ACADEMIC REGULATIONS
HANDBOOK
2015/2016
This Handbook is provided to appropriate members of staff who are requested to
retain their copy for reference. The Handbook is available online at:
http://learning.cf.ac.uk/quality/regs/handbook/
Week
Beginning
[Mon-Sun]
ACADEMIC CALENDAR FOR UNDERGRADUATE MODULAR PROGRAMMES 2015/2016
[Postgraduate students and students on non-modular programmes (including medical and dental students)
should be informed of their academic calendar by their Schools.]
31-Aug
07-Sep
14-Sep
21-Sep
Enrolment Week
28Sep
Teaching Week
1
Autumn Semester Begins Monday 28 September 2015
05-Oct
2
12-Oct
3
19-Oct
4
26-Oct
5
02-Nov
6
09-Nov
7
16-Nov
8
23-Nov
9
30-Nov
10
07-Dec
11
14-Dec
CHRISTMAS RECESS for students
Begins Saturday 12 December 2015
21-Dec
28-Dec
Ends Sunday 3 January 2016
04-Jan
12
11-Jan
Examination Period
1
Begins Monday 11 January 2016
18-Jan
2
Ends Friday 22 January 2016
25-Jan
1
Spring Semester Begins Monday 25 January 2016
01-Feb
2
08-Feb
3
15-Feb
4
22-Feb
5
29-Feb
6
07-Mar
7
14-Mar
8
21-Mar
EASTER RECESS for students
Begins Saturday 19 March 2016
28-Mar
04-Apr
Ends Sunday 10 April 2016
11-Apr
9
18-Apr
10
25-Apr
11
02-May
12
09-May
Examination Period
1
Begins Monday 09 May 2016
16-May
2
23-May
3
30-May
4
06-Jun
5
Ends Friday 10 June 2016
13-Jun
SUMMER RECESS for students
20-Jun
27-Jun
04-Jul
11-Jul
18-Jul
25-Jul
01-Aug
08-Aug
15-Aug
Resit Examination Period
Begins Monday 15 August 2016
22-Aug
Ends Friday 26 August 2016
29-Aug
*EASTER SUNDAY: 27 March 2016
Students are required to be in attendance as indicated above.
i
Content Page
Dates of Semesters ........................................................................ Inside Front Cover
Foreword ................................................................................................................... iii
Sources of Further Information .................................................................................. iv
Summary of Changes to Senate Regulations since the 2012–2013 Edition .............. v
Part 1 – Programmes and their Assessment: Senate Regulations and
Guidelines
Available at http://learning.cf.ac.uk/quality/regs/handbook/
General
1.1 Definition of Generic Terms used in Senate Regulations ................................ 3
1.2 Awards of Cardiff University ............................................................................ 8
1.3 Aegrotat and Posthumous Awards ................................................................ 23
Taught Programmes
1.4 Modular Undergraduate Programmes ........................................................... 24
1.5 Non-modular Undergraduate Programmes:
– BDS .......................................................................................................... 49
– MBBCh Continuing students, and new students to the Four-Year
Programme in 2013-2014 .......................................................... 54
– MBBCh New entrants from 2013-2014 .................................................... 59
1.6 Modular Postgraduate Taught Programmes .................................................. 66
1.7 Non-modular Postgraduate Taught Programmes .......................................... 82
1.8 Dissertation Submission: Modular and Non-modular Postgraduate
Taught Programmes ...................................................................................... 89
Assessment – Taught Programmes
1.9 Assessment Regulations for Taught Programmes, including: ....................... 94
– Examinations Scheduling: Guidelines ................................................... 162
– Invigilators: Guidelines ........................................................................... 162
1.10 Unfair Practice Procedure ........................................................................... 164
Postgraduate Research
1.11 PhD and MD ................................................................................................ 176
1.12 Doctoral Degrees by Examination and Thesis (Professional Doctorates) ... 187
1.13 MPhil and MScD (by Research) .................................................................. 202
1.14 MRes (Master of Research) ........................................................................ 212
1.15 PhD (by Published Works) .......................................................................... 214
1.16 Senior Doctoral Degrees ............................................................................. 222
1.17 Presentation and Submission of Research Degree Theses ........................ 225
1.18 Procedures for the Conduct of Research Degree Examinations ................. 231
1.19 Postgraduate Research External Examiners (Reports): Guidelines ........... 242
1.20 Extension to Time Limit Procedure ― Postgraduate Research
Candidates .................................................................................................. 243
1.21 Academic Integrity in Research Degree Study ............................................ 245
ii
Part 2 – Study
Available at http://learning.cf.ac.uk/quality/regs/handbook/
2.1 Student Attendance and Engagement Procedures: Overview .................... 255
2.2 Interruption of Study Procedure ................................................................... 261
2.3 Non-Engagement with Programme Procedure ............................................ 266
2.4 Unsatisfactory Academic Progress Procedure ............................................ 269
2.5 Student Attendance and Engagement Procedures: Appeals and Return to
Study ........................................................................................................... 271
2.6 Academic Appeals Procedure .................................................................... 274
2.7 Students' Fitness to Study Procedure .......................................................... 286
2.8 Students' Fitness to Practise Procedure ...................................................... 297
2.9 Personal Tutors ........................................................................................... 313
2.10 Research Student Progress Monitoring Procedure ..................................... 314
Part 3 – Student Matters
Available at http://learning.cf.ac.uk/quality/regs/handbook/
3.1 Student Complaint Procedure...................................................................... 325
3.2 Student Discipline Procedure ...................................................................... 342
3.3 Procedure for Payment of Tuition Fees and Other Monies .......................... 355
3.4 Code of Practice to Ensure Freedom of Speech ......................................... 355
3.5 Data Protection Policy ................................................................................. 358
3.6 Education Act 1994: Code of Practice ........................................................ 361
3.7 The Students' Union as an Educational Charity .......................................... 361
3.8 Membership of the Students' Union ............................................................. 362
Part 4 – University IT, Copyright and Library Services Regulations
Readers are advised to consult the appropriate web link for the following University
IT, Copyright and Library Services Regulations, Policies and Procedures as they are
subject to regular review:
4.1 University Library Service Regulations
........................................... www.cf.ac.uk/insrv/aboutus/regulations/index.html
4.2 University IT Regulations
................................................ www.cf.ac.uk/govrn/cocom/uniitregs/index.html
4.3 University Acceptable Use Policy (IT Facilities)
................................................ www.cf.ac.uk/govrn/cocom/uniitregs/index.html
4.4 University Information Security Policy
................................................ www.cf.ac.uk/govrn/cocom/uniitregs/index.html
4.5 University Copyright Policy
.................................. http://www.cf.ac.uk/insrv/aboutus/regulations/index.html
iii
Foreword
The purpose of this Handbook is to provide a definitive source for all formally-
approved academic regulations of the University. It should provide staff and
students with a useful and comprehensive reference point for policies, regulations
and procedures that are applicable to all programmes of study pursued at Cardiff
University.
The Handbook is updated annually and every attempt has been made to ensure all
content is accurate at the time of publication. Any changes to the Regulations which
take effect during Session 2015-2016 will be published on the University website at:
http://learning.cf.ac.uk/quality/regs/
If you require advice on any aspects of the regulations and procedures contained in
this handbook, please send your query, via email, to [email protected] and a
response will be sent to you as soon as possible.
This Handbook is regularly reviewed and all feedback from recipients and users
would be greatly appreciated. Please refer your feedback to me in the first instance.
Simon Wright
Academic Registrar
August 2015
Important legal information
The contents of the Academic Regulations Handbook are correct at the time of
going to press. However, there can be a lengthy period of time between printing
the hard copy handbook, and policy or regulatory queries arising. Please check
our website for the definitive version of the Cardiff University Academic
Regulations at http://learning.cf.ac.uk/quality/regs..
Where there is a difference between the contents of this Handbook and our
website, the contents of the website take precedence and represent the policies,
procedures or regulations in place at the specific time.
If you require advice on the University Academic Regulations please contact
If students would like independent advice on the University Policies, Procedures
or Regulations, the Students’ Union Advice Centre can be contacted at
[email protected] or on 029 2078 1410.
If you are not able to access information online please contact us on
Note to Students:
Your acceptance of a place at Cardiff and all matters arising out of your enrolment as
a student will be governed and construed in accordance with the law of England and
Wales. Both you and the University will submit to the exclusive jurisdiction of the
Office of the Independent Adjudicator or, but only so far as is permitted by the law of
England and Wales, the English and/or Welsh Courts in relation to any matters
arising out of your acceptance of a place or enrolment as a student.
If you require a copy of the Academic Regulations Handbook in an
alternative format, please contact the Quality and Standards Team
at Quality@Cardiff.ac.uk
iv
Sources of Further Information
CARDIFF UNIVERSITY STRATEGIC PLAN – THE WAY FORWARD
Cardiff University's The Way Forward builds on the University's achievements and
sets out the medium-term direction of the University in line with its mission. It
provides the overarching framework for the formulation and assessment of all other
plans such as those produced for individual schools, the University's administration,
estate and information services etc. which, in turn, inform the formulation of the
overall University Plan. The University also publishes a number of associated
strategies, policies and guidance notes which students and staff may find useful.
The Way Forward can be accessed via www.cf.ac.uk/thewayforward
WELSH LANGUAGE SCHEME
The University operates a Welsh Language Scheme which demonstrates how it
treats both the Welsh and English languages on the basis of equality. The University
is continuously developing its provision for Welsh language students and regularly
consults students about their requirements and aspirations. Details of the scheme
can be found under Related Resources at
http://www.cardiff.ac.uk/govrn/welshlanguageservice/index.html
EQUALITY AND DIVERSITY POLICY
The University has a long standing commitment to equal opportunities. In support of
this, the University has adopted Equality & Diversity and Race Equality Policies
which can be accessed online under Related Resources at
http://www.cardiff.ac.uk/govrn/cocom/equalityanddiversity/
EDUCATION
Cardiff University's The Way Forward 2012-17: Education and Students defines the
priorities for enhancing the educational experience of our students, in-line with the
mission and vision of the University. This is available at
http://www.cardiff.ac.uk/staffnews/thewayforward/education-and-students.pdf
QUALITY ASSURANCE AGENCY
The Quality Assurance Agency for Higher Education is responsible for operating
programmes of institutional review and for the UK Quality Code for Higher Education
(the Quality Code). This sets out the expectations all providers of UK higher
education are required to meet.
The Quality Code gives all higher education providers a shared starting point for
setting, describing and assuring the academic standards of their higher education
awards and programmes and the quality of the learning opportunities they provide.
Individual education providers use the Quality Code to design their policies for
maintaining academic standards and quality.
Details of the Quality Code and copies of relevant documents are available from the
QAA at www.qaa.ac.uk/assuringstandardsandquality/quality-code
v
Cardiff University Academic Regulations Handbook 2015–2016:
Amendments made to Senate Regulations since 2014–2015 edition
(including amendments effective immediately during Session 2014–2015)
REGULATIONS
MINUTE REFERENCE
(where appropriate)
All Sections
All references to the ‘Director of Student Services and
Governance’ throughout Senate Regulations and associated
University Procedures have been replaced with ‘Academic
Registrar’.
ASQC M. 971.5
Senate: Approved by
Executive Action 310715
Definition of Generic Terms used in Senate Regulations
Addition of definitions for Re-Assessment, including Re-sit
Assessment, and Repeat Assessment.
Addition of definitions for eAssessment and Clinical
Assessment.
Senate M. 602.13
ASQC M. 934.7
ASQC M. 969.8
Senate: Approved by
Executive Action 310715
Senate Regulation for Awards of Cardiff University
Addition of ‘Doctor of Social and Public Policy’ to list of
Awards of Cardiff University, and re-organisation of Doctoral
D Level awards to list Professional Doctorates separately.
Amendment to Annex to Senate Regulation for Awards to
Cardiff University: Academic Management and Decision
Making – General Principles to increase the minimum number
of Staff/Student Panels per academic year from one to two.
Amendments to Annex to Senate Regulation for Awards to
Cardiff University: English Language Policy and Welsh
Language Policy to clarify the sources of evidence which can
be used to satisfy the University’s language competency
requirement and with respect to successful completion of a
Cardiff University English language programme.
Removal of ‘MCh – Master of Surgery’ from list of Awards of
Cardiff University following discontinuation of the award.
Amendments to section on Variation of Arrangements.
Senate M. 602.9
ASQC M. 911.6
Senate M. 602.10
ASQC M. 911.7
Senate M. 602.11
ASQC M. 911.8
ASQC: Approved by
Executive Action 050615
Senate: Approved by
Executive Action 070915
Senate Regulations for Aegrotat and Posthumous Awards
No Changes
Senate Regulations for Modular Undergraduate
Programmes
vi
Amendment to Classification of Awards to clarify the
application of the ‘secondary rule’ to Intercalated Degree
programmes.
Amendments to sections on Assessment of Modules and
Progression, and insertion of new section on Re-Assessment,
to incorporate new regulations and guidance on opportunities
for re-assessment.
Senate M. 602.7
ASQC M. 911.4
Senate M. 602.13
ASQC M. 934
Senate Regulations for the Non-modular Bachelor of
Dental Surgery Hons (BDS)
No Changes
Senate Regulations for the Non-Modular University of
Wales Bachelor of Medicine – Bachelor of Surgery (MB
BCh)
No Changes
Senate Regulations for Postgraduate Taught Programmes
– Modular Programmes
Consequential amendments following the creation of new
Senate Regulations for the Award of the Degree of MRes
(Master of Research).
Amendments to sections on Assessment and Progression,
and insertion of new section on Re-Assessment in place of
Re-Sit and Re-Assessments, to incorporate new regulations
and guidance on opportunities for re-assessment.
Senate M. 602.6
ASQC M. 911.3
Senate M. 602.13
ASQC M. 934
Senate Regulations for Postgraduate Taught Programmes
– Non-Modular Programmes
No Changes
Senate Regulations for Taught Postgraduate Master’s
Degrees – Dissertation Submission: Modular and Non-
modular Programmes
No Changes
Senate Assessment Regulations for Taught Programmes
Amendment to Section 12.4 Operation of Examining Boards
to make explicit the range of Executive Action that may, and
may not, be undertaken by Chairs of Examining Boards
Insertion of new section at 7.8, The Management of
Assessment Outcomes.
Removal of section 15, Verification and Appeals Procedure,
and, following the creation of the new Academic Appeals
Procedure.
Amendment to section 11, Extenuating Circumstances, to
include consideration of exceptional professional
commitments as an extenuating circumstance for students on
part-time professional programmes.
Senate M. 602.8
ASQC M. 911.5
Senate M. 602.14
ASQC M. 935
Senate M. 611.6
ASQC M. 950.7
ASQC M. 972.4
Senate: Approved by
Executive Action 310715
vii
Unfair Practice Procedure
No Changes
Senate Regulations for the Award of the Degrees of PhD
(Doctor of Philosophy), MD (Doctor of Medicine)
Removal of references to ‘MCh – Master of Surgery’ following
discontinuation of the award.
ASQC: Approved by
Executive Action 050615
Doctoral Degrees by Examination and Theses
(Professional Doctorates)
Replacement of the list of Professional Doctorate awards with
a reference to the definitive list of awards contained in the
Senate Regulation for Awards of Cardiff University.
Senate M. 602.9
ASQC M. 911.6
MPhil and MScD (by Research)
No Changes
Senate Regulations for the Award of the Degree of MRes
(Master of Research)
New Regulation:
Senate M. 602.6
ASQC M. 911.3
Senate Regulations for PhD (by Published Works)
No Changes
Senate Regulations for Senior Doctoral Degrees
Amendments as follows:
1. Replacement of the list of Senior Doctorate awards
with a reference to the definitive list of awards
contained in the Senate Regulation for Awards of
Cardiff University.
2. Broadening of the applicability criteria to include all
members of staff rather than only full-time staff;
3. Placement of responsibility for the consideration of
submissions under 6.1 upon the Pro Vice-Chancellor of
the relevant College and two other members of Senate
appointed by that Pro Vice-Chancellor.
ASQC 970.8
Senate: Approved by
Executive Action 310715
Presentation and Submission of Research Degree Theses
No Changes
Procedures for the Conduct of Research Degree
Examinations
Amendment to section 5, Appointing the Members of the
Examining Board, to secure alignment with Senate
Regulations in respect of responsibility for the appointment of
External Examiners.
Senate M. 602.12
ASQC 911.9
viii
Senate Guidelines: Postgraduate Research External
Examiners
No Changes
Extension to Time Limit Procedure – Postgraduate
Research Candidates
Removal of references to ‘Master’s Degree Stage
Postgraduate Taught’ following decision that the Procedure
should only apply to Postgraduate Research Students.
Note: Postgraduate Taught students should refer to the
Extenuating Circumstances Procedure.
ASQC M. 972.4
Senate: Approved by
Executive Action 310715
Cardiff University: Policy and Procedures in Relation to
Academic Integrity in Research Degree Study
No Changes
Student Attendance and Engagement Procedures:
Overview
This replaces the previous Student Attendance and
Academic Progress Requirements and Absence
Procedures.
New Procedure:
Senate M. 602.5
ASQC M. 911.2
Interruption of Study Procedure
This replaces section 6 of the previous Student Attendance
and Academic Progress Requirements and Absence
Procedures.
New Procedure:
Senate M. 602.5
ASQC M. 911.2
Non-Engagement with Programme Procedure
This replaces section 7 of the previous Student Attendance
and Academic Progress Requirements and Absence
Procedures.
New Procedure:
Senate M. 602.5
ASQC M. 911.2
Unsatisfactory Academic Progress Procedure
This replaces section 8 of the previous Student Attendance
and Academic Progress Requirements and Absence
Procedures.
New Procedure:
Senate M. 602.5
ASQC M. 911.2
Student Attendance and Engagement Procedures:
Appeals and Return to Study
This replaces section 9 of the previous Student Attendance
and Academic Progress Requirements and Absence
Procedures.
New Procedure:
Senate M. 602.5
ASQC M. 911.2
Academic Appeals Procedure
New Procedure:
Senate M. 611.6
ASQC M. 950.7
ix
This replaces both of the following previous procedures:
1. Section 15, Verification and Appeals Procedure, of the
Senate Assessment Regulations for Taught
Programmes.
2. The entirety of the Cardiff University Appeals
Procedure (Postgraduate Research Degrees).
Students’ Fitness to Study Procedure
No Changes
Students’ Fitness to Practice Procedure
This procedure has been entirely revised and updated.
Senate M. 611.6
ASQC M. 949.7
Senate Regulation Governing Personal Tutors
No Changes
Research Student Monitoring Procedure
No Changes
Student Complaint Procedure
This replaces the previous Cardiff University Procedures
for the Resolution of Students’ Concerns/Issues.
New Procedure:
ASQC M. 951.10
Senate: Approved by
Executive Action 290615
Student Discipline Procedure
No Changes
Procedure for Payment of Tuition Fees and Other Monies
No Changes
Code of Practice to Ensure Freedom of Speech
No Changes
Data Protection Policy
No Changes
Education Act 1994: Code of Practice
No Changes
The Students’ Union as an Educational Charity
No Changes
Membership of the Students’ Union
No Changes
Part 1
Programmes and their
Assessment:
Senate Regulations and
Guidelines
3
Definition of Generic Terms Used in Senate Regulations
The following definitions apply in respect of Senate Regulations.
Academic Staff: The members of the Academic Staff of the University as defined
by the University Council.
Anonymous Marking: Marking of Assessment where it is intended that markers are
unaware of the identity of students.
Assessment: Forms of Assessment fall into the following types:
Examinations with fixed time-limit in specified locations:
Examination: A written Assessment of no less than one hour organised by
the Superintendent of Examinations in an Examination Venue. The duration
of an Examination shall be specified in multiples of thirty minutes.
Class Test: A written Assessment with fixed time-limit conducted in
accordance with Senate Regulations and which is organised by the relevant
School outside of an Examination Period.
eAssessment: An assessment delivered through IT-based tools. It includes
multiple choice questions (MCQs) and short answer tests delivered through
bespoke software, including on-line tests.
Coursework:
Written Assessment – A written piece of coursework, including case studies
and essays.
Report – A report or reflective journal produced during and/or after
participation in an activity such as fieldwork, laboratory work, work
experience, placement or project.
Portfolio – An Assessment of a collection of materials/evidence over a period
of study over time
Dissertation – A substantial written Assessment that embodies outcomes of
a study or an investigation or a research project.
eAssessment – An assessment delivered through IT-based tools that a
student completes in their own time.
Practical Assessments:
Practical-Based Assessment or Clinical Assessment - An Assessment
which assesses how a student undertakes a practical skill, technique or
competency, such as a clinical examination, laboratory techniques, language
translation, or recital, which is organised by the relevant School.
Oral/Aural Assessment – Assessment, which may include viva-voce
examination, that is conducted orally and face-to-face with the assessor(s).
4
Presentation – Assessment which may include presentations, debates,
conversations or contributions to seminars.
Assessment Criteria: Descriptions, normally articulated in criteria-based marking
schemes, of what the learner is expected to achieve in order to meet a defined
standard and demonstrate that a learning outcome has been met.
Award: A degree, diploma or certificate conferred upon a student by the University
Awards and Progress Standing Panel following the pursuit of a Programme.
Condonement: The process through which students who have not attained the
pass mark are awarded Credit under conditions prescribed by Senate Regulations.
CQFW: The Credit and Qualifications Framework for Wales provides the common
framework that operates across Wales through which the level and volume of credit-
based learning is defined.
Credit: An award made to a learner in recognition of the achievement of designated
learning outcomes at a specified Credit level. The amount of Credit attributed is
based upon an estimation of the learning time, which it would take the average
learner to achieve the learning outcomes specified. Twenty Credits shall comprise a
minimum of two hundred study hours including associated contact hours,
independent study and Assessment.
Credit Level: An indicator of the relative demand, complexity and depth of learning
and of learner autonomy derived from the generic Credit level descriptors.
Credit Level: The designation of a Module or Credit within a given Programme shall
be defined as follows:
CQFW Level 3: Credit normally acquired on foundation Programmes, the
standard of which is equivalent to GCE 'A' level, and which would prepare
students for entry to undergraduate degree study;
CQFW Level 4: Credit normally acquired in the first year of undergraduate
Programmes and appropriate to the award of a University Certificate of Higher
Education;
CQFW Level 5: Credit normally acquired in the second year of
undergraduate Programmes, and appropriate to the award of a University
Diploma of Higher Education;
CQFW Level 6: Credit normally acquired in the final year of undergraduate
Programmes, and appropriate to the award of an honours degree;
CQFW Level 7: Credit normally acquired in taught postgraduate
Programmes, and appropriate to the award of an Integrated Master's Degree
or of a Master's Degree;
CQFW Level 8: Credit normally acquired in postgraduate research
Programmes and appropriate to the award of a Doctorate.
Cardiff University Credit Level (pre 2012-
2013)
CQFW Credit Level
Level Zero
Level 3
Level One
Level 4
5
Level Two
Level 5
Level Three
Level 6
Level M
Level 7
Level D
Level 8
Examination Period: A period determined by Senate which is set aside for the
conduct of Examinations and, where necessary, Practical-Based Examinations
following a specified period of study. For modular Programmes of Study, the
Examination Periods shall fall at the end of a Semester. The Examination Periods
will be notified to students at the beginning of each Session.
Examination Venue: A venue specified by the Superintendent of Examinations as
one in which an Examination may be held.
Examining Board: a Board established in accordance with Senate Regulations to:
- consider the performance of students;
- confirm marks and make recommendations on progression and awards
to the Awards and Progress Committee; and
- monitor the quality and standards of awards.
For taught Programmes, Examining Boards fall into the following types:
Progression Examining Board: established to make recommendations on
the progression of students between levels, stages, or years of study.
Progression Examining Boards may, where appropriate, determine eligibility
for Exit-Point Awards.
Final Examining Board: established to make recommendations on final
Awards and their classification, where appropriate.
Exit-Point Award: An award conferred upon a student who has been awarded
Credit for all Modules for a defined stage of a Programme where:
i the student does not progress to the next part of the Programme; or
ii the student fails the next part of the Programme or the final award
and is unable for whatever reason to retrieve the failure.
Experiential and/or Professional Learning: Work-related learning undertaken and
assessed within one or more prescribed Modules, at an appropriate Level and over a
defined period. Such learning may include periods of professional/industrial training
and periods of study/work experience. Credit shall be awarded for Experiential
and/or Professional Learning.
Extenuating Circumstances: Personal Circumstances, such as illness or
bereavement, which may seriously disrupt a student's ability to study and/or affect
their performance in an Assessment.
Extenuating Circumstances Group: a Group established in accordance with
Senate Regulations to consider and report to an Examining Board on Extenuating
Circumstances.
6
FHEQ: The Framework for Higher Education Qualification in England, Wales and
Northern Ireland (describes the range of qualifications awarded across higher
education). It applies to degrees, diplomas, certificates and other academic awards
granted by institutions with degree awarding powers.
Final Mark: The combined average of the Module Marks contributing to the final
award, weighted according to the Classification Set for the Programme and Credit
rating of the Modules calculated, rounded, and recorded as a whole number.
Home School: The School responsible for the administration of a Programme.
Learning Outcomes: Statements of what a learner can be expected to know,
understand and/or do as a result of a learning experience.
Level Result: The combined average of the marks for Modules contributing to a
level of study calculated, rounded and recorded to a whole number.
Module(s): An identifiable component of learning. Modules may be delivered in
units of 10-Credits, 15-Credits (postgraduate Programmes only), 20-Credits, 30-
Credits or 40-Credits. No Module shall be greater than a 40-Credit Module or extend
for more than one Session, save in respect of projects and dissertations and of
periods of professional/industrial training or study/work experience abroad. Modules
fall into the following types:
Core Module: A Module that all students registered on a particular Programme
must take.
Co-requisite Module: A Module that must be studied concurrently by students
registered on a particular Programme.
Free-Standing Module: A Module(s) which may be available to any student or
identified group of students registered on a Programme. The inclusion of one or
more Free-Standing Modules within a Programme shall be at the discretion of the
School Board.
Option Module: A Module which is optional for students registered on a
Programme
Placement / Fieldwork Module: A Module which may be pursued at a location
away from the University or at the University and which may be scheduled outside
the approved Semester dates.
Precursor Module: A Module, the study hours of which a student shall be required
to have completed in order to proceed to a subsequent specified Module or Modules,
but for which Credit may not necessarily have been awarded.
Prerequisite Module: A Module in which a student shall be required to have
received Credit in order to proceed to a subsequent specified Module.
Re-assessment: A second (or third) Assessment taken by a student subsequent to
a formal Examining Board confirming that a student has failed specific Module(s) and
that Credit shall not be awarded. There are two types of Re-assessment:
Re-sit assessment: Component and/or Module Re-assessment undertaken
prior to the next enrolment point in the Programme.
7
Repeat Assessment: Re-assessment in a component and/or Module,
subsequent to the next enrolment point in the Programme.
Internal Student: A student who is repeating Module(s) with
attendance on the Module(s).
External Student: A student who is repeating Module(s) without
attendance on the Module(s).
Required Module: A Module that all students registered on a particular Programme
must take and for which students require Credit to be able to progress to the next
Year or Stage of the Programme, or to graduate from the Programme with a
designated Award.
Module Description: A concise description of a Module including:
– learning outcomes;
– how the Module will be delivered;
– skills that will be practised and developed;
– how the Module will be assessed;
– reassessment opportunities;
– syllabus content; and
– indicative reading and resource list.
Module Mark: The total mark for an individual Module, calculated according to the
weightings for each component summative assessment specified in the Module
description, rounded and recorded as a whole number. The marks for the
component summative assessments will be whole numbers between 0 and 100.
Programme: A diet of approved Modules / Units of Study leading to a designated
award or to the award of Credit.
Programme of Study: The approved Modules / Units of Study pursued by an
individual student and leading to a designated award or to the award of Credit.
Programme Information: The information set that will be made available to a
student about their individual Programme of Study.
Semester: As determined by Council on the advice of Senate, a specified period of
study normally including any in-course assessment and/or Class Test(s).
Session: One academic year, as determined by Council on the advice of Senate.
Superintendent: The Superintendent of Examinations designated by the Vice-
Chancellor.
Unit of Study: An identifiable component of learning associated with a Non-Modular
Programme. Units of Study fall into the following types:
Core Unit of Study: A Unit of Study that all students registered on a particular
Programme must take.
Co-requisite Unit of Study: A Unit of Study that must be studied concurrently by
students registered on a particular Programme.
8
Free-Standing Unit of Study: A Unit of Study which may be available to any
student or identified group of students registered on a Programme. The inclusion of
one or more Free-Standing Units of Study within a Programme shall be at the
discretion of the School Board.
Option Unit of Study: A Unit of Study which is optional for students registered on a
Programme
Placement / Fieldwork Unit of Study: A Unit of Study which may be pursued at a
location away from the University and which may be scheduled outside the approved
Semester dates.
Precursor Unit of Study: A Unit of Study, the study hours of which a student shall
be required to have completed in order to proceed to a subsequent specified Unit of
Study.
Prerequisite Unit of Study: A Unit of Study which a student shall be required to
pass in order to proceed to a subsequent specified Unit of Study.
Required Unit of Study: A Unit of Study that all students registered on a particular
Programme must take and which students must pass to be able to progress to the
next Year or Stage of the Programme, or to graduate from the Programme with a
designated Award.
Unit of Study Mark: The total mark for an individual Unit of Study, calculated
according to the weightings for each component assessment specified in the Module
description, rounded and recorded as a whole number.
University: Cardiff University.
University Assessor: A person approved by a Head of School for carrying out
assessment duties in respect of Modules or Units of Study delivered by that School.
Year Result: The combined average of the marks for Modules / Units of Study
contributing to a year of study calculated, rounded and recorded to a whole number.
Senate Regulation for Awards of Cardiff University
1. AWARDS OF CARDIFF UNIVERSITY
1.1 The Awards of Cardiff University shall be designated as follows:
Senior Doctorates
DMus Doctor of Music/Doethur mewn Cerddoriaeth
DD Doctor of Divinity/Doethur mewn Diwinyddiaeth
DLitt Doctor of Letters/Doethur mewn Llên
DSc Doctor of Science/Doethur mewn Gwyddoniaeth
DDSc Doctor of Dental Science/Doethur mewn Gwyddoniaeth
Ddeintyddol
DScEcon Doctor of Economic and Social Studies/Doethur mewn
Astudiaethau Economaidd a Chymdeithasol
LLD Doctor of Laws/Doethur yn y Cyfreithiau
9
Doctoral D Level (HEQF); (CQFW credit level 8)
MD Doctor of Medicine/Doethur mewn Meddygaeth
DDS Doctor of Dental Surgery/Doethur mewn Llawfeddygaeth
Ddeintyddol
DNursSci Doctor in Nursing Science/Doethur mewn Gwyddor Nyrsio
PhD Doctor of Philosophy/Doethur mewn Athroniaeth
Professional Doctorates:
DClinPsy Doctor of Clinical Psychology/Doethur mewn Seicoleg Glinigol
DEdPsy Doctor of Educational Psychology/Doethur mewn Seicoleg
Addysg
EdD Doctor of Education/Doethur mewn Addysg
EngD Doctor of Engineering/Doethur mewn Peirianneg
DSW Doctor of Social Work/Doethur mewn Gwaith Cymdeithasol
DAHP Doctor of Advanced Healthcare Practice/ Doethur mewn
Ymarfer Gofal Iechyd Uwch
DNurs Doctor of Nursing/Doethur mewn Nyrsio
DHS Doctor of Health Studies/Doethur mewn Astudiaethau Iechyd
SPPD Doctor of Social and Public Policy/Doethur mewn Polisi
Cymdeithasol a Chyhoeddus
Master's M Level (HEQF); (CQFW credit level 7)
Master's Degrees:
MA Master of Arts/Athro yn y Celfyddydau
MSc Master of Science/Athro mewn Gwyddoniaeth
MScEcon Master of Economic and Social Studies/Athro mewn Astudiaethau
Economaidd a Chymdeithasol
MBA Master of Business Administration/Athro mewn Gweinyddiaeth
Fusnes
MPA Master of Public Administration/Athro mewn Gweinyddiaeth
Gyhoeddus
MEd Master of Education/Athro mewn Addysg
MEP Master of Educational Practice/Athro mewn Ymarfer Addysgol
LLM Master of Laws/Athro yn y Cyfreithiau
MMus Master of Music/Athro mewn Cerddoriaeth
MTh Master of Theology/Athro mewn Diwinyddiaeth
MPH Master of Public Health/Athro mewn Iechyd Cyhoeddus
MScD Master of Dental Science/Athro mewn Gwyddoniaeth Ddeintyddol
MRes Master of Research/Athro mewn Ymchwil
MPhil Master of Philosophy/Athro mewn Athroniaeth
MClinDent Master of Clinical Dentistry/Athro mewn Deintyddiaeth Glinigol
Integrated Master's Degrees:
MArch Master of Architecture/Athro mewn Pensaernïaeth
MChem Master in Chemistry/Athro mewn Cemeg
MEng Master of Engineering/Athro mewn Peirianneg
MESci Master in Earth Science/Athro mewn Gwyddor Daear
MMath Master in Mathematics/Athro mewn Mathemateg
MPharm Master of Pharmacy/Athro mewn Fferylliaeth
MPhys Master in Physics/Athro mewn Ffiseg
BDS Bachelor of Dental Surgery/Baglor mewn Llawfeddygaeth
Ddeintyddol
10
MB BCh Bachelor of Medicine and Bachelor of Surgery / Baglor mewn
Meddygaeth a Baglor mewn Llawfeddygaeth
Postgraduate Certificate in Education (PCET)/Tystysgrif Ôl-raddedig mewn
Addysg (PCET)
In Service Postgraduate Certificate in Education (PCET)/Tystysgrif Ôl-
raddedig mewn Addysg Yn y Gweithle (PCET)
Postgraduate Diploma/Diploma Ôl-raddedig
Postgraduate Certificate/Tystysgrif Ôl-raddedig
Honours H Level (HEQF); (CQFW credit level 6)
BA Bachelor of Arts/Baglor yn y Celfyddydau
BSc Bachelor of Science/Baglor mewn Gwyddoniaeth
BScEcon Bachelor of Economic and Social Studies/Baglor mewn
Astudiaethau Economaidd a Chymdeithasol
BEng Bachelor of Engineering/Baglor mewn Peirianneg
BEd Bachelor of Education/Baglor mewn Addysg
LLB Bachelor of Laws/Baglor yn y Cyfreithiau
BMus Bachelor of Music/Baglor mewn Cerddoriaeth
BArch Bachelor of Architecture/Baglor mewn Pensaernïaeth
BN Bachelor of Nursing/Baglor mewn Nyrsio
BMid Bachelor of Midwifery/Baglor mewn Bydwreigiaeth
BSD Bachelor of Science in Dentistry/Baglor mewn Gwyddoniaeth
mewn Deintyddiaeth
BMedSc Bachelor of Medical Science/Baglor mewn Gwyddor Feddygol
BD Bachelor of Divinity/Baglor mewn Diwinyddiaeth
BTh Bachelor of Theology/Baglor Diwinyddol
Graduate Diploma/Diploma Graddedig
In-Service Professional Graduate Certificate in Education (PCET)/Tystysgrif
Raddedig Broffesiynol mewn Addysg Yn y Gweithle (PCET)
Graduate Certificate/Tystysgrif Raddedig
Intermediate I Level (HEQF); (CQFW credit level 5)
Diploma of Higher Education/Diploma Addysg Uwch
National Qualification for Tutors of Welsh for Adults/Cymhwyster
Cenedlaethol Tiwtoriaid Cymraeg i Oedolion
Certificate C Level (HEQF); (CQFW credit level 4)
Certificate of Higher Education/Tystysgrif Addysg Uwch
Diploma in Legal Studies (for exchange students)/Diploma mewn
Astudiaethau Cyfreithiol (ar gyfer myfyrwyr cyfnewid)
Foundation Studies (CQFW credit level 3)
Certificate of Foundation Studies/Tystysgrif Astudiaethau Sylfaen
1.2 The language of tuition, supervision and assessment will be in English
and/or in Welsh, except in Programmes that are designed to include the
acquisition of language skills.
