Progress and Appeals Procedures for Taught Programmes of Study 2011-2012

Progress and Appeals Procedures for Taught Courses

To Whom do these Procedures apply?

These procedures apply to all students on taught programmes of study, including the following: students on undergraduate courses; students on University of Essex foundation-year courses taught on campus or away; students on postgraduate taught schemes; students studying abroad as part of their degrees.

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1.

Monitoring of Student Progress and Attendance¹

1. Student engagement with their programme of study is primarily measured by attendance and completion of term-time assessments, which are monitored in and by departments.
    

2. Heads of Department are responsible for ensuring that an effective means of monitoring students' attendance and completion of assessments is established and maintained in each department in accordance with the requirements set out below.
    

3. Departmental procedures should be communicated to all students taking modules in the Department.
    

Progress Procedures for Taught Students

4. For all taught students, as a minimum, departments should:

   1. Monitor, and record, the attendance of students for a two week period during Weeks 5-7 and Weeks 19-21 (excluding reading weeks) at supporting tuition, ie classes, tutorials and laboratories.

   2. Review the data for all students on their degrees (including joint courses for which they are responsible) including the data for outside options which the student is taking and any compulsory in-sessional English module, and any available information on assessment due to be completed by the end of week 7 and 21.

   3. Monitor the submission of all coursework.
      

5. Where attendance and/or completion of assessments is unsatisfactory, departments should take the following action:

   1. The Director of Undergraduate Studies/Graduate Director (or equivalent) (or his/her nominee) will meet all students whose attendance/completion of assessed work has been identified as unsatisfactory. The students' attendance should be monitored for a further three-week period.

   2. If attendance/completion of assessed work remains unsatisfactory, or the student does not attend the meeting with the Director, the matter will be referred to the Head of Department who will arrange to meet the student.

   3. Where a department's efforts to encourage a student to engage with their studies have been unsuccessful and where progress measured by the completion of the required assessments is such that the student is unlikely to complete the year successfully, the Head of Department should refer the student to the relevant Dean. The Dean will review each case and may refer a student to the Progress Committee. Examination Boards may consider students whose progress continues to be unsatisfactory, after the examination results are known.
      
      

6. Departments operating joint degrees should liaise with the other departments involved to ensure that there is full co-ordination on the monitoring of progress. In the case of multidisciplinary courses the Director of the degree course should liaise with contributing departments.
    

2.

Policy on the Late Submission of Coursework

1. Coursework deadlines are set by Departments. Departments must not set coursework submission deadlines beyond 4pm on the last working day before the main examination period.

2. There is a single policy at the University of Essex for the late submission of coursework in undergraduate courses/modules:
   Late Submission policy: All coursework submitted after the deadline will receive a mark of zero. The mark of zero shall stand unless the student submits satisfactory evidence of extenuating circumstances that indicate that the student was unable to submit the work prior to the deadline.

3. No extensions will be granted. A student submitting coursework late will have the department’s and the University’s arrangements for extenuating lateness drawn to their attention. Details of the University’s arrangements can be found at: http://www2.essex.ac.uk/academic/students/ug/crswk_pol.htm 

4. For work submitted after the point at which a mark of zero is awarded, marking is at the discretion of the department unless there are extenuating circumstances, which have been accepted by the Extenuating Lateness Committee.

5. Collaborative partner institutions will continue with their own uniform policies.

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3.

University Regulations Governing Student Progress and Attendance

Regulation 5.19
Regulation 6.16
Regulation 6.17
Regulation 6.18
Regulation 7.1
Regulation 7.2
Regulation 7.3
 

4.

Referral to Progress Committee

1. If a Dean refers the case of a student to Progress Committee then the Registry will write to inform the student and will copy the letter to the student's department.
    

2. The student should be given adequate time to seek advice and prepare his or her case before the meeting of the Progress Committee. The letter to the student will indicate the reason for the referral to the Progress Committee.
    

3. The student will be invited to attend the meeting and may be accompanied by any member of the University or by a member of the full-time staff of the Students' Union.
    

4. If the student is unable to attend the meeting of Progress Committee, the meeting will nevertheless take place and the decisions taken will be valid.
    

5. A student who is unable to attend the meeting can ask a member of the University or a member of the full-time staff of the Student Union to attend on his or her behalf. No person can represent the student in his or her absence unless he or she has expressly been asked to do so by the student.
    

6. The student will be invited to submit in advance the following documents:

1. a written statement giving any facts or extenuating circumstances (see section 10 of this document) which the student thinks may have affected his or her performance;

2. documentary evidence to support any extenuating circumstances put forward, without which the Progress Committee may place lesser weight on the extenuating circumstances.

