General Regulation VII - Academic Appeals
1. INTRODUCTION
An academic appeal is a request from a Durham University student for formal review of an academic decision affecting that student.1
2. An academic appeal investigation has a limited scope. Effectively the investigation amounts to a check as to whether the decision appealed was reached:
(a) in accordance with correct University procedures; and
(b) in the light of relevant information.
(b) in the light of relevant information.
Matters of academic judgement cannot be appealed. The University defines “academic judgement” as the professional and scholarly knowledge and expertise which members of Durham University staff and the external examiners draw upon in reaching an academic decision.
Academic judgement therefore includes, but is not restricted to, decisions about the academic standard attained by students, marks and grades to be awarded for individual pieces of work or modules, and degrees and degree classifications to be awarded, or not.
In view of its limited scope, there are essentially only two possible grounds for appeal:
(a) that there might have been a serious error in the way in which the original decision was made;
(b) that there exists or existed circumstances affecting the student’s performance of which, for good reason, the Board of Examiners or Committee or University Officer might not have been aware when the original decision was made.
(b) that there exists or existed circumstances affecting the student’s performance of which, for good reason, the Board of Examiners or Committee or University Officer might not have been aware when the original decision was made.
3. POSSIBLE REMEDIES
If the appeal is upheld it will normally be sent back for reconsideration by the body that made the original decision. This does not necessarily mean that the original decision will be reversed or altered. Normally marks for work will only be changed if there was an error in recording or processing them.
4. PRINCIPLES
The University’s Academic Appeal Regulations are based on the following principles:
(a) that staff and students are expected to act fairly and reasonably;
(b) that students must not submit frivolous or vexatious appeals and staff must not investigate cases in which any potential conflict of interest might arise. Where practicable, senior staff should avoid becoming involved in the early stages of an academic appeal because it may compromise their ability to be involved at a later stage;
(c) that students must abide by University General Regulations and Student Codes of Practice published in the University Calendar and available on the University’s web site at http://www.dur.ac.uk/gsu/stu-regs ;
(d) that students may appeal without fear of disadvantage unless misconduct is uncovered in the course of investigating the appeal;
(e) that staff and students will be expected to comply with deadlines. Time limits for appeals will be extended only in exceptional circumstances, such as when the student did not receive timely notification of the decision for reasons outside his or her control;
(f) that, before submitting a formal appeal, students should attempt to resolve the matter informally where feasible. Where the student is dissatisfied with the outcome of the informal approach, they should submit a formal appeal, using the relevant academic appeal proforma. This is available on the University’s web site via http://www.dur.ac.uk/academicsupport.office/appeals;
(g) that complete confidentiality cannot be always guaranteed if effective action is to be taken on an academic appeal. Therefore students are asked to sign a disclaimer on the University’s appeal proformas authorising the investigating authority to consult others and share information on a need to know basis. Staff dealing with appeals must, however, ensure that information disclosed by the student appealing is only disclosed to third parties on a need to know basis. Normally no information is disclosed to anyone outside the University, including the student’s parents, without the express permission of the student;
(h) that students may consult the Head or Deputy Head of their College or the DSU Advice Centre to seek advice on their appeal in complete confidence. Whilst a contemporaneous record of the discussion will be kept, if the student wishes, the information remains confidential within the law. Where complete confidentiality is requested by a student, this might limit the extent to which an academic appeal can be investigated. Authoritative advice on the appeals regulations or complaints procedure is contained in the regulations. The Academic Support Office may be contacted for advice on the appeals process. To ensure that an independent investigation is undertaken, the Officer investigating the appeal or complaint should not be asked for advice in advance of the notification of the decision;
(i) that, where an academic appeal is upheld, the remedy will be implemented within a reasonable timescale;
(j) that in addition to the Academic Appeals regulations the University has established the following other procedures for students to use if they consider they have personally been discriminated against or unjustly treated:
• the Student Complaints Procedure (for complaints about academic support or service delivery);
• the Respect at Work and Study: Policy, Code of Practice and Procedures for Staff and Students to make a Complaint about Harrassment (for allegations of harassment (including racial, sexual, bullying or harassment because of a disability) between fellow students, by a member of staff against a student or by a student against a member of staff);
• the Code of Practice for Durham Students Union and the Code of Practice for Common Rooms;
• the Code of Practice on Freedom of Speech;
• the Public Interest Disclosure (‘WhistleBlowing’) Policy (to report financial or procedural malpractice in good faith);
(k) that students are not normally permitted to initiate more than one procedure simultaneously.