2. ADMISSION
2.1 All applicants for admission to a taught Programme or programme of
research shall be required:
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2.1.1 to meet the conditions of the University General Entrance Requirement, as
agreed by Senate; and
2.1.2 to meet any particular requirements specified for the relevant taught
Programme or programme of research.
The University General Entrance Requirement, as agreed by Senate, is
attached as an Annex to this Senate Regulation.
2.2 The decision as to whether an applicant shall be admitted shall rest with the
relevant Head of School. In addition, Heads of School shall retain the right
to determine the maximum or minimum intake for individual Modules or
other Units of Study, providing that an applicant may not be denied
admission to any Core Modules or Units of Study which contribute to the
Programme for which s/he is registered.
2.3 An individual verification of the academic qualifications obtained prior to
entry may be undertaken, either during the admission process or following
enrolment as a student. As part of this verification, applicants/students may
be required to provide certification to verify their academic qualifications.
The University reserves the right to refuse admission or (as appropriate) to
apply the Student Disciplinary Procedure if clear and complete certification
for such verification is not provided on request.
3. REGULATIONS FOR SPECIFIC AWARDS
3.1 The following academic regulations, procedures and codes of practice shall
apply, as appropriate, to Awards of Cardiff University:
Senate Regulations for Senior Doctoral Degrees
Senate Regulations for PhD (Doctor of Philosophy)
Senate Regulations for PhD (Doctor of Philosophy) by Published Works
Senate Regulations for Doctorates by Examination and Thesis (Professional
Doctorates)
Senate Regulations for MD (Doctor of Medicine)
Senate Regulations for MPhil (Master of Philosophy)
Senate Regulations for MScD (Master of Dental Science) (by Research)
Senate Regulations for MRes (Master of Research)
Senate Regulations for the Non-Modular Bachelor of Dental Surgery Hons
(BDS)
Senate Regulations for the Non-Modular Bachelor of Medicine – Bachelor of
Surgery (MB BCh)
Code of Practice for Research Degrees
Senate Regulations for Postgraduate Taught Programmes – Modular
Programmes
Senate Regulations for Postgraduate Taught Programmes – Non-Modular
Programmes
Senate Regulations for Modular Undergraduate Programmes
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Senate Regulations for Aegrotat and Posthumous Awards
Definition of Generic Terms Used in Senate Regulations
Programme Regulations / Programme Information.
4. ATTENDANCE, PROGRESS, DISCIPLINE AND FITNESS TO PRACTISE
4.1 The following academic regulations, codes of practice and procedures shall
apply, as appropriate, to Awards of Cardiff University:
Senate Attendance and Engagement Procedures (including Interruption of
Study Procedure, Non-Engagement with Programme Procedure,
Unsatisfactory Academic Progress Procedure, Research Student Progress
Monitoring Procedure and Procedures for the Appeals and Return to Study)
Senate Regulations Governing Personal Tutors
Research Student Monitoring Procedure
Student Discipline Procedure
Students' Fitness to Practise Procedure
Students’ Fitness to Study Procedure.
5. ASSESSMENT
5.1 The following academic regulations, codes of practice and procedures shall
apply, as appropriate, to Awards of Cardiff University:
Senate Assessment Regulations for Taught Programmes
Senate Regulations for Taught Postgraduate Degrees – Dissertation
Submission: Modular and Non-Modular Programmes
Senate Regulations for the Presentation and Submission of Research
Degree Theses
Procedures for the Conduct of Research Degree Examinations
Extension to the Time Limit Procedure – Postgraduate Research
Candidates
Unfair Practice Procedure (taught Programmes)
Academic Integrity in Research Degree Study
Academic Appeals Procedure.
6. VARIATION OF ARRANGEMENTS
6.1 The University will make all reasonable efforts to deliver Programmes and
research opportunities leading to its awards as described in materials
published by the University.
6.2 The University reserves the right for the Vice-Chancellor to vary
arrangements in exceptional circumstances, which are beyond the
13
University’s reasonable control. Examples of such circumstances may
include:
a) acts of God, flood, earthquake, windstorm or other natural disaster,
including epidemics of infectious diseases;
b) fire, explosion or accidental damage;
c) collapse of building structures, failure of machinery, computers or
vehicles;
d) labour disputes, including strikes and industrial and other action;
e) interruption or failure of utility service, including but not limited to
electric power, gas or water;
f) the acts, decrees, legislation, regulations or restriction of any
government;
g) the unexpected absence or departure of a key member of staff;
h) where the numbers recruited to a programme and/or module are so low
that it is not possible to deliver an appropriately high quality of
educational experience to students enrolled on it;
i) in response to the requirements of an accrediting body or professional
regulator;
j) where an aspect of a course relies on the specific expertise of a
member of staff who is ill or leaves, and it is not reasonably possible to
find a replacement with the relevant expertise.
Where such events occur the University will seek to minimise the impact on
the student learning experience by, for example:
delivering a modified version of the same Programme; or
by making available to affected students such learning support and/or
services and facilities as it considers appropriate; or
offering affected students the opportunity to transfer to another
Programme, or to withdraw and be given reasonable support to move
to another university.
The University will provide continued assurances of the standard and quality
of the award. Students will be informed of any changes to learning support,
services and facilities by the University as soon as is practicable.
6.3 In addition to the circumstances described in paragraph 6.2 above, the
University will be entitled to make reasonable changes to its Programmes
where that will enable the University to deliver an equivalent or better quality
of educational experience to students enrolled on the Programme.
Examples of such circumstances may include:
a) the content and syllabus of the Programme where developments in the
subject area make that necessary;
b) the location of the Programme;
14
c) the method of delivery of the Programme.
In making any such changes, the University will aim to keep the changes to
the minimum necessary to achieve the required quality of experience and
will notify and consult with affected students in advance about any changes
that are required. If the University changes a Programme, students who are
not satisfied with the changes will be offered the opportunity to transfer to
another Programme or, if required, to withdraw and be given reasonable
support to move to another university.
ANNEX TO SENATE REGULATION FOR AWARDS OF CARDIFF UNIVERSITY
Statement of the University's General Entrance Requirement
The University seeks to provide fair and equal access to all who have the potential to
benefit from the University's research-led learning and teaching environment.
1.1 Applicants for entry to taught Programmes or to programmes of research
must:
1.1.1 satisfy any applicable University language competency requirements, as
detailed in the University English Language Policy and/or the University
Welsh Language Policy.
1.1.2 satisfy any additional entry requirements specified for the particular taught
Programme or programme of research.
1.2 Applicants for entry to postgraduate taught Programmes or programmes of
research must, in addition to meeting the minimum requirements set out in
paragraph 1.1 above:
1.2.1 hold a UK higher education qualification at CQFW credit level 6 or above
from a UK institution with relevant degree awarding powers as recognised
by the UK government and detailed on its website at:
https://www.gov.uk/recognised-uk-degrees ; or
1.2.2 hold a non-UK qualification equivalent to CQFW credit level 6 or above
1
; or
1.2.3 for postgraduate taught Programmes only:
i be able to demonstrate to the satisfaction of the Head of School or
nominee that they have held, for a minimum period of two years, a
position of responsibility relevant to the Programme which they intend
to pursue; or
ii in exceptional circumstances, to be deemed to be able to demonstrate
equivalent skills that are sufficient to meet the demands of the
Programme the applicant intends to pursue, and be approved as such
by the Head of School or nominee.
1.3 This General Entrance Requirement is supplemented by the following
additional provisions:
1
The National Recognition Information Centre for the United Kingdom (NARIC)
(http://www.naric.org.uk/) is the University's primary source of guidance about the acceptability of
overseas qualifications for admission to its taught Programmes and programmes of research, but
the University will also consider other overseas qualifications where the awarding institution has
been subjected to appropriate quality assurance measures.
15
University English Language Policy;
University Welsh Language Policy;
Cardiff University's Admissions Framework.
1.4 Additionally, the admission of students at the point of entry may be subject
to constraints imposed by health and safety legislation and professional,
statutory and regulatory bodies' (PSRBs) requirements for specified
programmes offered by the University.
1.5 Offers of admission made on the basis of applications containing false or
misleading information may be revoked by the Vice-Chancellor (or his/her
delegate) in consultation with the appropriate Head(s) of School. The
applicant will be informed of their right of appeal via the Applicant
Complaints and Appeals Procedure.
1.6 Allegations of applications containing false or misleading information made
after the enrolment of an applicant shall be dealt with under the terms of the
Student Discipline Procedure.
ANNEX TO SENATE REGULATION FOR AWARDS OF CARDIFF UNIVERSITY
English Language Policy
1. All prospective students at Cardiff University who will be studying and
assessed through the medium of English must demonstrate to the University
that their English language competence is at a level which allows them to
cope with the demands of higher education and derive full benefit from their
chosen taught Programme or programme of research.
2. Whilst minimum standards are set out below, Schools may request a higher
level of English language competence than that specified below to reflect
the demands of specified taught programmes or programmes of research;
where higher levels are required, these will be clearly indicated in the
relevant School admissions criteria.
3. As a minimum, undergraduate and postgraduate applicants should
satisfy at least one of the following criteria:
3.1 hold one of the following English language qualifications or other equivalent
qualification, as detailed in the University's English Language Policy
Guidance:
Qualification
Minimum Score
GCSE English Language
C
IELTS (Academic Test)
6.5
English tests or examinations must have been taken no more than two
years before the proposed date of entry to the University.
3.2 Where an applicant does not hold one of the recognised English language
qualifications stipulated in paragraph 3.1 the applicant must be able to
demonstrate the required level of English language competence by means
of clear and unambiguous evidence, supported by documentation, to the
16
satisfaction of the University, on the Head of School or nominee’s
2
recommendation and which meets the demands of the taught Programme
or programme of research. This evidence may take the form of one or
more of the following:
.1 Successful completion of /an appropriate score from a Cardiff
University English language course as detailed in the University's
English Language Policy Guidance completed no more than two
years before the proposed date of entry to the University; or
successful completion of the English language element of the Cardiff
University International Foundation Programme.
.2 Other qualifications pursued solely through the medium of English
which can be demonstrated to be at an equivalent or higher level to
those detailed in paragraph 3.1 and which were completed no more
than three years before the proposed date of entry to the University.
3.3 Where the validity period of a qualification as stated in 3.1. or 3.2 has
elapsed, an applicant must be able to demonstrate that they have
maintained or improved their English language competence by providing
evidence from a current employer who can comment in detail and with
authority about the applicant’s use of the English language in employment.
3.4 As a minimum, applicants to the University’s International Foundation
Programme students should have achieved the qualifications specified
below or an equivalent Home Office approved Secure English Language
Test (SELT) result, as detailed in the University’s English Language Policy
Guidance:
Qualification
Score
IELTS (Academic Test)
5.5
The Secure English Language Test (SELT) must have been taken no more
than two years before the proposed date of entry to the University.
3.5 International students requiring a Tier 4 (General Student) visa to study in
the United Kingdom (UK) must also satisfy any Secure English Language
Test (SELT) sub-score requirements stipulated in the University’s offer of
admission in order to comply with UK immigration regulations.
Welsh Language Policy
1. All prospective students at Cardiff University who will be studying and
assessed through the medium of Welsh must demonstrate that their Welsh
language competence is at a level which allows them to cope with the
demands of higher education and derive full benefit from their chosen
programme of study.
2. Whilst minimum standards are set out below, Schools may request a higher
level of Welsh language competence than that specified below to reflect the
demands of a specified taught Programme or programme of research;
where higher levels are required, these will be clearly indicated in the
relevant School Admissions Criteria.
2
The English Language Policy Guidance defines the criteria for appointing a nominee who may
determine applicants' suitability for admission in lieu of the Head of School.
17
3. As a minimum, undergraduate and postgraduate applicants should
satisfy at least one of the following criteria:
3.1 hold one of the following Welsh language qualifications:
Qualification
Minimum Grade
GCSE Welsh language (first language)
C
GCE ’O’ level Welsh Language (first
language)
C
Welsh language qualifications must have been taken no more than two
years before the proposed date of entry to the University.
3.2 Alternative sources of evidence may take the form of one or more of the
following:
.1 An alternative Welsh language qualification at an equivalent level to
that specified above in paragraph 3.1 which tests reading, writing,
speaking and listening competence completed no more than two years
before the proposed date of entry to the University;
.2 Other qualifications pursued through the medium of Welsh which can
be demonstrated to be at an equivalent or higher level to that detailed
in paragraph 3.1 and which were completed no more than three years
before the proposed date of entry to the University;
4. Students for whom Welsh is not their first language admitted to the BA in
Welsh (specialised second-language Programme) should either have
been awarded the qualification specified below or an accepted equivalent
qualification:
Qualification
Grade
A level Welsh Language (second language)
C
The A level Welsh Language (second language) must have been taken no
more than two years before the proposed date of entry to the University.
5. Where the validity period of a qualification as stated in 3.1 or 3.2 or 4 has
elapsed, an applicant must be able to demonstrate that they have
maintained or improved their Welsh language competence by providing
evidence from a current employer who can comment in detail and with
authority about the applicant’s use of the Welsh language in employment.
The University may require an applicant to undertake an additional internal
assessment of language skills in addition to or in placed of the employer’s
evidence.
ANNEX TO SENATE REGULATION FOR AWARDS OF CARDIFF UNIVERSITY
Academic Management and Decision Making – General Principles
1. The Senate is the chief academic authority of the University and, subject to
the authority of Council, is responsible for:-
18
the regulation and conduct of assessment in all its forms
the determination of Cardiff University awards
the quality and standard of Programmes
the rules of student discipline.
2. STAFF
All members of staff are expected to take personal responsibility for the
quality of their contributions to the provision of students' educational
experience.
3. STUDENTS
It is the responsibility of each individual student to take full advantage of the
opportunities presented by the educational experiences made available
through his/her chosen taught Programme or programme of research, by
participating therein fully, diligently and regularly.
4. REGULATORY CHANGES
4.1 The academic regulations in force at the point of a student's registration for
a period of study shall normally apply to the student for the duration of that
period of registration;
4.2 Changes to regulation may take immediate effect only where there is a legal
imperative for the change(s) or where the change(s) cannot disadvantage
any student.
5. UNIVERSITY AWARDS AND PROGRESS COMMITTEE
5.1 The University Awards and Progress Committee shall, under authority
delegated to it by Senate and Council:
.1 admit to degrees of the University or shall grant diplomas, certificates
or other academic awards of the University to persons who have
qualified for such an award in accordance with Statutes, Ordinances
academic regulations or procedures;
.2 rescind decisions to admit persons to awards:
i to correct arithmetical or other errors of fact;
ii on the recommendation of re-convened Examining Board.
6. SCHOOL DECISION-MAKING
6.1 Each Head of School must consult members of the academic staff of the
School upon core academic issues, as required by Ordinances.
6.2 All proposals which require the approval of University Committees or have
resource implications, shall be subject to the written approval of the relevant
Head/(s) of School.
6.3 The role of committees is, essentially, to decide or to advise upon issues of
policy; as far as is possible, the responsibility for day-to-day administrative
matters shall be delegated to named individuals.
19
6.4 Students shall have opportunities to participate in making decisions about
academic matters through their membership of relevant committees.
6.5 Heads of School shall put in place mechanisms for the sharing of External
Examiners' reports (taught Programmes) with their students (normally
through student representatives on Boards of Studies).
6.6 Accountability for the quality of the educational experiences made available
to students, including those pursuing modules offered by the School within
jointly-taught and co-taught programmes, and programmes where the first
year is inter-School based, shall rest with the Heads of the participating
Schools.
6.7 Every Module (modular Programmes) or taught Unit of Study (non-modular
Programmes) (hereafter, the term 'Module' will be used to refer to both) shall
belong to one School only; responsibility for Modules cannot be shared.
7. BASIC STRUCTURE FOR MANAGEMENT OF TAUGHT PROGRAMMES
In accordance with Ordinances, it shall be the responsibility of each Head of
School to establish the basic structure within his/her School for the
management of taught Programmes. This will comprise, as a minimum:-
7.1 THE SCHOOL BOARD
In every School there shall be a senior committee, advisory to the Head of
School and chaired by the Head or his/her nominee, which shall be
concerned with major issues of policy relating to the School.
Such committees may exist under a variety of names. For the purposes of
this Regulation the term "School Board" is employed. This term embraces
any sub-committee set up by the School Board to carry out some or all of its
functions in relation to learning and teaching.
7.1.1 In relation to taught Programmes these will include:
.1 the establishment of the School's mission and objectives and policies
for their review;
.2 the development of the School's Strategic Plan in line with institutional
strategies;
.3 consideration of issues arising from the Learning and Teaching
Committee (or equivalent) established in the School to consider the
development of learning, teaching and assessment policies in
accordance with the University's priorities as defined by the Strategies
for (i) Learning and Teaching, (ii) the Learning Environment and (iii)
Assessment. The locus for these considerations must be clearly
defined;
.4 policies for the allocation and monitoring of resources to taught
Programmes.
7.2 BOARDS OF STUDIES
All Programmes must come under the aegis of a Board of Studies. The
Head of School shall establish such Boards of Studies as are necessary to
20
ensure the co-ordination of all academic and administrative matters
associated with taught Programmes provided by the School.
7.2.1 Boards of Studies shall report to the School Board, either directly or via one
or more appropriate sub-committees. They shall be concerned with one or
more Programmes, or parts of joint Programmes offered by the School.
Their core functions shall include the following:
.1 those functions that are described under Section 8 below, and in
particular the Annual Review and Enhancement (ARE) of programmes/
part programmes under the aegis;
.2 to consider and advise the School Board on policies and regulations
relative to each Programme under their aegis on matters such as:
admissions criteria
methods of assessment
academic progress of students (reserved business)
content and curriculum
programme development
equality and diversity issues
.3 to advise the School Board on the method(s) of assessment for each
Module or Unit of Study and, where appropriate, the relative
contribution of each method of assessment to the mark for each
Module or Unit of Study;
.4 to advise the School Board on adjustments to the prescribed
Programme of Study and/or schedule of assessment for individual
students, according to their Extenuating Circumstances and specific
needs;
.5 to advise the Head of School on applications for entry with advanced
standing.
7.2.2 Unless modified by implementation of the provisions of Ordinances,
distribution of the functions of School Boards and of Boards of Studies shall
be in accordance with Section 8 below.
7.2.3 The composition of Boards of Studies shall not be prescribed save that they
shall include:
at least one academic staff representative of each Module under the
aegis of the Board of Studies;
at least one student representative, normally drawn from the
Student/Staff Panels administered by the Board of Studies and elected
by and from the student members of the Staff/Student Panels. Each
Board of Studies shall determine the number of additional student
representatives (if any) to be included within its membership.
7.3 EXAMINING BOARDS
7.3.1 Examining Boards shall be established in accordance with Senate
Regulations.
21
7.3.2 Examining Boards shall, as appropriate to a Programme or to a programme
of research:
.1 confirm marks and make recommendations on the progression and
awards of students to the University Awards and Progress Committee;
and
.2 monitor the quality and standards of awards and to make
recommendations relating to the enhancement of such matters to
Boards of Studies, School Education Committees and School
Research Committees.
7.3.3 Examining Boards shall not use any of their powers to vitiate decisions
taken by other bodies that are formally empowered by the Senate to apply
academic penalties to students found to be in breach of the University's:
Academic Progress Procedure
Student Disciplinary Procedure
Students' Fitness to Practise Procedure
Unfair Practice Procedure.
7.3.4 Where, consequent upon an appeal against the decision of an Examining
Board, the University Awards and Progress Committee concludes that the
decision taken by a re-convened Examining Board was unreasonable or
cannot be sustained by the facts of the case, it shall have the authority to
override said decision.
7.4 STUDENT/STAFF PANELS
Each Head of School shall make arrangements for at least two consultative
meetings each academic year between representatives of the students and
staff of the School.
7.5 VARYING THE BASIC ACADEMIC DECISION-MAKING STRUCTURE
Any case to vary the basic academic decision-making structure approved by
Senate shall be made to the Academic Standards and Quality Committee,
which shall be authorised to approve such variations.
8. FUNCTIONS
References to any committee in the following paragraphs should be taken to
cover any sub-committee established to carry out certain functions under
delegated powers.
8.1 The following tasks and responsibilities shall normally be conducted by the
bodies indicated as follows:-
8.1.1 Approval of proposed new Programmes
School Board
Academic Approval Event
Academic Standards and Quality Committee
22
8.1.2 Annual and Periodic Review of Programmes (including consideration
of reports from External Examiners)
Board of Studies
School Board
Academic Standards and Quality Committee
8.1.3 Major and Intermediate Changes to Existing (as detailed in the
Programme Approval Policy Framework)
Board of Studies
School Board
Academic Approval Event
Academic Standards and Quality Committee
8.1.4 Minor changes to existing Programmes (as detailed in the Programme
Approval Policy Framework)
changes affecting less than 10% of modules;
module aims and learning outcomes;
methods of teaching and assessment;
module title (also requires allocation of a new module code);
weighting between approved methods of assessment;
catalogue entry;
syllabus content.
Board of Studies
School Board
9. STRUCTURE FOR THE MANAGEMENT OF RESEARCH DEGREES
9.1 Heads of School are responsible for the definition and establishment of a
local School Framework for the conduct and management of research
degrees, always with regard to the over-arching University principles
expressed in the University's Code of Practice for Research Degrees.
9.2 To this end, Heads of School shall establish such bodies or managerial
arrangements as are necessary to ensure the co-ordination, promotion and
development of research within the School, including the training,
development and support of research students.
10. PROFESSIONALS' DUTY TO REPORT
10.1 Where members of the University's staff have concerns regarding the
conduct or integrity of registered students of the University who are enrolled
on programmes of study that lead directly to, or that satisfy a necessary
condition of, a professional qualification, and/or which gives the right to
practise in one or more professions, they shall report these concerns to the
Head of School. The Head of School will investigate their concerns and
make a report to the Academic Registrar. The Head of School will then, in
consultation with the Academic Registrar, decide whether the matter should
be reported to the relevant Professional or Statutory Body forthwith and/or
the student is to be referred to a Student Disciplinary Panel or Fitness to
Practise Committee or Committee of Enquiry (Unfair Practice).
23
10.2 Where it is decided under the terms of 11.1 above, that the circumstances
warrant a report being made to the relevant Professional or Statutory Body
under the terms of their particular Code of Conduct, but do not warrant the
student's being referred to a University Committee, then the Head of School
will agree with the member/(s) of staff who raised the concerns how and by
whom the matter will be reported to the Professional or Statutory Body.
10.3 Where a student has been referred to a University Committee, and the
complaint against the student has been upheld, then the Academic
Registrar shall be responsible for reporting the same to the relevant
Professional or Statutory Body, on behalf of the University.
Senate Regulations for Aegrotat and Posthumous Awards
AEGROTAT AWARDS
1. Should a candidate be prevented by illness or other medical reasons from
completing final examinations or other final assessments of a Programme,
the Examining Board, having considered the relevant evidence (which
should include satisfactory medical certification) may recommend to the
Awards and Progress Committee via the Academic Registrar that an
Aegrotat award be made.
2. In doing so, the Examining Board should be satisfied that the candidate's
prior performance shows on the balance of probabilities that he/she would
have passed but for the illness/event which occurred. The Awards
Committee should be satisfied that the candidate is unlikely to be able to
return to complete his/her study at a later date within a reasonable period.
3. The Chair of the Examining Board shall require the candidate to confirm in
writing that s/he is willing to accept an Aegrotat award. The student's signed
confirmation of willingness to accept an Aegrotat award shall be presented
by the Chair of the Examining Board with the recommendation to the
Awards and Progress Committee for an Aegrotat award.
4. Where the student is unwilling to do so, the Examining Board shall seek any
appropriate extension to the student's candidature and permit the candidate
to complete the examinations/assessments in question accordingly.
5. An Aegrotat degree, diploma or certificate shall be unclassified and, in all
other respects, un-graded. An Aegrotat award does not necessarily entitle
the holder to registration with a professional body, or exemption from the
requirements of any professional qualification, or progression to another
academic programme or another stage of a programme which might
otherwise be associated with the Programme concerned.
6. No candidate shall be exempted from submitting and defending a research
thesis or from presenting a Master's dissertation (or equivalent presentation)
where such is required. It follows, therefore, that Examining Boards may not
recommend the award of Aegrotat research degrees, and that Aegrotat
taught Master's degrees may be awarded only where the work done for the
dissertation can be examined. This requirement does not prevent the
issuing to the candidate of any relevant award which might be made in
respect of study completed previously.
24
POSTHUMOUS AWARDS
1. TAUGHT PROGRAMMES
An Examining Board may recommend to the Awards and Progress
Committee via the Academic Registrar that a posthumous award be made
where a candidate for a taught award has died and where the Examining
Board is satisfied on the balance of probabilities that the candidate's
performance on the Programme shows that he/she would have passed.
2. POSTGRADUATE RESEARCH DEGREES
An Examining Board may recommend to the Awards and Progress
Committee via the Academic Registrar that a posthumous award be made
where a candidate for a postgraduate research degree has died:
2.1 after the thesis has been examined, or submitted for examination, but before
the oral examination (where required) can be held.
In such a case, the Board shall consider the work presented and, provided
that it is satisfied that the work is the candidate's own (by means of the
receipt of reports from the Head of School and the supervisor), may decide
to recommend that an award be made.
2.2 before submitting the thesis.
In such a case, the Board shall consider available evidence of the research
work completed by the candidate. Normally, such evidence shall be
supplied by the candidate's supervisor, who shall also submit a report for
consideration by the examiners. The Head of the School concerned shall
also submit an argued recommendation regarding the award of the degree.
The following criteria must also be satisfied:
2.2.1 enough of the research project must have been completed to allow a proper
assessment to be made of the scope of the thesis;
2.2.2 the standard of the research work completed must be of that normally
required for the award of the degree in question, and must demonstrate the
candidate's grasp of the subject;
2.2.3 the written material available (draft chapters, published work, work prepared
for publication, presentations to conferences/seminars, progress reports by
the candidate for his/her school/institution/sponsor) must demonstrate the
candidate's ability to write a thesis of the required standard.
Senate Regulations for Modular Undergraduate Programmes
1. GENERAL
1.1 These Regulations apply to undergraduate students following a modular
Programme who will complete their Programme in or after academic
Session 2013-2014. In all other cases, the Regulations previously in place
for the Programme shall apply.
1.2 Subject to the above, these Regulations apply to all modular undergraduate
Programmes, including those offered on a part-time basis where these
25
Regulations must be applied on a pro-rata basis equivalent to the volume of
Credit associated with study on a full-time Programme.
1.3 The following non-modular undergraduate programmes operate under the
aegis of separate Senate Regulations:
BDS
MB BCh.
1.4 Pending its discontinuation, the following non-modular undergraduate
programme shall operate under the aegis of Programme Regulations:
Diploma of Higher Education in Dental Therapy and Hygiene (combined).
1.5 These Regulations are to be read in conjunction with Senate Assessment
Regulations for Taught Programmes which include provisions for managing
Extenuating Circumstances.
1.6 A Head of School may, exceptionally, seek the approval of the Academic
Standards and Quality Committee to vary these Regulations in respect of
one or more Programme(s).
2. DEFINITIONS
Definitions of terms used in these Regulations can be found in the document
'Definition of Generic Terms in Senate Regulations'.
3. ADMISSION
3.1 All applicants for admission to modular undergraduate Programmes shall be
required:
3.1.1 to meet the conditions of the University General Entrance Requirement; and
3.1.2 to meet any particular requirements for the Programme applied for, as
specified in the relevant Programme Information.
3.2 The decision as to whether an applicant shall be admitted to a Programme
shall rest with the relevant Head of School. In addition, Heads of School
shall retain the right to determine the maximum or minimum intake for
individual Modules, providing that an applicant may not be denied admission
to any Required Modules or Core Modules which contribute to the
Programme for which s/he is registered.
3.3 An individual verification of the academic qualifications obtained prior to
entry may be undertaken, either during the admission process or following
enrolment as a student. As part of this verification, applicants/students may
be required to provide certification to verify their academic qualifications.
The University reserves the right to refuse admission or apply the Student
Disciplinary Procedure if clear and complete certification for such verification
is not provided on request.
4. PROGRAMME INFORMATION FOR STUDENTS
4.1 For each approved modular undergraduate Programme, there shall be
approved Programme Information which shall include, inter alia:
Entry Requirements
Programme Specification
Structure of the Programme
26
Module Descriptions
Rules on Assessment, Progression and Award.
5. MODULES
5.1 Where a Module is available for more than one Programme, its status as a
Required Module, Core Module, Option Module or Free-Standing Module
may vary between programmes. The Credit Level of a Module may not
vary.
5.2 No Module shall be sub-divided.
5.3 Precursors, Prerequisites and/or Co-requisites may be defined for any
Module or for a Module in a specified Programme.
5.4 The Head of School responsible for the management of a Module shall
determine whether it shall be made available to students registered on other
programmes as a Free-Standing Module and, if it is, shall specify any
minimum or maximum intake levels or other restrictions.
5.5 No Module which is timetabled for the Autumn Semester shall be a
Prerequisite for entry into a Module which is scheduled for the Spring
Semester immediately following.
5.6 Any placement or fieldwork requirements shall form part or all of one or
more specified Modules subject to any timetabling or other constraints.
5.7 Modules shall not extend beyond one Session.
6. STRUCTURE OF MODULAR PROGRAMMES
6.1 Save as provided in 6.2, Modular Programmes shall be structured as follows
and consist of Credits as indicated below:
Level 4 or
higher
Level 5 or
higher
Level 6 or
higher
Level 7 or
higher
Total
Certificate
of Higher
Education
120
120
Diploma of
Higher
Education
120
120
240
Honours
Degree
120
120
120
360
Integrated
Master's
Degree
120
120
120
120
480
Graduate
Certificate
20
40
60
Graduate
Diploma
30
90
120
Intercalated
Degree
120
120
27
6.2 Programmes with a year of Experiential and/or Professional Learning shall,
in addition, include a further 120 Credits at a Level indicated in Programme
Information.
6.3 A Graduate Diploma shall be the appropriate award to a student admitted
with advanced standing to the final year of a Cardiff University
undergraduate degree on the basis of a first degree in a cognate discipline
and where the Credit requirements detailed in 6.1. above have been
achieved. This provision serves to prevent double counting of achieved
Credit towards two separate degree awards.
6.4 Each full-time student shall pursue a Programme of Study comprising
Modules to the minimum value of 120 Credits in a session.
6.5 Save as provided in 6.6 below, students shall pursue 120 Credits in each
year of study, excluding resit opportunities.
6.6 Students registered on part-time Programmes shall be permitted a
maximum of three sessions to pursue the Modules which are equivalent to a
Session of full-time study.
6.7 There may be an approved initial period of study, which shall consist of 120
Credits at Level 3 or higher and which may lead to progression to one or
more specified Programmes.
ENTRY WITH ADVANCED STANDING
6.8 Heads of Schools shall be authorised to approve entry with advanced
standing subject to the following limits:
Integrated Master's Degree: A maximum of 360 Credits, with the further
requirement of a minimum of 120 Credits at Level 7 to be taken at the
University;
Honours Degree: A maximum of 240 Credits, with the further requirement
of a minimum of 120 Credits at Level 6 to be taken at the University;
University Diploma of Higher Education: A maximum of 120 Credits with the
further requirement of a minimum of 120 Credits at Level 5 to be taken at
the University;
Such approvals shall be on the basis of one or more periods of study at
institutions of higher education in lieu of a specified period of study at the
University where the specified period shall comprise the equivalent of not
less than one Session of full-time study.
6.9 Where a student is admitted with advanced standing, the student will be
awarded the appropriate Credits. In determining the Final Mark an
Examining Board shall include only those Modules which the student has
attempted as a registered student of the University.
EXEMPTIONS FROM INDIVIDUAL MODULES
6.10 Subject to minimum residence requirement, Heads of Schools shall be
permitted to approve exemptions from individual Module(s) where these do
not constitute the equivalent of a full Session load for a full-time student
providing the Head of School is satisfied that the student concerned has
28
already covered satisfactorily the syllabus content of the Module(s)
concerned.
6.11 Where a student is granted exemption from a Module s/he shall be awarded
the appropriate number of Credits. In determining the Final Mark an
Examining Board shall include only those relevant Modules which the
student has attempted as a registered student of the University.
6.12 No student who has been exempted from specified Modules shall be
regarded as a full-time student unless s/he is pursuing a Programme of
Study comprising a minimum of 120 Credits in one Session.
PROGRAMME OF STUDY
6.13 At the beginning of the Session, all students shall be required to register on
a Programme and confirm for the approval of the Head of School, their
Programme of Study for the Session.
6.14 Following registration a student may seek the approval of the Head of
School to amend his/her Programme of Study within the first three weeks of
a Semester.
TIME-LIMIT
6.15 The time-limit for a student to complete his/her Programme shall be no more
than two years beyond the normal duration of the Programme as indicated
in the Programme Information.
7. ASSESSMENT OF MODULES
7.1 Assessment shall be conducted in accordance with Senate Assessment
Regulations for Taught Programmes.
7.2 The forms of Assessment for each Module, including the weighting for each
element of the Assessment, shall be indicated in Programme Information.
7.3 Except as provided in 7.4 below, the minimum Module Mark for a pass in
each Module shall be 40%. Credit for a Module shall be awarded according
to the Regulations in section 8.
7.4 For Modules at Level 4 that are concerned solely with particular professional
competencies, an Examining Board may award Credit on the basis of a
Module outcome of either "Pass" or "Fail".
7.5 Subject to being able to continue on a Programme, a student shall be
permitted three attempts to achieve the award of Credit in a Module (a first
attempt and two Re-assessment attempts).
7.6 Where a student has been awarded Credit in a Module, and where that
student cannot retake assessments impacted by Extenuating Circumstances
(see Senate Assessment Regulations 11.6), the student shall not be
permitted any further Assessment in that Module.
7.7 A student who has failed a Module on three occasions shall be required to
withdraw from that Module.
7.8 A student who passes a Module, in which s/he has previously failed, shall be
credited with the minimum Module Mark for a pass or "Pass" as applicable.
29
7.9 A student who has been awarded Credit in a Module shall not be permitted
to be reassessed in that Module.
8. DETERMINATION OF MODULE MARKS AND AWARD OF CREDIT
8.1 A Programme Examining Board or Composite Examining Board which
meets to consider the progress of students on one or more Programmes,
shall consider the performance of each student, in each Module, and shall
confirm:
.1 a Module Mark for each Module; and
.2 whether the student:
- is eligible for the award of Credit as provided in 8.2 and 8.3 below; or
- has failed the Module (see Section 12, Resits and Re-Assessments);
or
- has had Assessment(s) impacted by Extenuating Circumstances. In
such cases, the Examining Board shall deal with the student in
accordance with the Senate Assessment Regulations.
8.2 An Examining Board shall award Credit in a Module where a student has
achieved:
a Module Mark of 40% or more (or a "Pass" as provided in 7.4
above); and
where relevant and indicated in the Programme Information, a
mark of 40% or more in any individual Assessment(s)
designated as having to be passed; and
where relevant, any required professional competencies.
Condonement
8.3 In addition to 8.2 above, an Examining Board shall award a student Credit in
Module(s) to permit Progression / Award where a Module Mark of 35%,
36%, 37%, 38% or 39% has been achieved, provided that all of the below
conditions are satisfied:
.1 the Module(s) is being assessed as a first attempt; AND
.2 the student has failed no more than the condonable limits specified in
the table below:
Programme Duration
(in years)
Credit that can be
condoned in one Year
of Study (maximum)
Credit that can be
condoned in a
Programme
(maximum)
1 or 2
20
20
3 or above
20
60
AND
30
.3 the student's Level/Year Result in that Level/Year of study, in all
contributing Modules, is at least 45%; AND
.4 the Module(s) is/are NOT Required Module(s); AND
.5 in the case of a Module where a qualifying mark is required for one or
more Assessment components, the qualifying mark(s) HAS/HAVE
been achieved.
