GUIDELINES ON STUDENT ACADEMIC APPEAL PROCEDURES

December 2010

Contents

1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15.

Introduction Definition and Clarification Categories of Appeal Grounds and Conditions for Appeal Student Obligations Submitting an Appeal Appeal to the Head of School Appeal Relating to Progress to the Undergraduate Studies Committee or the Postgraduate Studies Committee Appeal to the Senate Appeal to the Court Independent Review: Scottish Public Service Ombudsman Records and Reports Modification of Guidelines Further Information Diagrammatic Representation of Appeal Process

All documents and information relating to Student Appeals are available at http://www.hw.ac.uk/registry/appeals.php

Guidelines on Student Academic Appeal Procedures Author: Stewart Smith, Deputy Registrar Date: 3 December 2010

These Guidelines contain details of the procedures relating to student appeals and reflect the provisions of Regulation 36: Student Appeals and the Quality Assurance Agencys Code of Practice on Academic Appeals and Student Complaints. The Guidelines are written to provide clear and concise information for students and staff on all aspects of the appeals process and therefore it is not necessary to refer to Regulation 36 in addition to the Guidelines. Where appropriate some of the wording in the Guidelines is the same as that contained in Regulation 36. Regulation 36 and the Guidelines are available at http://www.hw.ac.uk/registry/appeals.php.

1. 1.1 1.2

Introduction A student may make an appeal under either of the categories detailed in paragraph 3 below. The University recognises that appeals and their outcomes can have significant consequences for individuals and therefore the University wishes to ensure that the interests and well-being of students and staff associated with an individual appeal are properly safeguarded, and that appropriate support is provided for those associated with an appeal. At the same time the University recognises that there is a need for sound evidence and procedural fairness. The Universitys procedures for student appeals which are detailed in these Guidelines provide a fair, just and transparent mechanism for dealing with appeals. The Guidelines take into account the need to: 1.3.1 1.3.2 1.3.3 1.3.4 Deal with an appeal in a way which is proportionate to the complexity of the issues involved; Make provision for informality and flexibility in proceedings, where appropriate; Ensure, as far as possible, that the parties involved are on an equal footing procedurally and able to participate fully in the proceedings; Avoid delay as far as is compatible with fairness and the proper consideration of the matters involved.

1.3

1.4

Students can raise matters of concern without fear of disadvantage and in the knowledge that their privacy and confidentiality will be respected as will that of members of staff. Disclosure to others about the appeal and the release of relevant information relating to the appeal will only take place insofar as this is necessary for dealing with the appeal. Where disclosure is necessary the appealing student will be notified prior to any disclosure being made to check that he or she wishes to proceed. In line with guidance from the Quality Assurance Agency and the Court the University monitors appeals to ensure that procedures are fair and working as intended. An anonymous summary of appeals and their outcome is compiled annually and reported to the Senate. Students may wish to contact the Students Association to seek advice and assistance. If such advice or assistance is sought it remains the responsibility of the student to prepare and submit an appeal for consideration. A student who makes an appeal is for the purposes of these Guidelines referred to as an appellant. It is important that records are kept of discussions between the appellant and staff at every stage during the process of appeal. Students who appeal should be made aware that in order to ensure appeals are considered thoroughly and in accordance with the Universitys Regulations and procedures, the length of time required for the outcome of an appeal to be decided can vary. A student appealing against an award to be conferred by the University will not be entitled to receive the award until the process of appeal has been concluded or the student withdraws the appeal in writing and thereby agrees to accept the award. The term Board of Examiners is used throughout the Guidelines to refer to Assessment Boards, Progression Boards and Award Boards. References in the Guidelines to the Vice-Principal shall mean the Vice-Principal or his or her nominee (hereinafter referred to as the Vice-Principal). Delegation of this responsibility by the Vice3

1.5

1.6

1.7 1.8

1.9

1.10

1.11

1.12

Guidelines on Student Academic Appeal Procedures Author: Stewart Smith, Deputy Registrar Date: 3 December 2010

Principal shall normally be to a Deputy Principal and is subject to the approval of the Senate Business Committee on an annual basis.