(l) that Academic Appeals are monitored by the University annually because they provide important evidence about how effectively the University’s student procedures have operated in practice. The University Senate therefore receives an annual report containing an anonymised analysis of formal complaints and appeals including a breakdown by gender, age, ethnicity and disability based on information supplied at registration. Where appropriate the report will contain recommendations for improving practice in the University.
(b) that students must not submit frivolous or vexatious appeals and staff must not investigate cases in which any potential conflict of interest might arise. Where practicable, senior staff should avoid becoming involved in the early stages of an academic appeal because it may compromise their ability to be involved at a later stage;
(c) that students must abide by University General Regulations and Student Codes of Practice published in the University Calendar and available on the University’s web site at http://www.dur.ac.uk/gsu/stu-regs ;
(d) that students may appeal without fear of disadvantage unless misconduct is uncovered in the course of investigating the appeal;
(e) that staff and students will be expected to comply with deadlines. Time limits for appeals will be extended only in exceptional circumstances, such as when the student did not receive timely notification of the decision for reasons outside his or her control;
(f) that, before submitting a formal appeal, students should attempt to resolve the matter informally where feasible. Where the student is dissatisfied with the outcome of the informal approach, they should submit a formal appeal, using the relevant academic appeal proforma. This is available on the University’s web site via http://www.dur.ac.uk/academicsupport.office/appeals;
(g) that complete confidentiality cannot be always guaranteed if effective action is to be taken on an academic appeal. Therefore students are asked to sign a disclaimer on the University’s appeal proformas authorising the investigating authority to consult others and share information on a need to know basis. Staff dealing with appeals must, however, ensure that information disclosed by the student appealing is only disclosed to third parties on a need to know basis. Normally no information is disclosed to anyone outside the University, including the student’s parents, without the express permission of the student;
(h) that students may consult the Head or Deputy Head of their College or the DSU Advice Centre to seek advice on their appeal in complete confidence. Whilst a contemporaneous record of the discussion will be kept, if the student wishes, the information remains confidential within the law. Where complete confidentiality is requested by a student, this might limit the extent to which an academic appeal can be investigated. Authoritative advice on the appeals regulations or complaints procedure is contained in the regulations. The Academic Support Office may be contacted for advice on the appeals process. To ensure that an independent investigation is undertaken, the Officer investigating the appeal or complaint should not be asked for advice in advance of the notification of the decision;
(i) that, where an academic appeal is upheld, the remedy will be implemented within a reasonable timescale;
(j) that in addition to the Academic Appeals regulations the University has established the following other procedures for students to use if they consider they have personally been discriminated against or unjustly treated:
• the Student Complaints Procedure (for complaints about academic support or service delivery);
• the Respect at Work and Study: Policy, Code of Practice and Procedures for Staff and Students to make a Complaint about Harrassment (for allegations of harassment (including racial, sexual, bullying or harassment because of a disability) between fellow students, by a member of staff against a student or by a student against a member of staff);
• the Code of Practice for Durham Students Union and the Code of Practice for Common Rooms;
• the Code of Practice on Freedom of Speech;
• the Public Interest Disclosure (‘WhistleBlowing’) Policy (to report financial or procedural malpractice in good faith);
(l) that Academic Appeals are monitored by the University annually because they provide important evidence about how effectively the University’s student procedures have operated in practice. The University Senate therefore receives an annual report containing an anonymised analysis of formal complaints and appeals including a breakdown by gender, age, ethnicity and disability based on information supplied at registration. Where appropriate the report will contain recommendations for improving practice in the University.