In such circumstances, the Module Mark (35%, 36%, 37%, 38% or 39%)
confirmed by the Examining Board shall not be changed and shall be used,
where applicable, in calculating any award classification. Examining Boards
are not permitted to change individual Module Marks.
8.4 Condonement shall not operate:
.1 in Module(s) being assessed as second or third attempts; OR
.2 where a student has failed more Credits than indicated in the table
above; OR
.3 in Required Modules;
.4 in the case of a Module where a qualifying mark is required for one or
more Assessment components, the qualifying mark(s) has/have NOT
been achieved.
9. PROGRESSION
[Note: These Regulations are to be read in conjunction with Senate
Assessment Regulations for Taught Programmes, which include provisions
for managing Extenuating Circumstances.]
9.1 To progress to the next stage of their Programme, students must have
achieved:
the Credits set out in the rules adopted from one of the following
Progression Sets by their Programme; and
where relevant, the required professional competencies.
The Programme Information shall inform students of the Progression Set
and any other Programme requirements applicable to their Programme.
9.1.1 For Three-Year modular undergraduate Programmes.
Progression Set 1
(All Credits required).
Progression Set 2
(Students can carry
20 failed Credits).
Progression Set 3
(For Programmes in
which students
undertake Level 5
Modules in the
second semester of
year 1).
At the end
of Level 4
120 Credits at level 4
or above
100 Credits at Level
4 or above
60 Credits at Level 4
or above
31
At the end
of Level 5
240 Credits
(including 120 at
Level 5 or above)
220 Credits
(including 100 at
Level 5 or above)
240 Credits
(including 180 at
Level 5 or above)
9.1.2 For Four-Year Modular Integrated Master's undergraduate Programmes.
Progression Set 4
(All Credits required).
Progression Set 5
(Students can carry 20
failed Credits).
At the end of
Level 4
120 Credits at level 4 or
above
100 Credits at Level 4 or
above
At the end of
Level 5
240 Credits
(including 120 at Level 5
or above)
220 Credits
(including 100 at Level 5
or above)
At the end of
Level 6
360 Credits
(including 120 at Level 6
or above)
340 Credits
(including 100 at Level 6
or above)
9.1.3 For Four-Year modular undergraduate Programmes that include a Year of
Experiential and/or Professional Learning (E/PL).
Progression Set 6
(All Credits required).
Progression Set 7
(Students can carry
20 failed Credits).
Progression Set 8
(For Programmes in
which students
undertake Level 5
Modules in the
second semester of
year 1).
At the end
of Level 4
120 Credits at Level
4 or above
100 Credits at Level
4 or above
60 Credits at Level 4
or above
At the end
of year 2
(i.e. before
the Year
of E/PL)
240 Credits
(including 120 at
Level 5 or above)
220 Credits
(including 100 at
Level 5 or above)
240 Credits
(including 180 at
Level 5 or above)
At the end
of Level 5
(i.e. at the
end of the
Year of
E/PL)
360 Credits
(including 240 at
Level 5 or above)
340 Credits
(including 220 at
Level 5 or above)
360 Credits
(including 300 at
Level 5 or above)
9.1.4 For Five-Year modular undergraduate Programmes that include a Year of
Experiential and/or Professional Learning (E/PL).
32
Where the Year of E/PL is taken between years 2 and 3:
Progression Set 9
(All Credits required).
Progression Set 10
(Students can carry 20
failed Credits).
At the end of
Level 4
120 Credits at level 4 or
above
100 Credits at Level 4 or
above
At the end of
year 2 (i.e.
before the Year
of E/PL)
240 Credits
(including 120 at Level 5
or above)
220 Credits
(including 100 at Level 5
or above)
At the end of
Level 5 (i.e. at
the end of the
Year of E/PL)
360 Credits
(including 240 at Level 5
or above)
340 Credits
(including 220 at Level 5
or above)
At the end of
Level 6
480 Credits
(including 120 at Level 6
or above)
460 Credits
(including 100 at Level 6
or above)
Where the Year of E/PL is taken between years 3 and 4:
Progression Set 11
(All Credits required).
Progression Set 12
(Students can carry 20
failed Credits).
At the end of
Level 4
140 Credits at level 4 or
above
120 Credits at Level 4 or
above
At the end of
Level 5
280 Credits
(including 120 at Level 5
or above)
260 Credits
(including 120 at Level 5
or above)
At the end of
year 3
(i.e. before the
Year of E/PL)
400 Credits
(including 120 at Level 6
or above)
380 Credits
(including100 at Level 6
or above)
At the end of
Level 6
520 Credits
(including 240 at Level 6
or above)
500 Credits
(including 220 at Level 6
or above)
9.2 Where an Examining Board does not permit a student to be re-assessed or
to progress to the next academic stage of the Programme, it shall require
the student to withdraw from the Programme.
9.3 A student shall only be permitted to continue to pursue a Programme
providing it remains possible for him/her to complete the Programme, and
do so within the approved time-limit (See Section 6). In addition:
33
.1 a student who has failed one or more Required or Core Modules on
three occasions shall be required to withdraw from the Programme ;
.2 a student who has failed any Option Module or Free-Standing Module on
three occasions shall be permitted to select an alternative optional
module, subject to being able to graduate within the time limit.
10 RE-ASSESSMENT
[Note: These Regulations are to be read in conjunction with Senate
Assessment Regulations for Taught Programmes, which include provisions
for managing Extenuating Circumstances.]
10.1 Schools shall define how a Module will be re-assessed and shall
communicate this to students at the Module’s outset through Programme
Information.
ELIGIBILITY FOR RE-ASSESSMENT
10.2 On completion of a full year of study (i.e. 120 Credits), and where a student
has not achieved sufficient Credit to progress, the student shall be permitted
to Re-sit failed Module(s) during the Re-sit Examination Period provided
they have not failed more Credit than in the rule set adopted by their
Programme.
Credits failed
Re-sit rule set 1
60 Credits
Re-sit rule set 2
40 Credits
10.3 On completion of a full year of study (i.e. 120 Credits) and where a student
has not achieved sufficient Credits to progress, the student shall be
permitted to Repeat failed Module(s) during the following session provided
they have not failed more Credits than in the rule set adopted by their
Programme.
Credits failed
Repeat rule set 1
60 Credits
Repeat rule set 2
80 Credits
Repeat rule set 3
100 Credits
10.4 Where a student has failed Module(s) AND has Module(s) that they are
permitted to (re)take as a first attempt (e.g. where Module(s) have been
impacted by Extenuating Circumstances), the Examining Board shall
determine whether it is reasonable for the student to be assessed in all of
these Modules in the Re-sit Examination period.
10.5 Where a student has failed Module(s) for a second time in the Re-sit
Examination Period, the Re-sit Examining Board shall normally permit the
student to Repeat the Module(s) during the following session.
34
10.6 Where a final-year student has failed up to 20 Credits but has achieved
sufficient Credit to complete their studies and achieve an Honours degree,
the Examining Board shall determine whether the student should be given
the option of re-sitting the failed Credits, e.g. where they could improve their
award classification.
RE-SIT ASSESSMENTS
10.7 Re-sit Assessments shall normally be held in the Re-sit Examination Period,
prior to the start of the following academic session.
10.8 Where a student is required to Re-sit Module(s) in the Re-sit Examination
Period, the student shall EITHER Re-sit the failed components OR
undertake a synoptic Assessment, as defined in Programme Information.
REPEAT ASSESSMENTS
10.9 Repeat Assessments shall normally be held in the following academic
session. Students shall be informed by the Chair of the Examining Board
(or nominee) prior to the start of that session where they must Repeat the
Module(s) as an Internal Student.
10.10 Where a student can Repeat the Module(s) as an Internal Student OR as an
External Student, this shall be determined by the Chair of the Examining
Board (or nominee) and recorded at Enrolment, subsequent to discussion
with the student.
10.11 Where a student Repeats Module(s) as an Internal Student, the student
shall be taught and assessed in the same way as students taking the
Module for the first time and shall undertake all of the component
Assessments attached to that Module, including any that the student passed
in a previous attempt.
10.12 Where a student Repeats Module(s) as an External student, the student
shall be assessed in the same way as they were originally, against the
Learning Outcomes applicable at that time, and shall undertake only the
component Assessments that the student needs to pass in that Module,
excluding any that the student passed in a previous attempt.
THE OUTCOMES FROM RE-ASSESSMENT
10.13 Except as provided in 10.14 below, a student who passes a Module that has
been failed previously, shall be credited with the minimum Module Mark for
a pass or "Pass" as applicable.
10.14 Where the components failed by a student on the first attempt include only
zero weighted components the student shall receive, subsequent to passing
these component(s), an uncapped Module Mark.
EXEMPTION
10.15 In cases where the application of these Regulations would disadvantage an
individual student unfairly, but not impact on academic standards, an
Examining Board Chair (or nominee) may request the Pro Vice Chancellor
(Student Experience and Academic Standards) to exempt a student from
part of these Regulations.
FORMER STUDENTS
35
10.16 Heads of Schools may permit former students of the University who have
completed their studies at the University to retrieve failure in specified failed
Modules, with or without attendance, upon payment of an appropriate fee.
The retrieval of failed Modules in this way shall not contribute to any
University award.
Guidance
The Guidance below should be read in conjunction with Senate Assessment
Regulations for Taught Programmes, which include provisions for managing
Extenuating Circumstances.
The Nature of Re-sit Assessments
Re-sit Assessments must be designed to allow a student to demonstrate
achievement of the relevant Learning Outcomes. This can be achieved either by
re-sitting the individual Assessment components that have been failed, or by sitting
a single synoptic Assessment that covers all of the Module(s) Learning Outcomes.
The Re-sit methods used in a Module must be applied consistently in all cases and
must be agreed and communicated to students at the start of Module, through
Programme Information and in SIMS.
Schools will need to consider what the best Re-sit strategy is for individual
Modules and identify any components that students will need to Re-sit to allow
students to demonstrate achievement of particular Learning Outcomes. In
Modules that use component Re-sits, and where a Module has been failed,
students cannot be exempted from re-sitting any failed components.
Where a student is re-sitting a Module in the Re-sit Examination Period, the
Module Mark shall be calculated:
1 In the case of a ‘synoptic’ Re-assessment, from the marks achieved in that
Assessment only, or;
2 In the case where a student is re-sitting failed components, from the marks
achieved in the Re-assessments combined with the marks achieved in any
components passed at the first attempt, according to the weightings
specified in Programme Information.
Where students complete Assessment components in-year, or where it is not
possible for an Assessment method to be used in the Re-sit Examination Period
that enables a student to meet all of the Learning Outcomes (e.g. in a group task,
or in an Assessment that requires access to facilities or equipment that will be
unavailable at that time), the Chair of the Examining Board (or nominee) may seek
to set a Supplementary Assessment to Re-sit that Assessment component (see
Senate Assessment Regulations 11.4.4), which shall, where possible, be held
before the formal Examining Board held at the end of the session. In such cases,
an Examining Board meeting must be held to confirm the student’s original
performance in that Assessment component, to ensure that the student maintains
their right of appeal.
Where the Examining Board determines that a final-year student can re-sit up to
20 Credits to enable them to achieve an Honours degree, e.g. where they could
improve their award classification, the Examining Board should return the re-sit
36
code to inform the student that they will be expected to undertake the Re-sit. If the
student does not want to take the Re-sit, they will need to confirm, in writing to the
Chair of the Examining Board, that they want their degree calculated on the marks
obtained.
Repeat Assessments
Where a student is required to Repeat modules that can be completed only
through attendance on that module, this shall be confirmed by the Examining
Board and communicated to the student through their Interim Transcript.
Circumstances where a student will need to attend modules being repeated
include where they need access to specific facilities and/or resources to undertake
the Assessments.
Where it is not essential that a student repeats modules with attendance,
Examining Boards shall recommend that a student shall be permitted to Repeat
the Module(s) either as an Internal or External student. Students will be advised of
the recommendations made by an Examining Board through their Interim
Transcript. Students should be encouraged to contact Schools to discuss whether
they would prefer to take Modules being repeated as an Internal Student, an
External Student, or a mixture of the two.
The final decision as to whether (or not) a student repeats individual Module(s) as
an Internal or External student should be made at the earliest opportunity by the
Chair of the Examining Board (or nominee), and shall be recorded and confirmed
on SIMS by the School during enrolment at the start of the next academic session.
The decision to recommend whether a student undertakes Repeat Assessments
as an Internal or an External student must be made solely on academic grounds.
Where there are no Extenuating Circumstances and where a student has to
Repeat Modules in the following session, a student should normally undertake
these as an Internal student, to allow the student to benefit from the tuition
provided on these modules.
Circumstances where it may be more appropriate for students to Repeat Modules
as an External student include where a student has progressed and has been
permitted to carry a failed Module and where a student has narrowly failed
individual assessment components that need to be passed to permit Progression.
Where a student is repeating a Module as an Internal student, the student shall
undertake all of the component Assessments attached to that Module, including
any that the student passed in a previous attempt. The Module mark shall be
calculated from the marks achieved in these components, according to the
weightings specified in Programme Information. Marks from previous attempts
shall not be used to calculate the Module mark, or to determine whether the
student shall be awarded Credit in that Module. This will ensure that academic
standards are protected appropriately and that students will not be disadvantaged
when the weightings or assessment methods on a Module have changed.
Where a student is repeating a Module as an External student, the student shall
undertake the component Assessments that the student needs to pass that
Module only, excluding any that the student passed in a previous attempt. Marks
from assessment that were passed in a previous attempt shall be used to calculate
the Module Mark, and determine whether the student shall be awarded Credit in
that Module. Modules being repeated shall normally be completed in a single
academic session. Students should be made aware of any fees payable where
they repeat modules through Programme Information.
37
The outcomes from Re-assessment
Where a student is re-assessed and where an Examining Board then awards the
student Credit, the Module Mark shall be capped at the minimum pass mark (in
modular UG Programmes at 40%). The Regulations for the late submission of
coursework will apply to Re-assessments that carry a weighted mark (i.e. where
there are no Extenuating Circumstances, a mark of zero will be confirmed by the
Examining Board).
All Assessment results (i.e. original attempts and Re-assessments) need to be
confirmed by a formal Examining Board (i.e. not a Module team meeting) to ensure
that students have the right of Appeal. Students cannot be offered a Re-
assessment prior to the original mark being confirmed by a formal Examining
Board.
Where a student passes a Module that they had failed previously, having been re-
assessed only in component(s) that are zero weighted, e.g. where specific
competencies are assessed, then the Examining Board shall award a student
credit and record an uncapped Module Mark, i.e. one based on the marks
achieved in the components that were passed at the first attempt, based on the
weighting for each element indicated in Programme Information.
Where a student has failed an Optional Module on three occasions but is
otherwise eligible to continue their studies and has obtained sufficient credits to
progress, the student may enrol on another Optional Module at the same level,
subject to such a Module being available on the Programme at this point.
Where a student has failed Re-assessment(s) and is no longer eligible to continue
their studies, the student shall be required to withdraw. Any Institutional Credits
awarded to a student prior to this will be recorded on the Transcript issued to the
student at this point.
Variations to the Re-assessment Rules
Where a student has failed Module(s) AND has other Module(s) that they are
permitted to (re)take as a first attempt, the Examining Board shall determine
whether it is reasonable for the student to be assessed in all of these Module(s) in
the Re-sit Examination Period. This scenario could arise where the student has
failed modules and where:
the student can retake Module(s) that were impacted by Extenuating
Circumstances as a first attempt;
the student has not completed Module(s) having been granted an
Interruption of Study, and;
the student has otherwise been unable to complete all of the Module(s)
taken in that year of study.
Where the Board determines that it would not be reasonable for the student to be
assessed in all of these Modules in the Re-sit Examination Period the Board shall
determine:
i. the Re-sit Assessment(s) that the student shall take in the Re-sit
Examination Period, AND;
ii. the Repeat Assessment(s) that the student shall take in the next
38
academic session.
In considering whether it is reasonable for a students to undertake a number of
Assessments in the Re-sit Examination Period, Examining Boards should
consider:
The Credits that the student needs to acquire to Progress / receive their
Award and whether a significant assessment load in the Re-sit Examination
Period might disadvantage the student unfairly, and;
The student’s preference; i.e. whether they have indicated they wish to re-
take all the Assessments in the Re-sit Examination Period, or otherwise.
Support and advice to help determine the most appropriate course of action where
a student has Modules that can be Re-assessed and Modules that have been
impacted by Extenuating Circumstances can be obtained from the Student Cases
Team within Registry and Academic Services (tel: ext. 76628, email:
39
40
11. AWARD
11.1 A student who has achieved a minimum of Credits as provided in the
following table shall be eligible for the Award indicated.
Credits
Level 4 or
above
Level 5 or
above
Level 6 or
above
Level 7 or
above
Total
Certificate
of HE
120
120
Diploma of
HE
120
120
240
Pass
Degree
120
120
80
320
Honours
Degree
120
120
100
340
Integrated
Master's
Degree
120
120
120
100
460
Graduate
Certificate
20
40
60
Graduate
Diploma
30
90
120
Intercalated
Degree
120
120
11.2 Students registered on Programmes that include a Year of Experiential
and/or Professional Learning outside of the home School shall, in addition,
be required to achieve a further 120 Credits at a level indicated in
Programme Information.
11.3 A student who:
is unable to proceed further with the Programme, or withdraws from the
Programme or fails to meet the requirements for the Programme; and
has achieved sufficient Credit to be awarded an Exit-Point Award
shall be eligible for an Exit-Point award.
12. CLASSIFICATION OF AWARDS
12.1 The following provisions shall be applied where students are eligible for an
award as indicated in 11. above. For the purpose of classification, all
Modules pursued at Level 5 and Level 6 and, where appropriate, Level 7 will
be combined according to the weighting adopted from one of the following
Classification Sets for the Programme to provide a Final Mark. Students will
be informed of the Classification Set applicable to their Programme via the
Programme Information issued to them.
41
One-Year (Intercalated Degree) Programmes and where students
transfer to Cardiff University direct to the final year of undergraduate
degrees, either via articulation agreements with other institutions or
individually through entry with advanced standing
Set 1
Level
Weighting
6
100%
Three-Year Programmes
Either: Or:
Set 2
Set 3
Level
Weighting
Level
Weighting
5
30%
5
40%
6
70%
6
60%
Four-Year Integrated Master's Programmes
Set 4
Level
Weighting
5
20%
6
30%
7
50%
Four-Year Programmes Where Year 3 is a Year of Experiential and/or
Professional Learning (E/PL)
Either: Or:
Set 5
Set 6
Level
Weighting
Level
Weighting
5
20%
5
30%
Year of
E/PL
10%
Year of
E/PL
10%
6
70%
6
60%
42
Five-Year Programmes Integrated Master's Programmes Where Year 3
or Year 4 is a Year of Experiential or Professional Learning (E/PL)
Either: Or:
Set 7
Set 8
Level
Weighting
Level
Weighting
5
10
5
10
6
30
Year of
E/PL
10
Year of
E/PL
10
6
30
7
50
7
50
Where a student is admitted with advanced standing and none of the above
Classification Sets are appropriate, the Head of School shall recommend to
the Pro Vice-Chancellor for Student Experience and Academic Standards
for approval a Classification Set appropriate to the student’s Programme of
Study.
12.2 The classification of awards will be worked out as in 11.1 above except for
Programmes that offer Level 6 Modules in year 2, where the Level 5
weighting shall be applied to Modules taken in year 2.
12.3 Subject to 12.4 below, the overall classification for each student shall be
determined by applying the Final Mark as detailed below:
Final Mark
Degree Classification
70% +
First Class Honours
60%<70%
Second Class Honours, Division I (2:1)
50%<60%
Second Class Honours, Division II (2:2)
40%<50%
Third Class Honours
<40%
Fail
Graduate Certificate / Graduate Diploma Classification
70% +
Distinction
60%<70%
Merit
Provisions for the award of Pass Degrees can be found at 11.1 above.
43
12.4 In addition to the provisions of 12.3 above:
for One-Year (Intercalated Degree) Programmes and where students
transfer to Cardiff University direct to the final year of undergraduate
degrees (either via established articulation agreements with other
institutions or individually through entry with advanced standing)
Students who achieve a Final Mark of 68% or 69% will be awarded
a Degree Classification of First Class Honours provided that they
have achieved a Module Mark of 70% or more in Modules at Level 6
to the value of at least 60 Credits.
Students who achieve a Final Mark of 58% or 59% will be awarded
a Degree Classification of Second Class Honours, Division I (2:1)
provided that they have achieved a Module Mark of 60% or more in
Modules at Level 6 to the value of at least 60 Credits.
Students who achieve a Final Mark of 48% or 49% will be awarded
a Degree Classification of Second Class Honours, Division II (2:2)
provided that they have achieved a Module Mark of 50% or more in
Modules at Level 6 to the value of at least 60 Credits.
Students who achieve a Final Mark of 38% or 39% will be awarded
a Degree Classification of Third Class Honours provided that they
have achieved a Module Mark of 40% or more in Modules at Level 6
to the value of at least 60 Credits.
for Three-Year Programmes
Students who achieve a Final Mark of 68% or 69% will be awarded
a Degree Classification of First Class Honours provided that
- they have achieved a Module Mark of 70% or more in Modules
at Level 5 or Level 6 to the value of at least 120 Credits; and
- at least 60 of these Credits were achieved at Level 6.
Students who achieve a Final Mark of 58% or 59.% will be awarded
a Degree Classification of Second Class Honours, Division I (2:1)
provided that:
- they have achieved a Module Mark of 60% or more in Modules
at Level 5 or Level 6 to the value of at least 120 Credits; and
- at least 60 of these Credits were achieved at Level 6.
Students who achieve a Final Mark of 48% or 49% will be awarded
a Degree Classification of Second Class Honours, Division II (2:2)
provided that:
- they have achieved a Module Mark of 50% or more in Modules
at Level 5 or Level 6 to the value of at least 120 Credits; and
- at least 60 of these Credits were achieved at Level 6.
Students who achieve a Final Mark of 38% or 39% will be awarded
a Degree Classification of Third Class Honours provided that:
- they have achieved a Module Mark of 40% or more in Modules
at Level 5 or Level 6 to the value of at least 120 Credits; and
- at least 60 of these Credits were achieved at Level 6.
44
for Four-Year Programmes Where Year 3 is a Year of Experiential
and/or Professional Learning (E/PL)
Students who achieve a Final Mark of 68% or 69% will be awarded
a Degree Classification of First Class Honours provided that:
- they have achieved a Module Mark of 70% or more in
Modules at Level 5 or Level 6 (excluding the Year of E/PL) to
the value of at least 120 Credits; and
- at least 60 of these Credits were achieved at Level 6.
Students who achieve a Final Mark of 58% or 59% will be awarded
a Degree Classification of Second Class Honours, Division I (2:1)
provided that:
- they have achieved a 2:1 Module Mark of 60% or more in
Modules at Level 5 or Level 6 (excluding the Year of E/PL) to
the value of at least 120 Credits; and
- at least 60 of these Credits were achieved at Level 6.
Students who achieve a Final Mark of 48% or 49% will be awarded
a Degree Classification of Second Class Honours, Division II (2:2)
provided that:
- they have achieved a Module Mark of 50% or more in
Modules at Level 5 or Level 6 (excluding the Year of E/PL) to
the value of at least 120 Credits; and
- at least 60 of these Credits were achieved at Level 6.
Students who achieve a Final Mark of 38% or 39% will be awarded
a Degree Classification of Third Class Honours provided that:
- they have achieved a Module Mark of 40% or more in
Modules at Level 5 or Level 6 (excluding the Year of E/PL) to
the value of at least 120 Credits; and
- at least 60 of these Credits were achieved at Level 6.
for Four-Year Integrated Master's Programmes
Students who achieve a Final Mark of 68% or 69% will be awarded
a Degree Classification of First Class Honours provided that:
- they have achieved a Module Mark of 70% or more in Modules
at Level 6 or Level 7 to the value of at least 120 Credits; and
- at least 60 of these Credits were achieved at Level 7.
Students who achieve a Final Mark of 58% or 59% will be awarded
a Degree Classification of Second Class Honours, Division I (2:1)
provided that:
- they have achieved a Module Mark of 60% or more in Modules
at Level 6 or Level 7 to the value of at least 120 Credits; and
- at least 60 of these Credits were achieved at Level 7.
Students who achieve a Final Mark of 48% or 49% will be awarded
a Degree Classification of Second Class Honours, Division II (2:2)
provided that:
- they have achieved a Module Mark of 50% or more in Modules
45
at Level 6 or Level 7 to the value of at least 120 Credits; and
- at least 60 of these Credits were achieved at Level 7.
Students who achieve a Final Mark of 38% or 39% will be awarded
a Degree Classification of Third Class Honours provided that:
- they have achieved a Module Mark of 40% or more in Modules
at Level 6 or Level 7 to the value of at least 120 Credits; and
- at least 60 of these Credits were achieved at Level 7.
for Five-Year Integrated Master's Programmes Where Year 3 or Year 4
is a Year of Experiential and/or Professional Learning (E/PL)
Students who achieve a Final Mark of 68% or 69% will be awarded
a Degree Classification of First Class Honours provided that:
- they have achieved a Module Mark of 70% or more in Modules
at Level 6 or Level 7 (excluding the Year of E/PL) to the value
of at least 120 Credits; and
- at least 60 of these Credits were achieved at Level 7.
Students who achieve a Final Mark of 58% or 59% will be awarded
a Degree Classification of Second Class Honours, Division I (2:1)
provided that:
- they have achieved a Module Mark of 60% or more in Modules
at Level 6 or Level 7 (excluding the Year of E/PL) to the value
of at least 120 Credits; and
- at least 60 of these Credits were achieved at Level 7.
Students who achieve a Final Mark of 48% or 49% will be awarded
a Degree Classification of Second Class Honours, Division II (2:2)
provided that:
- they have achieved a Module Mark of 50% or more in Modules
at Level 6 or Level 7 (excluding the Year of E/PL) to the value
of at least 120 Credits; and
- at least 60 of these Credits were achieved at Level 7.
Students who achieve a Final Mark of 38% or 39% will be
awarded a Degree Classification of Third Class Honours provided
that:
- they have achieved a Module Mark of 40% or more in Modules
at Level 6 or Level 7 (excluding the Year of E/PL) to the value
of at least 120 Credits; and
- at least 60 of these Credits were achieved at Level 7.
where students transfer to Cardiff University direct to the final year
of undergraduate degrees (either via established articulation agreements
with other institutions or individually through entry with advanced standing)
Students who achieve a Final Mark of 68% or 69% will be awarded
a Degree Classification of First Class Honours provided that they
have achieved a Module Mark of 70% or more in Modules at Level 6
to the value of at least 60 Credits.
46
Students who achieve a Final Mark of 58% or 59% will be awarded
a Degree Classification of Second Class Honours, Division I (2:1)
provided that they have achieved a Module Mark of 60% or more in
Modules at Level 6 to the value of at least 60 Credits.
Students who achieve a Final Mark of 48% or 49% will be awarded
a Degree Classification of Second Class Honours, Division II (2:2)
provided that they have achieved a Module Mark of 50% or more in
Modules at Level 6 to the value of at least 60 Credits.
Students who achieve a Final Mark of 38% or 39% will be awarded
a Degree Classification of Third Class Honours provided that they
have achieved a Module Mark of 40% or more in Modules at Level 6
to the value of at least 60 Credits.
12.5 The following Awards are not classified:
Certificate of Higher Education
Diploma of Higher Education.
Supplementary Regulations for Exchange Students Undertaking a Programme
of Modules not Leading to the Award of a Qualification
General
1. A student undertaking a programme of Modules at Cardiff University under
the auspices of an Institutional Contract under either the SOCRATES-
ERASMUS scheme or other bilateral exchange arrangement shall be
designated as an "exchange student".
2. A Cardiff University School which has entered into an Institutional Contract
with a partner institution shall be designated as the "initiating School" for the
purpose of these Supplementary Regulations.
3. The partner institution/School to an Institutional Contract under paragraph 1.
above shall be designated as the "sending institution/School" for the
purpose of these Supplementary Regulations.
4. These Supplementary Regulations shall form part of the Institutional
Contract.
5. In accordance with the provisions of Ordinance 7 (Schools and Heads of
Schools), Heads of Schools shall be responsible for the allocation of the
financial and other resources necessary for the administration and
monitoring of students involved in exchange programmes at Cardiff
University.
Programme of Study for Exchange Students
6. Normally each "initiating School" will enter into an agreement with each of its
partner "sending institutions/Schools", on the programmes of Modules to be
pursued at Cardiff University by in-coming exchange students, in
accordance with the provisions of these Supplementary Regulations.
Before entering into any such agreement the "initiating School" must obtain
the written approval for the terms of the agreement from any other Head of
47
School of Cardiff University who might be required to contribute Modules or
other resources to incoming exchange students' programmes of Modules.
7. Each exchange student shall pursue a Programme of Study of one or two
Semesters' duration.
8. Unless otherwise specified in the agreement, exchange students will be
required to pursue Programmes of Study comprising the equivalent of 60
Credits (one Semester) or 120 Credits (two Semesters).
9. Unless otherwise specified in the agreement, exchange students will be
required to be assessed in all Modules studied, wherever appropriate and/or
practical by the normal Assessment methods for the Modules concerned.
10. All exchange students shall be required to pursue at least two-thirds of the
Modules which constitute their programme of Modules in one School of
Cardiff University. The School in which an exchange student pursues at
least two-thirds of his/her Modules shall be deemed to be the student's
"home" School and shall be specified in any agreement.
11. Any exchange student not covered by an agreement as specified under 6
above, will select a programme of Modules from amongst those Modules
which are available to exchange students, provided that s/he complies with
the requirements of these Supplementary Regulations.
12. For the purposes of paragraph 11 above, Schools shall specify which, if any,
of their Modules they are willing to make available to exchange students and
any restrictions thereon. The full list of Modules will be included in a
"Module Catalogue for Exchange Students" which shall be made available
to in-coming students prior to enrolment at the University.
Status of Exchange Students
13. For all University purposes exchange students shall be regarded as
students of Cardiff University and shall be required to enrol formally with the
University.
14. For all School purposes the designated "home" School shall regard its
exchange students as students of the School. In particular, the "home"
School shall provide each of its exchange students with a Personal Tutor or
equivalent.
15. Any School which is to make Modules available to exchange students shall
be required to participate in such procedures for the selection and enrolment
of exchange students as may be determined from time to time.
Certification of the Performance of Exchange Students
16. Each exchange student shall receive certification of his/her performance
from the University Registry in a format approved by Senate.
Supplementary Regulations for Students undertaking Credits of an Institution
other than the University
General
1. Subject to paragraphs 3 and 4 below, a student who has enrolled in the
University may be granted permission to pursue no more than the equivalent
48
of 240 credits at an institution other than the University as part of his or her
Programme on the understanding that the remaining credits for the award
shall be taken at Levels appropriate to the Programme at the University.
2. A student may apply to pursue Credits at an institution other than the
University either independently or in relation to an Institutional Agreement
between Cardiff University and another academic institution which includes
provision for student exchange. These Supplementary Regulations shall
form part of any such Institutional Agreement. Any application submitted by
a student either independently or as part of such an Agreement shall be
considered in accordance with these Supplementary Regulations.
3. No approval shall be given to any application where the student intends to
pursue less than the equivalent of 60 Credits at an institution other than the
University.
4. No student shall be permitted to pursue Credits at any institution which is
not accepted by the competent government authorities in the Country in
which the institution is situated as being a recognised university-level
institution.
Approval
5. The consideration of an application from any student to undertake Credits at
one or more institutions other than the University shall accord with
procedures approved by Senate on the advice of the Academic Standards
and Quality Committee.
Credit-rating
6. It shall be a matter for the appropriate School Board to credit-rate the
courses/modules which the student proposes to undertake, in accordance
with the provisions of the Senate Regulations for Modular Undergraduate
Programmes.
Assessment
7. The determination of the award of Credit shall be a matter for the
appropriate Examining Board.
8. The Examining Board shall determine what information it requires to enable
it to come to a decision on the award of Credit. Unless the Examining Board
has made other arrangements, it shall be the responsibility of the student to
ensure that the Examining Board is provided with this information from the
institution at which the Credits have been pursued.
9. In respect of Credits which contribute to the Final Mark, the determination of
the contribution of those Credits to the award and to any classification
thereof shall be a matter for the appropriate School Board/Board of Studies.
10. The Examining Board shall determine what information it requires to enable
it to come to a decision on the award and any classification thereof. Unless
the Examining Board has made other arrangements, it shall be the
responsibility of the student to ensure that the Examining Board is provided
with this information from the institution at which the Credits have been
pursued.
49
11. No student shall be permitted more than one attempt to achieve Credit
under these arrangements. Where a student fails to achieve Credit the
Examining Board shall determine within its Programme Information and the
Senate Regulations for Modular Undergraduate Programmes whether the
student shall be permitted to proceed with the Programme and, where
appropriate, what provision shall be made for the student to acquire the
required number of Credits at the required Levels.
University Records
12. The Examining Board shall provide the Registry with a statement of the
title(s) of the courses/modules pursued by the student, the credit-rating of
each course/module and the Credit(s) achieved, if any.
Student Status
13. A student who pursues Credits under the terms of these Supplementary
Regulations shall, for the period of absence from the University, be regarded
in the same manner as a student who is on placement or on a year abroad
as part of his or her Programme and shall be subject to the same duties and
commitments as such students, save in respect of fee payment where
bespoke fee structures have been agreed under the terms of any
Institutional Agreement.
Senate Regulations for the Non-Modular Degree of Bachelor of
Dental Surgery (BDS)
1. GENERAL
These Regulations shall be read in conjunction with:
- Senate Regulation for Awards of Cardiff University;
- Senate Assessment Regulations for Taught Programmes;
- Programme Regulations for the Preliminary Year.
Definitions of terms provided in Senate Definition of Terms Used in Senate
Regulations shall apply save as otherwise varied or supplemented below.
Unit(s) of Study A separate identifiable component of learning
Unit(s) of Assessment A separate identifiable component of assessment.
2 ENTRY REQUIREMENTS
2.1 Applicants for admission to the Five-Year and Six-Year Programmes (See
Table 1) shall be required to satisfy the requirements of the Cardiff
University General Entrance Requirement and, in addition, satisfy the
requirements of the School of Dentistry, Cardiff University.
2.2 The decision as to whether an applicant shall be admitted to the BDS
Programme shall rest with the Head of the School of Dentistry.
Entry with Advanced Standing
50
2.3 The Head of the School of Dentistry shall be authorised to approve entry
with advanced standing to an identified Year of study. Such approvals shall
be on the basis of one or more periods of study at institutions of higher
education in lieu of a specified period of study at Cardiff University where
the specified period shall comprise the equivalent of not less than one
session of full-time study.
2.4 In determining the classification of the award the Examining Board shall
include only those Units of Assessment which the student has attempted as
a registered student of the University.
2.5 An individual verification of the academic qualifications obtained prior to
entry may be undertaken, either during the admission process or following
enrolment as a student. As part of this verification, applicants/students may
be required to provide certification to verify their academic qualifications.
The University reserves the right to refuse admission or to apply the Student
Disciplinary Procedure if clear and complete certification for such verification
is not provided on request.
3. STRUCTURE OF THE PROGRAMME
Table 1: Outline of the BDS Programme
Six-Year Programme
(A204)
Five-Year Programme
(A200)
Preliminary Year
Year 1
Year 1
Year 2
Year 2
Year 3
Year 3
Year 4
Year 4
Year 5
Year 5
3.1 The Programme shall be full-time.
3.2 Candidates for entry to the Programme who have reached a satisfactory
standard, as determined by the BDS Board of Studies, may be exempted
from any or all elements of the Preliminary Year.