2. 2.1

Definition and Clarification An appeal is a request for a review of a decision made by an individual or an academic body charged with making decisions on the academic progress and/or the academic award of a student. A complaint is different, and arises from a specific concern about adequacy, quality, fairness or consistency of the provision of a programme of study or related academic service. The University procedures for considering complaints are contained in the Student Complaints Policy and Procedures available at: http://www.hw.ac.uk/registry/complaints.php. Where clarification is required in an individual case, the Academic Registrar and Deputy Secretary or his or her nominee (hereinafter referred to as the Academic Registrar) shall determine whether the case should be classified as an appeal or a complaint. To avoid duplication of procedures, the Vice-Principal will determine whether an appeal should proceed if a complaint has also been made in connection with the same matter as the appeal. During the appeals process University policies and procedures may be referred to or taken into consideration. These policies are available on the University website at: http://www.hw.ac.uk. Further information on these policies may be obtained from the Academic Registry.

2.2

2.3

3. 3.1

Categories of Appeal An appeal may be submitted in one of the following categories: 3.1.1 Appeals Relating to the Decision to Progress or Transfer: Appeals relating to the decision of a Board of Examiners, or the Examiners or the Supervisor(s) for a research degree. Appeals Relating to Examination or Assessment Results: This includes appeals relating to the decision of a Board of Examiners for a taught course or, in the case of a degree being carried out wholly or partly by research, the decision of the Examiners. Such appeals are normally made in respect of an award or classification of an Award.

3.1.2

4. 4.1

Grounds and Conditions for Appeal For appeals submitted in terms of paragraphs 3.1.1 and 3.1.2 above, a student is entitled to appeal against a decision of the Board of Examiners, or the Examiners or Supervisor(s) for a research degree, as appropriate, on the following grounds: 4.1.1 Where particular information about a students health or personal circumstances, directly relevant to the quality of performance in examination, was, for good and proper reason, not available to the Board of Examiners, or the Examiners or Supervisor(s) for a research degree, and was not properly taken into account at the time an original decision was made, but which could have resulted in a Board of Examiners, or the Examiners or the Supervisor(s) for a research degree, reaching a different decision. Students should note that given this requirement is highlighted to students at the beginning of each academic year, ignorance of the requirement to report factors which may have adversely affected a students performance, or failure to report such factors on the basis that the student did not anticipate an unsatisfactory result in the examination, do not constitute grounds for appeal. Where it is alleged that the conduct of the examination or assessment was not in accordance with the approved regulations or procedures for the programme. For this purpose, conduct of an examination includes conduct of a meeting of the Board of Examiners or the Examiners for a research degree. Where there have been procedural, organisational or other material irregularities in the conduct of an examination or assessment, or the supervision. 4

4.1.2

4.1.3

Guidelines on Student Academic Appeal Procedures Author: Stewart Smith, Deputy Registrar Date: 3 December 2010

4.2

There is no right of appeal where it relates to questioning grades or marks or decisions of Examiners, or other matters which are based on questioning the academic judgement of members of academic staff or Examiners. However there is a right of appeal against decisions that are consequent upon the marks or grades awarded by Examiners. These decisions relate to a students entitlement to: 4.2.1 4.2.2 4.2.3 Undertake further assessment; Progress to another stage of the academic programme or to a programme leading to a different qualification; Remain registered as a student of the University.

4.3

Students should be aware that as part of the appeal process the following will be taken into consideration by the officer of the University considering an appeal: 4.3.1 4.3.2 4.3.3 Whether the original decision was procedurally correct; Whether the assessment was undertaken in accordance with University Regulations or policies on the part of the Examiners; Whether there is any new information that has a bearing on the case, and if so, whether there is an acceptable reason why it was not available previously.

4.4

Medical and other matters which could have been brought to the attention of the Board of Examiners, or the Examiners or the Supervisor(s) for a research degree, prior to a disputed decision being taken, shall not normally be considered. Appeals will not be considered on grounds that academic performance was adversely affected by factors such as ill-health where there is no independent medical or other evidence to support the case. At any stage, the Vice-Principal may be consulted and has the authority not to refer a case to the appeal process if it is considered to be vexatious of frivolous. In such cases the reason will be given in writing to the student as to why an appeal is an abuse of the process. The Senate Business Committee, acting on behalf of the Senate, will receive a report on such cases.

