working days, of the date a decision in Section A 3.0 is first communicated by the University to that student.

1.2

The notice must be made in writing, using the Notice to Appeal Form at Appendix A which contains a written statement outlining the important points the student wishes to raise and be sent to the Curriculum and Quality Assurance (CQA)Team in the relevant Faculty in which the student is registered (see Appendix E for contact information).

1.3

The CQA Team will acknowledge receipt of the Form and arrange for an appropriate staff member to hold a preliminary discussion with the student.

1.4

Preliminary discussions should usually take place within 5 working days of the date the form is received by the CQA Team. It is good practice for a note taker to be present at the meeting.

1.5

A brief summary of the discussion should be retained by the Faculty and a copy sent to the student along with the outcome of the discussion within 5 working days of the discussion, with a copy being placed in the student file ("Preliminary Report"). Where the student disagrees with the summary of the meeting, they may submit their own record which will be appended to the report.

1.6

The possible outcomes of such discussions are as follows:

1.6.1

The staff member is of the view that the student can demonstrate the grounds for appeal and makes a recommendation for the board or panel that made the original decision to reconsider. In this case the Preliminary Report along with the board or panel's decision following the reconsideration should be sent to the student via the CQA Team within 5 working days of the date of the Preliminary discussion.

1.6.2

The staff member is of the view that the student cannot demonstrate the grounds for appeal or is otherwise outside the scope of these Regulations and accordingly makes a recommendation that the student not proceed with submitting an appeal. In this case the Preliminary Report should be sent to the student via the CQA Team within 5 working days of the date of the Preliminary discussion. The student is at liberty to determine whether or not to follow this recommendation and may still proceed with submitting an appeal as set out below. Please note: no appeal can be submitted without notice first having been given and preliminary discussions having been held.

2.0

Impartiality and Conduct of Meetings for Stage 2 and Stage 3 Appeals

2.1

Members who sit on appeal panels must not have an individual relationship with the student (e.g. through personal tutoring, small group teaching, project/dissertation supervision etc.) or have been in previous discussions with the student about their case.

2.2

In the case of a student taking a programme with joint honours the Chair of the Academic Appeals Panel should not be from either Faculty associated with the student's programme.

2.3

The student is strongly advised to attend the Panel meeting. The Panel reserve the right to proceed with the meeting if the student does not attend.

2.4

The Chair of the Panel will:

2.4.1

welcome the student, introduce those present, explain their roles and the procedure to be followed;

2.4.2

invite the student to present their case and confirm the grounds of their appeal and the outcome which they are seeking;

2.4.3

invite the Faculty representative to present its case and explain the Faculty's original decision;

2.4.4

invite the student to make any comments in relation to the Faculty's case;

2.4.5

invite the Faculty representative to add any further comments;

2.4.6

invite the panel members to question the student and the Faculty representative (the Chair may also ask questions);

2.4.7

give the student and the Faculty representative an opportunity to make a final statement and raise any further points.

2.5

The student, their representative and the Faculty representative will then leave the meeting at the same time and the Panel will consider its decision in private. The decision must be made solely on the basis of evidence before the Panel and will be notified to the student in writing normally within 5 working days of the meeting.

3.0

Stage 2: Academic Appeals (AA) Panel

3.1

A student wishing to submit an appeal must do so within 5 working days of the date of the Preliminary Report, by sending a copy of the completed Notice to Appeal Form (Appendix A) along with a completed Stage 2 Form (Appendix B) and a copy of the Preliminary Report to the relevant Faculty Education Manager (see Appendix E).

3.2

After an appeal has been submitted, the Faculty Education Manager (or nominee) will convene and provide documentation and evidence received to a Partial AA Panel consisting of:

3.2.1	an appointed chair from outside the Faculty concerned, from a list of trained staff members of appropriate seniority held by the Head of Academic Appeals and Student Complaints; and
3.2.2	the Dean or nominee from the Faculty concerned.

3.3

The Partial AA Panel will consider the appeal normally within 10 working days of the date the Appeals Request Form is received and the appeal will initially be considered on the written evidence only.

3.4

The Partial AA Panel may decide:

3.4.1

That no grounds for appeal have been met and may refuse the appeal. In such a case the student should be notified normally within 5 working days of the decision of the Partial AA Panel.

3.4.2

Except in the case of Fitness to Practice decisions, that one or both grounds for appeal have clearly been met and that the appeal should be upheld and the outcome sought by the student implemented; the student should be notified of this decision within 5 working days of the decision of the Partial AA Panel; or

3.4.3

That one or both grounds for appeal appear to be met and that a meeting of the Full AA Panel be convened to decide the appeal. Accordingly the student should be notified within 5 working days of the decision of the Partial AA Panel that there appears to be grounds for appeal but that a Full AA Panel will need to be convened to determine the issue and that further information as required in section 3.8 will be sent out in due course.