3.3 Assessments and examinations for each Year of study shall be grouped into
Units of Assessment which shall be considered by the appropriate
Examining Board at points identified within each Year of the programme.
3.4 Candidates are required to attend all Units of Study to the satisfaction of the
University and to present themselves for, and reach an acceptable standard
in, University assessments and examinations. Candidates failing to meet
these requirements may be excluded from the Programme either
permanently or for a period, or required to repeat Unit(s) of Study or Unit(s)
of Assessment of the Programme.
3.5 The Programme shall be structured as follows:
51
The modular Preliminary Year shall be of two Semesters' duration
The non-modular Year 1 shall be of at least 30 weeks' duration and be
equivalent to 120 credits at CQFW Level 4 or higher.
The non-modular Year 2 shall be of at least 45 weeks duration and be
equivalent to 120 credits at CQFW Level 5 or higher.
The non-modular Year 3 shall be of at least 45 weeks’ duration and be
equivalent to 120 credits at CQFW Level 6 or higher
The non-modular Year 4 shall be of at least 45 weeks duration and be
equivalent to 120 credits at CQFW Level 6 or higher.
The non-modular Year 5 shall be of at least 40 weeks’ duration and shall be
equivalent to 120 credits at CQFW level 7.
3.6 The Programme shall be pursued in the Cardiff University School of
Dentistry and in hospitals, General Practices and other healthcare
institutions approved from time to time by the Board of Studies. Candidates
are required to attend hospital practice or to pursue other approved clinical
studies throughout the Programme.
4. TIME LIMIT
4.1 The time limit for a student to complete his/her Programme shall be no more
than two years beyond the normal duration of the Programme as indicated
in these Senate Regulations. This period may be extended by the
Academic Standards and Quality Committee on the recommendation of the
Board of Studies under exceptional circumstances.
5. PROGRAMME
5.1 The Units of Study, rules on assessment, progression and award and
requirements relating to clinical competence shall be confirmed by the
Board of Studies.
6. ASSESSMENT
6.1 Assessment shall be conducted in accordance with Senate Assessment
Regulations for Taught Programmes.
6.2 The method of assessment for each Unit of Study shall be determined by
the Board of Studies and indicated in the Programme Information.
6.3 The mark achieved by each student in each Unit of Study shall be
determined by the relevant Examining Board.
6.4 The minimum mark for a pass in each Unit of Study shall be 40%.
6.5 A student who passes a Unit of Study, in which s/he has previously failed,
shall be credited with the minimum mark for a pass.
6.6 Candidates who fail any of the Units of Assessment of the Programme (as
determined by the Board of Studies and stated in the summative marking
scheme within the Programme Information) shall be required to re-present
themselves for examination or assessment at the next available opportunity,
having pursued such further instruction as the Examining Board may
52
determine. Such candidates shall not normally be allowed more than two
further attempts at the Unit(s) of Assessment.
7. PROGRESSION
7.1 At the end of each Year of the Programme and following resit events,
subject to the provisions of 6.6 the Examining Board shall consider the
progress of each student in each Unit of Study, including Professional
Behaviour Assessments, and shall determine whether he/she:
7.1.1 shall be permitted to proceed to the next Year of the Programme or is
eligible for an exit-point award; or
7.1.2 shall be permitted to attempt to retrieve one or more failed Units of
Assessment prior to the commencement of the next Year of the Programme;
or
7.1.3 is not eligible to proceed to the next Year of the Programme or is not eligible
to receive an award and must repeat the Year in its entirety as an internal
student; or
7.1.4 is required to withdraw from the Programme.
7.2 A student shall only be permitted to continue to pursue the BDS providing it
remains possible for him/her to complete the Programme, and do so within
the approved time-limit. In addition, a student who has failed one or more
assessments on three occasions shall be required to withdraw from the
Programme.
7.3 Where a student is permitted to attempt to retrieve one or more failed Units
of Study prior to the commencement of the next Year of the Programme, the
Examining Board shall meet again to consider the performance of each
student in these assessments and shall determine the status of the student
in accordance with 7.1 and 7.2 above.
8. STRUCTURE AND CONTENT OF RE-ASSESSMENTS
8.1 Where a student is required to be re-assessed for one or more Units of
Study prior to the start of the following academic year, the re-assessment
shall, unless the Examining Board decides that this is not practical, be of the
same structure and be based upon the same syllabus as the Assessment at
the time of the initial failure.
8.1.1 For re-assessment within one year of the initial failure, the re-assessment
shall, unless the Examining Board decides that this is not practical, be of the
same structure and be based upon the same syllabus as the assessment at
the time of the initial failure. In all cases the Examining Board shall ensure
that retrieval of failure is carried out either through re-assessment by the
same method(s) or by method(s) designed to cover all learning outcomes;
8.1.2 For re-assessment beyond one year of the initial failure, the re-assessment
may, at the discretion of the School Board, be of the same structure and be
based upon the syllabus taught to all internal students at the time of the re-
assessment.
8.2 Where a student is permitted to repeat the Year in its entirety as an internal
student as provided in 7.1.3 above, the re-assessment shall be of the same
53
structure and be based upon the syllabus taught to all students at the time
of his/her re-assessment.
8.3 Where, under 8.1.2 above, a student is required to be re-assessed and the
structure of the assessment is different from that at the time of the initial
failure and/or the re-assessment is to be based upon a different syllabus,
the Head of School concerned shall make arrangements for the student:
8.3.1 to be informed of changes in the structure of the assessment and the
syllabus content; and
8.3.2 to be offered, at an appropriate charge, the opportunity of attending a
suitable programme of scheduled classes.
8.4 The mark for a student who passes a Unit in which he/she has previously
failed shall be awarded in accordance with 6.5 above.
9. PROVISIONS FOR EXIT-POINT AWARDS
9.1 A student who has successfully completed all elements of Year 3 - the
equivalent of 360 Credits including a minimum of 120 Credits at CQFW
Level 4 or higher, a minimum of 120 Credits at CQFW Level 5, and a
minimum of 120 Credits at CQFW Level 6 or higher - shall be eligible for the
award of an unclassified Bachelor of Science in Dentistry (BSD)
9.2 On admission to the exit-point award indicated in 9.1 above the graduate will
no longer be eligible for the award of the Degree of Bachelor in Dental
Surgery.
10 AWARD OF DEGREE
10.1 Candidates who have satisfied the requirements of the Programme shall be
eligible for the award of the Degree of Bachelor in Dental Surgery.
10.2 Classification of the Degree of Bachelor in Dental Surgery shall be in
accordance with the criteria as set out in 11. and based upon the weighting
set described below:
Primary BDS Year 1
6%
Primary BDS Year 2
9%
Total Primary BDS Contribution
15%
Intermediate BDS Year 3
25%
Final BDS Year 4 and 5
60%
Total BDS
100%
11 CLASSIFICATION
11.1 The overall Honours classification for each student shall be determined by
the Examining Board at the end of the Final BDS stage by:
54
11.1.1 calculating a weighted average Final Mark for each contributing Unit of
Study, subject to the condition that, where a student has passed a Unit of
Study which he/she had failed previously, the mark credited shall be 40%;
and
11.1.2 applying the combined weighted average for all contributing Units of Study
in order to calculate the final honours classification for each student as
detailed below:
First class honours
A Final Mark of 70% or above
Second class honours, division I (2:1)
A Final Mark between 60% and 69%
Second class honours, division II (2:2)
A Final Mark between 50% and 59%
Third Class Honours
A Final Mark between 40% and 49%
Fail
A Final Mark below 40%
11.2 In addition to the provisions of 11.1 above:
Students who achieve a final mark of 68% or 69% will be awarded a Degree
Classification of First Class Honours provided that:-
They have achieved 70% or more in Final BDS (Years 4 and 5)
Students who achieve a final mark of 58% or 59% will be awarded a Degree
Classification of Second Class Honours, Division 1 (2:1) provided that:-
They have achieved 60% or more in Final BDS (Years 4 and 5)
Students who achieve a final mark of 48% or 49% will be awarded a Degree
Classification of Second Class Honours, Division 2 (2:2) provided that:-
They have achieved 50% or more in Final BDS (Years 4 and 5)
Students who achieve a final mark of 38% or 39% will be awarded a Degree
Classification of Third Class Honours, provided that:
They have achieved 40% or more in Final BDS (Years 4 and 5)
Senate Regulations for the Non-Modular Degrees of Bachelor of
Medicine and Bachelor of Surgery (MB BCh)
[Continuing students, and new students to the Four-Year
Programme in 2013-2014 – See 1.1 below.]
1. GENERAL
1.1 Subject to 1.2 below these Regulations apply to:
- students who were in Years 2-5 of the Five-Year Programme and Six
Year Programmes in 2013-2014, and
- students who were in Years 1-4 of the Four-Year Programme) in 2013-
2014.
1.2 Following the application of 1.1 any student whose progress is subsequently
delayed (for example due to interruption of studies) shall be subject to the
Regulations applicable to the cohort they have joined.
55
1.3 These Regulations shall be read in conjunction with:
Senate Regulation for Awards of Cardiff University;
Senate Assessment Regulations for Taught Programmes;
Programme Regulations for the Preliminary Year;
Definitions of terms provided in the Definition of Generic Terms Used in
Senate Regulations shall apply save as otherwise varied or supplemented
below.
Degrees the Degrees of Bachelor of Medicine and Bachelor
of Surgery (MB BCh)
Programme a schedule of approved Units of Study leading to
the award of the Degrees of Bachelor of Medicine
and Bachelor of Surgery (MB BCh)
Unit(s) of Study A separate identifiable component of learning
Unit(s) of Assessment A separate identifiable component of assessment.
2. ENTRY REQUIREMENTS
2.1 Applicants for admission to the Four Year, Five Year and Six Year
Programmes (See Table 1) shall be required to satisfy the requirements of
the Cardiff University General Entrance Requirement and, in addition,
satisfy the requirements of the School of Medicine, Cardiff University.
2.2 The Head of the School of Medicine shall be authorised to approve entry
with advanced standing to an identified Year of study. Such approvals shall
be on the basis of one or more periods of study at institutions of higher
education in lieu of a specified period of study at Cardiff University where
the specified period shall comprise the equivalent of not less than one
session of full-time study.
2.3 In determining the classification of the award the Examining Board shall
include only those Units of Assessment which the student has attempted as
a registered student of the University.
2.4 An individual verification of the academic qualifications obtained prior to
entry may be undertaken, either during the admission process or following
enrolment as a student. As part of this verification, applicants/students may
be required to provide certification to verify their academic qualifications.
The University reserves the right to refuse admission or to apply the Student
Disciplinary Procedure if clear and complete certification for such verification
is not provided on request.
3. STRUCTURE OF THE PROGRAMME
Table 1: Outline of the MB BCh Programme
Six-Year Programme
Five-Year Programme
Four-Year Programme
(Graduate Entry)
Preliminary Year
56
Primary MB Year 1
Primary MB Year 1
Intermediate MB Year 2
Intermediate MB Year 2
Swansea University
Intermediate MB Year 1
Intermediate MB Year 3
Intermediate MB Year 3
(Leading to Intermediate
MB) Intermediate MB Year
2
Final MB Year 4
Final MB Year 4
Final MB Year 3
Final MB Year 5
Final MB Year 5
Final MB Year 4
3.1.1.1 The Programme shall be full-time.
3.2 Candidates for entry to the Programme who have reached a satisfactory
standard, as determined by the Board of Medical Studies, may be exempted
from any or all elements of the Preliminary Year.
3.3 Assessments and examinations for each Year of study shall be grouped into
Units of Assessment which shall be considered by the appropriate
Examining Board at points identified within each Year of the programme.
3.4 Candidates are required to attend all Units of Study to the satisfaction of the
University and to present themselves for, and reach an acceptable standard
in, University assessments and examinations. Candidates failing to meet
these requirements may be excluded from the Programme either
permanently or for a period, or required to repeat Unit(s) of Study or Unit(s)
of Assessment of the Programme.
3.5 The modular Preliminary Year shall be of two Semesters' duration.
3.6 The non-modular Primary MB Year 1 shall be of at least 30 weeks'
duration.
3.7 The non-modular Intermediate MB Year 2 and Year 3 (Year 1 and 2 of the
Four-Year Programme) shall be of at least 75 weeks' duration. Year 2
(Year 1 of the Four-Year Programme) shall comprise at least 30 weeks and
Year 3 (Year 2 of the Four-Year Programme) shall comprise at least 45
weeks.
3.8 The non-modular Final MB Year 4 (Year 3 of the Four-Year Programme)
and Year 5 (Year 4 of the Four-Year Programme) shall be of at least 86
weeks' duration and shall comprise four Parts. Year 4 (Year 3 of the Four-
Year Programme) shall comprise at least 45 weeks and Year 5 (Year 4 of
the Four-Year Programme) shall comprise at least 41 weeks.
3.9 Clinical studies shall be pursued in the Cardiff University School of Medicine
and in hospitals, General Practices and other healthcare institutions
approved from time to time by the Board of Medical Studies. Candidates
are required to attend hospital practice or to pursue other approved clinical
studies throughout the Programmes.
4. TIME LIMIT
4.1 The time limit for a student to complete his/her Programme shall be normally
no more than two years beyond the normal duration of the Programme as
indicated in these Senate Regulations or three years for students
undertaking an intercalated degree year. This period may be extended by
57
the Academic Standards and Quality Committee on the recommendation of
the Board of Medical Studies under exceptional circumstances.
4.2 Students will not be permitted to repeat more than one year of the
Programme following academic failure.
6. PROGRAMME
5.1 The Units of Study, rules on assessment, progression and award and
requirements relating to clinical competence shall be confirmed by the
Board of Medical Studies.
5.2 Students pursuing the Five-year or Six-year Programmes may interrupt their
studies on successful completion of the Intermediate MB to undertake an
approved Intercalated degree. Students can be granted one opportunity to
complete an intercalated degree. Such students must return to the
Programme after one academic year.
5.3 Candidates presented for the Final MB Year 5 examinations and
assessments by the University shall be certified as having complied with all
conditions required by the University and must not be the subject of an
ongoing Fitness to Practise or other disciplinary investigation.
6. ASSESSMENT
6.1 Assessment shall be conducted in accordance with Senate Assessment
Regulations for Taught Programmes.
6.2 The method of assessment for each Unit of Study shall be determined by
the Board of Medical Studies and indicated in the Programme
documentation.
6.3 Candidates who fail any of the Units of Assessment of the Programme (as
determined by the Board of Medical Studies and stated in the summative
marking scheme within the Programme documentation) shall be required to
re-present themselves for examination or assessment at the next available
opportunity, having pursued such further instruction as the Examining Board
may determine. Such candidates shall not normally be allowed more than
one further attempt at the Unit(s) of Assessment.
7. PROGRESSION
7.1 At the end of each Year of the Programme and following resit events, the
Examining Board shall consider the progress of each student in each Unit of
Study, and shall determine whether he/she:
7.1.1 shall be permitted to proceed to the next Year of the Programme or is
eligible for an exit-point award;
7.1.2 shall be permitted to attempt to retrieve one or more failed Units of
Assessment prior to the commencement of the next Year of the Programme;
7.1.3 is not eligible to proceed to the next Year of the Programme or is not eligible
to receive an award and must repeat the year in its entirety as an internal
student.
7.1.4 is required to withdraw from the Programme.
58
7.2 Where a student is permitted to attempt to retrieve one or more failed Units
of Study prior to the commencement of the next Year of the Programme, the
Examining Board shall meet again to consider the performance of each
student in these assessments and shall determine the status of the student
in accordance with 7.1.1, 7.1.3 or 7.1.4 above.
7.3 PROVISIONS FOR THE AWARD OF BACHELOR OF MEDICAL SCIENCE
(BMedSc)
7.3.1 Any student who does not successfully complete the MB BCh Programme
may, at the discretion of the Examining Board for the Intermediate MB Year
3 (and Year 2 for the Four-Year Programme), for the Final MB Year 4 (and
Year 3 of the Four-Year Programme) or Final MB Year 5 (and Year 4 of the
Four-Year Programme), be recommended for the unclassified award of a
Bachelor of Medical Science (BMedSc) provided that, as a minimum, they
have satisfied the Examining Board in the Primary and Intermediate MB
examinations (but not necessarily the clinical competence assessments).
7.3.2 On admission to the degree of BMedSc the graduate will no longer be
eligible for the award of the Degrees of Bachelor of Medicine and Bachelor
of Surgery.
8. AWARD OF DEGREES
8.1 Candidates who have satisfied the requirements of the Programme shall be
eligible for the award of the Degrees of Bachelor of Medicine and Bachelor
of Surgery.
8.2 Classification of the Degrees of Bachelor of Medicine and Bachelor of
Surgery shall be:
MB BCh with Honours
MB BCh with Commendation
MB BCh
in accordance with the relative weighting determined by the Board of
Medical Studies as provided to students.
8.3 Candidates who have failed to satisfy the examiners at any time in
examinations and assessments (other than in the Preliminary Year) as
defined by the Board of Medical Studies, shall not be eligible for the award
with Honours or with Commendation.
8.4 Candidates who have been unsatisfactory in their progress and thus are not
eligible to present themselves for their Final MB Year 5 (and Year 4 of the
Four-Year Programme) examinations and assessments at the expected
time may be permitted, at the discretion of the Board of Medical Studies,
one attempt only at the relevant Units of Assessment of the Final MB Year 5
(and Year 4 of the Four-Year Programme).
59
Senate Regulations for the Non-Modular Degrees of Bachelor of
Medicine and Bachelor of Surgery (MB BCh)
[New entrants from 2013-2014 – see 1.1 below.]
1 GENERAL
1.1 These Regulations apply to:
- students entering Year 1 of the Six-Year and Five-Year Programmes in
September 2013;
- students subsequently joining the above student cohort, including
students entering Year 1 of the Four-Year Programme, from
September 2014; and
- students entering Year 1 of the Programme after September 2013.
1.2 These Regulations shall be read in conjunction with:
- Senate Regulation for Awards of Cardiff University;
- Senate Assessment Regulations for Taught Programmes;
- Programme Regulations for the Preliminary Year.
Definitions of terms provided in Senate Definition of Terms Used in Senate
Regulations shall apply save as otherwise varied or supplemented below.
Degrees the Degrees of Bachelor of Medicine and Bachelor
of Surgery (MB BCh)
Unit(s) of Study A separate identifiable component of learning
Unit(s) of Assessment A separate identifiable component of assessment.
2 ENTRY REQUIREMENTS
2.1 Applicants for admission to the Four-Year, Five-Year and Six-Year
Programmes (See Table 1) shall be required to satisfy the requirements of
the Cardiff University General Entrance Requirement and, in addition,
satisfy the requirements of the School of Medicine, Cardiff University.
2.2 The decision as to whether an applicant shall be admitted to the MB BCh
Programme shall rest with the Head of the School of Medicine.
Entry with Advanced Standing
2.3 The Head of the School of Medicine shall be authorised to approve entry
with advanced standing to an identified Year of study. Such approvals shall
be on the basis of one or more periods of study at institutions of higher
education in lieu of a specified period of study at Cardiff University where
the specified period shall comprise the equivalent of not less than one
session of full-time study.
60
2.4 In determining the classification of the award the Examining Board shall
include only those Units of Assessment which the student has attempted as
a registered student of the University.
2.5 An individual verification of the academic qualifications obtained prior to
entry may be undertaken, either during the admission process or following
enrolment as a student. As part of this verification, applicants/students may
be required to provide certification to verify their academic qualifications.
The University reserves the right to refuse admission or to apply the Student
Disciplinary Procedure if clear and complete certification for such verification
is not provided on request.
3. STRUCTURE OF THE PROGRAMME
Table 1: Outline of the MB BCh Programme
Six-Year Programme
(A104)
Five-Year Programme
(A100)
Four-Year Programme
(Graduate Entry)
(A101)
Preliminary Year
Year 1
Year 1
Year 2
Year 2
Year 1
Year 3
Year 3
Year 2
Year 4
Year 4
Year 3
Year 5
Year 5
Year 4
3.1 The Programme shall be full-time.
3.2 Candidates for entry to the Programme who have reached a satisfactory
standard, as determined by the Board of Medical Studies, may be exempted
from any or all elements of the Preliminary Year.
3.3 Assessments and examinations for each Year of study shall be grouped into
Units of Assessment which shall be considered by the appropriate
Examining Board at points identified within each Year of the programme.
3.4 Candidates are required to attend all Units of Study to the satisfaction of the
University and to present themselves for, and reach an acceptable standard
in, University assessments and examinations. Candidates failing to meet
these requirements may be excluded from the Programme either
permanently or for a period, or required to repeat Unit(s) of Study or Unit(s)
of Assessment of the Programme.
3.5 The Programme shall be structured as follows:
The modular Preliminary Year shall be of two Semesters' duration
The non-modular Year 1 shall be of at least 30 weeks' duration and be
equivalent to 120 credits at CQFW Level 4 or higher.
61
The non-modular Year 2 (Year 1 of the Four-Year Programme) shall be of
at least 30 weeks duration and be equivalent to 120 credits at CQFW Level
5 or higher.
The non-modular Year 3 (Year 2 of the Four-Year Programme) shall be of
at least 45 weeks’ duration and be equivalent to 120 credits at CQFW Level
6 or higher
The non-modular Year 4 (Year 3 of the Four-Year Programme) shall be of
at least 45 weeks duration and be equivalent to 120 credits at CQFW Level
6 or higher.
The non-modular Year 5 (Year 4 of the Four-Year Programme) shall be of
at least 40 weeks’ duration and shall be equivalent to 120 credits at CQFW
level 7.
3.6 The Programme shall be pursued in the Cardiff University School of
Medicine and in hospitals, General Practices and other healthcare
institutions approved from time to time by the Board of Medical Studies.
Candidates are required to attend hospital practice or to pursue other
approved clinical studies throughout the Programme.
4. TIME LIMIT
4.1 The time limit for a student to complete his/her Programme shall be normally
no more than two years beyond the normal duration of the Programme as
indicated in these Senate Regulations or three years for students
undertaking an intercalated degree year. This period may be extended by
the Academic Standards and Quality Committee on the recommendation of
the Board of Medical Studies under exceptional circumstances.
4.2 Students will not be permitted to repeat more than one year of the
Programme following academic failure.
5 PROGRAMME
5.1 The Units of Study, rules on assessment, progression and award and
requirements relating to clinical competence shall be confirmed by the
Board of Medical Studies.
5.2 Students pursuing the Five-Year or Six-Year Programmes may interrupt
their studies on successful completion of Year 2 to undertake an approved
Intercalated degree. Students can be granted one opportunity to complete
an intercalated degree. Such students must return to the Programme after
one academic year.
6. ASSESSMENT
6.1 Assessment shall be conducted in accordance with Senate Assessment
Regulations for Taught Programmes.
6.2 The method of assessment for each Unit of Study shall be determined by
the Board of Medical Studies and indicated in the Programme
documentation.
6.3 The mark achieved by each student in each Unit of Study shall be
determined by the relevant Examining Board.
62
6.4 The minimum mark for a pass in each Unit of Study shall usually be 50%
after standard setting has been applied.
6.5 A student who passes a Unit of Study, in which s/he has previously failed,
shall be credited with the minimum mark for a pass.
6.6 Candidates who fail any of the Units of Assessment of the Programme (as
determined by the Board of Medical Studies and stated in the summative
marking scheme within the Programme documentation) shall be required to
re-present themselves for examination or assessment at the next available
opportunity, having pursued such further instruction as the Examining Board
may determine. Such candidates shall not normally be allowed more than
one further attempt at the Unit(s) of Assessment.
7. PROGRESSION
7.1 At the end of each Year of the Programme and following resit events,
subject to the provisions of 6.6 the Examining Board shall consider the
progress of each student in each Unit of Study, including Professional
Behaviour Assessments, and shall determine whether he/she:
7.1.1 shall be permitted to proceed to the next Year of the Programme or is
eligible for an exit-point award; or
7.1.2 shall be permitted to attempt to retrieve one or more failed Units of
Assessment prior to the commencement of the next Year of the Programme;
or
7.1.3 is not eligible to proceed to the next Year of the Programme or is not eligible
to receive an award and must repeat the Year in its entirety as an internal
student; or
7.1.4 is required to withdraw from the Programme.
7.2 A student shall only be permitted to continue to pursue the MB BCh
providing it remains possible for him/her to complete the Programme, and
do so within the approved time-limit. In addition, a student who has failed
one or more assessments on two occasions shall be required to withdraw
from the Programme.
7.3 Where a student is permitted to attempt to retrieve one or more failed Units
of Study prior to the commencement of the next Year of the Programme, the
Examining Board shall meet again to consider the performance of each
student in these assessments and shall determine the status of the student
in accordance with 7.1 and 7.2 above.
8. STRUCTURE AND CONTENT OF RE-ASSESSMENTS
8.1 Where a student is required to be re-assessed for one or more Units of
Study prior to the start of the following academic year, the re-assessment
shall, unless the Examining Board decides that this is not practical, be of the
same structure and be based upon the same syllabus as the Assessment at
the time of the initial failure.
8.1.1 For re-assessment within one year of the initial failure, the re-assessment
shall, unless the Examining Board decides that this is not practical, be of the
same structure and be based upon the same syllabus as the assessment at
the time of the initial failure. In all cases the Examining Board shall ensure
63
that retrieval of failure is carried out either through re-assessment by the
same method(s) or by method(s) designed to cover all learning outcomes;
8.1.2 For re-assessment beyond one year of the initial failure, the re-assessment
may, at the discretion of the School Board, be of the same structure and be
based upon the syllabus taught to all internal students at the time of the re-
assessment.
8.2 Where a student is permitted to repeat the Year in its entirety as an internal
student as provided in 7.1.3 above, the re-assessment shall be of the same
structure and be based upon the syllabus taught to all students at the time
of his/her re-assessment.
8.3 Where, under 8.1.2 above, a student is required to be re-assessed and the
structure of the assessment is different from that at the time of the initial
failure and/or the re-assessment is to be based upon a different syllabus,
the Head of School concerned shall make arrangements for the student:
8.3.1 to be informed of changes in the structure of the assessment and the
syllabus content; and
8.3.2 to be offered, at an appropriate charge, the opportunity of attending a
suitable programme of scheduled classes.
8.4 The mark for a student who passes a Unit in which he/she has previously
failed shall be awarded in accordance with 6.5 above.
9. PROVISIONS FOR EXIT AWARDS
9.1 Any student who does not successfully complete the MB BCh Programme
may, at the discretion of the Examining Board be recommended for one of
the following awards:
9.1.1 A student who has successfully completed all elements of Year 1(the
equivalent of 120 Credits at CQFW Level 4 or higher) shall be eligible for the
award of a University Certificate of Higher Education in Medical
Science which is an unclassified award.
9.1.2 A student who has successfully completed all elements of Year 2 (Year 1 of
the Four-Year Programme) - the equivalent of 240 Credits including a
minimum of 120 Credits at CQFW Level 4 or higher and a minimum of 120
Credits at CQFW Level 5 or higher - shall be eligible for the award of a
University Diploma of Higher Education in Medical Science which is an
unclassified award.
9.1.3 A student who has successfully completed all elements of Year 3 (Year 2 of
the Four-Year Programme) - the equivalent of 360 Credits including a
minimum of 120 Credits at CQFW Level 4 or higher, a minimum of 120
Credits at CQFW Level 5, and a minimum of 120 Credits at CQFW Level 6
or higher - shall be eligible for the award of an Bachelor of Medical
Science (BMedSc) with Honours. The classification of the award will be
determined in accordance with the criteria set out in 11.
9.1.4 In addition to 9.1.3, a student who has successfully completed all elements
of Year 4 (Year 3 of the Four-Year Programme) - the equivalent of 480
Credits including a minimum of 120 Credits at CQFW Level 4 or higher, a
minimum of 120 Credits at CQFW Level 5, a minimum of 240 Credits at
CQFW Level 6 or higher - shall also be eligible for the award of a Graduate
64
Diploma in Medical Science. The classification of the award will be
determined in accordance with the criteria set out in 11.
9.2 On admission to one of the exit-point awards indicated in 9.1 above the
graduate will no longer be eligible for the award of the Degrees of Bachelor
of Medicine and Bachelor of Surgery.
10 AWARD OF DEGREES
10.1 Candidates who have satisfied the requirements of the Programme shall be
eligible for the award of the Degrees of Bachelor of Medicine and Bachelor
of Surgery.
10.2 Classification of the Degrees of Bachelor of Medicine and Bachelor of
Surgery shall be:
MB BCh with Honours
MB BCh with Commendation
MB BCh
in accordance with the criteria as set out in 11.
10.3 Units of Study below Level 7. predominately Years 1-4 (Years 1-3 of the
Four-Year Programme) will not be included in the calculation of degree
classification for the degrees of MB BCh.
11 CLASSIFICATION
MB BCh
11.1 Classification will be based on performance in the final year assessments
only and will be based upon ranking position in the final year.
11.2 Student achievement in Years 1-4 (Years 1-3 of the Four-Year Programme)
will be recognised in the award of prizes and certificates of merit.
11.3 To be eligible for the degrees of MB BCh with Honours or with
Commendation students must have completed at least 3 progress tests in
their final year.
11.4 Students ranked in the top 10% of the cohort in the final year will receive the
degrees of MB BCh with Honours.
11.5 Students ranked in the top 11-20% of the cohort in the final year will receive
the degrees of MB BCh with Commendation.
BMedSci – exit-point award
11.6 Subject to 11.9 below, classification will be based on performance in Year 3
(Year 2 in the Four-Year Programme) assessments only and will be based
upon the overall mark resulting from assessments completed in that Year of
the Programme only.
11.7 Classification will be determined using the following rule set in the first
instance:
First class honours
A final mark of 70% or above
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Second class honours, division I (2:1)
A final mark between 60% and 69%
Second class honours, division II (2:2)
A final mark between 50% and 59%
11.8 Students who do not achieve an overall mark of 50% or more overall, but
who have achieved at least 50% overall in the Science domain will be
eligible to receive Third Class Honours.
11.9 BMedSci Secondary rule
Subsequent to the above the following rules will apply to candidates who
achieve a final mark within 2% of the higher band.
Candidates who achieve a final mark of 68 or 69 will be awarded a first class
degree provided that:
They have achieved a mark of 70 or above in Year 2 (Year 1 of the Four-
Year Programme).
Candidates who achieve a final mark of 58 or 59 will be awarded a 2:1
provided that:
They have achieved a mark of 60 or above in Year 2 (Year 1 of the Four-
Year Programme).
Candidates who achieve a final mark of 48 or 49 will be awarded a third class
degree provided that:
They have achieved a mark of 50 or above in Year 2 (Year 1 of the Four-
Year Programme).
Graduate Diploma – exit-point award
11.10 Subject to 11.13 below, classification will be based on performance in the
Year 4 (Year 3 of the Four-Year Programme) assessments only and will be
based upon the overall mark resulting from assessments completed in Year
4 (Year 3 of the Four-Year Programme) of the Programme only.
11.11 Classification will be determined using the following rule set in the first
instance:
Graduate Diploma with Distinction
A final mark of 70% or above
Graduate Diploma with Merit
A final mark between 60% and 69%
Graduate Diploma
A final mark between 50% and 59%
11.12 Students who do not achieve an overall mark of 50% or more overall, but
who have achieved at least 50% overall in the Science domain will be
eligible to receive the Graduate Diploma.
11.13 Graduate Diploma Secondary rule
Subsequent to the above the following rules will apply to candidates who
achieve a final mark within 2% of the higher band.
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Candidates who achieve a final mark of 68 or 69 will be awarded a Graduate
Diploma with Distinction provided that:
They have achieved a mark of 70 or above in Year 3 (Year 2 of the Four-
Year Programme).
Candidates who achieve a final mark of 58 or 59 will be awarded a Graduate
Diploma with Merit provided that:
They have achieved a mark of 60 or above in Year 3 (Year 2 of the Four-
Year Programme).
Candidates who achieve a final mark of 48 or 49 will be awarded a Graduate
Diploma provided that:
They have achieved a mark of 50 or above in Year 3 (Year 2 of the Four-
Year Programme).
Senate Regulations for Modular Postgraduate Taught Programmes
1. GENERAL
1.1 These Regulations are to be read in conjunction with Senate Assessment
Regulations for Taught Programmes.
1.2 These Regulations apply to all modular taught postgraduate Programmes,
and also to the MRes (Master of Research).
1.3 A Head of School may, exceptionally, seek the approval of the Academic
Standards and Quality Committee to vary these Regulations in respect of
one or more Programme(s).
2. DEFINITIONS
Definitions of terms used in these Regulations can be found in the document
'Definition of Generic Terms Used in Senate Regulations'.
3. ADMISSION
3.1 All applicants for admission to modular postgraduate Programmes shall be
required:
3.1.1 to meet the conditions of the University General Entrance Requirement; and
3.1.2 to meet the particular requirements for the Programme applied for, as
specified in the relevant Programme Information.
3.2 The decision whether an applicant shall be admitted to a Programme shall
rest with the relevant Head of School. In addition, Heads of Schools shall
retain the right to determine the maximum or minimum intake for individual
Modules, providing that an applicant may not be denied admission to any
Required Module or Core Module which contribute to the Programme of
Study for which s/he is registered.
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3.3 An individual verification of the academic qualifications obtained prior to
entry may be undertaken, either during the admission process or following
enrolment as a student. As part of this verification, applicants/students may
be required to provide certification of academic qualifications. The
University reserves the right to refuse admission or apply the Student
Disciplinary Procedure if clear and complete certification for such verification
is not provided on request.
4. PROGRAMME INFORMATION FOR STUDENTS
4.1 For each approved postgraduate Programme, there shall be approved
Programme Information which shall include, inter alia:
Entry Requirements;
Programme Specification;
Structure of the Programme;
Module Descriptions;
Rules on Assessment, Progression and Award.
5. MODULES
5.1 Where a Module is available for more than one Programme, its status as a
Required Module, Core Module, Option Module or Free-Standing Module
may vary between programmes. The Credits and Credit Level of a Module
may not vary.
5.2 No single Module shall be sub-divided.
5.3 Precursors, Prerequisites and/or Co-requisites may be defined for any
Module or for a Module in a specified Programme.
5.4 The Head of School responsible for the management of a Module shall
determine whether it shall be made available to students registered on other
programmes as a Free-Standing Module and, if it is, shall specify any
minimum or maximum intake levels or other restrictions.
5.5 Any fieldwork requirements shall form part or all of one or more specified
Modules subject to any timetabling or other constraints.
5.6 Taught Modules shall not extend beyond one Session.
5.7 A Dissertation Module shall be at least equal to 60 Credits at Level 7. A
Dissertation submitted for examination as a requirement of a Master's
Programme shall be a bound submitted work, of not more than 20,000
words.
6. STRUCTURE
6.1 Each Programme leading to a Master's Degree shall be divided into two or
three Stages as follows:
Two Stage Three Stage
Postgraduate Diploma Stage; Postgraduate Certificate Stage;
and and
Master's Degree Stage; Postgraduate Diploma Stage;
and
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: Master's Degree Stage.
Each Programme leading to a Postgraduate Diploma shall be divided into
one or two stages as follows:
One Stage Two Stage
Postgraduate Diploma Stage. Postgraduate Certificate Stage;
and
Postgraduate Diploma Stage.
Each Programme leading to a Postgraduate Certificate shall comprise one
stage.
Postgraduate Certificate Stage
The structure of modular Programmes shall be set out in Programme
Information which shall as a minimum accord with the following
requirements:
6.1.1 a modular Programme leading to a Postgraduate Certificate shall consist
of Modules at least to the value of 60 Credits of which no more than 20
Credits shall be at Level 6;
6.1.2 a modular Programme leading to a Postgraduate Diploma shall consist of
Modules at least to the value of 120 Credits of which no more than 30
Credits shall be at Level 6;
6.1.3 a modular Programme leading to the award of a Master's Degree shall
consist of Modules at least to the value of 180 Credits which shall include a
Dissertation of at least 60 Credits at Level 7, and of which no more than 30
credits shall be at Level 6;
6.1.4 a modular Programme leading to the award of a Postgraduate Certificate, or
a Postgraduate Diploma, or a Master's Degree shall include no Modules
which are at a Level less than Level 6;
6.1.5 a Graduate Diploma (Level 6) may, in accordance with the appropriate
Programme Information, be awarded as an exit-point award to a student
admitted to a postgraduate Programme which includes the initial and
additional completion of Modules to the value of 120 Credits including a
minimum of 90 Credits at Level 6 and no more than 30 Credits at Level 5.