4.5

5. 5.1

Student Obligations It is the obligation of each student to: 5.1.1 5.1.2 5.1.3 Attend timetabled assessments and to submit work for assessment within the notified timelimit and in accordance with the conditions for the programme being undertaken; Abide by the Universitys procedures and to notify relevant staff members of any mitigating circumstances which may adversely affect their academic performance; Ensure that Boards of Examiners, or in the case of research awards the Examiners and/or the Supervisor(s), are in possession of the facts pertaining to all mitigating circumstances in advance of decisions being made about academic classifications or academic progression or transfer.

6. 6.1

Submitting an Appeal Appeals should be submitted in writing to the specified officer of the University appropriate for the particular stage of the appeal process as detailed in paragraphs 7.1, 8.1, 9.1 and 10.2. As a general rule appeals submitted at any stage of the process should be no more than 1500 words in length. All appeals should clearly state the grounds for appeal as detailed in paragraph 4 above, and should include all appropriate supporting evidence which is clearly indexed and referenced. An appeal must be submitted by the appellant. The appellant may seek the assistance of a third party. The University will only deal with a third party providing assistance to the appellant where there is written and signed authorisation by the appellant to allow this to happen. The appellant remains the responsible person with respect to the appeal.

6.2

6.3

Deadlines: Appeals must be submitted within the specified time limit at each stage of the appeal. For an appeal to the Head of School, the Undergraduate Studies Committee or the Postgraduate Studies Committee, it should be made within seven days of the information which forms the basis of the appeal coming to the appellants knowledge. For an appeal to the Senate and the Court an appeal should be made within twenty-eight days of the information which forms the basis of the appeal Guidelines on Student Academic Appeal Procedures 5
Author: Stewart Smith, Deputy Registrar Date: 3 December 2010

coming to the appellants knowledge. In the case of design-based courses an appeal should be made within seven days of the decision of the Examiners being communicated to the appellant. 6.4 An appellant should specify in writing the formal ground(s) under which they believe their appeal should be considered. This is the letter of appeal. They must also specify the basis on which the formal grounds are invoked. The letter of appeal should set out as fully as possible the following information: 6.4.1 6.4.2 6.4.3 6.4.4 6.4.5 6.4.6 6.4.7 Name and matriculation number; Contact postal and email addresses and telephone numbers; Course title and year of programme; The ground(s) on which the appeal is being brought (see paragraph 4); Any relevant supporting evidence (e.g. medical certificate); The proposed remedy being sought; Where relevant, confirmation that the appellant has already submitted details of mitigating circumstances for consideration by a Board of Examiners, or the Examiners or the Supervisor(s) for a research degree, as appropriate. If not already submitted, the reason(s) for this should be stated.

6.5

An important responsibility rests with the appellant to formulate their appeal, and to establish clearly that they have sound grounds for appeal and that their case justifies going forward to further stages of the formal appeals process. At each stage of appeal acknowledgment of a submitted appeal will normally be sent to the appellant within seven working days of receipt of the appeal.

6.6

Appeals Procedure 7. 7.1 Appeal to the Head of School All appeals should be submitted in the first instance to the appellants Head of School or his or her nominee (hereinafter referred to as the Head of School) except in the following instances: 7.1.1 7.1.2 Appeals submitted in terms of paragraph 7.6 below, which should be submitted to the Academic Registrar and Deputy Secretary; Appeals submitted from students when a course of study falls outwith the direct management of the School (such as courses offered in terms of Regulation 51: Degree Entry Programme (Dubai)) should be considered by a nominee approved by the Head of the School offering the course of study.

The Head of School is responsible for conducting the consideration of the appeal and for communicating with the appellant throughout the appeal, providing information and advising on the outcome of the appeal. The Head of School should acknowledge receipt of an appeal and inform the appellant that the appeal will be handled by the Head of School in accordance with Regulation 36 and that the Board of Examiners, or in the case of a research award the Examiners and/or the Supervisor(s), will consider the appeal. The appellant should be provided with a copy of the Guidelines. 7.2 Appeals relating to progress may only be submitted on the basis that the School has not correctly applied progression or transfer rules, where an appellant wishes a progression or transfer decision to take into account extenuating circumstances, where there has been a procedural irregularity, or when progression or transfer has been refused because of failure to achieve a sufficient mark in a component of a programme of study. The Head of School will request that the Board of Examiners, or in the case of a research degree the Examiners and/or the Supervisor(s), consider(s) the appellants stated reasons for the appeal and reconsider their decision. The appellant is entitled, on request, to receive copies of the Examiners reports and relevant extracts from the minutes of meetings of the Board of Examiners. Examiners reports will be made available to an appellant upon request and upon completion of a Subject Access Request Form available at http://www.hw.ac.uk/registry (reports are disclosable 6