5. DECISIONS THAT CAN BE APPEALED
Students may use these regulations to appeal against the following decisions:
(a) a confirmed decision of a Board of Examiners or the Examiners of a higher degree.
(b) a decision of a University Committee or a University officer on any academic matter affecting the student appealing (eg a decision regarding Academic Progress).
(b) a decision of a University Committee or a University officer on any academic matter affecting the student appealing (eg a decision regarding Academic Progress).
6. GROUNDS FOR APPEAL
The grounds are:
(a) that you were adversely affected by illness or other relevant factors, of which you were previously unaware of which for a good cause you were unable to disclose to the Examiners or other decision-making body or Officer
AND/OR
(b) that you have evidence that parts of the relevant documented procedure were not applied correctly or your marks were not calculated correctly and this procedural defect was significant enough to have materially affected the decision, making it unsound
AND/OR
(c) that the Board of Examiners or other decision making body or Officer took a decision which was not reasonable in all the circumstances.
AND/OR
(d) Appeals on other grounds will not be accepted.
AND/OR
(b) that you have evidence that parts of the relevant documented procedure were not applied correctly or your marks were not calculated correctly and this procedural defect was significant enough to have materially affected the decision, making it unsound
AND/OR
(c) that the Board of Examiners or other decision making body or Officer took a decision which was not reasonable in all the circumstances.
AND/OR
(d) Appeals on other grounds will not be accepted.
7. FORMAL APPEAL STAGE 1: FACULTY APPEAL2
(a) A student must appeal within twenty one days of the date of the notification of the decision to be appealed4, by completing a University Faculty Appeals pro forma5, which should be sent to the relevant Faculty Office (in the case of an undergraduate appeal) or to the Academic Office (in the case of a postgraduate appeal).
(b) The student must state the grounds for appeal, giving detailed reasons to support his or her case.
(c) The Head or a Deputy to the Head of the relevant Faculty6 shall be responsible for considering the appeal.
(d) Where he or she considers it appropriate, the Head of Faculty or deputy to the Head of Faculty6 may treat an appeal as if it were an application for a concession.
(e) Normally within six weeks of the University Faculty Appeals pro forma being received, the Head of Faculty or deputy to the Head of Faculty6shall:
(i) consult the following and receive written information from those consulted:
(A) the Designated Officer and the Head of the Student’s Department if the appeal is about a decision under General Regulation V (Academic Progress)
(B) the Chair of the Board of Examiners if the appeal is about an Examination Board decision
(C) or the internal examiner or Internal Adviser to examiners if the appeal from a postgraduate research degree student);
(D) or the Chair of the Committee if the appeal is about a committee decision.
(E) in all applicable cases: the Head of the student’s College.
(B) the Chair of the Board of Examiners if the appeal is about an Examination Board decision
(C) or the internal examiner or Internal Adviser to examiners if the appeal from a postgraduate research degree student);
(D) or the Chair of the Committee if the appeal is about a committee decision.
(E) in all applicable cases: the Head of the student’s College.
(ii) may consult other members of University staff if he or she deems it appropriate in particular cases
(iii) produce a brief report on the case setting out his/her decision on the case
(iv) notify the outcome of the appeal to the student, the Head of Department or School, the student’s Supervisor or Course Director (if the student is a postgraduate), the Academic Support Office, and the Head of the student’s College and provide the student with a copy of his/her Faculty Appeal file containing the documentation considered.
(i) if the Head of Faculty or a deputy to the Head of Faculty has concluded that the appeal is allowed, that it shall either:
Or
(ii) the Head of Faculty or deputy to the Head of Faculty concludes that the appeal is dismissed as unjustified.