6.1.6 no student may be permitted or required to pursue and/or be assessed in
Modules to the value of:
more than 120 Credits in any session; and
more than 180 Credits in any calendar year.
6.1.7 Programme Information shall identify all Exit-Point Awards associated with
the Programme and shall stipulate the Modules contributing to each award.
6.2 ADMISSION WITH ADVANCED STANDING, MODULE EXEMPTIONS AND
MODULE SUBSTITUTION
6.2.1 Admission with Advanced Standing - Heads of Schools shall be authorised
to admit students with advanced standing to the Diploma or Master's stage
69
of a Programme following submission and subsequent approval by
Academic Standards and Quality Committee of a special case, either on an
individual or programme basis, which should include a rationale and
demonstrate evidence of the establishment of rigorous local protocols for
determining equivalence.
Where a student successfully completes the Postgraduate Certificate or
Postgraduate Diploma Stage of a Programme and exits with an award, and
subsequently wishes to return to complete further stages of the same
Programme, subject to any tighter time limits provided in Programme
Information, they will be able to do so within three years. A special case
should be made to Academic Standards and Quality Committee on an
individual or programme basis for the approval of any longer hiatus.
6.2.2 Module Exemption - Heads of Schools shall be authorised to exempt
students from specified Modules provided always that the structure of the
Programme in its entirety complies with the stipulations of 6.1.1 – 6.1.4
above, and following submission and subsequent approval by Academic
Standards and Quality Committee of a special case on an individual basis,
which should include a rationale and demonstrate evidence of the
establishment of rigorous local protocols for determining equivalence.
6.2.3 Module Substitution - Heads of Schools shall be authorised, in exceptional
circumstances, to approve an alternative Programme which permits
students to substitute Modules of the existing Programme with alternative
Module(s) subject to the following limits:
Postgraduate Certificate up to 20 Credits
Postgraduate Diploma/Master's up to 30 Credits.
6.2.4 Where a student is granted Admission with Advanced Standing or
Exemption from a Module in accordance with 6.2.1 or 6.2.2 above, s/he
shall be awarded the appropriate number of Credits. In determining the final
award an Examining Board shall include only those relevant Modules which
the student has attempted as a registered student of the Programme.
6.2.5 Entry with Advanced Standing, Module Exemption and Module Substitution
shall normally only be made available when recognition is being given for
previous study and/or experience undertaken or gained within three years
prior to admission to the Programme.
6.3 PROGRAMME OF STUDY
6.3.1 At the beginning of the Session, all students shall be required to register on
a Programme and confirm for the approval of the Head of School, their
Programme of Study for the Session.
6.3.2 Following registration a student may seek the approval of the Head of
School to amend his/her Programme of Study within the first three weeks of
a Semester.
6.4 PROGRAMME COMPLETION
6.4.1 The due date for submission of the Dissertation for Master's Programmes
shall be stipulated in the Programme Information. For full-time, one-year
Programmes, the due date shall be no more than 50 weeks from the date of
initial registration unless otherwise varied under 6.4.2 below. For part-time
Programmes, the due date shall be no less than 28 weeks and no more
70
than one year from the date of commencement of the Master’s Degree
(Dissertation) Stage.
6.4.2 In the case of full-time, 180-Credit Master's programmes involving significant
clinical or clinically-related engagement at the Master's (dissertation) stage,
the Academic Standards and Quality Committee may, on the
recommendation of a Head of School, approve for identified programmes a
due date for submission of the Dissertation of no more than 18 months from
the date of initial registration.
6.4.3 If a Master's Degree candidate fails to submit a Dissertation by the due date
stipulated s/he will be awarded a mark of zero for the Dissertation.
6.4.4 The overall Deadline for Programme Completion shall be no more than two
years beyond the normal duration of the Programme as indicated in the
Programme Information. The Deadline may be extended in exceptional
circumstances by the Academic Standards and Quality Committee.
6.4.5 The due date for submission of the Dissertation for Master's Programmes
shall be extended by three months in the case of full-time Programmes
where a candidate is permitted at the end of the Diploma Stage to resit
Modules in the next Re-sit Examination Period.
7. ASSESSMENT
7.1 Assessment shall be conducted in accordance with Senate Assessment
Regulations for Taught Programmes.
7.2 Forms of Assessment for each Module, including the weighting for each
element of the Assessment, shall be indicated in the Programme
Information.
7.3 The pass mark in each Module shall be 50%.
7.4 Subject to being able to continue on a Programme, a student shall be
permitted two attempts to achieve the award of Credit in a Module:
A first attempt, AND
A Re-sit OR Repeat attempt.
7.5 Where a student has been awarded Credit in a Module, and where that
student cannot retake Assessments impacted by Extenuating
Circumstances (see Senate Assessment Regulations 11.6), the student
shall not be permitted any further Assessment in that Module.
7.6 A student who has failed a Module on two occasions shall be required to
withdraw from that Module.
8. DETERMINATION OF MODULE MARKS AND AWARD OF CREDIT
8.1 As appropriate to the structure and/or mode of the Programme, a
Programme Examining Board or Composite Examining Board shall meet at
the end of each Stage, Session or Calendar Year, to consider:
the performance of students in all Modules completed during the
Stage, Session or Calendar Year; and
71
the progression and/or Final Assessment of students
and shall determine:
.1 a Module Mark for each Module; and
.2 whether the student:
- Is eligible for the award of Credit as provided in 8.2 and 8.4
below; or
- has failed the Module (see Section 12, Resits and Re-
Assessments); or
- has had Assessment(s) impacted by Extenuating
Circumstances. In such cases, the Examining Board shall deal
with the student in accordance with the Senate Assessment
Regulations.
8.2 An Examining Board shall award Credit in a Module where a student has
achieved:
a Module Mark of 50% or more (or a "Pass" as provided in 7.3 above);
and
where relevant and indicated in the Programme Information, a mark of
50% or more in any individual Assessment designated as having to be
passed; and
where relevant, any required professional competencies.
Master's Degree Dissertation
8.3 The Dissertation of each candidate for the degree of Master shall be
assessed by at least two members of the Examining Board.
Condonement
8.4 In addition to 8.2 above, an Examining Board shall award a student Credit in
Module(s) to permit Progression / Award, where a Module Mark of 45%,
46%, 47%, 48% or 49% has been achieved provided that the below
conditions are satisfied:
.1 the Module(s) is being assessed as a first attempt; AND
.2 the student has NOT failed more than 30 Credits; AND
.3 the student’s Level/Year Result in that Level/Year of study, in all
contributing Modules, is at least 55%; AND
.4 the Module(s) is/are NOT a Required Module(s); AND
.5 in the case of a Module where a qualifying mark is required for one or
more Assessment components, the qualifying mark(s) HAS/HAVE
been achieved; AND
.6 the student’s target award is NOT a Postgraduate Certificate.
72
In such circumstances, the Module Mark (45%, 46%, 47%, 48% or 49%)
confirmed by the Examining Board shall not be changed and shall be used,
where applicable, in calculating any award classification. Examining Boards
are not permitted to change individual Module Marks.
8.5 Condonement shall not operate:
.1 in Required Modules; OR
.2 in Module(s) being assessed as second or third attempts; OR
.3 in the case of a Module where a qualifying mark is required for one or
more Assessment components, the qualifying mark(s) has/have NOT
been achieved; OR
.4 in Master’s Degree Dissertations.
9 PROGRESSION
[Note: These Regulations are to be read in conjunction with Senate
Assessment Regulations for Taught Programmes, which include provisions
for managing Extenuating Circumstances.]
9.1 To progress to the next stage of their Programme, students must have
achieved:
the Credits set out in the rules adopted from one of the following
Progression Sets by their Programme;
Credit in any Required Modules; and
where relevant, the required professional competencies.
The Programme Information shall inform students of the Progression Set
and any other Programme requirements applicable to their Programme.
Progression Set 1
(Three Stage
Programmes)
(All Credits required)
Progression Set 2
(Two Stage
Programmes)
(All Credits
required)
Progression Set 3
(programmes that
include a Year of
Experiential and/or
Professional
Learning (E/PL)
(All Credits required)
At the end
of the
Certificate
Stage
Students who have
been awarded 60
Credits at Level 6 or
above, at least 40 of
which are at Level 7
shall:
EITHER progress
to the Diploma
stage of their
Programme;
OR be awarded a
Postgraduate
Students who have
been awarded 60
Credits at Level 6 or
above, at least 40 of
which are at Level 7
shall:
EITHER progress
to the Diploma
stage of their
Programme;
OR be awarded a
Postgraduate
73
Certificate
Certificate
At the end
of the
Diploma
Stage
Students who have
been awarded 120
Credits at Level 6 or
above, at least 90 of
which are at Level 7
shall:
EITHER progress
to the Master's
Degree Stage of
their Programme;
OR be awarded a
Postgraduate
Diploma
Students who have
been awarded 120
Credits at Level 6
or above, at least
90 of which are at
Level 7 shall:
EITHER
progress to the
Master's Degree
Stage of their
Programme;
OR be awarded
a Postgraduate
Diploma
Students who have
been awarded 120
Credits at Level 6 or
above, at least 90 of
which are at Level 7
shall:
EITHER progress
to the Year of
E/PL;
OR be awarded a
Postgraduate
Diploma
At the end
of the
Year of
E/PL
Students who have
been awarded 240
Credits at Level 6 or
above, at least 210 of
which are at Level 7
shall:
EITHER progress
to the Master's
Degree Stage of
their Programme;
OR be awarded a
Postgraduate
Diploma
9.2 Where an Examining Board does not:
permit a student to proceed to the next academic stage of the
Programme; or
recommend eligibility for a student to receive an award; or
permit a student to be re-assessed in failed Module(s) (see Section 10
Re-Assessment)
it shall require the student to withdraw from the Programme.
9.3 A student shall only be permitted to continue to pursue a Programme
providing it remains possible for them to complete the Programme, and do
so within the approved time-limit (See Section 6). Where a student is
permitted to continue to pursue a Programme they shall be permitted two
attempts at a Module’s Assessment, including the initial attempt.
9.4 A student for a Master's award may, with the Head of School's approval,
begin supervised or unsupervised preparatory work on the Dissertation prior
to completion of the Postgraduate Diploma Stage, but may not submit work
for assessment unless and until the Postgraduate Diploma Stage of the
Programme has been passed.
74
10 RE-ASSESSMENT
[Note: These Regulations are to be read in conjunction with Senate
Assessment Regulations for Taught Programmes, which include provisions
for managing Extenuating Circumstances.]
10.1 Schools shall define how a Module will be re-assessed and shall
communicate this to students at the Module’s outset.
ACTION TO BE TAKEN IN RESPECT OF FAILED STUDENTS:
CERTIFICATE/DIPLOMA STAGE
10.2 Eligibility for Re-assessment in a modular Postgraduate Certificate
Programme (and on the completion of 60 credits, where this is a defined
Progression point):
On completion of the taught Modules students shall re-sit any failed
Module(s) provided that they can complete their Programme within the
specified timeframe, and have failed no more than 45 Credits.
10.3 Eligibility for Re-assessment in a modular Postgraduate Diploma or on the
completion of the Diploma stage of a Master’s Programme:
On completion of the taught Modules students shall be re-assessed in failed
Module(s), provided that they can complete their Programme within the
specified timeframe, as set out in the tables below.
To Re-sit Modules in the next Re-sit Examination Period a student
must have failed no more than:
PGT Re-sit rule set 1
60 Credits
PGT Re-sit rule set 2
40 Credits
PGT Re-sit rule set 3
30 Credits
To Repeat Modules in the next session a student must have failed
no more than:
PGT Repeat rule set 1
105 Credits
PGT Repeat rule set 2
80 Credits
PGT Repeat rule set 3
60 Credits
10.4 Where a student has failed taught Module(s) but has achieved sufficient
Credit to receive an Award, the Examining Board shall determine whether
the student should be given the option of re-sitting the failed Credits, e.g.
where they could improve their award classification.
10.5 Where a student has failed Module(s) AND has Module(s) that they are
permitted to (re)take as a first attempt, (e.g. where Module(s) have been
impacted by Extenuating Circumstances), the Examining Board shall
75
determine whether it is reasonable for the student to be assessed in all of
these Modules in the Re-sit Examination period.
RE-SIT ASSESSMENTS
10.6 Re-sit Assessments shall normally be held in the Re-sit Examination Period,
prior to the start of the following academic session.
10.7 Where a student is required to Re-sit Module(s) in the Re-sit Examination
Period, the student shall EITHER Re-sit the failed components OR
undertake a synoptic Assessment, as defined in Programme Information.
REPEAT ASSESSMENTS
10.8 Repeat Assessments shall normally be held in the following academic
session. Students shall be informed by the Chair of the Examining Board
(or nominee) prior to the start of that session where they must Repeat the
Module(s) as an Internal Student.
10.9 Where a student can Repeat the Module(s) as an Internal Student OR as an
External Student, this shall be determined by the Chair of the Examining
Board (or nominee) and recorded at Enrolment, subsequent to discussion
with the student.
10.10 Where a student Repeats Module(s) as an Internal Student, the student
shall be taught and assessed in the same way as students taking the
Module for the first time and shall undertake all of the component
Assessments attached to that Module, including any that the student passed
in a previous attempt.
10.11 Where a student Repeats Module(s) as an External student, the student
shall be assessed in the same way as they were originally, against the
Learning Outcomes applicable at that time, and shall undertake the
component Assessments that the student needs to pass in that Module only,
excluding any that the student passed in a previous attempt.
ACTION TO BE TAKEN IN RESPECT OF FAILED STUDENTS: MASTER'S
DEGREE STAGE
10.12 A candidate for the degree of Master who fails to submit a Dissertation
within the deadline specified, and the submission deadline has not been
extended by the University in accordance with Senate Regulations for
Taught Postgraduate Master's Degrees – Dissertation Submission, shall be
regarded as having failed the assessment of the Dissertation by non-
submission and shall be awarded a mark of zero.
10.13 Where a candidate’s Dissertation has failed to satisfy the Examining Board
(including failure by non-submission), s/he shall be permitted to (re-)present
his/her Dissertation for Re-Assessment on one occasion only, upon
payment of a re-submission fee, not more than six months from the date of
the official communication of the result to the candidate.
10.14 Where a candidate is allowed to re-submit a Dissertation and will require
extended access to University and School facilities, over and above access
to his/her supervisor, Heads of Schools shall have discretion to require such
a candidate to re-register and to pay tuition fees, pro rata.
76
THE OUTCOMES FROM RE-ASSESSMENT
10.15 Except as provided in 10.16 below, a student who passes a Module that has
been failed previously shall be credited with the minimum Module Mark
(50%).
10.16 Where the components failed by a student on the first attempt include only
zero weighted components the student shall receive, subsequent to passing
these component(s), an uncapped Module Mark
EXEMPTION
10.17 In cases where the application of these Regulations would disadvantage an
individual student unfairly, but not impact on academic standards, an
Examining Board Chair (or nominee) may request the Pro Vice Chancellor
(Student Experience and Academic Standards) to exempt a student from
part of these Regulations.
FORMER STUDENTS
10.18 Heads of Schools may permit former students of the University who have
completed their studies at the University to retrieve failure in specified failed
Modules, with or without attendance, upon payment of an appropriate fee.
The retrieval of failed Modules in this way shall not contribute to any
University award.
Guidance
The Guidance below should be read in conjunction with Senate Assessment
Regulations for Taught Programmes, which include provisions for managing
Extenuating Circumstances.
The Nature of Re-sit Assessments
Re-sit Assessments must be designed to allow a student to demonstrate
achievement of the relevant Learning Outcomes. This can be achieved either by re-
sitting the individual Assessment components that have been failed, or by sitting a
single synoptic Assessment that covers all of the Module(s) Learning Outcomes.
The Re-sit methods used in a Module must be applied consistently in all cases and
must be agreed and communicated to students at the start of Module, through
Programme Information and in SIMS.
Schools will need to consider what the best Re-sit strategy is for individual Modules
and identify any components that students will need to Re-sit to allow students to
demonstrate achievement of particular Learning Outcomes. In Modules that use
component Re-sits, and where a Module has been failed, students cannot be
exempted from re-sitting any failed components.
Where a student is re-sitting a Module in the Re-sit Examination Period, the Module
Mark shall be calculated:
i. In the case of a ‘synoptic’ Re-assessment, from the marks achieved in that
Assessment only, or;
ii. In the case where a student is re-sitting failed components, from the marks
77
achieved in the Re-assessments combined with the marks achieved in any
components passed at the first attempt, according to the weightings specified
in Programme Information.
Where students complete component Assessments in-year, or where it is not
possible for an Assessment method to be used in the Re-sit Examination Period that
enables a student to meet all of the Learning Outcomes (e.g. in a group task, or in an
Assessment that requires access to facilities or equipment that will be unavailable at
that time), the Chair of the Examining Board (or nominee) may seek to set a
Supplementary Assessment to retake that Assessment component (see Senate
Assessment Regulations 11.4.4), which shall, where possible, be held before the
formal Examining Board held at the end of the session. In such cases, an Examining
Board meeting must be held to confirm the student’s original performance in that
Assessment component, to ensure that the student maintains their right of appeal.
Repeat Assessments
Where a student is required to Repeat modules that can be completed only through
attendance on that module, this shall be confirmed by the Examining Board and
communicated to the student through their Interim Transcript. Circumstances where
a student will need to attend modules being repeated include where they need
access to specific facilities and/or resources to undertake the Assessments.
Where it is not essential that a student repeats modules with attendance, Examining
Boards shall recommend that a student shall be permitted to Repeat the Module(s)
either as an Internal or External student. Students will be advised of the
recommendations made by an Examining Board through their Interim Transcript.
Students should be encouraged to contact Schools to discuss whether they would
prefer to take Modules being repeated as an Internal Student, an External Student,
or a mixture of the two.
The final decision as to whether (or not) a student repeats a Module as an Internal or
External student should be made at the earliest opportunity by the Chair of the
Examining Board (or nominee), and shall be recorded and confirmed on SIMS by the
School during enrolment at the start of the next academic session.
The decision to recommend whether a student undertakes Repeat Assessments as
an Internal or an External student must be made solely on academic grounds.
Where there are no Extenuating Circumstances and where a student has to Repeat
Modules in the following session, a student should normally undertake these as an
Internal student, to allow the student to benefit from the tuition provided on these
modules.
Circumstances where it may be more appropriate for students to Repeat Modules as
an External student include where a student has progressed and has been permitted
to carry a failed Module and where a student has narrowly failed individual
assessment components that need to be passed to permit Progression.
Where a student is repeating a Module as an Internal student, the student shall
undertake all of the component Assessments attached to that Module, including any
that the student passed in a previous attempt. The Module mark shall be calculated
from the marks achieved in these components, according to the weightings specified
in Programme Information. Marks from previous attempts shall not be used to
calculate the Module mark, or to determine whether the student shall be awarded
Credit in that Module. This will ensure that academic standards are protected
appropriately and that students will not be disadvantaged when the weightings or
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assessment methods on a Module have changed.
Where a student is repeating a Module as an External student, the student shall
undertake the component Assessments that the student needs to pass that Module
only, excluding any that the student passed in a previous attempt. Marks from
assessment that were passed in a previous attempt shall be used to calculate the
Module mark, and determine whether the student shall be awarded Credit in that
Module. Modules being repeated shall normally be completed in a single academic
session. Students should be made aware of any fees payable where they repeat
modules through Programme Information.
The outcomes from Re-assessment
Where a student is re-assessed and where an Examining Board then awards the
student Credit, the Module Mark shall be capped at the minimum pass mark (in
modular PGT Programmes at 50%). The Regulations for the late submission of
coursework will apply to Re-assessment (i.e. where there are no Extenuating
Circumstances, a mark of zero will be confirmed by the Examining Board).
All Assessment results (i.e. original attempts and Re-assessments) need to be
confirmed by a formal Examining Board (i.e. not a Module team meeting) to ensure
that students have the right of Appeal. Students cannot be offered a Re-assessment
prior to the original mark being confirmed by a formal Examining Board.
Where a student passes a Module that they had failed previously, having been re-
assessed in component(s) that are zero weighted only, e.g. where specific
competencies are assessed, then the Examining Board shall award a student Credit
and record an uncapped Module Mark, i.e. one based on the marks achieved in the
components that were passed at the first attempt, based on the weighting for each
element indicated in Programme Information.
Where a student has failed an Optional Module on two occasions but is otherwise
eligible to continue their studies and has obtained sufficient credits to progress, the
student may enrol on another Optional Module at the same level, subject to such a
Module being available on the Programme at this point.
Where a student has failed Re-assessment(s) and is no longer eligible to continue
their studies, the student shall be required to withdraw. Any Institutional Credits
awarded to a student prior to this point will be recorded on the Transcript issued to
the student at this point.
Where a student on Master’s programme is required to re-sit modules in the Re-sit
Examination period, Examining Boards shall not permit students to start their
dissertation and receive supervision prior to their progression being confirmed by an
Examining Board.
Variations to the Re-assessment Rules
Where a student has failed Module(s) AND has other Module(s) that they are
permitted to (re)take as a first attempt, the Examining Board shall determine whether
it is reasonable for the student to be assessed in all of these Module(s) in the Re-sit
Examination Period. This scenario could arise where the student has failed modules
and where:
the student can retake Module(s) that were impacted by Extenuating
Circumstances as a first attempt;
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the student has not completed Module(s) having been granted and taken an
Interruption of Study, and;
the student has otherwise been unable to complete all of the Module(s) taken
in that stage of the Programme.
Where the Board determines that it would not be reasonable for the student to be
assessed in all of these Modules in the Re-sit Examination Period the Board shall
determine:
i. the Re-sit Assessment(s) that the student shall take in the Re-sit Examination
Period, AND;
ii. the Repeat Assessment(s) that the student shall take in the next academic
session.
In considering whether it is reasonable for a students to undertake a number of
Assessments in the Re-sit Examination Period, Examining Boards should consider:
The Credits that the student needs to acquire to Progress / receive their
Award and whether a significant Assessment load in the Re-sit Examination
Period might disadvantage the student unfairly, and;
The student’s preference; i.e. whether they have indicated they wish to re-
take all the Assessments in the Re-sit Examination Period, or otherwise.
Support and advice to help determine the most appropriate course of action where a
student has Module(s) that can be re-assessed and Module(s) that have been
impacted by Extenuating Circumstances can be obtained from the Student Cases
Team within Registry and Academic Services (tel: ext. 76628, email
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11. AWARD
11.1 Subject to such additional requirements provided in Programme Information,
a student who has achieved a minimum number of Credits as provided in
the following table, including Credit in any Required Modules, shall be
eligible for the Award indicated.
Postgraduate Certificate
60 Credits at Level 6 or above, including
at least 40 Credits at Level 7
Postgraduate Diploma
120 Credits at Level 6 or above, including
at least 90 Credits at Level 7
Master's Degree
180 Credits at Level 6 or above, including
at least 150 Credits at Level 7
11.2 Students registered on Programmes that include a Year of Experiential
and/or Professional Learning outside of the University shall, in addition, be
required to achieve a further 120 Credits at Level 7 as indicated in
Programme Information.
11.3 A student who:
is unable to proceed further with the Programme or fails to meet the
requirements for the Programme; and
has achieved sufficient Credit to be awarded an Exit-Point award
shall be eligible for an Exit-Point award in accordance with provisions
detailed in Programme Information.
11.4 Examining Boards are not permitted to use compensation to adjust
individual Final Marks.
12. CLASSIFICATION OF AWARDS
Master's Awards
12.1 The following provisions shall be applied where students are eligible for an
award as indicated in 10. above. For the purpose of classification of
Master's awards, Module Marks will be combined according to the weighting
adopted from one of the following Classification Sets for the Programme to
provide a Final Mark. Students will be informed of the Classification Set
applicable to their Programme via the Programme Information issued to
them.
Set 1
Set 2
Weighting
Weighting
Taught Modules
2/3 (66. )
Taught Modules
1/2 (50%)
Dissertation
Module
1/3 (33. )
Dissertation
Module
1/2 (50%)
Set 3 (Programmes that include a Year of Experiential
and/or Professional Learning (Year Out))
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Weighting
Taught Modules
9/20 (45%)
Year Out
1/10 (10%)
Dissertation Module
9/20 (45%)
To be awarded a Master’s Degree with Distinction a student must:
achieve a Final Mark of 70% or above, AND
achieve a mark of at least 70% in their Dissertation, AND
achieve an average mark of at least 65% in their taught Modules.
To be awarded a Master’s Degree with Merit a student must:
achieve a Final Mark of 60% or above, AND
achieve a mark of at least 60% in their Dissertation, AND
achieve an average mark of at least 55% in their taught Modules.
Postgraduate Certificate and Postgraduate Diploma Awards
12.2 For the purpose of classification of Postgraduate Certificate and
Postgraduate Diploma awards, Module Marks will be combined and
weighted according to their Credit rating to provide a Final Mark.
12.3 The overall classification for each student shall be determined by applying
the Final Mark as detailed below:
Final Mark
Award Classification
70% or above
Distinction
60%≤69%
Merit
Senate Regulations for Non-Modular Postgraduate Taught
Programmes
1. GENERAL
1.1 These regulations are to be read in conjunction with Senate Assessment
Regulations for Taught Programmes.
1.2 These Regulations apply to all non-modular taught postgraduate
Programmes.
1.3 A Head of School may, exceptionally, seek the approval of the Academic
Standards and Quality Committee to vary these Regulations in respect of
one or more Programme(s).
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2. DEFINITIONS
Definitions of terms used in these Regulations can be found in the document
'Definition of Generic Terms Used in Senate Regulations'.
3. ADMISSION
3.1 All applicants for admission to non-modular postgraduate Programmes shall
be required:
3.1.1 to meet the conditions of the University General Entrance Requirement; and
3.1.2 to meet the particular requirements for the Programme applied for, as
specified in the relevant Programme Information.
3.2 The decision whether an applicant shall be admitted to a Programme shall
rest with the relevant Head of School. In addition, Heads of Schools shall
retain the right to determine the maximum or minimum intake for individual
Units of Study, providing that an applicant may not be denied admission to
any Required Unit of Study or Core Unit of Study which contributes to the
Programme for which s/he is registered.
3.3 An individual verification of the academic qualifications obtained prior to
entry may be undertaken, either during the admission process or following
enrolment as a student. As part of this verification, applicants/students may
be required to provide certification to verify their academic qualifications.
The University reserves the right to refuse admission or apply the Student
Disciplinary Procedure if clear and complete certification for such verification
is not provided on request.
4. PROGRAMME INFORMATION FOR STUDENTS
4.1 For each approved postgraduate Programme, there shall be approved
Programme Information which shall include:
Entry Requirements;
Programme Specification;
Structure of the Programme;
Unit of Study Descriptions;
Rules on Assessment, Progression and Award.
5. UNITS OF STUDY
5.1 Where a Unit of Study is available for more than one Programme, its status
as a Required Unit of Study, Core Unit of Study or Option Unit of Study may
vary between Programmes.
5.2 Precursors, Prerequisites and/or Co-requisites may be defined for any Unit
of Study or for a Unit of Study in a specified Programme.
5.3 Any Fieldwork requirements shall form part or all of one or more specified
Units of Study subject to any timetabling or other constraints.
6. STRUCTURE
6.1 The structure of the Postgraduate Diploma or Master's Degree shall be set
out in the Programme Information.
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6.1.1 Candidates may qualify for a Postgraduate Certificate after pursuing and
partially successfully completing an approved taught Programme
(Postgraduate Diploma Stage) at Master's Level (Level 7). The Programme
Information shall stipulate the conditions under which a Postgraduate
Certificate may be awarded, which may include successful completion of
one or more specified Units of Study. A Postgraduate Certificate shall not
be awarded unless at least 50% of the Units of Study contributing to the
Postgraduate Diploma Stage have been successfully completed.
6.1.2 Candidates may qualify for a Postgraduate Diploma after pursuing and
successfully completing an approved taught Programme (Postgraduate
Diploma Stage) at Master's Level (Level 7).
6.1.3 Candidates may qualify for a Master's Degree after pursuing and
successfully completing an approved taught Programme (Postgraduate
Diploma Stage) at Master's Level (Level 7) and a Dissertation submitted for
examination (Master's Degree Stage).
6.1.4 The relative weightings of the Postgraduate Diploma Stage and the Master's
Degree Stage shall be as stipulated in the Programme Information.
6.1.5 The Dissertation shall not exceed 20,000 words in length.
6.2 ADMISSION WITH ADVANCED STANDING, UNIT OF STUDY
EXEMPTION AND UNIT OF STUDY SUBSTITUTION
6.2.1 Admission with Advanced Standing - Heads of Schools shall be authorised
to admit students with advanced standing to the Diploma or Master's Stage
of a Programme following submission and subsequent approval by the
Academic Standards and Quality Committee of a special case, either on an
individual or programme basis, which should include a rationale and
demonstrate evidence of the establishment of rigorous local protocols for
determining equivalence.
Where a student successfully completes the Postgraduate Certificate or
Postgraduate Diploma Stage of a Programme and exits with an award, and
subsequently wishes to return to complete further stages of the same
Programme, subject to any tighter time limits provided in Programme
Information, they will be able to do so within three years. A special case
should be made to Academic Standards and Quality Committee on an
individual or programme basis for the approval of any longer hiatus.
6.2.2 Unit of Study Exemption - Heads of Schools shall be authorised, in
exceptional circumstances, to exempt students from specified Units of Study
following submission and subsequent approval by the Academic Standards
and Quality Committee of a special case on an individual basis, which
should include a rationale and demonstrate evidence of the establishment of
rigorous local protocols for determining equivalence.
6.2.3 Unit of Study Substitution - Heads of Schools shall be authorised, in
exceptional circumstances, to approve an alternative Programme of Study
which permits students to substitute not more than one sixth of the existing
Programme with alternative Unit(s) of Study.
6.2.4 Where a student is granted Admission with Advanced Standing or
Exemption from a Unit of Study in accordance with 6.2.1 or 6.2.2 above, this
exemption will be recorded against the relevant Unit(s) of Study on the
student's record. In determining the Final Assessment an Examining Board
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shall include only those relevant Units of Study which the student has
attempted as a registered student of the Programme.
6.2.5 Admission with Advanced Standing, Unit of Study Exemptions and Unit of
Study Substitutions shall normally only be made available when recognition
is being given for previous study and/or experience undertaken or gained
within three years prior to admission to the Programme.
6.3 PROGRAMME OF STUDY
6.3.1 At the beginning of the Session, all students shall be required to register on
a Programme and confirm for the approval of the Head of School, their
Programme of Study for the Session.
6.3.2 Following registration a student may seek the approval of the Head of
School to amend his/her Programme of Study within the first three weeks of
a Semester.
6.4 PROGRAMME COMPLETION
6.4.1 The due date for submission of the dissertation for Master's Programmes
shall be as stipulated in the Programme Information. For full-time, one-year
Programmes, the due date shall be no more than 50 weeks from the date of
initial registration unless otherwise varied under 6.4.2 below. For part-time
Programmes, the due date shall be no less than 28 weeks and no more
than one year from the date of commencement of the Master’s Degree
(Dissertation Stage).
6.4.2 In the case of full-time, one-year Master's programmes involving significant
clinical or clinically-related engagement at the Master's (dissertation) Stage,
the Academic Standards and Quality Committee may, on the
recommendation of a Head of School, approve for identified programmes a
due date for submission of the Dissertation of no more than 18 months from
the date of initial registration.
6.4.3 If a Master's Degree candidate fails to submit a dissertation by the due date
stipulated s/he will be awarded a mark of zero for the Dissertation.
6.4.4 The overall Deadline for Programme Completion shall be no more than two
years beyond the normal duration of the Programme as indicated in the
Programme Information. The Deadline may be extended in exceptional
circumstances by the Academic Standards and Quality Committee.
6.4.5 The due date for submission of the Dissertation for Master's Programmes
shall be extended by three months in the case of full-time Programmes
where a candidate is permitted at the end of the Diploma Stage to re-sit
Modules in the next Re-sit Examination Period.
7. ASSESSMENT
7.1 Assessment shall be conducted in accordance with Senate Assessment
Regulations for Taught Programmes:
7.2 Forms of Assessment for each Unit of Study, including the weighting for
each element of the Assessment, shall be indicated in the Programme
Information.
7.3 The pass mark in each Unit of Study shall be 50%.
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8. DETERMINATION OF UNIT OF STUDY AND STAGE RESULTS
8.1 As appropriate to the structure and/or mode of the Programme, a
Programme Examining Board or Composite Examining Board shall meet at
the end of each Stage, Session or Calendar Year, to consider:
8.1.1 the performance of students in all Units of Study completed during the
Stage, Session or Calendar Year and shall take into consideration all
components of the Unit of Study Assessment; and
8.1.2 the progression of students and/or final Award.
8.2 DETERMINATION OF UNIT OF STUDY RESULT
8.2.1 The Examining Board which meets to consider the performance of each
student in each Unit of Study shall determine whether:
.1 the student has passed the Unit of Study; or
.2 the student has failed the Unit of Study; or
.3 the student has had Assessment(s) impacted by Extenuating
Circumstances . In such cases, the Examining Board shall deal with
the student in accordance with the Senate Assessment Regulations.
8.2.2 Examining Boards are not permitted to change individual Unit of Study
marks.
8.3 DETERMINATION OF STAGE RESULTS AND PROGRESSION
8.3.1 To be eligible for the award of Postgraduate Diploma, and/or to progress
from the Postgraduate Diploma Stage to the Master's Degree Stage, an
overall mark of at least 50% must be achieved in the examination of the
Postgraduate Diploma Stage, in accordance with the weightings set down in
the Programme Information.
8.3.2 A candidate may, with the Head of School's approval, begin supervised or
unsupervised preparatory work on the Dissertation prior to completion of the
Postgraduate Diploma Stage, but may not submit work for examination
unless and until the Postgraduate Diploma Stage of the Programme has
been passed.
8.3.3 On the basis of the Examining Board's determination of the result of each
student in each Unit of Study, the Examining Board shall as appropriate
determine, in accordance with the approved Programme Information
whether:
.1 the student shall be permitted to proceed to the Master's Stage of the
Programme and, as appropriate to the structure of the Programme,
shall be eligible to receive the Exit-point qualification of Postgraduate
Diploma;
.2 the student shall not be permitted to proceed to the Master's Stage of
the Programme and shall not be eligible to receive the Exit-point
qualification of Postgraduate Diploma;
.3 the student shall be awarded the final qualification of Postgraduate
Diploma or Master's Degree;
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.4 the student shall not be awarded the final qualification of Postgraduate
Diploma or Master's Degree;
.5 the student shall be required to withdraw from the Programme.
8.3.4 The Programme Information shall inform students of the Progression Set
and any other Programme requirements applicable to their Programme.
8.3.5 Master's Degree Dissertation
The Dissertation of each candidate for the degree of Master shall be
assessed by at least two members of the Examining Board.
8.4 Examining Boards are not permitted to change individual Final Marks.
9. AWARDS
9.1 To be eligible for the award of Postgraduate Diploma or Master's Degree a
student must have satisfied the requirements of the award and achieved an
overall mark of not less than 50% in accordance with such weightings and
any additional criteria as may be ascribed in the Programme Information.
10. CLASSIFICATION
10.1 The following provisions shall be applied where students are eligible for an
award as indicated in 9. above. The award of the qualification with
Distinction or with Merit may be made in the Postgraduate Diploma or
Master's Degree and, where provided by 6.1.1 above, the Postgraduate
Certificate.