7.3

7.4

Guidelines on Student Academic Appeal Procedures Author: Stewart Smith, Deputy Registrar Date: 3 December 2010

under the terms of the Freedom of Information (Scotland) Act 2002, unless particular parts of them qualify for an exemption). 7.5 At the conclusion of the consideration of the appeal, the appellant will be advised, by letter, of the outcome and the reasons for the judgement, any remedial action to be taken, and of the subsequent right of appeal if the appeal to the Head of School is rejected. If an appellant, for good reason, feels unable to refer a matter which affects his or her academic work directly to their Head of School, an appeal may be considered by a Dean of the University who will determine the appropriate action to be taken. The Dean should not be from the same School as the appellant and should not have been involved in the consideration of the appeal at an earlier stage in the appeals process. The appellant must state in writing the reason for requesting direct referral to a Dean. The Senate Business Committee, acting on behalf of the Senate, will receive a report on such cases, stating the rationale for the agreed course of action to be taken. In the first instance such appeals should be submitted to the Academic Registrar who shall determine which Dean should consider the appeal.

7.6

8.

Appeal Relating to Progress to Undergraduate Studies Committee or Postgraduate Studies Committee In the case of appeals relating to progress in terms of paragraph 3.1.1 above which have been considered by the Head of School, and where the outcome is disputed by the appellant, the appellant may appeal to the Undergraduate Studies Committee or the Postgraduate Studies Committee as appropriate, acting on behalf of the Senate. Such appeals should be submitted to the relevant Clerk. On receipt of the appeal the Clerk will write to the appellant to confirm receipt of the appeal and will provide the appellant with a copy of the Guidelines. At the conclusion of the consideration of the appeal, the appellant will be advised, by letter, of the outcome and the reasons for the judgement, and of any remedial action to be taken. If the appeal is rejected, the appellant may appeal to the Senate.

8.1

8.2

8.3

9. 9.1

Appeal to the Senate An appellant who is dissatisfied following consideration of his or her appeal in terms of paragraphs 7 or 8 above, and who considers their appeal remains justified, may appeal to the Senate. An appellant wishing to appeal to the Senate should submit the appeal to the Academic Registrar. On receipt of the appeal the Academic Registrar will write to the appellant to confirm receipt of the appeal and will provide the appellant with a copy of Regulation 36 and the Guidelines. The Academic Registrar will prepare a summary of the case for the appeal to the Senate on the basis of the evidence available. On the basis of the summary the Vice-Principal, who oversees the process of appeals to the Senate, will decide whether the appeal should be upheld or whether there is a case which warrants further investigation. Following consideration of an appeal the VicePrincipal shall make one of the following decisions: 9.2.1 That the appeal has not been given due consideration in accordance with the procedures specified in paragraphs 7 or 8 above. The Vice-Principal shall refer the case to the Head of School, the Undergraduate Studies Committee or the Postgraduate Studies Committee, as appropriate, for further consideration. That the appeal be upheld. The Vice-Principal shall make a report to the Senate recommending that the appeal be upheld. The report shall outline the reasons for upholding the appeal. The Senate shall consider the recommendation. That there is a case which requires further investigation. The Vice-Principal shall recommend to the Senate Business Committee that a Senate Appeal Committee of enquiry should be set up. The Vice-Principals recommendation shall be made in a report which shall outline the reasons for this decision.

9.2

9.2.2

9.2.3

Guidelines on Student Academic Appeal Procedures Author: Stewart Smith, Deputy Registrar Date: 3 December 2010

9.2.4

That there is no case for appeal and no requirement for further investigation. The VicePrincipal shall make a report to the Senate Business Committee outlining the reasons for this. If the Committee approves the Vice-Principals decision, the appellant shall be informed that further consideration of the appeal is not justified and that the appeal has been refused.

9.3

Following consideration of the appeal by the Vice-Principal the appellant will be advised, by letter, of the outcome and the reasons for the Vice-Principals decision. If an appeal is to be considered by a Senate Appeal Committee, the appellant will be informed. The Academic Registrar will appoint a clerk to the Committee. If the Senate or the Senate Business Committee, as appropriate, do not approve the Vice-Principals decision, the Vice-Principal will take such other steps as the Senate or the Senate Business Committee, as appropriate, may determine.