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5.

Composition and Form of Progress Committees

1. Each Faculty will have a Progress Committee convened and chaired by a Dean. The quorum for a Progress Committee is four.
    

2. A Progress Committee, for each student considered by that Committee, will normally consist of the relevant Dean and two others, neither of whom should be from the student's department, selected by the Dean from a panel approved annually together with

1. for undergraduates, a suitably qualified member of staff from the student's department or Area (or departments in the case of joint courses), or

2. for graduates, the Director of Graduate Studies or his/her nominee.

6.

Conduct of Progress Committees

1. The Progress Committee will consider each case referred by a Dean.
    

2. The Committee should receive papers fully setting out the case. The Head of Department (or Course Directors for Joint or multidisciplinary degrees) should be responsible for gathering the required information.
    

3. The Progress Committee may take into account performance in any remedial work and tests prescribed for overseas students following a test of proficiency in written and spoken English taken on arrival at the University; the Progress Committee may also take into account failure to attend the module or take the test.
    

4. The student should receive copies of all the papers that are presented to Progress Committee, unless the confidentiality of a document precludes showing it to the student, in which case the Dean may inform the Committee and the student of the existence and general import of the document without divulging the details. The papers will be available to the student when they are available to members of the Progress Committee, normally in advance of the meeting.
    

5. When the student is accompanied by his or her adviser or another member of academic staff, it must be noted that the staff member is present to act as the student's advocate and for no other reason.
    

6. Meetings of Progress Committees will be conducted in accordance with the Order of Proceedings.
    

7. The decision of the Progress Committee may be communicated orally to the student at the conclusion of the meeting. Formal notification of the outcome will be sent to the student in every case.

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Progress Committee: Order of Proceedings

NOTE:
This document, which is derived from the Progress Procedures has no formal standing. It is issued to members of Progress Committees and students appearing before them as a guide to the order of proceedings.

The Proceedings are likely to follow the pattern outlined below, although there may be some variation.

1. The Chair opens the meeting by introducing himself/herself and establishing the names and functions of those in the room.

2. Check that the student has received the details of the case and any supporting documentation.

3. Explain the order of proceedings to the student.

4. Outline the case for referral to Progress Committee.

5. Invite the student to put forward a case orally, if he/she wishes to do so.

6. Invite the members of the committee to put questions to the student.

7. Invite the student's representative to put forward any additional statement.

8. Invite the student to respond and state what his/her preferred outcome would be.

The student and his/her representative will then be asked to leave the room. The decision of the Progress Committee will be communicated to the student orally either immediately after the meeting, or at another pre-arranged time. Students will be sent written confirmation of the decision of the Progress Committee.

7.

Powers of Progress Committee

1. After consideration of the case, the Progress Committee will make one of the following decisions:

1. that the student be permitted to proceed, with or without specific conditions;

2. that the student be required to withdraw permanently.

2. In certain circumstances the Progress Committee may deem it appropriate to:

1. permit the student to repeat an appropriate period of study, including all or part of a period of study abroad.

2. permit the student to transfer to another appropriate degree course.

3. Progress Committee may also attach such conditions as seem likely to assist the future progress of the student.

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8.

The Timing and Role of the Boards of Examiners

1. There are University Rules of Assessment that set out what constitutes passing for each stage of study and eligibility for an overall award.

2. A Board of Examiners' meeting will be held after the main summer examination period and after the resit examination period in September. However, for some courses it may be necessary to hold Board of Examiners' meetings at other points during the academic year.

3. The Board of Examiners sees the marks of each student and in the light of these marks, and any other relevant information, makes a decision about the students' progress in accordance with the Rules of Assessment.

4. The Board of Examiners shall consider matters of extenuating circumstances. If the extenuating circumstances are of such a nature that a final decision cannot be reached without further investigation then the Board of Examiners should refer the case to the Dean and empower the Dean to act on its behalf within the terms the Rules of Assessment.

5. A student may appeal against the decision of a Board of Examiners in accordance with the procedures set out in section 12 of this document.

9.

Progress Procedures for Students on Courses with a Year Abroad

1. All courses for which the Year Abroad comprises part of the assessment for the degree must have a meeting of a Sub-committee of the Board of Examiners following the year spent abroad. The meeting should consider Year Abroad marks and extenuating circumstances affecting the year abroad work and confirm marks to be forwarded to the Final Year Board of Examiners.
    