10.2 To be eligible for the award of a Distinction:
10.2.1 In the Postgraduate Diploma and, where provided by 6.1.1 above, in the
Postgraduate Certificate, a student must have satisfied the requirements of
the award and achieved an average of at least 70% across the Units of
Study in accordance with such weightings as may be ascribed to the Units
of Study in the Programme Information.
10.2.2 In the Master’s Degree a student must have satisfied the requirements of
the award and:
- achieved a Final Mark of 70% or above, AND
- achieved a mark of at least 70% in their Dissertation, AND
- achieved an average mark of at least 65% across the Units of Study in
accordance with such weightings ascribed to the Units of Study in the
Programme Information.
10.3 To be eligible for the award of a Merit:
10.3.1 In the Postgraduate Diploma and, where provided by 6.1.1 above, in the
Postgraduate Certificate, a student must have satisfied the requirements of
the award and achieved an average of more than 60% and less than 70%
across the Units of Study in accordance with such weightings as may be
ascribed to the Units of Study in the Programme Information.
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10.3.2 In the Master’s Degree a student must have satisfied the requirements of
the award and:
- achieved a Final Mark of 60% or above, AND
- achieved a mark of at least 60% in their Dissertation, AND
- achieved an average mark of at least 55% across the Units of Study in
accordance with such weightings ascribed to the Units of Study in the
Programme Information.
11. RESITS AND REASSESSMENTS
ACTION TO BE TAKEN IN RESPECT OF FAILED STUDENTS:
POSTGRADUATE DIPLOMA STAGE
11.1 Where the student has not been required to withdraw from the Programme,
the Examining Board shall determine whether:
.1 the student is required to be re-assessed in the Examinations, Class
Tests, Coursework Assessment or Practical-based Examination that
comprise the Postgraduate Diploma Stage, as a whole; or
.2 the student is required to be re-assessed in parts (Units of Study) of
the Postgraduate Diploma Stage.
11.2 The Examining Board shall further determine whether the student shall be
permitted to be re-assessed once only in the failed Unit(s) if Study either:
.1 at the next Resit Examination Period; or
.2 with or without attendance on the Unit(s) of Study during the following
session or calendar year.
11.3 A student who is permitted to be re-assessed in any form of Coursework
shall, at the discretion of the Examining Board be permitted either to re-
submit modified versions of his/her original work, or to submit for
assessment a new work on different topics from those which originally failed
to satisfy Examiners.
11.4 In all cases the Examining Board shall ensure that retrieval of failure is
carried out either through re-assessment by the same method(s) or by
method(s) designed to cover all failed learning outcomes.
11.5 A student who has failed to satisfy the examiners in the assessment of the
Postgraduate Diploma Stage on two occasions shall be required to withdraw
from the Programme or may be awarded a Postgraduate Certificate, subject
to the provisions provided in 6.1.1 above.
ACTION TO BE TAKEN IN RESPECT OF FAILED STUDENTS:
MASTER'S DEGREE STAGE
11.6 A candidate for the degree of Master who fails to submit a dissertation within
the specified deadline, and the submission deadline has not been extended
by the University in accordance with Senate Regulations for Taught
Postgraduate Master's Degrees – Dissertation Submission, shall be
regarded as having failed the assessment of the Dissertation by non-
submission and shall be awarded a mark of zero.
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11.7 Where a candidate’s Dissertation has failed to satisfy the Examining Board
(including failure by non-submission), they shall be permitted to (re-)present
his/her Dissertation for Re-Assessment on one occasion only, upon
payment of a re-submission fee, not more than six months from the date of
the official communication of the result to the candidate.
11.8 Where a candidate is allowed to re-submit a dissertation and will require
extended access to University and School facilities, over and above access
to their supervisor, Heads of Schools shall have discretion to require such a
candidate to re-register and to pay tuition fees, pro rata.
FORMER STUDENTS
11.9 Heads of Schools may permit former students of the University who have
completed their studies at the University to retrieve failure in specified failed
Units of Study, with or without attendance, upon payment of an appropriate
fee. The retrieval of failed Modules in this way shall not contribute to any
University award.
Senate Regulations for Taught Postgraduate
Master's Degrees – Dissertation Submission:
Modular and Non-modular Programmes
1. INTERRUPTIONS AND EXTENSIONS TO THE SUBMISSION DUE DATE
1.1 A registered period of study may be interrupted or a time limit extended by
the University in accordance with the Senate Attendance and Engagement
Procedures and/or the Extenuating Circumstances Procedures as set out in
the Senate Assessment.Regulations for Taught Programmes.
2. SUBMISSION OF THE DISSERTATION
2.1 References in these regulations to 'a Dissertation' shall include any non-
standard forms of submission/assessment approved by the Academic
Standards and Quality Committee in respect of particular programmes or
candidatures.
2.2 For the purpose of examination (including re-examination), a candidate shall
submit the items listed in 2.2.1 and 2.2.2 below to the relevant Head of the
School, or his/her designated nominee:
2.2.1 two typed and bound copies of the Dissertation (but see 6.1), each of which
shall contain:
.1 a summary not exceeding three hundred words;
.2 a statement signed by the candidate showing the extent to which the
work submitted is the result of the candidate's own investigation, and
an explicit acknowledgement (with references) of any other sources
used;
.3 a full bibliography;
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.4 a signed declaration to certify that the work submitted has not been
accepted in substance for any degree or award, and is not being
submitted concurrently in candidature for any degree or other award;
.5 a signed statement regarding availability of the Dissertation (see 7.1
below);
2.2.2 a completed 'Notice of Submission' form.
2.3 Where this is in accordance with the School's policy on the submission of
Taught Master's Dissertations:
2.3.1 candidates may submit their work for examination in temporary binding (see
6.1 below);
2.3.2 candidates may be instructed by the Schools to submit one of the two
required copies in an approved electronic format (see 6.1 below).
2.4 A candidate may not amend, add to or delete from the Dissertation after it
has been submitted, unless this is required as a result of a decision of an
Examining Board.
3. PUBLICATION OF WORK PRIOR TO SUBMISSION
3.1 A student is at liberty to publish work produced during his/her period of
registration that has not yet been submitted as the whole or part of a
Dissertation, provided that in the published work it is nowhere stated that it
is in consideration for a higher degree. Such published work may later be
incorporated into the Dissertation that is submitted.
4. LENGTH OF DISSERTATIONS
4.1 The Dissertation Stage of a taught Master's degree Programme shall take the
form of a Dissertation, the length of which shall not exceed 20,000 words.
Programme Information may also stipulate a minimum word-length for the
Dissertation.
5. SAMPLING OF TAUGHT MASTER'S DISSERTATIONS BY EXTERNAL
EXAMINERS
5.1 External Examiners shall be expected to see prescribed numbers and
ranges of Dissertations, but not to mark them, on the following basis:
5.2 At least 10% of Dissertations for a taught Master's Programme, or a
minimum of 10 (whichever is the higher figure) must be seen by the External
Examiner(s). Where the total number is less than 10, all Dissertations must
be seen by the External Examiner(s).
5.3 Dissertations seen by External Examiners should include examples from
across the whole range of achievement (i.e. Pass with Distinction, Pass with
Merit, Pass, Fail).
5.4 External Examiners will retain the right to see other Dissertations at random.
6. FORMAT FOR THE PRESENTATION OF DISSERTATIONS
6.1 Taught Master's candidates submitting Dissertations for examination shall
submit the required number of copies either in a condition suitable for
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eventual deposit and use in libraries (see 9.2 below) and/or, where this is in
accordance with the policy of the School concerned, in temporary binding
and/or, in an approved electronic format. Candidates choosing to submit
their work for examination in temporary binding or electronic format shall:
6.1.1 consult their School at an early stage to determine whether such a
submission is in accordance with the School's policy on the submission of
Dissertations;
6.1.2 ensure that any work submitted for examination in temporary binding is
sufficiently secure to withstand transit to and from the examiners and shows
on the spine, in a form which cannot easily be erased or detached, the
candidate's name and the degree for which s/he is a candidate;
6.1.3 ensure that any work submitted for examination in electronic format is
enclosed in a container suitable for storage on a library shelf and shows on
the spine, in a form which cannot easily be erased or detached, the
candidate's name and the degree for which s/he is a candidate.
6.2 Irrespective of the type of binding or format of submission used for
examination purposes, Taught Master's Degree Dissertations which are to
be deposited in the National Library or in the University Library shall, prior to
the transmission of successful candidates' results by the School concerned
to the Registry, be bound in a format that is appropriate for library deposit.
6.3 Successful Taught Master's Degree Dissertations which are not to be
deposited in the National Library or in the University Library need not be
bound in a format that is appropriate for library deposit either before or after
the release of results if submitted in another format.
6.4 In the case of all works which are to be deposited in libraries, the
permanently bound volumes shall bear on the spine the surname and initials
of the candidate, the full or abbreviated title of the work, the name of the
degree for which it was submitted and the date of submission. This
information shall be printed along the spine in such a way as to be readable
when the volume is lying flat with the front cover uppermost. If the work
consists of more than one volume the spine shall also bear the number of
each volume.
6.5 All copies of Dissertations, whether for the purpose of examination or for
deposit in libraries, shall be presented in permanent and legible form in
typescript or print and the characters employed in the main text (but not
necessarily in illustrations, maps etc) shall be not less than 12pt; characters
employed in all other texts, notes, footnotes, etc, shall be not less than 10pt.
Typing shall be of even quality with clear black characters, and capable of
photographic reproduction. Double or one-and-a-half spacing shall be used
in the main text, but single spacing shall be used in the summary and in any
indented quotations and footnotes. Drawings and sketches shall be in black
ink; unnecessary detail should be omitted and the scale should be such that
the minimum space between lines is not less than 1mm. Colour graphics for
charts, diagrams etc and colour photographs may be used, but candidates
shall in all cases ensure that material is capable of being photocopied and
microfilmed. Copies produced by xerographic or comparable permanent
processes are acceptable. A4 paper shall be used and should be of good
quality and sufficient opacity for normal reading.
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6.6 Diagrams, maps and similar documents, of a size unsuited to be bound
within a Dissertation, shall be submitted in a portfolio of reasonable size and
shall bear the particulars stated to be necessary for the volume.
6.7 Candidates may submit non-book material such as audio or video
recordings, with their Dissertation, if such material forms a useful addition to,
or explanation of, work contained in the written submission and if such
material constitutes the most appropriate method of presenting the
information concerned. Any material of this type shall be enclosed in a
container which is suitable for storage on a library shelf and which bears the
same information as that required on the spine of the Dissertation, so placed
as to be readily legible when the container is in its stored position.
Candidates considering the submission of audio or video material as
adjuncts to their Dissertation are advised to consult their supervisor and the
University Librarian for advice at an early stage of their project.
6.8 SPECIAL PROVISIONS RELATING TO PROGRAMMES IN THE
CREATIVE ARTS
6.8.1 In the case of candidates following approved Taught Master's Programmes
of Study which fall within the subject area of Creative Writing and
Performing Arts, the Dissertation may take one or more of the following
forms: musical score, portfolio of original works, or performance. The
submission shall be accompanied by a written commentary (normally of
5,000 - 6,000 words) placing it in its academic context together with any
other items which may be required (e.g. audio or visual materials).
6.8.2 In all cases the submission and written commentary shall be bound, and
other required items (e.g. tape or other media) shall be enclosed in a
container suitable for storage on a library shelf and shall carry the same
information on the spine as is required for Dissertations/theses. This
information shall be placed so as to be readily readable from the container in
its stored position.
7. AVAILABILITY OF DISSERTATIONS
7.1 A Dissertation which is to be deposited in libraries (see 9.2 below) shall
normally be openly available and subject to no security or restriction of
access. On submission, a candidate shall be required to sign a statement
indicating:
either
that the Dissertation, if successful and to be deposited in libraries, may be
made available for inter-library loan or photocopying (subject to the law of
copyright), and that the title and summary may be made available to outside
organisations;
or
that the Dissertation, if successful and to be deposited in libraries, may be
made so available after expiry of a bar on access (see below). In this case,
the title and summary of the Dissertation shall normally be freely available.
8. BAR ON ACCESS
8.1 Notwithstanding the provisions in paragraph 7.1 above, a request may be
submitted to the Academic Standards and Quality Committee to place a bar
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on photocopying and/or access to a candidate's work for a specified period,
normally of no longer duration than two years. In exceptional cases a bar on
access may exceed two years, but shall not exceed five years.
8.2 Any recommendation for a bar on access must be made to the Academic
Standards and Quality Committee by a candidate's supervisor, supported by
the Head of School. It shall be the responsibility of the supervisor to make the
application as soon as is reasonably practicable, and normally at the time of
initial registration.
8.3 The recommendation must include a statement of the grounds on which the
request is being made. [Most requests of this nature are made on the grounds
of the commercial sensitivity of the research, which may have been partially
sponsored by a commercial or industrial organisation.]
8.4 Any approved bar on access will also apply to members of the University's
academic staff.
8.5 When a bar on access has been granted, Registry will notify the Head of
School. Following a successful examination, Registry will notify the Head of
School, and, if applicable, the University Librarian and the National Librarian,
that the work is to be withheld from access for a specified period.
8.6 Although the bar shall be regarded as operative as soon as the work is
submitted, the period approved shall be calculated from the date on which the
candidate is formally notified by the University that s/he has qualified for a
degree.
9. ACTION TO BE TAKEN IN RESPECT OF SUCCESSFUL
DISSERTATIONS POST-EXAMINATION
9.1 Both copies of every Dissertation approved by the examiners shall become
the property of the University.
9.2 If the examiners consider a successful Taught Master's Dissertation to be of
particular value, the Head of School shall arrange for the deposit of one copy
in the National Library of Wales, Aberystwyth, and may, in addition, arrange for
the deposit of a second copy in the University Library. A Dissertation shall be
considered to be of particular value for this purpose in the following cases:
9.2.1 where it has been judged by the Examining Board to be of Distinction
standard (whether or not the candidate has qualified for the degree with
Distinction by virtue of having achieved the necessary overall level of
performance);
9.2.2 where it is of particular relevance to Wales or is in one of the following
academic disciplines: Welsh, Celtic Studies, Welsh History.
9.3 All copies of a failed Dissertation submitted by the candidate shall be retained
by the School for a period of up to three months, once the process of
examination (and the hearing of any subsequent appeal) has been completed,
until and unless they are reclaimed by the candidate by written application.
9.4 Each School shall have procedures in place to govern the retention and
disposal of Taught Master's Dissertations.
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Senate Assessment Regulations for Taught Programmes
1. PREAMBLE
These Regulations apply to all:
Undergraduate Programmes leading to an award of the University;
Postgraduate taught Programmes leading to an award of the
University, including the Master's Degree Stage.
2. DEFINITIONS
Definitions of terms found in these Regulations can be found in the
document ‘Definition of Generic Terms in Senate Regulations’.
3. DUTIES OF THE SUPERINTENDENT OF EXAMINATIONS
3.1 The Vice-Chancellor shall designate a person as the Superintendent of
Examinations.
3.2 The duties of the Superintendent are:
to be responsible for the conduct of all Examinations;
to arrange Examination Venues;
to appoint invigilators and make arrangements for invigilation of
Examinations;
to be responsible for the printing and custody of Examination papers,
and arrange for the delivery of Examination papers to the invigilators;
to ensure that stationery and other necessary materials are available
for each Examination;
to take action in respect of cases of suspected or alleged unfair
practice as established by the Unfair Practice Procedure.
4. DOCUMENTATION TO BE ISSUED TO STUDENTS BY ACADEMIC
SCHOOLS
4.1 The Head of the Home School, or nominee, shall be responsible for
ensuring that all registered students are informed, in writing, at the
beginning of each Session of the following information:
Programme Details
the Programme title;
the Chair of the Programme or Subject Examining Board and the
name, position and home institution of the External Examiner(s).
Where practicable, the Head of School shall inform students of any
subsequent change of Chair or External Examiners;
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where the Assessment of Modules is to be completed by the end of the
Autumn Semester, whether confirmed or provisional marks will be
issued at that time;
guidance on the avoidance of unfair practice, including plagiarism;
for non-modular programmes, the Examination Period(s);
the relative contribution of each Module or Unit of Study to the year
and/or determination of the award;
the requirements for progression from one year of a Programme to the
next and for the award of the qualification and, where appropriate, its
classification;
opportunities, if any, to be assessed in the Resit Examination Period;
4.2 The Head of the School responsible for the delivery of each Module or Unit
of Study, or nominee, shall be responsible for ensuring that students are
informed, in writing, at the beginning of the Session of the following
information:
Form of Assessment
the form(s) of Assessment for each Module or Unit of Study and, where
appropriate, the relative contribution of each form of Assessment to the
mark for each Module or Unit of Study.
Details of Examinations/Class Tests/Practical-Based Assessment
the duration of any Examination/Class Test/Practical-Based
Assessment (where appropriate);
where any restriction on the use of calculators and translation
dictionaries has been agreed by the Head of School;
where the use of electronic aids other than calculators has been
agreed by the Superintendent on the recommendation of the Head of
School;
full information on, and referencing of, any texts and/or other materials
approved by the Examining Board for use in Examinations and/or
Class Tests and whether or not such texts shall be unmarked (no
markings, underlining, highlighting or annotations) or unannotated (may
contain underlining or highlighting but no annotations);
details of any Examinations/Class Tests/Practical-Based Examinations
where prior release of material relevant to an Examination/Class
Test/Practical-Based Assessment has been approved by the
Examining Board.
Coursework Details
the form of any Coursework requirements;
the deadlines and procedures for the submission of Coursework;
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the timing of any viva voce assessments which contribute to the overall
Assessment of a Module or Unit of Study;
whether any electronic plagiarism detection will be put in place.
5. SCHEDULING OF EXAMINATIONS
All Examinations for modular Programmes shall be held during the
Examination Periods or in the Resit Examination Period. The
Superintendent shall be responsible for the scheduling of Examinations.
The Examination Periods will be set aside exclusively for the conduct of
Examinations and students' private study.
6. EXAMINATION PAPERS
6.1 Heads of School shall establish School verification mechanisms to ensure
that each Examination paper is verified by more than one member of staff
before being submitted for printing.
6.2 Convenors of Programme or Subject Examining Boards shall submit
Examination papers for printing to the Superintendent, in a format, and by
the deadline, specified by the Superintendent. In submitting Examination
papers for printing the Convenor shall signify that the School verification
mechanisms have been followed in each case.
6.3 Following the Examination Period, unless requested otherwise by the
Convenor of a Programme or Subject Examining Board, the Superintendent
shall deposit the Examination question papers in the University Library
where they shall be retained for a minimum period of ten years.
7. Marking
The ways in which assessments are marked and graded is one of the
fundamental ways in which we define and exemplify academic
standards. It is central to the operation of an assessment system that
is valid, reliable, and transparent. The purpose of this document is to
set out the basis by which equity and transparency in marking will be
maintained across the University. Following the guidance will ensure
that the confidence already evident in the standards of the
University’s awards and in the probity of marking will be maintained.
It will also enhance the links between marking, academic feedback,
and other assessment related policies and processes.
7.1 Assessment Criteria and Marking Schemes
Assessment criteria help define the standards evident at different mark
points and guide students on the learning journey on which they have
embarked. They provide a valuable tool for staff to help grade assessments
and provide academic feedback. They help inform students of some of the
qualities that need to be evident in assignments and help them identify what
they must do to improve. Staff and students must work together to ensure
they have a shared common understanding of the criteria that apply to
different tasks, learning outcomes, and levels of academic study. Where
appropriate, criteria will be supplemented by marking schemes that provide
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a more precise framework for the allocation of marks. Marking schemes
help assessors to mark assignments by indicating how marks will be
awarded for different components of a question or number of questions.
They often accompany indicative answers, but should provide for flexibility
where students give different answers that equate to the same standard of
achievement relevant to the learning outcomes.
Principles
Clear assessment criteria and/or marking schemes shall be adopted in
assessments within taught programmes. These shall:
be shared with staff and students to ensure a common understanding
of academic standards is maintained;
be linked with and focussed upon learning outcomes;
be inclusive and capable of meeting different student needs;
be appropriate to the demands of particular tasks at different
academic levels;
act as a reference point to support academic staff in utilising their
professional judgement with confidence;
be drawn on to provide students with academic feedback on
assessments, and;
as appropriate, be aligned with professional, discipline-specific and
sector-wide reference points.
Regulations
7.1.1 Boards of Studies shall make information available to students in advance
of assessment tasks, which specifies the standards expected within that
task and indicates the assessment criteria and/or marking schemes that will
be used.
Guidance
Setting out assessment criteria
Assessment Criteria set out the knowledge, understanding and skills that students
will seek to demonstrate in different assessment tasks. The University is currently
working towards adoption of a generic set of criteria and will work with schools on
these through session 2013/14. This will allow schools to identify how the generic
criteria can best be used and ensure that a common, shared understanding of
relevant criteria is developed across staff and students. For session 2013/14,
schools should continue to use the criteria they have already developed.
Schools should make clear whether accuracy of spelling, grammar and punctuation
is being assessed even when minor errors do not affect clarity of meaning. Specific
guidance on Assessing students with disability related writing difficulties is also
available.
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Understanding and using assessment criteria
Staff need to ensure that students are involved in and participate in discussions and
dialogue to help engender a shared understanding of assessment criteria. This will
enable students to better understand the assessment process and the knowledge,
understanding and skills they need to demonstrate in assessment tasks. In turn, this
will help students to identify how they can use feedback to improve their learning.
Marking teams should adopt mechanisms through which the shared understanding
of standards can be maintained and strengthened. Activities that enable this include
shared marking parties, post Examining Board review and calibration of different
markers, and staff development activities that draw upon external discipline specific
expertise.
It is good practice to reflect regularly on the ways in which assessment criteria are
used to support marking. Schools should seek to maintain an archive of marked
anonymised assessments and should use this to help all staff maintain a common
understanding of criteria and standards. The archive should be used to help
communicate and share academic standards with new staff.
Assessment criteria, learning outcomes and academic feedback
Academic feedback provided to students on individual tasks should relate to the
criteria relevant to that assessment. This will help students identify what they need
to do to improve their performance. The criteria adopted in an individual
assessment should relate to the learning outcomes that are being assessed in that
task, which will be drawn from the learning outcomes for that module. The
alignment between assessment criteria and learning outcomes must be clear and
transparent. This does not mean that staff should limit feedback to comments
against the assessment criteria. Feedback should illustrate the overall strengths
and weaknesses of a piece of work and consider any unintended outcomes evident
in the assessment.
Ongoing dialogue with students around assessment criteria will help ensure that
students become assessment literate, that they understand the learning skills that
are more important at higher levels, the progressive demands that will be placed on
them, what they need to do improve their performance, and consider how they can
use and feed forward comments received on previous assessments.
Categorical marking
In discursive disciplines, it is good practice to identify the specific points within each
decile at which marks will be awarded (e.g. 62, 65 and 68). Using categorical
marking better recognises the level of precision that can realistically exist within
many assessment tasks.
Where categorical marking is used, it should be used by all markers and operate at
standard points (i.e. 2, 5 and 8). Categorical marking helps simplify and guide the
allocation of marks in many assessment tasks. Where used, marks other than the
defined points should not be awarded for individual pieces of work. The final
assessment and/or module mark may be at a different point however, where
categorical marks are combined to arrive at an overall average mark for that task
and/or module. Categorical mark points must cover the full mark range.
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Marking schemes
Where appropriate, and depending on the nature of the task, assessment criteria
should be supplemented by marking schemes (e.g. in assessments in which marks
will be awarded for different components of a question or number of questions.) It is
good practice for indicative answers to be developed for assessments for which
marking schemes exist, particularly where multiple markers are used, to help guide
markers.
Accessibility
Every student must have an equal opportunity to demonstrate their achievement
against the learning outcomes. Assessment tasks, together with criteria and
marking schemes, should therefore be designed with accessibility in mind. Some
students may because of certain circumstances need to complete a different task, or
the same task under different conditions, in order to demonstrate achievement of the
same learning outcomes. The University normally arranges such adjustments to
assessments through the Specific Provision Regulations Section 9.
When an alternative assessment task is provided as a reasonable adjustment for a
disabled student, the learning outcomes should not be altered, and Schools should
ensure that the alternative task is an appropriate way to test them. However, the
assessment criteria may need to be modified to maintain alignment with the learning
outcomes in the context of the particular task.
Schools should ensure that students are aware of their approach to marking work
from students with disabilities affecting written language expression. Specific
guidance on Assessing students with disability-related writing difficulties is available.
Reasonable adjustments of these kinds should ensure that disabled students have
an equal opportunity to demonstrate their achievement without compromising
academic standards or affecting prescribed standards of Professional Bodies.
Marking, academic standards, and academic judgement
Staff need to ensure that students are aware of the fundamental role that academic
judgement plays in determining assessment outcomes. While staff must use
marking schemes and/or assessment criteria to support their judgement, students
should be informed that many assessment tasks will require assessors to exercise
their academic and/or professional judgement. Students should be made aware that
appeal applications that question the academic judgement of assessors are not
admissible.
Communicating standards with External Examiners
Programme teams must ensure that assessment criteria, marking schemes and
approaches to making reasonable adjustments for disabled students are shared with
External Examiners, and where appropriate relevant professional and statutory
bodies. Marking teams should engage in an ongoing dialogue with External
Examiners to ensure that there is a shared understanding of the academic
standards.
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7.2 Reliability and Consistency of Marking
Moderation is the generic term used to define the range of processes
undertaken by which staff can be assured that an assessment outcome is
valid and reliable. Internal moderation, together with that undertaken with
External Examiners, are key parts of the ways in which standards are
protected and probity guaranteed within higher education. Methods of
moderation include the review of a sample of scripts, second marking,
marking team meetings, and the scrutiny and review of marks undertaken
by Examining Boards. Ensuring that moderation processes are appropriate
will require schools to consider the risks of variation (or perceived error) in
marks and to consider the importance of individual assessments to
students. Where both of these are high, schools will need to ensure that
appropriate safeguards are in place to support reliability and probity of
marking. Where the risks of error and significance of assessment tasks is
lower, the degree of moderation can be lower. In determining their
approach, schools will need to ensure their processes meet the
expectations set out below and that they satisfy External Examiners and
Professional and Statutory bodies.
Principles
Assessments shall be managed in ways that ensure equity, consistency, and
transparency.
Regulations
7.2.1 Heads of School, on the advice of the School Board, are required to put in
place procedures and processes that ensure equity, consistency, and
transparency of marking.
Guidance
Schools shall put in place and operate processes and procedures that ensure
reliability, consistency and accuracy of marking. These shall be made known to
students. The processes used may include sampling, second marking, and/or other
internal and external moderation methods.
In determining the processes that will be used, Schools should consider the risk of
errors occurring in marking and the importance of an assessment to students. The
higher the risk of error and the greater the significance of an assessment task to
students, the more rigorous the degree of scrutiny needs to be. Factors that impact
on the risk of error include the number of markers and their level of experience, the
nature of the assessment, the availability of indicative answers, the clarity of marking
schemes, and the degree of objectivity associated with the assessment. The
importance to the student should be judged on the possible impact it might have on
degree outcomes and/or progression decisions, the weight given to the task, and the
credit rating of the module. The risk of error and the significance to students of all
tasks that contribute to final awards should be considered by schools to determine
what, if any, moderation will take place. It is not expected that the outcomes from
very small assessments in which there is a ‘right’ answer will require moderation.
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Moderation should take place after the first marking of an assessment element has
been completed and not at the completion of that module. This will allow
judgements to be made as to whether the standard of marking of that assessment is
appropriate for that task. Schools need to balance moderation practices with the
need to conduct marking efficiently and provide students with timely and detailed
feedback. Schools must be able to justify the moderation processes and procedures
they adopt, and to provide details of these through reviews undertaken via the
University’s quality processes.
Details that should be within School processes include:
The procedures used to ensure accurate calculation and transcription of
marks;
Which pieces of work will be subject to specific moderation processes;
What proportion of the cohort’s work will be subject to moderation;
Definitions of groups of assessors whose marking may be subject to greater
scrutiny;
The decision making processes used when marks differ between
assessors, and;
The ways in which moderation outcomes are reported to Examining Boards.
Verification and scrutiny of marks
It is crucially important that schools ensure that the marks awarded are correct, that
marks are tallied correctly and that the final marks are recorded against the correct
student’s record. School must ensure that the processes used safeguard against
error and ensure the accurate transcription of marks. These processes must be
applied to all assessments.
Sampling
In many written assessment tasks, a review of a sample of scripts will provide
sufficient security to enable a judgement to be made on the appropriateness of the
initial marks. Schools should scrutinize and review a sample of scripts graded at
different points in tasks that require academic staff to interpret and judge answers.
The sample needs to be determined by considering the size of the cohort and the
benefits to learning that will be gained by providing prompt and detailed feedback.
Hence, it is likely that the proportion of work sampled in larger classes will likely be
smaller. At a minimum, it is recommended that all scripts marked below the pass
mark are moderated and that a sample of, at least, the square root of the number of
students undertaking the assignment is reviewed.
Second marking
Second marking of all assignments within an individual assessment task should take
place only where the risk of variability in marking (or perception of risk) is high, and
when the assessment could have a significant impact on a student’s progression
and/or final award. Examples of assessments where it is advisable for second
marking to be employed are listed below. This list is not exhaustive.
Dissertations and extended projects;
Work marked by non academic staff (As confidence in individuals who are
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inexperienced markers increases, the degree of moderation can be
reduced);
Where practicable, work undertaken on a placement outside of the
University;
Where an alternative assessment task has been substituted as a
reasonable adjustment for a disabled student;
Work in which anonymity cannot be maintained, and;
Assessment tasks undertaken at another institution (e.g. within a
collaborative programme).
Where second marking does take place, schools need to determine whether the
second marker will have access to the marks and/or comments generated by the
first marker. Having access to this information will help develop a better shared
understanding of academic standards, but may risk the second marker being unduly
influenced by these comments. Blind second marking (i.e. where the second marker
is unaware of the marks and/or comments a first marker has given) should only be
employed in assessments where the risk of marking error has been identified as
very high and where the mark can impact significantly on a student’s final outcome.
Schools will need to determine whether dissertations and other extended projects
will be first marked by the project supervisor or otherwise. Extended pieces of
coursework should normally be marked by supervisors only when it would not be
possible for other members of staff to make an academic judgement on the specific
content covered by the piece of work.
Supporting moderation
Schools should seek to introduce ways through which markers come together,
discuss, and share information on marking and the standards that students have
achieved. Team meetings held to review marks provide a relatively efficient way in
which moderation can be undertaken, and, at the same time, help cultivate a better
shared understanding of academic standards. It is good practice for marking teams
to review the mark ranges awarded within different tasks and modules outside of
that undertaken by an Examining Board.
Resolving disputes between markers
Schools should define how final marks will be determined in cases where different
marks are arrived at by two markers. Where possible, the markers should seek to
come together and agree a mark, and in cases where the difference is considered
significant, by negotiation between the markers using the relevant assessment
criteria, and where appropriate marking schemes. If the markers are unable to
reach an agreement, a further internal ‘third marker’ should be appointed by the
Chair of the Examining Board. The ‘third marker’ should be given access to the two
original marks and should determine the mark, documenting their reasons for this.
In some assessments, e.g. presentations, vivas etc. it is recognised that it will not
normally be possible to appoint a third marker. Where markers disagree, and where
it is not possible for a ‘third marker’ to be appointed, an average of the two initial
marks should be taken.
External Examiners must not be requested to arbitrate and/or ‘third mark’
assessments where two internal markers have arrived at substantially different
marks. Where ‘third marking’ does take place, both of the original marks should be
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made available to External Examiners to help illustrate standards.
Reasonable adjustments for disabled students
Schools shall make clear:
their approach to marking work from students with disabilities affecting
written language expression;
whether and how the work of students with disabilities affecting written
language expression is identified (‘flagged’) to assessors;
the process used to determine whether an alternative assessment task
should be substituted as a reasonable adjustment for a disabled student,
and;
the process used for assuring comparability of marks for alternative
assessments, for instance, those agreed as reasonable adjustments for
disabled students.
Scaling
In a small number of assessments, scaling may need to be undertaken to enable the
distribution of marks to be made broadly comparable across different assessments
on the same programme. While this is rare, and more often used in disciplines and
assessments in which all students can either be awarded very high or very low
marks through initial marking (e.g. in mathematical assessments), students should
be informed where this is done and how it will be undertaken should it need to be
undertaken.
Combining Assessment Components
In a small number of (often practically focused) modules, individual component
assessments can be attached to individual classes. Where this occurs, it is
recommended that schools, where possible, combine multiple assessments into a
single assessment component. By doing this, schools will be able to enter a single
mark for the different assessments, which can be calculated from the best X out of Y
individual assessment tasks (where Y is the total number of assessments, and X is
the number of assessments a student must complete).
Combining multiple assessments in this way will ensure that students who are
absent from an occasional assessment are not penalised unfairly and do not have to
complete an Extenuating Circumstances form. It will also encourage students to
complete all of the tasks, given the opportunity for their mark to improve, should they
complete all of individual assessments. Where individual assessments are
combined in this way, schools must ensure that completion of the specified number
of assessments will enable students to demonstrate achievement of the relevant
learning outcomes, and allow students to meet any relevant professional
competencies and/or other professional requirements.
Script legibility
Students may occasionally submit work that is not legible. When this occurs, and
the deadline for the assessment has been passed, Schools should seek, where
possible, to have the script transcribed. Schools may charge students for this
service. Where this is not possible, students should normally be offered the
opportunity to rewrite the script to ensure it is legible and can be marked.
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Making information available
Students must be made aware of the moderation processes used within their
Programme. This information should be published in programme handbooks and/or
published on Learning Central. External Examiners shall be invited to consider and
comment on the moderation procedures used in programmes to ensure reliability
and consistency of marking.
7.3 Assessments and Anonymity
Anonymous marking takes place where the student’s identity is not known
to the assessor at the point when marking is undertaken. The University
requires that anonymous marking be undertaken in all assessments, where
possible. Anonymous marking removes the perception that preconceived
notions of individual students can be brought to the marking process and
will help re-assure students of the probity of marking. In ensuring
anonymity, schools will need to review and revise the processes operated
to receive assessments, make work available to markers, and return work
to students. Schools need to be clear as to when identities will be known to
markers, at Examining Boards, and to support the provision of ongoing
learner specific feedback and feedforward.
Principles
Assessments shall, where possible, be marked anonymously.
Regulations
7.3.1 All assessments shall, where possible, be marked by number.
Guidance
Students must be informed of any assessments that cannot be marked
anonymously in advance of that task. Examples of assessments in which it may not
be possible to maintain anonymity include oral examinations, clinical practice, and
performances. Schools should seek to ensure that dissertations and/or extended
projects are marked anonymously where the work is not marked by the supervisor
initially.
In assessments where staff will provide individual comments that build on previous
feedback and/or elective feedback, student identities will have to be made available
to staff when marking. Where these strategies are adopted, students must be made
aware of the reasons why markers will know their names and the benefits to their
learning that these feedback strategies can provide.
Where marking by number applies, student identities can be revealed after marking
and internal moderation has taken. Student names and numbers should be made
known when marks are recorded to help ensure that they are recorded accurately
and can be verified. Examining Boards do not need to be held anonymously as
Boards cannot change the marks awarded to an individual student. In exceptional
circumstances (e.g. where needed in respect of student disabilities) the Head of
School may approve the disclosure of a student's identity before an internal mark
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has been determined and shall report such circumstances to the Examining Board.
The policy on assessing work from students with disability related writing difficulties
has been designed to support anonymous marking as far as possible. Where such
a student has requested it, scripts from University examinations are flagged with a
sticker. Under the policy, Schools are asked to consider whether coursework should
also be flagged and, if so, to develop mechanisms which are consistent with
anonymous marking.
Schools should seek to develop and enhance processes to manage assessment
that ensure assessment results are recorded accurately. In undertaking this,
Schools should seek to minimise the number of times that marks are recorded
and/or transferred between different systems.