(g) If the student is dissatisfied with the decision to dismiss the appeal, or the decision reached by the original body on reconsidering the case, or the concession offered, he or she may appeal to Senate Academic Appeals Committee within 21 days of notification of the decision in question.(A) be forwarded to the Registrar and Secretary for the Chair/Deputy Chair of the Senate Academic Appeals Committee, for consideration under Regulation 8(c)
Or
(B) be referred back to the original decision-making body for reconsideration.
Or
(C) be treated as an application for a concession, in which case the appeal process may be concluded without an appeal investigation taking place.
Or
(B) be referred back to the original decision-making body for reconsideration.
Or
(C) be treated as an application for a concession, in which case the appeal process may be concluded without an appeal investigation taking place.
Or
(ii) the Head of Faculty or deputy to the Head of Faculty concludes that the appeal is dismissed as unjustified.
8. FORMAL APPEAL STAGE 2: APPEALS TO THE SENATE ACADEMIC APPEALS COMMITTEE
(a) An appeal to the Senate Academic Appeals Committee (SAAC) must be made within 21 days of the date of the notification of the Faculty Appeal decision, using a University Senate Academic Appeals Committee proforma, available on the web at http://www.dur.ac.uk/academicsupport.office/appeals/ or via the Academic Support Office, or via the student’s College or Department.
(b) The grounds for appeal are either:
(i) that you (the appellant) have evidence that parts of the relevant documented procedure were not applied correctly at the Faculty Appeal stage and this procedural defect was significant enough to have materially affected the decision, making it unsound;
Or
(ii) that there is substantial and relevant new information that was previously unknown to you, or which for a valid reason you were unable to disclose at the Faculty appeals stage and that the information is significant enough to have materially affected the Faculty Appeal decision, making it unsound.
(c) Normally within six weeks (or twelve weeks during the whole or part of a University vacation) of the University SAAC pro forma being received by the Registrar and Secretary, it shall be
(i) copied to the student’s Department and College for information
(ii) considered by the SAAC Chair/Deputy Chair, in consultation with the Head or deputy to the Head of a Faculty other than the Faculty to which the student belongs (HF/DHF) , and in the light of the documentation considered at the Faculty appeal stage. Where the Deputy Chair is also a Head or deputy to the Head of Faculty, he or she is not excluded from acting in the capacity as HF/DHF working in consultation with the SAAC Chair to consider appropriate, individual appeal cases.
(e) The SAAC Chair/Deputy Chair and the Head of Faculty or deputy to the Head of Faculty may consult as they deem appropriate.
(f) If the appeal is disallowed, the Registrar and Secretary shall inform the student of the decision in writing, enclosing a copy of the student’s SAAC file. The student shall also be told that he/she may take the matter to the Office of the Independent Adjudicator (OIAHE) within three months of the issue of a completion of procedures letter by the University.
(g) If the OIAHE rules that the appeal should be considered by the SAAC, the Committee must meet in accordance with these procedures, chaired by a senior member of University staff, normally a Pro-Vice-Chancellor, who has not been previously consulted about or involved in the matter.
(h) If SAAC Chair/Deputy Chair and HF/DHF allow the appeal it shall be forwarded to the SAAC for an oral hearing, unless in view of the particular circumstances of the case, the Chair/Deputy Chair considers that appropriate action might betaken to deal with the situation.
(i) If the SAAC Chair/Deputy Chair and HF/DHF consider the alternative action has not dealt with the situation in an appropriate way, the appeal will then be forwarded to the SAAC for an oral hearing and the student will be notified of this decision in writing..
(j) If the Chair/Deputy Chair and HF/DHF believe that the alternative action has dealt with the situation appropriately the appeal will have concluded. The University will issue a Completion of Procedures letter advising the student that if he or she remains dissatisfied it is possible to complain to the Office of the Independent Adjudicator within three months.
(k) When the "appropriate action" taken by the Chair/Deputy Chair is to refer the appeal back to a Board of Examiners, the HF/DHF shall attend the meeting of the Board of Examiners in an advisory capacity.
(l) A guideline for complaints to the OIAHE7 will be issued with the University’s Completion of Procedure letters.