9.4

Consideration by Senate Appeal Committee 9.5 Where it is agreed that there is a case which requires further investigation, the Senate Business Committee will approve the establishment of a Senate Appeal Committee. The Vice-Principal will propose the composition of the Appeal Committee which should comprise three members of the academic staff, at least one of whom should be an elected member of the Senate. None of the members should be from the same School as the appellant. A Chair will be appointed from among the members of the Appeal Committee. Each member of an Appeal Committee should have been either a member of a Board of Examiners for a taught course or an Examiner for a research degree as appropriate. The Senate Appeal Committee will consider the appeal and any other relevant information and will determine whether further information should be provided by the appellant; if the Committee so determines, the clerk shall write to the appellant requesting the provision of the information within a specified time period. The Senate Appeal Committee may wish to consider any of the following as appropriate: 9.6.1 9.6.2 9.6.3 9.6.4 9.6.5 9.6.6 9.6.7 9.6.8 9.6.9 9.7 The relevant programme documentation; The relevant policies, regulations and procedures; The relevant outline of the teaching and learning methods employed and the schedule of assessments; The records of marks assigned originally to assessed work; The record of feedback provided for the appellant; The assessed work itself; Written records of the appellants progress on the programme; The appellants file; The minutes of relevant meetings of the Board of Examiners.

9.6

The Senate Appeal Committee may provide relevant members of staff and, where appropriate, the External Examiner(s) with copies of the appellants statement and any further information deemed to be relevant and invite their written comments. Any comments received should be copied to the appellant who shall be invited to respond to them within a specified time period. Having considered the appellants statement, any further information, the written comments of any members of staff or the External Examiner(s) and any response made by the appellant, the Senate Appeal Committee may recommend that the appeal be upheld. In such cases, no hearing is required. However, a report containing the Committees recommendations and reasons for upholding the appeal should be submitted to the Senate for consideration. If, having considered the appeal as detailed in paragraph 9.8 above the Senate Appeal Committee is of the opinion that the appeal should not be upheld, the appellant will be advised of the Committees opinion and will be given an opportunity to attend a hearing to defend his or her case. If the appellant chooses not to attend a hearing, the Committee will make a recommendation to the Senate on the appeal, and following the Senates approval the procedures detailed in paragraph 9.18 will be followed. If an appellant chooses to attend a hearing, notice of the following details of the hearing will be served in writing on an appellant at least ten working days prior to the hearing: 8

9.8

9.9

9.10

Guidelines on Student Academic Appeal Procedures Author: Stewart Smith, Deputy Registrar Date: 3 December 2010

9.10.1 The date, time and place of the hearing; 9.10.2 The right to be accompanied by a person of the appellants choice who will be entitled to address the Committee on behalf of the appellant. The appellant will be advised that he or she should confirm to the clerk whether or not he or she will be accompanied. 9.11 Whilst recent case law indicates that there is no right to legal representation at an appeal hearing, the University has taken the decision that an appellant may be accompanied to the hearing by one other individual. The clerk must be informed at least five working days before the hearing of the name of such an individual and their intended role at the hearing (for example, companion, representative, legal advisor). An appellant who is or who has been undertaking a course of study overseas will not normally be expected to attend the hearing and every effort will be made by the University to ensure that the appeal is treated fairly. In a case where an appellant is studying at a Campus remote from the Edinburgh Campus or at an Approved Learning Partner (ALP), arrangements may be made for a hearing to be conducted using video conferencing or conference call facilities where this is practicable. Any appellant who attends an appeal hearing will be liable for payment of travel and any other incurred costs. A member of staff may be required to attend a hearing to provide additional information. The clerk acting on behalf of the Senate Appeal Committee, may seek the assistance of a legal adviser, registered medical practitioner, interpreter, other staff of the University or other relevant or suitably qualified person at hearings where this would be beneficial. The appellant will be advised of any such attendance in advance. Such advisers will not be entitled to participate in Committee decisions, but can give advice to, or address the Committee at the invitation of the Chair. The Senate Appeal Committee will ensure that the hearing is conducted fairly and justly. The precise format of the hearing will be agreed by the Committee in advance of the hearing. Where possible, at the conclusion of the hearing the Senate Appeal Committee will agree a recommendation to be made on the appeal to the Senate. The appellant and all other individuals attending the hearing will be required to withdraw while the Committee considers its decision and recommendation to the Senate. The appellant and his or her companion or representative will be asked to return to hear the decision and recommendations of the Committee on the understanding that the recommendations will require the approval of the Senate. It may not always be possible for the Committee to reach a decision on a recommendation to the Senate, particularly where further information or clarification is required. In such cases the Committee will defer agreeing a recommendation until such time as all the relevant information has been obtained by the Committee. In such cases the appellant will be advised accordingly. At any stage, the Senate Appeal Committee may adjourn, continue or postpone a hearing for an appropriate period where there is good reason. At the conclusion of the consideration of the appeal and following approval of the recommendations by the Senate, the appellant will be advised, by letter, of the outcome and the reasons for the judgement, of any remedial action to be taken, and, if the appeal was unsuccessful, of the subsequent right of appeal. The following will receive a copy of the letter: the Vice-Principal; the Head of School; the Chair of the Senate Appeal Committee; the Academic Registrar; the Registry Office Manager (who will ensure that the appellants record, where appropriate, is amended to take account of the decision reached).