7.4 Releasing Marks
Making provisional marks available to students will help ensure that
assessment processes are transparent and explicit. This should normally
be undertaken as soon as results are available. This links with the need to
ensure that students are provided with qualitative feedback in a timely
manner. Where possible, marks need to be made available to students in
ways that protect student anonymity and confidentiality.
Principles
An appropriate quality and quantity of information on assessment need to be
provided to relevant stakeholder groups in a timely and accessible manner.
Assessment information needs be transparent to all stakeholders.
Regulations
7.4.1 Heads of School are required to put in place procedures to ensure that
marks are made available to students in a timely manner.
Guidance
Students should be given access to provisional marks on completion of an
assessment. This should normally be undertaken on completion of any moderation
that will be undertaken of an assessment task. Students must be informed that
marks are at this point provisional and subject to confirmation by the relevant
Examining Board.
Schools should put in place processes through which students are notified of the
availability of provisional marks within SIMS. Schools should seek to avoid posting
result lists on notice-boards and must ensure, where possible, that results are
issued to students in ways that do not compromise student anonymity.
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7.5 Assessors
The skills required to mark student work and manage assessment cannot
be acquired solely by having a deep understanding of the subject matter.
Developing a shared understanding of the academic standards within a
programme requires experience, an appreciation of marking culture, and a
wider understanding of pedagogy and the principles that support
assessment. Schools need to ensure that all involved in assessment are
properly prepared and supported when undertaking this role.
Principles
All assessors shall be competent to undertake their role, and educated and
supported appropriately.
Regulations
7.5.1 Heads of School are required to put in place procedures to ensure that
assessors are appropriately skilled in assessing student work.
Guidance
The reliability and consistency of marking is in part dependent upon the skill of
assessors. Schools shall adopt strategies that enable all staff to gain an
understanding of marking practices and academic standards. It is important that
assessors understand the principles of assessment and can provide assessment for,
and of, student learning that is valid, reliable and explicit.
Assessors must have considered diversity issues when planning and designing
assessments in order to ensure the equitable treatment of students. Where
assessment tasks cannot be anonymously marked, programme teams should
consider how procedures and training might assist all staff in minimising any risk that
unconscious bias might affect marking.
School staff development programmes should include a variety of activities to
enable reliable and consistent assessment of student work. Staff should be
encouraged to reflect on marking practices, share experiences, and identify
continuing professional development needs. Schools should also seek to ensure
that space and time are made available for marking teams to engage in continuing
professional development activities and promote the shared dialogue that helps
develop a better common understanding of relevant pedagogy and standards.
Schools should encourage research students involved in the assessment of
students to supplement the mandatory school-based training through attendance at
relevant sessions provided through the University’s Graduate College training
programme.
Schools should adopt strategies through which a shared understanding of criteria is
developed and maintained across all staff who mark student work. Schools should
also ensure that staff new to marking are supported appropriately when they first
mark. Approaches that schools should adopt might include:
Mentoring of new staff;
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Meetings to review marking undertaken by a team;
Using an anonymised sample of previous students work for practice
marking;
Bespoke staff development events;
Calibration exercises to review the mark range used by different staff.
7.6 Word-limits and Late Submission of Coursework
Taking a consistent approach to the assessment of work that exceeds word
limits will help ensure equity and enable students to better develop a range
of important skills. This should be done by applying assessment criteria
that set out the need for students to confirm to a task’s instructions. Where
no Extenuating Circumstances have been accepted, schools must ensure
that the Regulations are applied routinely when work is submitted late.
Receiving assignments electronically will help ensure that a consistent
approach can be applied.
Principles
Assessment processes and procedures shall be applied fairly and
consistently. Students shall not gain unfair advantage or be unfairly
disadvantaged by inconsistencies in the application of procedures relating to
Assessment.
Regulations
7.6.1 In cases where Coursework Assessments are submitted late, and where
there are no Extenuating Circumstances, a mark of zero shall be awarded
for those Assessments.
Guidance
Schools should not apply discrete penalties to overlong assignments. Schools
should, where appropriate, make it clear through the learning outcomes and
assessment criteria that assignments require students to be concise and adhere to
specified word limits. Schools should seek to ensure that all students are made
aware of the need to submit work that does not significantly exceed word limits.
This information, with appropriate guidance, should be communicated to students
regularly. Where students do submit overlong assessments, markers should
complete marking that assignment, where possible, and then utilise their academic
judgement to determine a mark for the work against the agreed criteria. Where the
criteria include the ability to conform to instructions, such as defined word limits,
markers may award work that exceeds the mark length a lower mark. Where
multiple markers are involved, they should ensure that the weightings that will be
applied to different criteria are agreed in advance of the task and that moderation
operates to ensure consistency in the judgements made.
Schools should provide clear instructions to staff and students on the penalty for late
submission of work, in that, where Extenuating Circumstances have NOT been
reported, students shall be awarded a mark of zero. Schools must not have any
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other course of action. Schools must ensure that students are notified of
assessment deadlines, and should seek to ensure that deadlines occur during
normal office hours.
Programme teams should ensure that, where possible, deadlines are not bunched
and that consistent and transparent procedures operate to receive assessed work.
Schools should seek to adopt and refine systems and processes through which they
receive assessments electronically. Having such systems in place will help ensure
that consistent approaches can be applied when work is submitted late.
7.7 Examination Paper Rubrics
The rubric on the front of an examination paper defines the expectations
being placed on students sitting that examination in a clear and transparent
way. The greater the variety and complexity of the rubrics used within an
individual programme, the greater the chance that students may fail to
follow the instructions fully.
Principles
Assessment processes and procedures shall be applied fairly and
consistently.
Regulations
7.7.1 Heads of School are required to put in place procedures to ensure that the
rubrics used in Examination papers are clear and consistent.
Guidance
Boards of Studies should review the rubrics used within Examinations periodically,
to ensure that they are appropriate, enable students to demonstrate achievement of
the requisite learning outcomes, and are, where appropriate, consistent. Rubrics
shall be made available to students in advance of the publication of Examination
Timetables.
Rubrics shall provide clear guidelines to students on the number of examination
questions that should be answered. Where possible, questions should be marked in
the order in which they were attempted. If more than the requisite number of
questions are answered, schools should not mark any additional questions that the
student has attempted. Schools should ensure that students are aware of the need
to cross out the answers to any extra questions that should not be marked.
More detailed instructions to guide the production of rubrics are included in the
Examination Liaison Officer Handbook.
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7.8 The Management of Assessment Outcomes
Adopting consistent and transparent approaches to the release of marks
will help ensure that students receive clear information and feedback on
their academic performance at appropriate points. By adopting the
processes and procedures set out below, Schools will be able to minimise
the risk of students being given an incorrect result, help ensure that
students do not seek to access results prior to their confirmation by an
Examining Board, and ensure that staff can be available to provide
guidance and advice where needed.
Principles
The outcomes from assessments shall be made available to students in a
timely and transparent manner.
Regulations
7.8.1 Heads of School shall make arrangements for provisional results from ‘in-year’
Assessments to be released to students via SIMS as they become available.
7.8.2 Heads of School shall notify students in advance of the next Examination
Period of the date on which students can expect to receive their end of year /
stage results, subsequent to their confirmation by an Examining Board.
7.8.3 Heads of School shall make arrangements to release confirmed results and
outcomes to students through SIMS online on the date on which these are
scheduled to be released.
7.8.4 Heads of School shall ensure that, on receipt of a formal subject access
request, that students are given a copy of the marks and comments on their
exam scripts within 40 days after the release of results.
Guidance
Provisional results from in-year Assessments
Staff should seek to ensure that the provisional results that students achieve in
assessments taken outside of the Examination Periods are returned to students
as they become available. Schools should inform students that the marks
awarded in all in-year assessments are ‘provisional’ and may be amended prior to
their confirmation by an Examining Board. Schools shall encourage students to
reflect on the marks and feedback provided on individual Assessment tasks, and
to utilise this to help them identify how they can improve their performance and
future learning.
To support student reflection on performance, staff should ensure that they are
familiar with and implement the Policy and Guidance on Academic Feedback to
Students. Personal Tutors should ensure that they use the facility within SIMS
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that allows them to access the range of provisional marks that have been
awarded to their tutees, so that they can support them to identify how they can
improve.
The release of results to students
Schools should liaise with staff in Registry and Academic Services to agree dates
on which confirmed results will be made available to students. Subsequent to
agreeing this date, Schools should add information to SIMS stating the release
date of results for a specific cohort. On this day, the results will be released on
SIMS Online at 9.30 am. At this point a PDF of the interim transcript will be made
available and the student’s module record on SIMS Online will become visible.
Subsequent to the completion of their programme, students will receive a
complete final Transcript, which will include the marks for all completed modules
in their programme.
Schools should seek to ensure that staff are available on the date on which
results are released to provide guidance and advice, where needed, to students.
Access to examination scripts / results
Under the Subject Access Request (SAR) procedures of the Data Protection Act
1998, a student can request access to their personal data and is entitled to
receive a copy of this data from the University unless an exemption applies. To
make an application for the disclosure of written feedback on an examination
script, a student must submit a written request to the Information Governance
Team, provide proof of identification and pay £10.00. In line with the legislation
the University has 40 days to comply with the request and this is co-ordinated by
the Information Governance Team on behalf of the School.
Students are not permitted to challenge the academic judgement of the markers
and in recognition of this principle, the legislators included a specific exemption to
the right of access for examination scripts within the Data Protection Act. This
exemption does not extend to any marks or comments made on the scripts by
others which means that if students submit a SAR, the law entitles them to
receive a copy of the marks and comments on their exam scripts but not the
scripts themselves. However, because the information provided must be
meaningful the Information Governance Team normally provide a photocopy of
any page of a script that has either a mark or a comment on it in response to a
Subject Access Request. Schools may wish to review practice to limit the
potential release of exam scripts and decide to confine written comments to a
separate cover sheet. This will allow the Information Governance Team to
respond to Subject Access Requests without having to consider release of
substantial proportions of the script. All comments should be in the language of
the assessment and must be inclusive and non-discriminatory.
The University’s Policy and Guidance on Academic Feedback to Students
recommends that students should get feedback on their performance in end of
module exams via group feedback. This should be provided on the overall
performance of a cohort in examinations and indicate areas where students did
well and/or struggled. Additionally, students who have failed modules should be
able to meet with academic staff on request to identify ways in which they can
improve. This process must be applied consistently across the school and must
not be more restrictive than the students’ legal rights.
Results/marks shall not be made available to parents or any other third party
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unless one of the following conditions applies:
a) Explicit written consent (by email) has been obtained from the student;
b) The University is required by law or statutory instrument (as may be in the
case of sponsors);
c) Where required to prevent or detect crime;
d) Where required to release to a third party who is sub-contracted by the
University to process the data in a way that meets Data Protection Act
1998 regulations.
Sponsors may have agreements in place enabling the disclosure of a student’s
academic performance. This should be outlined in the Terms and Conditions for
the Award Holders. If there is any doubt about disclosures please check with the
Data Protection Office, at [email protected].
Glossary of terms related to Marking
Anonymous
Marking
Marking where the identity of students is not known to the
assessor(s). Where undertaken, anonymity should be
maintained until marking has been complete. Student
identities may be revealed subsequently to allow students to
be provided with feedback and to ensure that marks are
recorded accurately.
Assessor
An individual responsible for setting assessments, marking
assessments, and/or the provision of feedback to students.
Most assessors will be members of the University’s Academic
Staff, although postgraduate research students and other
external individuals may contribute to some aspects of
assessment.
Assessment
Criteria
Statements describing the attributes that will be taken into
account in marking an assessment task and the performance
required to be awarded marks. The criteria selected for an
individual task will be based on the intended learning
outcomes, these having been chosen to illustrate the
knowledge, understanding and skills that students will typically
display in that assessment task.
Categorical Marking
Marking to predetermined and defined percentage mark
points rather than marking to every point within the full
percentage scale.
Second Marking
Marking of student work by two different assessors. In some
cases, the second marker will have access to the first
marker's comments and/or mark (non-blind marking). In other
situations, it may be more appropriate for the second marker
to be unaware of the first assessors mark (blind marking).
Whether second marking is undertaken (blind or otherwise),
both markers will normally make notes to enable subsequent
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discussions to take place where there is a significant
difference between the two markers' judgements.
Indicative answer
The assessor's explicit view of what an answer to an
assessment task should contain. Indicative and/or model
answers are more commonly used where the right answer can
be defined precisely.
Marking Scheme
A detailed framework for assigning marks, where a specific
number of marks are given to individual components of each
question and/or questions in an assessment task.
Moderation
The processes undertaken through which assessment
outcomes are confirmed as valid and reliable and that
assessment criteria have been applied consistently.
Forms of moderation typically include:
- Sample review of first marking, either by an internal or
external examiner;
- additional marking, for example of borderlines, firsts and
fails;
- review of marks: where there is a significant difference
between several assessment marks, within or between
modules, which indicate the marks may need to be
reviewed.
Rubric
The coversheet that prefaces an assessment that provides
instructions to students on the number of questions that
should be attempted and on how they should attempt to
answer the questions that have been set.
Scaling
The mathematical adjustment made to the marks achieved by
a cohort of students should the distribution of marks in that
assessment be noticeably different to other tasks. Scaling
should not normally need to be undertaken, outside of
mathematical assessments in which a markedly different set
of marks can result.
Verification
The processes undertaken to check that marks have been
calculated and recorded correctly and to ensure that any other
relevant factors have been considered properly in determining
a student’s results.
8. EXAMINATION VENUE PROCEDURES
8.1 APPOINTMENT OF INVIGILATORS
8.1.1 Senior Invigilators and Invigilators for examinations shall be appointed by
the Superintendent in accordance with guidelines approved by Senate.
8.1.2 Senior Invigilators and Invigilators for Class Tests and Practical-Based
Assessments shall be appointed by the Head of School responsible for the
delivery of the Module or Unit of Study.
8.2 DUTIES OF THE SENIOR INVIGILATOR
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A Senior Invigilator shall be responsible for the maintenance of order and
the conduct of the Examination(s) in an Examination Venue in accordance
with guidance issued by the Superintendent. Senate Guidelines specify the
duties of a Senior Invigilator.
8.3 DUTIES OF INVIGILATORS
Invigilators are responsible for assisting the Senior Invigilator under his/her
direction. Senate Guidelines specify the duties of an Invigilator.
8.4 DISPATCH OF EXAMINATION PAPERS
The Superintendent shall be responsible for the dispatch of Examination
question papers, Examination stationery, seating arrangements and other
related instructions to the Senior Invigilator in the Examination Venue.
8.5 USE OF ELECTRONIC DEVICES
8.5.1 The use of calculators is permitted in all examinations unless a Head of
School has indicated otherwise to the students in writing at the beginning of
the Session in accordance with 4.2 above. No other electronic devices are
permitted in an Examination Venue unless otherwise agreed by the
Superintendent in writing.
8.5.2 The calculators which students may use in Examinations must be noiseless,
battery- or solar-powered. Calculators which have been pre-programmed
and calculators with an alphabetic keyboard are not permitted in any
Examination.
8.5.3 Where the use of calculators is not permitted, this shall be indicated on the
Examination paper.
8.5.4 All calculators used in Examinations may be subjected to detailed scrutiny
by invigilators. Students may be required to demonstrate to an invigilator
that calculators have not been pre-programmed.
8.5.5 The Superintendent may, on the recommendation of a Head of School,
approve the use of electronic devices other than calculators in Examinations
by students.
8.6 USE OF TRANSLATION DICTIONARIES
8.6.1 The use of non-electronic translation dictionaries between English and/or
Welsh and another language shall be permitted in all Examinations where
this is indicated on the Examination paper. Such dictionaries shall bear an
appropriate School stamp which should be dated.
8.6.2 The use of electronic dictionaries is not permitted.
8.6.3 All dictionaries used in examinations may be subject to scrutiny by
invigilators.
8.7 CONDUCT OF STUDENTS IN EXAMINATION VENUES
8.7.1 Students in breach of these Regulations and students committing any act
which might obtain for him/herself or for another an unpermitted advantage
will be reported to the Superintendent and may be liable to the Unfair
Practice Procedure and/or Student Disciplinary Procedure.
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8.7.2 Personal belongings of students, including coats and bags, shall be left in
the place designated for this purpose at the Examination Venue.
8.7.3 Students shall be permitted to take to an Examination desk writing materials
and all texts and/or other material approved by the Examining Board for use
in an Examination. No other materials shall be permitted unless approved
by the Superintendent.
8.7.4 Students shall not be permitted to take to an Examination desk any pencil
case or similar receptacle unless the covering is transparent and permits
sight of its contents.
8.7.5 Students shall not be permitted to take to an Examination desk any
electronic communication device or any other electronic device other than
those approved for use in Examinations under 8.5 above.
8.7.6 Each student shall be required to place his/her student identification card on
the desk in the Examination Venue for the duration of his/her Examination.
8.7.7 No student shall be permitted to enter an Examination Venue forty-five
minutes or more following the commencement of an Examination. No
student shall be permitted additional time if starting an Examination later
than the time of its commencement.
8.7.8 No student shall be permitted to leave an Examination Venue until a lapse
of sixty minutes from the commencement of an Examination.
8.7.9 Before commencing the Examination each student shall be required to
complete Examination stationery in accordance with the instructions issued
by the Senior Invigilator.
8.7.10 No student shall turn over the first page of the Examination question paper
until permitted to do so by the Senior Invigilator.
8.7.11 No student in an Examination venue shall communicate with any other
student prior to, during or at the end of the Examination on any matter or in
any way whatsoever.
8.7.12 All answers and rough work shall be completed in the stationery provided
and written legibly. With the agreement of the Chair of the Examining
Board, examiners shall be permitted not to mark an illegible Examination
script or have it typed at the expense of the student.
8.7.13 No student shall be permitted to leave the Examination Venue during the
last thirty minutes of an Examination.
8.7.14 When the Senior Invigilator announces the end of the Examination:
.1 students shall be required to stop writing immediately; and
.2 students shall remain seated in silence until permitted to leave the
Examination Venue by the Senior Invigilator.
9. SPECIFIC PROVISION
9.1 The University will permit adjustments to the arrangements for the conduct
of Assessment for students with disabilities and for students with other
support needs to enable all students to have the same opportunity to
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demonstrate the achievement of specific learning outcomes, without
compromising academic standards or affecting prescribed standards of
Professional Bodies.
9.2 The arrangements to be made by the University for students requiring
Specific Provision in Assessment are fully consonant with the requirements
arising from the Quality Assurance Agency Code of Practice for Students
with Disabilities, the Disability Discrimination Act 1995 the Special
Educational Needs and Disability Act 2001 and the Equality Act 2010.
9.3 Where an applicant or student has completed a declaration of disability, the
assessment of need shall include consideration of any adjustments required
for Assessment as part of that process.
9.4 Applications for Specific Provision should be made on the form made
available to all students and should be supported by documentary evidence,
such as a report by a Medical Practitioner, a needs assessment recognised
for purposes of the Disabled Student's Allowance or an Educational
Psychologist's Report.
9.5 Applications for Specific Provision in Examinations and/or Class Tests
should be submitted to the Superintendent and applications for Specific
Provision in Practical-Based Assessments and/or Coursework should be
submitted to the appropriate Head of School. The Superintendent and
Heads of Schools are permitted to disregard requests for Specific Provision
which are not supported by appropriate documentary evidence.
9.6 Where an application is made for an alternative form of Assessment, this will
be referred to the Head(s) of the relevant School(s) for consideration. In
such cases, any arrangements for adjustments to the form of Assessment
shall be subject to demonstrating the achievement of specific learning
outcomes and shall not compromise academic standards or affect
prescribed standards of Professional Bodies.
9.7 Applications for Specific Provision can be made at any time but it may not
be possible to process applications in time for an Examination, Practical-
Based Assessment or Class Test that has already been scheduled. To
ensure that the necessary adjustments can be made for Examinations,
Class Tests, Practical-Based Assessment or Coursework that will be taken
within the first 12 weeks of a Programme, where a student's circumstances
are known to be prolonged or permanent and identified prior to the start of
the Session, a student should submit a written application to the
Superintendent or Head of School, as appropriate, by the end of Week Two
of the start date of the Programme.
9.8 Students will be informed of the adjustments that have been approved. The
range of adjustments can be amended subsequently, where this is needed
to meet the changing needs of the individual student.
9.9 If a student feels that the notified arrangements do not provide for their
individual needs, they can request a review of their case. This should be
made in writing, stating the reasons for requesting a review and should be
submitted via the Academic Registrar. The review will be undertaken by a
Deputy Vice-Chancellor or a Pro Vice-Chancellor who has had no previous
connection with the case and who is not a member of the School concerned.
As part of the review all information provided by the student, the School and
the Superintendent as appropriate will be considered. This process may
also include a face-to-face meeting with the relevant parties if this is felt to
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be appropriate. At the conclusion of the review, the reviewer will confirm the
outcome in writing to all the relevant parties. The reviewer may alter the
arrangements previously approved, where this is found to be appropriate.
9.10 EXAMINATION THROUGH THE MEDIUM OF WELSH
Any student who wishes to be examined in whole or in part through the
medium of Welsh is required to notify the Superintendent in writing by the
end of Week Five of each Semester. Whilst every effort will be made to
accommodate such requests, it may not be possible to meet these in all
cases.
9.11 RELIGIOUS OBSERVANCE DAYS
Any student who anticipates that he/she will be unable on religious grounds
to sit Examinations on certain days shall submit a written request to the
Superintendent by the end of Week Five of each Semester that the
circumstances be taken into account in the scheduling of Examinations.
The student shall inform the Superintendent of the reason for his/her
inability to sit Examinations on such days. Whilst every effort will be made
to accommodate such requests, it may not be possible to meet these in all
cases.
10. EXAMINATIONS AND ASSESSMENTS UNDERTAKEN OUTSIDE
CARDIFF UNIVERSITY
Under the following provisions the University permits forms of Assessment,
including Examinations, to be conducted in locations away from Cardiff and
Cardiff University (hereinafter "outside Cardiff University").
10.1 INDIVIDUAL STUDENTS
The University will consider:
10.1.1 requests from individual students to undertake Assessments, including
Examinations, outside Cardiff University in the Resit Examination Period;
and
10.1.2 in exceptional circumstances, requests from individual students to undertake
Assessments, including Examinations, outside Cardiff University at other
times.
10.2 A request by an individual student to sit Examinations outside Cardiff
University shall be submitted in writing by the student to the Head(s) of
School or nominee concerned for consideration. The student shall detail in
his/her request the reason for submitting the request.
10.3 The Head(s) of School or nominee shall forward requests to sit
Examinations outside Cardiff University to the Superintendent with a
recommendation whether the request should be allowed or disallowed. The
final decision shall rest with the Superintendent.
10.4 The deadline for receipt of applications by the Head(s) of School or nominee
for sitting an Examination in the Resit Examination Period to be sat outside
Cardiff University is the end of Week 12 of the Spring Semester.
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In exceptional circumstances or in the case of resit examinations for
programmes operating under a non-standard academic calendar,
applications to sit Examinations outside Cardiff University shall be
considered by the Superintendent of Examinations.
10.5 In submitting a recommendation to the Superintendent, the Head(s) of
School or nominee shall specify, if it is not possible for Examinations taken
outside Cardiff University to be held concurrently with the same Examination
being held at Cardiff University, whether a different Examination paper will
be submitted to the Superintendent by the School. The Superintendent
shall not approve the application where:
10.5.1 the Examinations cannot be scheduled concurrently at specified
Examination Venues and at other venues; and
10.5.2 the Head(s) of School or nominee is not prepared for a different
Examination paper to be submitted to the Superintendent.
10.6 The Superintendent shall inform the student and Head(s) of School or
nominee in writing of his/her decision.
10.7 If, having approved a request, the Superintendent is unable within a period
of four weeks to arrive at satisfactory arrangements for the holding of the
Examinations outside Cardiff University, he/she shall inform the student that
he/she shall not be permitted to sit the Examinations outside Cardiff
University.
10.8 An administrative fee, determined by the University Council, shall be
payable by the student, and in addition the student shall be responsible for
paying any costs incurred at the distant venue. The Superintendent may
waive the administrative fee in exceptional circumstances.
10.9 Where the Superintendent has notified the student in writing that he/she is
permitted to sit the Examination(s) outside Cardiff University, the student will
be liable for payment of a cancellation fee not exceeding the full
administrative fee:
.1 unless written notification from the student stating that he/she will not
sit the Examination(s) outside Cardiff University is received by the
Superintendent at least two weeks prior to the commencement of the
Examination Period;
or
.2 where the student fails to attend the Examination.
10.10 COHORT EXAMINATIONS
The University will consider requests from individual schools to allow, for
specified Programmes, Assessment to take place at venues outside Cardiff.
Such requests shall be considered for approval by the Academic Standards
and Quality Committee, normally as part of the Programme Approval
Procedure.
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11. Extenuating Circumstances
11.1 Scope and Definition
Principles
The consideration of Extenuating Circumstances will be managed through
consistent, fair, and transparent procedures.
Regulations
11.1.1 For the purpose of these Regulations, Extenuating Circumstances are
those that are:
severe and exceptional; and
unforeseen or unavoidable; and
close in time to the Assessment, or where the student can
demonstrate that the circumstances continued to have an impact on
their academic performance in the Assessment.
Such circumstances may be considered to have had an adverse impact on
the student’s academic performance in Assessment and/or have prevented
a student from submitting a Coursework Assessment and/or attending a
scheduled Assessment.
11.1.2 Students on part time programmes may request consideration of an
extension on the basis of exceptional professional commitments under this
procedure.
Guidance
Students should be encouraged to report any circumstances that they believe
have impacted negatively on their performance in an Assessment or
Examination. They should be advised that any information they submit will remain
confidential, where possible, and will be considered with due sensitivity.
The list below illustrates the kinds of circumstances that may affect a student’s
performance. The list is not exhaustive and other circumstances may arise that
will have a significant impact on a student’s performance.
Serious short-term illness or accident;
Bereavement - for example the death of a close relative or friend, partner or
significant other;
Evidence of a long-term health condition worsening or a change in
symptoms;
Significant adverse personal/family circumstances;
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Being a victim of a serious crime;
Disability or impairment where it has not been possible to put required
adjustments in place.
The list below illustrates the kinds of circumstances that are unlikely to be accepted
as Extenuating Circumstances. The list is not exhaustive:
Statement of a medical condition without reasonable evidence (medical or
otherwise) to support it;
Medical circumstances that occur outside the relevant Assessment or
learning period for which appropriate adjustments have already been made
(e.g. Extensions, Specific Provision);
Minor illnesses or ailments which, in a work situation, would be unlikely to
lead to absence from work;
Long-term health conditions for which the student is already receiving
reasonable and appropriate adjustments to Assessments;
Computer, printing or other IT-related problems;
Poor time management;
Holidays, weddings or other family-related events;
Paid employment or other financial issues;
Attendance at, or participation in, sporting, musical or other events;
Where there is a reasonable case that the circumstances reported were
foreseeable or preventable.
Data Protection and Confidentiality
Students should be advised that completed University Extenuating Circumstances
Forms and evidence will be kept confidential and will be treated as sensitive data in
line with the Data Protection Act 1998. The form and supporting information will be
shared only with appropriate University staff (including the student’s Personal
Tutor(s)) and authorised members of the Examining Board / Extenuating
Circumstances Group, to allow formal consideration of the impact of the
circumstances on the student’s academic performance. If a student submits an
academic appeal, under the Academic Appeals Procedure, the information may be
considered as part of this process where appropriate.
For students who are on a Programme leading to professional accreditation the
Extenuating Circumstances may be considered when assessing whether a student
is ‘Fit to Practise’.
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11.2 Information to be Provided to Students
Principles
Schools will provide clear, timely, and relevant information related to the
procedures that will be followed to manage Extenuating Circumstances.
Regulations
11.2.1 Students shall be provided with clear information at the start of the
academic year about Extenuating Circumstances procedures.
Guidance
Schools shall provide students with information in handbooks at the start of the
academic year about Extenuating Circumstances. This should include both the
process to be followed in requesting an Extension to a scheduled coursework
deadline, and the procedure that is used by Examining Boards to manage requests
for consideration of Extenuating Circumstances. Schools should use the
information available on the Registry website. It is good practice to remind students
of this information at key points throughout the academic year.
This information should be supplemented in the School by:
Session-specific deadlines for reporting Extenuating Circumstances;
Guidance as to where to find the University’s Extenuating Circumstances
Form and how it should be completed;
Information on sources of available independent advice (e.g. the Advice and
Representation Centre in the Students’ Union);
Information on where students should hand in completed forms (e.g. the
School Office);
The name of the Chair of the relevant Extenuating Circumstances Group(s),
and;
The name of the member of staff who is responsible for the co-ordination of
the support to this area within the School.
In some Programmes, discipline-specific or professional requirements may mean
that the options available to an Examining Board are restricted. In such instances
students must be informed of this clearly and unambiguously in handbooks.
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11.3 Reporting Extenuating Circumstances
Principles
Requests for consideration of Extenuating Circumstances must be submitted
in writing using the University’s Extenuating Circumstances Form and be
supported by independent evidence.
Regulations
11.3.1 A student shall report any Extenuating Circumstances which may have an
effect on his/her ability to submit an Assessment to the Chair of the
relevant Extenuating Circumstances Group (or nominee). A student shall
complete the University’s Extenuating Circumstances Form providing a
written account and evidence of the circumstances, which should meet the
criteria as detailed in 11.1.1 above.
11.3.2 On receipt of a completed University Extenuating Circumstances Form, the
Chair of the Extenuating Circumstances Group shall determine whether:
.1 it is a request to submit assessment(s) subsequent to the stated
deadline due to Extenuating Circumstances, which shall be managed
in accordance with the Regulations in section 11.4 below,
OR
.2 it is a request to have Extenuating Circumstances considered by the
Extenuating Circumstances Group, which shall be managed in
accordance with the Regulations in sections 11.5 and 11.6 below.
11.3.3 If any Extenuating Circumstances arise in an Examination, the
circumstances shall be reported by the student to an invigilator. The
Senior Invigilator shall report such circumstances in writing to the
Superintendent of Examinations who shall inform the Chair of the relevant
Extenuating Circumstances Group. Any student who believes that they
have been affected by Extenuating Circumstances in an Examination shall
be required to complete and submit the University’s Extenuating
Circumstances Form.
Guidance
The University’s Extenuating Circumstances Form should be used to support
applications for both:
Extensions to a Coursework Deadline, which should be submitted,
where possible, in advance of the deadline for that Assessment;
Consideration of Extenuating Circumstances by an Extenuating
Circumstances Group, which should be submitted as soon as the
circumstances arise, where possible, before the Assessment is due to
be taken or submitted, and by the deadline published in handbooks.
The Examining Board may not be able to consider circumstances that
are submitted after this deadline or where the student has failed to
provide evidence in verification of the circumstances. Applications
that are received after the School deadline, i.e. the date published in
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relevant handbooks, will normally be considered under the Academic
Appeals Procedure. Students will need to demonstrate good reason
why the Extenuating Circumstances could not have been made known
to the Examining Board in advance of this deadline.
Completed University’s Extenuating Circumstances Forms must be accompanied
by independent supporting evidence. This may include a:
Medical/health certificate which confirms illness for a defined period;
Photocopy of a death certificate;
Letter of support/explanation from a support service at the University (for
instance, a statement from the Disability and Dyslexia Service);
Letter of support/explanation from a third party (such as a police report,
counsellor’s letter, local authority report, etc.).
Such supporting evidence must be submitted on documentation that is recognisably
authentic (e.g. on headed paper) and be signed and dated by the relevant authority.
It must be unaltered and not annotated by students. Translated evidence should
similarly be authentic and can normally be obtained from the facility issuing the
certificate (e.g. hospital, official body).
Completed forms, together with supporting evidence, must be in either English or
Welsh. Where necessary, students should arrange for information in other
languages to be translated. Forms, together with scanned copies of any supporting
evidence can be submitted electronically from either the student’s Cardiff University
email address or from their designated email account registered with the University
(i.e. the account recorded on SIMS).
Disability
Students who have Specific Provision in place may still be eligible to raise
Extenuating Circumstances in some situations as described below. While the
Extenuating Circumstances procedure is not designed to be the mechanism by
which students disclose disabilities to the University for the first time, some students
may only disclose disabilities in this way. Students who believe they have a
disability should be counselled to seek advice from the University’s Disability and
Dyslexia Service. The Disability and Dyslexia Service will advise students on how
to apply for Specific Provision and reasonable adjustments to support them during
their studies.
The Extenuating Circumstances Regulations can be used where disabled students
need to raise circumstances that have impacted on their academic performance, for
instance:
Where it has not been possible to put reasonable adjustments in place in
time for the assessment, or where the adjustments have not been
effective;
Where a student has a fluctuating condition which suddenly worsens, such
as depression or arthritis;
Where a student’s condition involves sudden episodes of symptoms, such as
seizures or migraines.
While it is normal practice for Extenuating Circumstances Groups to receive
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medical evidence to verify ill health, in the case of disability this may be varied to
students with fluctuating conditions who are in receipt of Specific Provision. As a
reasonable adjustment the Extenuating Circumstances Group may require a
student to provide evidence of the fluctuating condition once a semester in the form
of a medical note, a letter of support from the University’s Disability and Dyslexia
Service or the University Health Centre as appropriate.
In the case of a student who discloses disability for the first time, the School should
seek the student’s consent to refer the information to the University’s Disability and
Dyslexia Service using the form at
www.cardiff.ac.uk/dyslx/infoforstaff/disclose/index.html. Students should be
encouraged to seek advice from the Disability and Dyslexia Service if they believe
they may have a disability and wish to request that reasonable adjustments are put
in place.
Personal Tutors
Students may, in the first instance, raise possible Extenuating Circumstances with
Personal Tutors. Tutors should be clear that they do not play an official role in the
process but may provide support to students as appropriate. Tutors should make
clear that it is the student’s responsibility to complete the University’s
Extenuating Circumstances Form and supply supporting evidence. Personal
Tutors must not authorise requests for Extensions or approve applications
for Extenuating Circumstances.
Personal Tutors should ensure that students have a realistic understanding of the
range of actions and remedies that are available to deal with their circumstances
and be aware that students from some cultures may be reluctant to report
Extenuating Circumstances and may consider this a sign of weakness or failure.
While Personal Tutors may refer students to the University Student Support Centre
and/or University Counselling Service where appropriate, staff at these services will
not be able to provide supporting evidence of Extenuating Circumstances if
students have had no prior engagement with them. Tutors should not refer
students to these services solely to collect further supporting evidence of
Extenuating Circumstances.
Fitness to Practise
In some Schools student requests for consideration of Extenuating Circumstances
may raise Fitness to Practise issues. These Schools need to ensure that
procedures are in place to identify where such issues may arise, and that they are
dealt with in an appropriate manner.
11.4 Extensions and Supplementary Assessments
Regulations
Extension Requests
11.4.1 If a student is unable to submit an Assessment by a due date, and
Extenuating Circumstances have been reported in accordance with 11.3
above, the Chair of the relevant Extenuating Circumstances Group, or
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nominee, shall either:
.1 approve an Extension to a submission date which shall be set such
that the Assessment may be marked prior to the meeting of the
Examining Board; or
.2 not approve the extension to a submission date and refer the matter to
the Extenuating Circumstances Group on the grounds that:
there is insufficient time to permit the Assessment to be marked
by the Examining Board; or
the Extenuating Circumstances as reported are not sufficient to
warrant an extension or insufficient evidence was presented.
11.4.2 The Chair of the Extenuating Circumstances Group shall inform the student
in writing of his/her decision as soon as possible, and normally within 10
working days of the request. The Chair will formally report any extensions
granted to the Extenuating Circumstances Group.