3.5

The Full AA Panel will normally comprise:

3.5.1

the 2 Partial AA Panel members;

3.5.2

a senior member of the Faculty in which the appeal is submitted; and

3.5.3

for decisions related to Fitness to Practice, an external representative of the relevant profession.

3.6

The Chair may also choose to co-opt onto the Full AA Panel:

3.6.1

an additional independent member of another Faculty or Professional Service;

3.6.2

an external representative of the relevant profession (where a programme of study is subject to validation by an external professional body).

3.7

Once a date for the Full AA Panel has been set (which should normally be within 10 working days of the date of the notification to the student under clause 3.4.3 above) , the Faculty Education Manager (or nominee) will send copies of these Regulations to the student and the Full AA Panel members and will also confirm the following points in writing to the student:

The date, time and place of the meeting.
The members of the Full AA Panel.
That the student is entitled to attend in person, and may choose to be accompanied by an independent adviser from SUSU or another member of the University.

3.8

All documentation, including the Preliminary Report will be sent to the student and Full AA Panel members no less than 5 working days before the date of the Full AA Panel meeting.

3.9

Full AA Panel Meeting

3.9.1

In addition to the Full AA Panel Members, a representative from the Faculty will present the Faculty's case and the Faculty Education Manager (or nominee) will attend as a Secretary. The student is strongly advised to attend the Full Panel Meeting and may be accompanied as set out in section A6.0 Support.

3.9.2

The Full AA Panel may wish to hold a private meeting before the start of the panel meeting to consider the written evidence. After this, at the appointed time, the Chair will invite the student, the student's representative (if any) and the Faculty's representative to enter the meeting together.

3.9.3

The Chair will then conduct the meeting in accordance with Section B2.0 Impartiality & Conduct of Meetings of Stage 2 and Stage 3 Appeals.

3.10

Possible Outcomes of the Full AA Panel Meeting

3.10.1

The Full AA Panel may:

3.10.1.1	uphold the student's appeal and agree to implement the outcome they are seeking; or
3.10.1.2	uphold the student's appeal and offer an alternative outcome; or
3.10.1.3	dismiss the student's appeal.

3.11

Full AA Panel Report

The Secretary will prepare a written report of the Full AA Panel's decision which will be signed by the Chair of the Full AA Panel and a copy sent to the rest of the Full AA Panel and the student, normally within 5 working days of the Full AA Panel meeting.

3.12

If the Partial or Full AA Panel dismiss the appeal, a letter should be sent to the student including details of the procedure for making an appeal to the Senate Appeals Panel at Stage 3. If the student is not satisfied with the decision of the Partial or Full AA Panel but does not meet the ground for appeal at Stage 3, then this is the final step of the Procedure and a student may request a Completion of Procedures letter, which will be issued by the Vice Chancellor (see paragraph 6 below).

4.0

Stage 3: Senate Appeals (SA) Panel

4.1

Students may appeal to the SA Panel against the decision of the Partial or Full Academic Appeals Panel only on the ground that there has been a significant failure of due process in relation to Stage 2 of the Academic Appeals Procedure.

4.2

The student should submit a Stage 3 Form (Appendix C), along with copies of all documentation from the previous stages to the Head of Academic Appeals and Student Complaints who will normally act as Secretary, within 10 working days of notification of the decision of the Partial AA Panel (see 3.4.1 above) or the date of the Full AA Panel Report (see 3.11 above), stating the reason for the appeal.

4.3

The Secretary will convene and provide documentation and evidence received to a Partial Senate Appeals Panel consisting of:

4.3.1

the Vice-Chancellor or nominee (acting as Chair); and

4.3.2

the President of SUSU or nominee.

4.4

The Partial SA Panel will consider the appeal normally within 10 working days of the Senate Appeals Request Form being received and only on the written evidence.

4.5

The Partial SA Panel may decide:

4.5.1

That the ground for appeal has not been met and may refuse the appeal. In such a case the student should be notified normally within 5 working days of the decision of the Partial SA Panel and a Completion of Procedures letter will be issued by the Vice Chancellors Office (see paragraph 6.0 below).

4.5.2

That the ground for appeal appears to have been met and that the matter should be referred back to Stage 2 of the procedure for a new differently constituted Full AA Panel Meeting. The student should be notified of this within 5 working days of the decision of the partial SA Panel. In such cases the second Full AA Panel should be provided with details of the ground for Senate Appeal (i.e. details of the significant failure of due process), otherwise the Panel will consider the appeal afresh only with the documents and evidence available to the first Full AA Panel Members and therefore will not have access to the first Full AA Panel Report. No further evidence may be introduced or placed before this Full AA Panel Meeting but it will otherwise be conducted in accordance with Section B3 above. For the avoidance of doubt the Faculty representative must also be different at the second Full AA Panel Meeting.