9.12

9.13 9.14

9.15

9.16

9.17

9.18

10. 10.1

Appeal to the Court An appellant may appeal against a decision of the Senate made in respect of an appeal. Such an appeal may be made only where further evidence to that considered in an appeal to the Senate is available. Any such appeal shall be made in writing to the Secretary of the University or his or her nominee (hereinafter referred to as the Secretary of the University) and shall contain a full written statement including the grounds of the appeal, further evidence which has become available (see paragraph 9

10.2

Guidelines on Student Academic Appeal Procedures Author: Stewart Smith, Deputy Registrar Date: 3 December 2010

10.1 above), and details of the reason why such further evidence was not available at the time the appeal was made to the Senate. The Secretary of the University will prepare a summary of the case for the appeal to the Court on the basis of the evidence available and/or the complexity of the case. 10.3 The Court shall appoint a member of the Court not employed by the University (hereinafter referred to as 'the moderator') to examine the appellant's case. The moderator shall consider the summary of the appeal. On the basis of the summary the moderator will decide whether or not there is a case which requires further investigation, or whether the appeal should be upheld. Following consideration of an appeal the moderator shall make one of the following decisions: 10.4.1 That the appeal has not been given due consideration in accordance with the procedures specified in paragraph 9 above. The moderator shall refer the case to the Senate for further consideration of the procedures. 10.4.2 That the appeal be upheld. The moderator shall make a report to the Court recommending that the appeal be upheld. The report shall outline the reasons for upholding the appeal. The Court shall consider the recommendation. 10.4.3 That there is a case which requires further investigation. The moderator shall recommend to the Court that a Court Appeal Committee should be set up. The moderators recommendation shall be made in a report to the Court which shall outline the reasons for the moderators decision. 10.4.4 That there is no case for appeal and no requirement for a further investigation. The moderator shall make a report to the Court outlining the reasons for this. If the Court approves the moderators decision, the appellant shall be informed that further consideration of the appeal is not justified and that the appeal has been refused. 10.5 Following consideration of the appeal by the moderator the appellant will be advised, by letter, of the outcome and the reasons for the moderators decision. If an appeal is to be considered by a Court Appeal Committee, the appellant will be informed. If the Court does not approve the moderators decision, the moderator shall take such other steps as the Court may determine.

10.4

10.6

Consideration by Court Appeal Committee 10.7 Where it is agreed that there is a case which requires further investigation, the Court will approve the establishment of a Court Appeal Committee as referred to in paragraph 10.4.3 above. The Secretary of the University will propose the composition of the Committee which should comprise three members of the Court. None of the members should be from the same School as the appellant. A Chair will be appointed from among the members of the Committee. The moderator shall not be a member of the Committee. The Secretary of the University will appoint a clerk to the Committee. The Court Appeal Committee will consider the appeal and any other relevant information and will determine whether further information should be provided by the appellant; if the Committee so determines, the clerk shall write to the appellant requesting the provision of the information within a specified time period. The Committee may wish to consider any of the following as appropriate: 10.8.1 The relevant programme documentation; 10.8.2 Relevant policies, regulations and procedures; 10.8.2 The relevant outline of the teaching and learning methods employed and the schedule of assessments; 10.8.3 The records of marks assigned originally to assessed work; 10.8.4 The record feedback provided for the appellant; 10.8.5 The assessed work itself; 10.8.6 Written records of the appellants progress on the programme; 10.8.7 The appellants file; 10.8.8 The minutes of relevant meetings of the Board of Examiners.
Guidelines on Student Academic Appeal Procedures Author: Stewart Smith, Deputy Registrar Date: 3 December 2010