9. MEETING OF THE SAAC
(a) A meeting of the SAAC is normally held within six weeks (or twelve weeks if the period includes a vacation or part of a vacation) of the decision that the appeal be considered by the Committee and the student shall receive at least two weeks' notice of the meeting.
(b) With the exception of the Chair/Deputy Chair of the Committee, any member of the SAAC who has already been involved in the matter shall not sit on the Committee.
(c) At the hearing the student shall have the right to:
i) present his/her case in person, accompanied either by a member of staff of his/her choice (if willing) or by another registered Durham student of his/her choice (if willing) or by a member of staff from the DSU Advice Centre (if willing);
ii) nominate a proxy, who should be a member of the University community, to attend and present the case on the student’s behalf (if willing), if the student is unable for a valid reason to attend in person. The meeting may proceed in the absence of the student or proxy provided that the Chair/Deputy Chair of the Committee considers it reasonable to do so.
(e) Normally, those attending the Committee would include, as appropriate, the Head of the student’s College and the Head of the student’s Department, the Chair of the relevant Board of Examiners, or, in the case of a postgraduate research student, the relevant internal examiner or supervisor or adviser.
(f) A member of the University attending may be accompanied by a member of staff of his/her choice (if willing).
(g) At the hearing the student or his or her proxy shall be the first to speak to the SAAC. Anyone who is present to accompany one of the participants in the appeal may speak to the Committee only with the permission of the Chair//Deputy Chair.
(h) All members of the SAAC considering the appeal, the appellant, or his or her proxy and those having the right to attend, shall receive papers relevant to the case.
Note: The Committee shall not itself reach an independent academic judgement on the quality of academic work in any cases of appeal against decisions of examiners, but may request the appointment of fresh or additional examiners if a further opinion on the quality of a particular piece of work or works is deemed necessary.
(i) Having considered the evidence and taken such advice as may be appropriate, the SAAC shall issue a written judgement, normally within four weeks.
(j) If the SAAC decides to allow an appeal, it shall refer the matter back to an appropriate body within the University for further consideration and action.
(k) The University will issue a Completion of Procedure letter notifying the student of SAAC’s and hence the University’s final decision on their case and of the right to complain to the OIAHE within three months. A guidance note on complaints to the OIAHE will also be provided.
(l) The SAAC shall submit a report to Senate if an important point of principle is to be determined, or in individual cases as the SAAC judges appropriate.
1 These procedures do not apply to: (a) MB BS Phase 1 appellants who are appealing against a decision of the Student Health and Conduct Committee of the University of Newcastle upon Tyne. In such cases, the appeals regulations of the University of Newcastle upon Tyne will apply. (b) Appeals against results obtained at another Institution (eg Erasmus programme) that count towards a University of Durham degree. [Appeals about the translation of the other Institution’s marks or grades into University of Durham terms should be made through the University of Durham appeals systems.] (i) Any student appellant wishing to appeal against the grades awarded by the other institution shall pursue this through the appeals procedure of that Institution. (ii) Any such appeals must have been made to the other institution. The Registrar and Secretary of the University of Durham should be informed in writing by 31 October in the final year of study (or such earlier time as may be specified in the procedures of the other Institution) that such an appeal has been initiated. (iii) The other Institution shall retain the examination papers and notes of oral examinations of Durham students until three months after the date on which they are expected to graduate in Durham.
2 The University reserves the right to stay the academic appeals process pending completion of legal or other proceedings which may be relevant to the appeal.
4 or 21 days from the date of dispatch from the University of documentation requested under the terms of the Data Protection Act. Any such Subject Access request must be made within14 days of the date of notification of the decision to be appealed against. [The University will send the subject access documentation via a recorded delivery service.]
5 The University Appeals Proformas are available on the web via http://www.dur.ac.uk/academicsupport.office/appeals.
6 Or other senior member of the Faculty nominated by the Head of Faculty or deputy to the Head of Faculty.
7 The Guideline is available on the web via http://www.oiahe.org.uk