2. The Sub-committee has the power to make progress decisions, subject to consultation with the relevant External Examiner, within the terms of paragraph 8 c) above in the case of unsatisfactory progress or if the student's Year Abroad results are such that he or she would not be able to obtain a degree at the end of the final year
    

3. A student may appeal against the decision of a Sub-committee of a Board of Examiners in accordance with the procedures set out in section 12 of this document.

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10.

Extenuating Circumstances

1. Extenuating circumstances are formally defined as: "circumstances beyond the student's control which cause the student to perform less well in his or her coursework or examinations than he or she might otherwise have been expected to do (on the basis of other work). In general, extenuating circumstances will be of a medical or personal nature affecting the student for any significant period of time and/or during the examination period."
    

2. As a result of the policy on the late submission of coursework, the University-wide Late Submission of Coursework will be applied in cases where students are unable to submit coursework by the deadline as a result of acceptable extenuating circumstances. Extenuating circumstances in relation to the late submission of coursework are formally defined as: “the inability to submit work by the deadline (or to attend the in-class test/presentation) due to circumstances beyond the student's control, of a medical, practical or personal nature which affects the student for the period immediately preceding the time of the deadline. Genuine emergencies and circumstances which could not reasonably have been expected will be accepted as extenuating.” Full details of the policy can be found at http://www2.essex.ac.uk/academic/students/ug/crswk_pol.htm.  At the time of examination entry the Notes to Students will include advice about submitting an Extenuating Circumstances Form, about extenuating circumstances which may have affected work during the year. Students should be warned that failure to submit an Extenuating Circumstances Form may mean that the circumstances may not be taken into account by the examiners.
    

3. At the time of examination entry the Notes to Students will remind students of the policy for submitting an Extenuating Circumstances Form, about extenuating circumstances which may have affected work during the year. Students should be warned that failure to submit an Extenuating Circumstances Form may mean that the circumstances may not be taken into account by the examiners.
    

4. If a student informs a member of staff that extenuating circumstances have affected a piece of coursework he or she is submitting, the member of staff should tell the student to submit an Extenuating Circumstances Form, failing which the extenuating circumstances may not be taken into account by the examiners.

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Appeals Procedures for Taught Programmes

11.

Procedure for Appeals by an Undergraduate or Taught-Course Postgraduate Student against the Decision of a Progress Committee

1. A student who wishes to appeal against the decision of a Progress Committee must do so in writing to the Academic Registrar, stating fully the grounds of the appeal, within 5 working days of the date of the letter sent informing the student of the Progress Committee's decision.
    

2. The grounds on which a student may appeal are:

1. that there were procedural irregularities in the conduct of the Progress Committee (including alleged administrative error) of such a nature as to cause reasonable doubt as to whether the outcome might have been different had they not occurred;

2. that there was evidence of extenuating circumstances which could not reasonably have been made available to the Progress Committee, of such a nature as to cause reasonable doubt as to whether the result might have been different had they not occurred.

3. The Academic Registrar will refer to the Pro-Vice-Chancellor (Academic Standards) any appeal that meets the criteria stated above (b.i and b.ii).

4. Any such appeal shall be forwarded to the appropriate Pro-Vice-Chancellor, who may consult such persons as he or she thinks fit, including the appellant, in arriving at a decision as to whether or not the appeal is well-founded.
    

5. If the Pro-Vice-Chancellor decides that the appeal is not well-founded, he or she shall inform the student in writing, stating his/her reasons for so deciding. The communication of this decision shall, in such cases, constitute the formal dismissal of the appeal.
    

6. If the Pro-Vice-Chancellor decides that the appeal is well-founded then the case shall be referred to the Progress Appeal Panel.
    

7. The Progress Appeal Panel shall consist of not less than three Deans, excluding the Dean who chaired the original committee.
    

8. The student shall be invited to attend the meeting and may be accompanied by any member of the University, or by a member of the full-time staff of the Students' Union.
    

9. If the student is unable to attend the meeting of the Progress Appeal Panel, the meeting will go ahead and the decisions taken will be valid.
    

10. The members of the Progress Appeal Panel will have the papers that were made available to the original Progress Committee, together with the student's written statement of the appeal, and any documentary evidence to support any extenuating circumstances put forward. It will be open to the Progress Appeal Committee to call such witnesses as it thinks fit. The Dean who chaired the original committee will have the right to appear before the Progress Appeal Panel.
     

11. After consideration of the case the Progress Appeal Panel shall either dismiss the appeal or decide on one of the courses of action defined under the Powers of Progress Committees listed in section 7 of the Progress Procedures.
     

12. The decision of the Progress Appeal Panel may be communicated orally to the student at the conclusion of the meeting. Formal notification of the outcome will be sent to the student in every case.
     