10.8

10

10.9

The Court Appeal Committee may provide relevant members of staff involved and, where appropriate, the External Examiner(s) with copies of the appellants statement and any further information deemed to be relevant and invite their written comments. Any comments received should be copied to the appellant who shall be invited to respond to them within a specified time period. Having considered the appellants statement, any further information, the written comments of any members of staff or the External Examiner(s) and any response made by the appellant, the Court Appeal Committee may recommend that the appeal be upheld. In such cases, no hearing is required. However, a report containing the Committees recommendations and reasons for upholding the appeal should be submitted to the Court for consideration. If, having considered the appeal as detailed in paragraph 10.11 above the Court Appeal Committee is of the opinion that the appeal should not be upheld, the appellant will be advised of the Committees opinion and will be given an opportunity to attend a hearing to defend his or her case. If the appellant chooses not to attend a hearing, the Committee will make a recommendation to the Court, and following the Courts approval the procedures detailed in paragraph 10.21 will be followed. If an appellant chooses to attend a hearing, notice of the following details of the hearing will be served in writing on the appellant at least ten working days prior to the hearing: 10.12.1 The date, time and place of the hearing; 10.12.2 The right to be accompanied by a person of the appellants choice who will be entitled to address the Court Appeal Committee on behalf of the appellant. The appellant will be advised that he or she should confirm to the clerk whether or not he or she will be accompanied.

10.10

10.11

10.12

10.13

Whilst recent case law indicates that there is no right to legal representation at an appeal hearing, the University has taken the decision that an appellant may be accompanied to the hearing by one other individual. The clerk must be informed at least five working days before the hearing of the name of such an individual and their intended role at the hearing (for example, companion, representative, legal advisor). An appellant who is or who has been undertaking a course of study overseas will not normally be expected to attend the hearing and every effort will be made by the University to ensure that the appeal is treated fairly. In a case where an appellant is studying at a Campus remote from the Edinburgh Campus or at an Approved Learning Partner (ALP), arrangements may be made for a hearing to be conducted using video conferencing or conference call facilities where this is practicable. Any appellant who attends an appeal hearing will be liable for payment of travel and any other incurred costs. A member of staff may be required to attend a hearing to provide additional information. The clerk, acting on behalf of the Court Appeal Committee, may seek the assistance of a legal adviser, registered medical practitioner, interpreter, other staff of the University or other relevant or suitably qualified person at hearings where this would be beneficial. The appellant will be advised of any such attendance. Such advisers will not be entitled to participate in Committee decisions, but can give advice to, or address the Committee at the invitation of the Chair. The Court Appeal Committee will ensure that the hearing is conducted fairly and justly. The precise format of the hearing will be agreed by the Committee in advance of the hearing. The Court does not have the authority to amend awards or degree classifications. Such amendments, if recommended by a Court Appeal Committee considering an appeal to the Court, can only be made by the Senate on the recommendation of the Court.

10.14

10.15 10.16

10.17

10.18

Where possible, at the conclusion of the hearing the Court Appeal Committee will agree a recommendation to be made on the appeal to the Court. The appellant and all other individuals attending the hearing will be required to withdraw while the Committee considers its decision and recommendation to the Court. The appellant and his or her companion or representative will be asked to return to hear the decision and recommendations of the Committee on the understanding that the recommendations will require the approval of the Senate. It may not always be possible for the Committee to reach a decision on a recommendation to the Court, particularly where further Guidelines on Student Academic Appeal Procedures 11
Author: Stewart Smith, Deputy Registrar Date: 3 December 2010

10.19

information or clarification is required. In such cases the Committee will defer agreeing a recommendation until such time as all the relevant information has been obtained by the Committee. In such cases the appellant will be advised accordingly. 10.20 At any stage, the Court Appeal Committee may adjourn, continue or postpone a hearing for an appropriate period where there is good reason. At the conclusion of the consideration of the appeal and following approval of the recommendations by the Court, the appellant will be advised, by letter, of the outcome and the reasons for the judgement, of any remedial action to be taken, and, if the appeal was unsuccessful, of the subsequent right of appeal. The following will receive a copy of the letter: the Secretary of the University; the Academic Registrar; the Head of School; the Chair of the Court Appeal Committee; the Registry Office Manager (who will ensure that the appellants record, where appropriate, is amended to take account of the decision reached). If the appeal is rejected there is no further internal right of appeal.