4.5.3

That the ground for appeal appears to have been met and that a meeting of the Full Senate Appeals Panel be convened to rehear the appeal. Accordingly the student should be notified within 5 working days of the decision of the Partial SA Panel that there appears to be grounds for appeal but that a Full SA Panel will need to be convened to rehear the appeal and that further information as required in section 4.8 will be sent out in due course.

4.6

The Full Senate Appeals Panel will normally comprise:

4.6.1

the two Partial SA Panel members;

4.6.2

a Dean or nominee other than those concerned in the original appeal;

4.6.3

a member of academic staff who is also a member of Senate;

4.6.4

in matters concerning a decision related to Fitness to Practice, an external representative of the relevant profession.

4.7

The Chair may also choose to co-opt onto the Full SA Panel:

4.7.1

an additional independent member of another Faculty or Professional Service;

4.7.2

an external representative of the relevant profession (where a programme of study is subject to validation by an external professional body).

4.8

Once a date for the Full SA Panel has been set (which should normally be within 15 working days of the date of the notification to the student under clause 4.5.3 above) , the Secretary will send copies of these Regulations to the student and the Full SA Panel members and will also confirm the following points in writing to the student:

The date, time and place of the meeting.
The members of the Full SA Panel.
That the student is entitled to attend in person, and may choose to be accompanied by an independent adviser from SUSU or another member of the University.

4.9

All documentation will be sent to the student and Full SA Panel members no less than 5 working days before the date of the Full SA Panel meeting.

4.10

Full SA Panel Meeting

4.10.1

In addition to the Full SA Panel Members, a representative from the Faculty will present the Faculty's case and the Secretary will attend as note taker. The student is strongly advised to attend the Full Panel Meeting and may be accompanied as set out in section A6.0 Support.

4.10.2

The Full SA Panel may wish to hold a private meeting before the start of the panel meeting to consider the written evidence. After this, at the appointed time, the Chair will invite the student, the student's representative (if any) and the Faculty's representative to enter the meeting together.

4.10.3

The Chair will then conduct the meeting in accordance with Section B2.0 Impartiality & Conduct of Meetings of Stage 2 and Stage 3 Appeals.

4.11

Possible Outcomes of the Full SA Panel Meeting

4.11.1

The Full Panel may:

4.11.1.1	uphold the student's appeal and agree to implement the outcome they are seeking; or
4.11.1.2	uphold the student's appeal and offer an alternative outcome; or
4.11.1.3	dismiss the student's appeal.

4.11.2

In addition the Full Panel may make recommendations for a change in the Faculty/University procedures.

4.12

Full SA Panel Report

The Secretary will prepare a final written report of the Senate Appeal Panel's decision, copies of which will be sent to the Senate Appeals Panel and the student normally within 5 working days of the meeting. A report will also be sent to Senate.

4.13

The decision of the Senate Appeals Panel 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 (see paragraph 6.0 below).

5.0

Suspension or Termination of an Appeal

5.1

A Completion of Procedures letter signifies to the student that the University's internal procedure for appeals has been completed and should be sent to the student normally within 30 working days of the University's final decision. The letter will provide information about complaining to the OIA.

5.2

The University may, in exceptional circumstances, terminate an appeal at any stage of the Appeal Procedure where a student's behaviour is unacceptable or disruptive, the appeal is malicious or vexatious i.e. based on substantially similar facts so as to constitute repeated demands or representations made on matters which have already been considered or are being considered under these Regulations or any earlier version of regulations. The University may also invoke the Student Discipline Regulations.

6.0

External Review - Office of the Independent Adjudicator for Higher Education

6.1

6.2

Information about the OIA's procedures may be found at http://www.oiahe.org.uk/ or in the OIA leaflet 'An Introduction to the Student Complaints Scheme' which is available from the SUSU Advice Centre. Students wishing to make a case to the OIA must normally do so within 3 months of the date of the Completion of Procedures letter, in writing using the Scheme Application Form.

6.3

Contact details for the Office of the Independent Adjudicator are:

Office of the Independent Adjudicator
3rd Floor
Kings Reach
38-50 Kings Road
READING
Berks RG1 3AA
Tel: 01189 599813
Email: enquiries@oiahe.org.uk

7.0

List of Appendices and Guidance

Appendix A : Notice to Appeal Form

Appendix B : Stage 2 Form

Appendix C : Stage 3 Form

Appendix D: Summary of the Appeals Process

Appendix E: Contact Information

SUSU Guidance for Students - http://www.susu.org/help-and-support/advice-centre/2012/

Guidance for students and staff (including templates) http://www.southampton.ac.uk/studentadmin/appeals/

These Regulations Governing Student Appeals were approved by UPC on behalf of Senate acting under delegated authority pursuant to section or resolution taken on the [date]. They shall come into force on the [date]. Any appeals received before the effective date of these Regulations will continue to be dealt with in accordance with the regulations in force at the time the complaint was received or those in force when you first registered for your programme if you can prove substantial disadvantage. Please see [guidance notes] for more information.

Reviewed in July 2013