13. The decision of the Progress Appeal Panel will be final.
     

14. Any appeal following the formal conclusion of the appeals procedures set out above may be made on the grounds of procedural irregularities in the appeals process only. A student who wishes to appeal against the outcome of these procedures should write to the Academic Registrar within four weeks setting out in detail the nature of the evidence to support the claim that there were procedural irregularities in the appeals process. If prima facie there is evidence to support the claim then the case will be reviewed by an alternate Pro-Vice Chancellor. If the Pro-Vice-Chancellor determines that there were procedural irregularities in the appeals process then the case will be referred to an appeals panel for consideration, and paragraphs h-m above will apply. The panel would be comprised of academic staff with no previous involvement in the case and would be chaired by an appropriate member of senior academic staff.

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14. The Office of the Independent Adjudicator for Higher Education (OIA) provides an independent scheme for the review of student complaints or appeals. When the University’s internal procedures for dealing with complaints and appeals have been exhausted, the University will issue a Completion of Procedures letter. Students wishing to avail themselves of the opportunity of an independent review by the OIA must submit their application to the OIA within three months of the issue of the Completion of Procedures letter. Full details of the scheme are available on request and will be enclosed with the Completion of Procedures.

12.

Procedure for Appeals against the decision of Board of Examiners for all Taught Programmes

1. A student who wishes to appeal against  the decision of a Board of Examiners must do so in writing on the Form of Appeal, stating fully and precisely the grounds for appeal. A student appealing against the progress decision of a First or Second Year Board of Examiners must submit a formal appeal within two weeks of the publication of results. In all other cases the appeal must be submitted within four weeks of publication of the results.
    

2. A student appealing against the progress decision of a First or Second Year Board of Examiners may consult the Dean in advance of submitting a formal appeal (see below).
    

3. Forms of Appeal are available from the Academic Registrar, Registry or Departmental Offices.
    

4. The main legitimate grounds for appeal are the following:

1. Extenuating circumstances of which the Board of Examiners was unaware and of which the student could not reasonably have been expected to inform the Board of Examiners in advance, of such a nature as to cause reasonable doubt as to whether the result might have been different had they not occurred.
    

2. Procedural irregularities in the conduct of the Board of Examiners (including alleged administrative error) of such a nature as to cause reasonable doubt as to whether the result might have been different had they not occurred.

5. Other grounds will be considered on their merits.
    

6. The following are not considered legitimate grounds on which to appeal, and any appeals based exclusively on one or more of these grounds will be rejected automatically:

1. Disagreement with a mark or grade and/or appeals against the academic judgement of internal or external examiners. Coursework and examinations cannot be remarked, except in cases of procedural irregularities.
    

2. Any provisional mark or informal assessment of the student's work by a member of staff that is not the final mark approved by the Board of Examiners.
    

3. The retrospective reporting of extenuating circumstances which a student might reasonably have been expected to disclose to the Board of Examiners before their meeting.
    

4. Appeals against the judgement of the Board of Examiners in assessing the significance of extenuating circumstances, and whether and to what extent they affected academic performance.
    

5. Marginal failure to attain a higher class of degree.
    

6. Appeals where the grounds of complaint concern the inadequacy of teaching or other arrangements during the period of study; such complaints must be raised, in writing, before the examination board meets.

7. Any other officer of the University who receives a formal appeal from a student concerning his/her result shall forward it to the Academic Registrar.
    

8. The Academic Registrar will acknowledge the appeal within five working days of receipt.
    

9. The Academic Registrar will refer to the Appeals Officer any appeal that meets the criteria stated above (d and e).
    

10. Any such appeal will be considered by the Appeals Officer, who may consult such persons as he/she thinks fit, including the student who has lodged the appeal, in arriving at a decision as to whether or not the appeal is well-founded.
     

11. The Appeals Officer will conduct the investigation as quickly as possible but, particularly during the summer vacation, there may be unavoidable delays. The Academic Registrar will write to the student within six weeks of receipt about the progress of the appeal and will let the student know when he or she can expect to receive a decision.

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The Appeals Officer dismisses the appeal

12. If the Appeals Officer decides that there are not sufficient prima facie grounds for putting the case to the Board of Examiners, the Academic Registrar will inform the student in writing, stating the reasons for the decision. The communication of this decision shall, in such cases, constitute the formal dismissal of the appeal.
     