10.21

10.22

11. 11.1

Independent Review At the point when the internal procedures have been completed there is no further recourse to action through the internal University procedures. However, there is an opportunity for independent consideration of an appeal which has not been satisfactorily resolved and where the appellant remains dissatisfied. An appellant will be advised, at the appropriate stage in the appeal process, of their right to appeal to the Scottish Public Service Ombudsman (SPSO). The SPSO will consider complaints about administrative failure. Before submitting the appeal to the SPSO, an appellant must have exhausted all the appeal processes in the University and have received the Universitys final response, which will refer to the SPSO. Referral to the SPSO should take place within twelve months of receipt of the final response. For further information, and a leaflet contact: The Scottish Public Service Ombudsman 4 Melville Street Edinburgh EH3 7NS Telephone: 0870 011 5378 Email: enquiries@scottishombudsman.org.uk Website: www.scottishombudsman.org.uk.

11.2

11.3

12. 12.1

Records and Reports Full notes should be taken of all proceedings and responsibility for recording proceedings shall be as follows: 12.1.1 Appeals to Heads of Schools: the Head of School; 12.1.2 Appeals to the Undergraduate Studies Committee or the Postgraduate Studies Committee: the Clerk to the Committee; 12.1.3 Appeals to the Senate: the Academic Registrar; 12.1.4 Appeals to the Court: the Secretary of the University.

12.2

With regard to the nature of reports on proceedings the following should be observed:

12.2.1 Reports should be sufficiently full to reflect the reasoning by which conclusions and recommendations have been reached; 12.2.2 Reports should be sufficiently comprehensive to allow the appropriate officer of the University or Committee, depending upon the stage of appeal, to use them as a basis for the review of a case; 12.2.3 Reports should be compiled with all due regard for confidentiality; 12.2.4 Reports should state explicitly whether or not it is recommended that an appeal is upheld. Guidelines on Student Academic Appeal Procedures 12
Author: Stewart Smith, Deputy Registrar Date: 3 December 2010

12.3

The clerk to an Appeal Committee must ensure that minutes and reports on meetings of a Committee are agreed by the members of the Committee. An annual summary report on and analysis of all appeal cases will be prepared by the Academic Registrar for the information for the Senate.

12.4

13. 13.1

Modification of Guidelines Any modifications made to these Guidelines will be made in accordance with Regulation 36. Such modifications will require the approval of the Senate Business Committee or the Vice-Principal acting on behalf of the Committee.

14. 14.1

Further Information Further guidance on appeals is available from: Kathy Patterson, Academic Registrar (Tel: 0131 451 3368/Email: K.Patterson@hw.ac.uk) Stewart Smith, Deputy Registrar (Tel: 0131 451 3632/Email S.Smith@hw.ac.uk). A diagrammatic representation of the University appeals procedures is contained in Appendix A.

Guidelines on Student Academic Appeal Procedures Author: Stewart Smith, Deputy Registrar Date: 3 December 2010

13

Appendix A Student Appeals Procedure

Appeal Upheld

Appeal Rejected

Appeal Considered by Undergraduate Studies Committee or Postgraduate Studies Committee Appeal Relating to Progress, Transfer, Exams or Assessment Rejected

Appeal Rejected

Appeal Upheld

Appeal Upheld

Appeal Against Progress, Transfer Exams or Assessment

Appeal Upheld

Student Appeal

Head of School

Consideration by VicePrincipal

Appeal Considered by Senate Appeal Committee

Appeal Considered by Court Moderator

Appeal Considered by Court Appeal Committee

Appeal Rejected

Appeal Upheld

Appeal Rejected

Other Appeals Submitted to Academic Registrar

Consideration by the Dean

Student may Appeal to Scottish Public Service Ombudsman