13. Any appeal following the formal conclusion of the appeals procedures set out above may be made on the grounds of procedural irregularities in the appeals process only. A student who wishes to appeal against the outcome of these procedures should write to the Academic Registrar within four weeks setting out in detail the nature of the evidence to support the claim that there were procedural irregularities in the appeals process. If prima facie there is evidence to support the claim then the case will be reviewed by the Pro-Vice-Chancellor (Academic Standards). If the Pro-Vice-Chancellor determines that there were procedural irregularities in the appeals process then the case will be referred to an alternate Appeals Officer for consideration, and paragraphs h-s will apply.

The Appeals Officer upholds the appeal
 

14. If the Appeals Officer decides there are sufficient prima facie grounds for putting the case to the Board of Examiners, he/she will forward it, together with his/her written comments, to the relevant Dean/Head of Department. The Academic Registrar will inform the student, and will subsequently inform the student when the Board of Examiners will meet to reconsider the case. On receipt of the appeal and the Appeals Officer's comments, the Dean/Head of Department shall cause the Board of Examiners responsible for the assessment against which the student has appealed to reconvene and put before the Board the student's submission, the Appeals Officer's comments and any material relevant to the original assessment. The Dean/Head of Department will then formally ask the Board to review its decision. The Appeals Officer will have the right to attend and to address the meeting of the Board of Examiners.
     

15. If the Appeals Officer decides to uphold an appeal by a Second Year student on the grounds of extenuating circumstances of which the Board of Examiners was unaware and of which the student could not reasonably have been expected to inform the Board of Examiners in advance, the Appeals Officer will decide whether it is appropriate to ask the Dean to reconvene the Board of Examiners. If it is the Appeals Officer's view that the likely outcome of such a meeting would be that the Board of Examiners would decide either that the extenuating circumstances should be carried forward to the final year Board, or that the extenuating circumstances would not have a material effect on the results, then the Appeals Officer will not ask the Dean to reconvene the Board. However s/he will ensure that the Dean is fully apprised of the extenuating circumstances so that they can be placed before the Board of Examiners in the student's final year.
     

16. In causing a Board of Examiners to reconvene, the Dean may, at his or her discretion, consult by telephone or in writing any internal or external examiner who is unable to attend the reconvened meeting of the Board.
     

17. If, following review of its decision, the Board of Examiners is satisfied that there is no reason to amend its original decision the Dean/Chair will so inform the Academic Registrar in writing, giving the Board's reasons for reaffirming its original decision and its comments, if any, on the grounds for appeal stated by the student.
     

18. If, following review of its decision, the Board of Examiners concludes that its original decision was wholly or partly incorrect to the extent that it decides on a new outcome, the Dean/Chair will so inform the Academic Registrar in writing and advise him/her of any amended mark or classification.
     

19. The decision of the Board of Examiners following review will be communicated in writing to the student by the Academic Registrar stating the grounds for the decision. The communication of the decision shall in all cases constitute the formal conclusion of action taken in accordance with these procedures.

All Appeals

20. The Office of the Independent Adjudicator for Higher Education (OIA) provides an independent scheme for the review of student complaints or appeals. When the University’s internal procedures for dealing with complaints and appeals have been exhausted, the University will issue a Completion of Procedures letter. Students wishing to avail themselves of the opportunity of an independent review by the OIA must submit their application to the OIA within three months of the issue of the Completion of Procedures letter. Full details of the scheme are available on request and will be enclosed with the Completion of Procedures.

Consultation with a Dean

Consultation on progress decisions of a Foundation, First or Second Year Board of Examiners (ie requirement to withdraw permanently, repeat the year, repeat individual modules, resit exams).
The Dean of the relevant faculty shall take the actions described under these procedures whether or not the Dean is Chair of the Board of Examiners responsible for the decision against which the student is appealing.

1. A student who is considering an appeal against a progress decision of the Board of Examiners should write to the Dean, giving full details of his or her case. Pro-formas are available to help students present their case. Students may wish to consult the Students’ Advice Centre for advice about their circumstances before completing the form. The Dean has the power to take action on behalf of the Board of Examiners to change the original decision if the student presents appropriate new evidence to support his or her case.
    

2. The Dean may wish to consult members of the Board of Examiners or other members of academic staff before reaching a final decision. The Dean will contact the student if any additional information or evidence is required from the student. The Dean will then decide whether or not to change the original decision of the Board of Examiners and will inform the student accordingly. If, after consultation with the Dean, the student still wishes to appeal, and believes he or she has grounds, the student must submit a formal appeal in writing in accordance with the procedure set out above.
    

¹There may be professional, regulatory or statutory requirements regarding attendance that have consequences for students beyond those outlined in this regulation.

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See also:

Academic Offences Procedures (Cheating)

Progress and Appeals Procedures for Research Degree Students