Supplementary Assessments
11.4.3 If a student:
is absent from all or any part of an Examination; or
has been present at an Examination:
and Extenuating Circumstances have been reported in accordance with
section 11.3 above, the Chair of the Extenuating Circumstances Group
may either:
.1 seek the approval of the Chair of Academic Standards and Quality
Committee, for the setting of a supplementary Assessment which shall
be held before the meeting of the Examining Board concerned; or
.2 report the matter to the Extenuating Circumstances Group on the
grounds that:
the holding of a supplementary Assessment before the meeting
of the Examining Board is inappropriate or impractical; or
the Extenuating Circumstances as reported are not sufficient to
warrant the setting of a supplementary Assessment or
insufficient evidence of the circumstances has been presented
by the student.
11.4.4 The Chair of the Extenuating Circumstances Group shall inform the student
in writing of his/her decision as soon as possible, and normally within 10
working days of the decision. The Chair will report his/her actions to the
Examining Board as set out in 11.5.6 below.
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Guidance
Extension Requests
Requests for Extensions shall be considered by the Chair of the Extenuating
Circumstances Group, or nominee. Schools should seek to ensure that the
processes used enable quick decisions to be made and communicated to students.
It is good practice to use a generic email account to manage such requests.
Applications for Extensions from students on joint honours Programmes must be
submitted to the school responsible for the affected assessment and shared with
partner schools, where appropriate. Chairs of Extenuating Circumstances Groups
shall make arrangements for summaries of the number of applications received,
and a breakdown of the number of successful and unsuccessful applications, to be
made available to the relevant Examining Boards.
Extension Requests – Master’s Dissertation
The procedure governing requests for Extensions to a Master’s Dissertation time
limit is included within Senate Assessment Regulations (see 11.3 and 11.4)..
Supplementary Assessments
Supplementary Assessments should only normally be held in the latter stages of a
student’s Programme, to enable students to graduate with their cohort and to not
delay them from being able to continue their career. Where Supplementary
Assessments are to be held, staff should liaise with Registry staff to access help
and support, and to ensure that this can be accommodated within the available
time.
11.5 Extenuating Circumstances Groups
Principles
Information provided by students will remain confidential, where possible,
and will be considered with due sensitivity.
Regulations
11.5.1 Heads of School shall establish one or more Extenuating Circumstances
Group(s) to support the School’s Examining Boards;
11.5.2 Each Extenuating Circumstances Group shall have:
.1 a Chair who shall be appointed by the Head of School (or nominee)
and shall be a member of the Examining Board to which it reports (a
Group Chair shall not serve as Chair of the Examining Board);
.2 between three and eight members of staff from within the School,
including academic and administrative staff and Disability Contacts.
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11.5.3 External Examiners shall not serve as members of Extenuating
Circumstances Groups.
11.5.4 There shall be a minimum of three members of the Group in attendance at
any meeting to consider student’s Extenuating Circumstances, at least one
of whom shall be a member of academic staff.
11.5.5 Extenuating Circumstances Groups shall:
.1 consider whether Extenuating Circumstances, as reported in
accordance with section 11.3 above, have impacted on the student’s
academic performance in Assessment(s);
.2 ensure that, in conducting their work, they integrate consideration of
equality and diversity issues into their deliberations, with a view to
valuing and promoting equality and diversity and eliminating
discrimination;
.3 disregard reports of Extenuating Circumstances if appropriate
supporting evidence is not supplied.
11.5.6 The Chair of the Extenuating Circumstances Group will report to the
Examining Board(s):
.1 circumstances that have impacted on the student’s performance in the
Assessment that are supported by appropriate evidence; and
.2 circumstances that have impacted on the student’s performance in the
Assessment affected, but have already been taken into account by
supplementary assessments and/or the student has been granted an
extension and therefore no further action is warranted; and
.3 a summary of the Extenuating Circumstances applications that were
considered by the Group to have not impacted on the student’s
performance at the time of the Assessment.
Guidance
The Operation of Extenuating Circumstances Groups
Schools should consider whether they should have a single group to cover all
Extenuating Circumstances submissions, or whether they would prefer to have
separate groups to manage requests related to undergraduate and taught
postgraduate programmes of study. In a small number of professionally-related
programmes it may be appropriate for the Group to be specific for a single
programme and/or group of programmes.
The Extenuating Circumstances Group should be chaired by a member of the
Academic Staff, but not by a Chair of any of the Examining Boards to which it
reports, to remove any perception of bias and avoid any potential conflict of interest.
The Chair of the Extenuating Circumstances Group should be appointed by the
relevant Head(s) of School.
Extenuating Circumstances Groups should include a minimum of three and no more
than eight members of staff, including staff who have lead responsibility for disability
and/or student support matters. Extenuating Circumstances Groups should be
serviced by a member of staff appointed to co-ordinate the work in this area.
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Meetings of the Extenuating Circumstances Group must be chaired by and have at
least one member of the Academic Staff in attendance.
In Schools in which students submit a number of pieces of summative assessment
during the academic year it is good practice for the Extenuating Circumstances
Group to meet at regular points throughout that year. This will help Schools to
manage the workload in this area more effectively.
Schools that offer joint honours Programmes must ensure that any applications
received from students following such Programmes are shared between the
relevant Schools, where appropriate. This information should also be shared
between the staff who co-ordinate this area in the relevant Schools. Schools should
consider inviting Group members from partner Schools to be members of
Extenuating Circumstances Groups. Schools should seek to ensure that simple
and clear procedures exist to share information as appropriate. Students are
advised to email a copy of the completed University Extenuating Circumstances
Form to both Schools.
When considering applications for Extenuating Circumstances, Groups should:
Ensure they consider relevant evidence-based information only;
Respect student anonymity and confidentiality;
Exclude any additional information that may be known to and provided by
staff, particularly when this cannot be supported by evidence, and;
Consider ways of redacting names and other personal identifiers from
evidence;
Disregard reports of Extenuating Circumstances if appropriate supporting
evidence is not supplied.
The Role of Extenuating Circumstances Groups
The role of Groups is to determine whether or not there is evidence that a student’s
academic performance has likely been impacted upon by their circumstances and
to make a recommendation to the Examining Board to that effect. Groups should
not make adjustments to student marks. They should record the following
information in a manner consistent with Examining Board guidelines.
Details of the relevant Assessments and/or modules;
Confirmation or otherwise that the student submitted verifiable evidence;
Confirmation or otherwise that the Extenuating Circumstances occurred
close to or during the Assessment period;
Confirmation or otherwise that the Extenuating Circumstances impacted on
the student’s performance at the time of Assessment;
Details of any adjustments that may have already been made to take
account of Extenuating Circumstances.
Schools should seek to review the range of decisions taken in this area on an
annual basis. This will help to ensure that a consistent approach in this area is
maintained.
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11.6 Action to be Ta ken by Examining Boards
Principles
The consideration of Extenuating Circumstances will be managed through
consistent, fair, and transparent procedures.
Students who have had Extenuating Circumstances shall not be
disadvantaged unfairly.
Students within protected characteristic groups [
3
], that have had Extenuating
Circumstances that clearly relate to that characteristic, shall not be
disadvantaged unfairly by the presence of a lower mark on their transcript.
Examining Boards shall not change, amend or estimate marks where
Extenuating Circumstances have been reported.
Regulations (General)
11.6.1 A Head of School may seek the approval of the Academic Standards and
Quality Committee to vary these Regulations in respect of one or more
Programme(s) where they are able to demonstrate, to the Committee's
satisfaction, that such variance is required to meet the requirements of one
or more Professional, Statutory or Regulatory Bodies.
11.6.2 Examining Boards shall ensure that the actions they take where a student’s
performance is likely to have been affected by Extenuating Circumstances
are recorded clearly.
Guidance
Programmes leading to a professional body qualification
Where professional body regulations require that different remedies to the below
must apply, Schools can seek ASQC agreement that programmes be exempted
from specific aspects of the below Regulations. To do so, they should write to the
Secretary of ASQC to request an exemption, setting out which parts of the
Regulations that they cannot apply.
Where an exemption is granted, Schools must provide clear information to students
(e.g. in programme handbooks and on Learning Central), which sets out the
remedies that will be applied where it is found that a student’s performance is likely
to have been affected by Extenuating Circumstances.
Record keeping
Extenuating Circumstances Group(s) shall provide a report to the relevant
Examining Board(s) that sets out the following:
Information related to students that are likely to have had their performance
affected by Extenuating Circumstances;
(student names and numbers, details of Assessment(s) affected, and
3
See http://www.cardiff.ac.uk/govrn/cocom/equalityanddiversity/stratequalplan/Poster%20-
%20protected%20charact.pdf for further information on protected characteristics and
http://www.acas.org.uk/media/pdf/9/p/Equality_Act_2010_Acas_table_JULY_2010.pdf for further
information of the legislative changes that were contained in the Equality Act 2010
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details of the relevant Module / Unit of Study decisions);
Summary details of any students that are likely to have had their
performance affected by Extenuating Circumstances for which an
adjustment (e.g. an extension) has already been made;
(student names and numbers, details of Assessment(s) affected, and
period of extensions granted); and
Summary details of any applications for Extenuating Circumstances that
were not accepted as having likely affected on the student’s academic
performance;
(student names and numbers, Assessment(s) against which Extenuating
Circumstances were claimed, and the reason for the decisions [e.g. not
serious, lack of evidence etc.]).
It is primarily the responsibility of the Examining Board to agree the action that will
be taken where Extenuating Circumstances have likely affected a student’s
performance (see 11.4 above for the procedures to be followed when granting an
extension to a coursework deadline). Decisions should be minuted clearly by the
Examining Board. Examining Boards should not receive or discuss the details of
individual Extenuating Circumstances cases, should not consider possible
Extenuating Circumstances where these have not been reported through
appropriate channels, and should not seek to review or overturn decisions made by
Extenuating Circumstances Groups. To do so would risk compromising
confidentiality and lead to judgements being made on the basis of partial and/or
incomplete information.
Students who request information about the outcomes of the consideration of their
application for Extenuating Circumstances should be notified of the dates on which
the Extenuating Circumstances Group and Examining Board considered the
application and of the decision made. This should include whether the
circumstances were accepted or rejected, and if accepted, what actions were taken.
Support within Schools
It is good practice for Schools to nominate a member of staff to co-ordinate the
management of Extenuating Circumstances across a School, to be responsible for:
Making the relevant information available to students;
Providing procedural advice to staff and students;
Receiving submissions on the University’s Extenuating Circumstances
Form;
Liaising with Chairs of Examining Boards;
Servicing Extenuating Circumstances Groups.
Schools should also seek to nominate another member of staff to deputise for the
nominated contact should they be unavailable, and should designate a place for
submissions to be made within the School (e.g. the School Office or by email to a
designated email address).
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Regulations (Remedies available to Examining Boards In Modular Taught
Programmes)
11.6.3 Module results and the award of Credit at Progression Examining
Boards
Where the Extenuating Circumstances Group is satisfied that a student’s
performance has been affected by Extenuating Circumstances, Examining
Boards shall:
i. Where the student has not reached the pass mark in an
Assessment affected by Extenuating Circumstances and has not
reached the pass mark in that Module; permit the student to retake
the affected Assessment(s) as a first attempt (or second/third attempt
as appropriate where the student has failed previously) at the next
occasion on which the Assessment(s) is scheduled to take place.
ii. Where the student has not reached the pass mark in an
Assessment affected by Extenuating Circumstances BUT has
reached the pass mark in that Module; offer the student the
opportunity to:
- EITHER retake the affected Assessment(s) as a first attempt
(or second/third attempt as appropriate where the student has
failed previously) at the next occasion on which the
Assessment(s) is scheduled to take place;
- OR be awarded Credit for the Module without further
Assessment.
iii. Where the student has passed a module and all of the
Assessment components affected by Extenuating
Circumstances, AND where the student’s Extenuating
Circumstances relate to a Protected Characteristic; offer the
student the opportunity to:
- EITHER retake the affected Assessment(s) as a first attempt
(or second/third attempt as appropriate where the student has
failed previously) at the next occasion on which the
Assessment(s) is scheduled to take place;
- OR be awarded Credit for the Module without further
Assessment.
iv. Where the student has passed all of the Assessment components
affected by Extenuating Circumstances AND reached the pass
mark in that Module; award the student Credit for that Module
(except as provided under 11.6.3.iii above).
v. Where an adjustment (e.g. an extension) has been made
previously; take no further action.
11.6.4 Where the Extenuating Circumstances Group is not satisfied that a
student’s performance is likely to have been affected by Extenuating
Circumstances; take no further action.
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11.6.5 Module results and the award of Credit at Final Examining Boards
Where the Extenuating Circumstances Group is satisfied that a student’s
performance has been affected by Extenuating Circumstances, Final
Examining Boards shall:
i. Where the student has not reached the pass mark in an
Assessment affected by Extenuating Circumstances, has not
reached the pass mark in that Module; AND has not achieved
sufficient Credit for their target award; permit the student to retake
the affected Assessment(s) as a first attempt (or second/third attempt
as appropriate where the student has failed previously) at the next
occasion on which the Assessment(s) is scheduled to take place.
ii. Where the student has not reached the pass mark in an
Assessment affected by Extenuating Circumstances, has not
reached the pass mark in that Module, BUT has obtained
sufficient Credit to be eligible for the target award; offer the
student the opportunity to:
- EITHER retake the affected Assessment(s) as a first attempt
(or second/third attempt as appropriate where the student has
failed previously); at the next occasion on which the
Assessment(s) is scheduled to take place;
- OR be awarded the qualification without further Assessment.
iii. Where the student has not reached the pass mark in an
Assessment affected by Extenuating Circumstances BUT has
reached the pass mark in that Module; offer the student the
opportunity to:
- EITHER retake the affected Assessment(s) as a first attempt
(or second/third attempt as appropriate where the student has
failed previously) at the next occasion on which the
Assessment(s) is scheduled to take place;
- OR be awarded Credit for the Module without further
Assessment.
iv. Where the student has passed the Module and all of the
Assessment components affected by Extenuating
Circumstances, AND where the student’s Extenuating
Circumstances relate to a Protected Characteristic; offer the
student the opportunity to:
- EITHER retake the affected Assessment(s) as a first attempt
(or second/third attempt as appropriate where the student has
failed previously) at the next occasion on which the
Assessment(s) is scheduled to take place;
- OR accept the Board’s recommendation that Credit be
awarded for the Module without further Assessment.
v. Where the student has passed all of the Assessment
components affected by Extenuating Circumstances) AND
reached the pass mark in that Module; award the student Credit for
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that Module (except as provided under 11.6.5.iv above).
vi. Where an adjustment (e.g. an Extension) has been made
previously; take no further action.
11.6.6 Where the Extenuating Circumstances Group is NOT satisfied that a
student’s performance has been affected in a Module by Extenuating
Circumstances; take no further action.
11.6.7 Award classification at Final Examining Boards
The following shall apply where a student has sufficient Credit to be eligible
for their target award and where they have passed both the Module and the
Assessment components affected by Extenuating Circumstances or have
elected to be awarded Credit for the affected Module without further
Assessment. In such circumstances, Examining Boards shall, where it
benefits the student, discount Module Marks that have been affected by
Extenuating Circumstances from the calculation of the award classification
subject to the following limits:
i. Discounting shall be permitted in up to a maximum of 1/6
th
of the
Credits that contribute to the Final Award;
ii. Discounting shall not apply to any Credit awarded for the Dissertation
and/or research stage of a Modular Taught Postgraduate Programme.
11.6.8 In exceptional circumstances, where a Head of School believes that
discounting affected Modules (within the prescribed limits) is an insufficient
remedy, the Head of School (or nominee) may write to the Awards and
Progress Committee to request that the Examining Board be permitted to
discount further Credits from the award’s classification. The decision of the
Awards and Progress Committee shall be final.
Guidance
Module results and the award of Credit at Progression Examining Boards
Where a student is permitted to be re-assessed in components affected by
Extenuating Circumstances
Where a student retakes affected Assessment(s), the method of assessment shall,
where possible, be the same as used previously. Where it is not possible for the
same assessment method to be used (e.g. in a group task or in an assessment that
requires access to facilities or equipment that will not be available), an assessment
task should be designed to allow the student to demonstrate the same learning
outcomes tested in the original assessment. If it is not possible for a student to
pass a module by retaking the affected component(s), the student should be
advised that they will fail the module, and will need to retake it, the mark for which
will be capped.
Where a student is granted a resit as a first attempt the transcript will show they
have been deemed ‘absent with good cause’ for this assessment. Where a student
who has retaken an assessment achieves a lower Module mark than that achieved
in their first attempt, the higher mark shall be recorded on transcripts and used in
any subsequent award calculations.
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Where the student is offered the opportunity to be re-assessed in
Assessment components affected by Extenuating Circumstances
Where a student has passed affected components, but their performance has been
affected by Extenuating Circumstances, and where the Extenuating Circumstances
are related to a Protected Characteristic as defined by the Equality Act 2010,
students shall normally be given an opportunity to be re-assessed in that
component. This is to ensure that students are not disadvantaged unfairly by the
presence of a lower mark on their transcript. Where a student has been absent
from, or failed, a component that has been affected by Extenuating Circumstances
and where the student has reached the pass mark in that Module, students should
also be given an opportunity to be re-assessed in that component.
Extenuating Circumstances and Condonement
Examining Boards shall not normally apply condonement rules to Modules affected
by Extenuating Circumstances. The exception to this is where the award of credit
will give a student sufficient Credit to be eligible for their target award. Students
must be advised of the full implications of the different courses of action available to
them, and be made aware of the impact their choice will have on transcripts and
degree outcomes.
Consultation with Students
Where a student is given a choice as to whether they retake an assessment or be
awarded credit, the student must be made aware of all of the options available to
them. Chairs of Extenuating Circumstances Groups (or nominee) should seek to
consult with the student and ascertain whether they intend to retake Assessments.
Students should be made fully aware, as far as possible, of their provisional mark,
of the effect of their choice, and of the impact their choice may have on other parts
of their programme.
Where credit is awarded in a module in which Assessment(s) have been
affected by Extenuating Circumstances
Where a student is awarded Credit in Module(s) that have been affected by
Extenuating Circumstances, this information must be recorded and reported to the
Final Examining Board to allow Discounting, where appropriate, to be undertaken.
Where no further action shall be taken
Where a remedy has already been applied (e.g. an Extension has been granted),
Examining Boards should take no further action, provided that sufficient adjustment
has been made. Should the student have further Extenuating Circumstances that
extend beyond the adjustment made, the student will need to submit a new
Extenuating Circumstances Form for further consideration.
Module results and the award of Credit at Final Examining Boards
In the majority of cases, Final Examining Boards shall take the same action as
Progression Examining Boards. The exception to this applies where a student has
failed a Module, but has otherwise achieved sufficient Credit to be eligible for their
target award.
Where this occurs, the Examining Board shall offer the student the opportunity to
resit that Assessment, but also make the student aware that they are eligible for
their award and can receive it without retaking the Assessment. Where a student
chooses to be recommended for an award, the classification shall, where permitted,
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be determined by removing the affected Module result from the award calculation
(see ‘Discounting’ below).
Award classification at the Final Examining Board
Discounting
Where a student is eligible for an award, but has passed a Module(s) that has been
affected by Extenuating Circumstances, the Board may remove affected Credits
from the calculation that determines the classification of that award (Discounting),
provided that a sufficient remedy has not been applied previously. A Board may
discount failed Credit that has been affected by Extenuating Circumstances,
provided the student has achieved sufficient Credit to be eligible for that award.
The Board shall discount Module(s) from this calculation, where it benefits the
student, up to the following limits:
Three-year Undergraduate Degree Programmes (with 240 Credits at Levels 5 and
6)
up to 40 Credits
Three-year Undergraduate Degree Programmes (with 300 Credits at Levels 5 and
6)
up to 50 Credits
Four-year Undergraduate Degree Programmes (with 240 taught Credits at Levels 5
and 6 – and a further 120 Credits from a Year of Experiential / Placement Learning)
up to 40 Credits
Four-year Integrated Master’s Degree Programmes (with 360 Credits at Levels 5, 6
and 7)
up to 60 Credits
Five-year Integrated Master’s Degree Programmes (with 360 taught Credits at
Levels 5, 6 and 7; and a further 120 Credits from a Year of Experiential / Placement
Learning)
up to 60 Credits
One-year Undergraduate Programmes (with 120 Credits e.g. Graduate Diplomas,
Intercalated awards)
up to 20 Credits
Postgraduate Diploma (with 120 Credits at Levels 6 and 7)
up to 20 Credits
Postgraduate Certificate (with 60 Credits at Levels 6 and 7)
up to 10 Credits
Postgraduate Master's Degree Programmes (with 120 taught Credits at Levels 6
and 7, and a 60 Credit dissertation)
up to 20 Credits
Discounting shall not apply to unclassified awards (e.g. Certificate of Higher
Education, Diploma of Higher Education).
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Application to Awards and Progress Committee to vary the Discounting
permitted
A Head of School (or nominee) may make an application to the Awards and
Progress Committee to vary the amount of Credit that can be discounted from the
final award calculation. In such cases, a written application that outlines the
reasons for this request should be submitted to the Student Cases Service. It is
anticipated that in order to maintain academic standards, these applications should
be made in exceptional cases only. When students have a high proportion of
Modules affected by Extenuating Circumstances, the normal advice to the student
should be to take an Interruption of Study until the issue has been resolved and
they can focus on their studies again. An exceptional case where it may not be
possible for the student to take a break from study could be experienced in the case
of terminal illness. Such a case could then be put forward by the Head of School for
consideration by the Awards and Progress Committee.
Regulations (Remedies available to Examining Boards In Non-Modular Taught
Programmes)
11.6.9 At Examining Boards:
The Board shall, in the case of failed Assessment(s), offer the student the
opportunity to resit the Assessment(s) as a first attempt (or second/third
attempt as appropriate where the student has failed previously) at the next
occasion on which the Assessment(s) is scheduled to take place.
Guidance
Where possible (i.e. unless professional body regulations state otherwise), the
processes adopted by non-modular programmes to manage Extenuating
Circumstances should reflect the Regulations used in modular programmes, as set
out above. These should normally include:
Provision for all students to resit Assessments that are likely to have been
affected by Extenuating Circumstances that have not been passed;
Provision for students to resit Assessments where their performance has
likely been affected by Extenuating Circumstances, and where the
Extenuating Circumstances are related to a Protected Characteristic as
defined by the Equality Act 2010;
Provision for students whose performance was likely to have been affected
by Extenuating Circumstances to carry marks forward where the student
has passed that Assessment; and
Provision for marks affected by Extenuating Circumstances to be taken out
of the calculations used to classify awards.
Full details of the rules adopted by non-modular programmes to manage the
outcomes of students who are likely to have had their performance affected by
Extenuating Circumstances must be made available to students through
programme handbooks.
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Module results at a Progression Examining Board
Progression Examining Boards operate to make recommendations on the progression of students between
levels, stages or years of study. When a Board receives reports from Extenuating Circumstances Groups of a
student whose performance was affected by Extenuating Circumstances, the Board shall take action as outlined
below. Progression Examining Boards shall NOT normally take any other actions, and must NOT discuss the
nature of any student’s circumstances, or amend marks. Further advice is available from Student Cases in
Registry, via tel. extension 76628 or 79429.
Extenuating Circumstances
Group reports that a student’s
academic performance has
likely been affected by
Extenuating Circumstances
Student passes the Module
and passes all Module
assessment components
impacted by Extenuating
Circumstances
Student passes the Module
but has failed/been absent
from Module assessment
components impacted by
Extenuating Circumstances
Student passes the Module,
but has had Extenuating
Circumstances related to
their Protected
Characteristic
Student fails the Module
Student has been granted an
adjustment (in coursework
or a practical assessment)
Consult with student
Student is awarded
Credit, mark is carried
forward to the Final
Examining Board
Student is permitted to
resit affected assessment
component(s)
Take no further action
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Module results at a Final Examining Board
Final Examining Boards operate to make recommendations on final Awards and, where appropriate, their
classification. When a Board receives a reports from an Extenuating Circumstances Group of a student whose
performance was affected by Extenuating Circumstances, the Board shall take action as outlined below. Given
many students wish to complete their studies now and graduate with their cohort, where appropriate, students
should be consulted to ascertain whether they wish to receive the award they are eligible for, or resit affected
assessments that are parts of modules they have not received Credit for. Boards shall NOT normally take any
other actions than those indicated below, and must NOT discuss the nature of any student’s circumstances, or
amend marks. Further advice is available from Student Cases in Registry, via tel. extension 76628 or 79429.
Extenuating Circumstances
Group reports that a
student’s academic
performance has likely been
affected by Extenuating
Circumstances
Student passes the
Module and passes all
Module assessment
components affected by
Extenuating
Circumstances
Student passes the
Module but has not
passed a assessment
components affected by
Extenuating
Circumstances
Student passes the
Module, but has had
Extenuating
Circumstances related to
their Protected
Characteristic
Student fails the Module
but has sufficient credit
for award
Student has been
granted an extension (in
coursework or a practical
assessment)
Consult with
student
Student is awarded
Credit, mark is carried
forward to classification
stage
Student is permitted to
resit affected assessment
component(s)
Take no further action
Where eligible, student
can opt to receive the
credit and award
Student fails the Module
and does not have
sufficient credit for
award
Student is permitted to
resit affected assessment
component(s)
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Student has achieved
sufficient credit for their
award but has passed
Modules that have been
impacted by
Extenuating
Circumstances, (which
were not remedied
previously by an
extension).
Examining Board
does not feel that the
Discounting (up to
the prescribed limit)
is sufficient remedy
Discounting the
affected Modules
would NOT benefit
the student’s final
mark
Apply to the
Awards and
Progress
Committee for
variation in
discounting limit
Degree is
classified on the
marks achieved
Award classification at the Final Examining Board
Discounting the
affected Modules up
to 1/6 of the credit
that contributes to
the final award
would benefit the
student’s final mark
Discount the
affected Modules
from the award
calculation (up to
the prescribed
limits)
To determine a student’s award classification, Final Examining Boards may remove affected
credits from the calculation that determines the classification of the award (Discounting). This
should only be undertaken where it benefits the student’s final mark. Discounting shall be
undertaken only up to the limits prescribed in Regulations. In rare and exceptional cases,
Examining Boards may apply to the Awards and Progress Committee for variation in the
prescribed limits. Boards shall NOT normally take any other actions than those indicated
below, and must NOT discuss the nature of any student’s circumstances, or amend marks.
Further advice is available from Student Cases in Registry, via tel. extension 76628 or 79429.
Further information and advice on the Extenuating Circumstances procedure is
available from the Student Cases Section in Registry (tel. ext. 76628).
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12. Examining Boards
12.1 Functions of Examining Boards
Principles
Examining Boards have responsibility for confirming marks and for making
recommendations on the progression and awards of students; in addition,
they have responsibility for monitoring the quality and standards of these
awards.
Regulations
12.1.1 Examining Boards shall:
.1 confirm marks and progression decisions and make recommendations
on awards to the University Awards and Progress Committee; and
.2 monitor the quality and standards of relevant awards and make
recommendations relating to the enhancement of quality and
standards to Boards of Studies and School Education Committees (or
equivalent) as appropriate.
Guidance
Progress and Awards
In all Programmes, unless an exception has been approved by ASQC, schools will
use SIMS to record the marks achieved by students in assessments. This will allow
progression and award decisions to be arrived at and to allow recommendations for
awards to be presented to the Awards and Progress Committee and to be reported
to students.
Schools not using SIMS to manage assessments will import the final marks
achieved by individual students into SIMS to allow recommendations for awards to
be managed as above.
Quality and Standards
Examining Boards have a key role in the management of quality and standards in
the University. It is an important role not least because it is one of the few
occasions when externality, through the involvement of the External Examiners, is
brought to these processes.
Examining Boards will identify ways through which quality and standards can be
enhanced. Boards shall record this information and identify the relevant bodies
within schools to which recommendations will be passed.
The decision as to whether recommendations should be referred to a Board of
Studies and/or the School Education Committee (or equivalent) will depend on the
nature of the issue raised and the remit of the relevant bodies within that school.
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Thus, it may be appropriate for matters related to the assessment of an individual
module to be considered by the Board of Studies, whereas comments on the nature
of feedback that students have received might be more appropriately referred to the
School Education Committee.
12.2 Structure and Timing of Examining Boards
Principles
Examining Boards shall meet to monitor and confirm student performance in
both individual Modules (or Units of Study) and across Programmes.
Examining Boards shall consider the quality of provision and the standards
of awards across modules, years and programmes.
Examining Boards shall normally meet to consider student progression at the
end of each academic year.
Examining Boards shall meet to confirm the progression of students who
have taken a Year of Experiential and/or Professional Learning in advance,
where possible, of the start of the next academic year, and if not, as soon as
the marks become available.
Regulations
12.2.1 Examining Boards shall consider the performance of each student in
accordance with Senate Regulations.
12.2.2 The performance of each student shall be considered in two stages, initially
on a Module-by-Module or Unit of Study-by Unit of Study basis and
subsequently by looking at the overall performance for each year or Stage.
12.2.3 Examining Boards shall be established by Heads of School on the advice
of School Boards, in accordance with one of the following structures:
Unitary Structure
Programme Examining Board: A Programme Examining Board is wholly
responsible for one or more Programmes without reference to a Subject
Examining Board. Programme Examining Boards shall, where appropriate:
.1 consider any defects or irregularities in the conduct of Examinations,
.2 determine, in accordance with section 11, the action to be taken for a
student who has Extenuating Circumstances;
.3 confirm marks for each student for individual Modules or Units of
Study;
.4 confirm whether each student has passed or failed each Module or
Unit of Study;
.5 confirm the opportunities, if any, for the retrieval of failed Modules or
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Units of Study;
.6 confirm whether or not a student is permitted to progress to the next
year or academic stage of the Programme;
.7 confirm whether or not a student will be eligible for any exit-point
award for the Programme, should he/she subsequently withdraw or
otherwise fail to complete the Programme;
.8 confirm whether or not a student shall be awarded the designated
award for the Programme;
.9 confirm, where appropriate, the classification for each student.
Two-Tier Structure
Subject Examining Board: A Subject Examining Board is a Sub-Board
which is responsible for one or more Modules or Units of Study and which
makes recommendations to a Composite Examining Board. Subject
Examining Boards shall make recommendations, in writing, to the
Composite Examining Board on:
.1 the marks to be awarded for each student for each Module or Unit of
Study;
.2 any defects or irregularities in the conduct of Examinations.
Composite Examining Board: A Composite Examining Board is
responsible for one or more Programmes and receives recommendations
from more than one Subject Examining Board. Composite Examining
Boards shall, where appropriate:
.1 consider any defects or irregularities in the conduct of Examinations,
and the recommendations of the Subject Examining Board thereon, if
any;
.2 determine, in accordance with section 11, the action to be taken for a
student who has Extenuating Circumstances;
.3 confirm marks for each student for individual Modules or Units of
Study;
.4 confirm whether a student has passed or failed each Module or Unit of
Study;
.5 confirm the opportunities, if any, for the retrieval of failed Modules or
Units of Study;
.6 confirm whether or not a student is permitted to progress to the next
year or academic stage of the Programme;
.7 confirm whether or not a student will be eligible for any exit-point
award for the Programme, should he/she subsequently withdraw or
otherwise fail to complete the Programme;
.8 confirm whether or not a student shall be awarded the designated
award for the Programme;
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.9 confirm, where appropriate the classification for each student.
12.2.4 Autumn and Spring Semester Exam Boards. Heads of Schools, on the
advice of School Boards, shall decide whether Programme or Subject
Examining Boards for modular Programmes shall be held to consider the
performance of students in each Module completed during the course of
the Autumn Semester and to confirm the Module Mark(s) and result(s).
12.2.5 Students shall be informed by the Head of School, or nominee, at the
beginning of the session, whether Programme, Subject or Composite
Examining Boards are to be held to consider the performance of students
in each Module completed during the course of the Autumn Semester and
to confirm the Module Mark(s) and result(s).
12.2.6 All Programme and Composite Examining Boards shall meet to consider
either:
.1 the performance of students in each Module or Unit of Study for which
the Assessment has been completed during the course of the Spring
Semester, and confirm the Module Mark(s) and result(s), if an
Examining Board has previously been held in accordance with 12.2.4;
or
.2 the performance of students in each Module or Unit of Study for which
the Assessment has been completed during the course of the
Session, and confirm the Module or Unit of Study Mark(s) and
result(s), if no Examining Board has previously been held in
accordance with 12.2.4.
12.2.7 All Programme, Subject and Composite Examining Boards which hold
Assessments during the Resit Examination Period, or between the Spring
Examination Period and the Resit Examination Period, shall meet following
the Resit Examination Period and before the commencement of the
following Session.
12.2.8 The Rules of Debate for Examining Boards shall accord with those
articulated in Standing Orders Governing The Court, The Council, The
Senate and Committees of Cardiff University.
Guidance
Examining Board Structures
Schools shall operate single and/or two-tier structures and will need to agree which
model best meets their individual needs. This choice will be influenced by whether
schools have modules that contribute to one or to multiple programmes. The above
Regulations provide flexibility in this area, so that schools can continue to use the
structures they have, over time, developed. Where a two-tier structure is in
operation, it is important that Subject Boards provide the relevant marks to the
Programme Board as soon as these are agreed. Whatever structures are operated,
schools must notify students of these through handbooks.
Timing of Examining Boards
In determining whether Boards shall be held to consider the performance of
students in modules completed during the course of the Autumn Semester (see
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12.2.4 above), Heads of School and Chairs of Boards are invited to note that these
Boards are normally held separately from the Board held to consider Modules
completed during the Spring Semester.
Holding Autumn Semester Boards carries the risk that the marks for a module may
not be able to be moderated (should the distribution of marks prove to be out of line
with other modules). Where it is permitted or required, students who fail modules in
the Autumn semester may also find it more difficult to retrieve these modules in the
Spring Semester, given that they will be taking these modules in addition to those
scheduled in the Spring Semester. Resit opportunities should only be available
after an Examining Board has confirmed marks.
Year of Experiential and/or Professional Learning
While it is recognised that it can be difficult for Boards to convene and consider
such provision to meet in advance of the start of the next academic session,
schools should seek to hold such Boards as soon as they can, and should seek to
ensure that students are made aware when these Boards will meet and how the
progression of students who take a Year of Experiential and/or Professional
Learning will be managed. Boards must seek to enter marks into SIMS as soon as
they become available.
12.3 Membership of Examining Boards
Principles
Examining Boards shall be chaired by a senior member of the academic staff
appointed by the relevant Head of School.
External Examiners shall normally attend final Examining Boards, and shall
consider student performance in all of the Modules or Units of Study that
contribute to the final award.
Examining Boards shall include staff nominated to confirm marks and to
monitor the quality and standards of the individual Modules/Units of Study
being considered by that Board.
The support of Examining Boards shall be undertaken by a named Convenor
who shall be a member of University staff.
Examining Boards shall be quorate and able to make recommendations when
the Chair is satisfied that an appropriate spokesperson for each Module or
Unit of Study is present.
Regulations
12.3.1 The membership of Examining Boards shall include:
.1 the Chair of the Examining Board;
.2 the Internal Examiner(s);
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.3 the External Examiner(s) - where a Module or Unit of Study
contributing to the final assessment is considered.
.4 the Chair of the Extenuating Circumstances Group or nominee.
12.3.2 The Chair of a Programme or Subject Examining Board shall be the
Head of School, or nominee. The Head of School shall inform the students
at the beginning of the session of the name of the Chair of the Programme
or Subject Examining Board. Where practicable, the Head of School shall
inform students of any subsequent change of Chair. In the absence of
Chair from a meeting, the Board shall appoint a deputy, where possible
from amongst the senior staff present at the meeting.
12.3.3 The Chair of a Composite Examining Board shall be a Head of School
or other senior member of the academic staff. The Chair shall be
designated by the Heads of Schools of the Schools responsible for the
suite of single and/or joint degree programmes under the aegis of the
Board.
12.3.4 Internal Examiners shall be appointed by the Head of School on the
advice of the School Board and shall include a spokesperson for each
Module/Unit of Study.
All Internal Examiners shall be expected to attend all meetings of the
Examining Board unless their absence has been authorised by the Chair of
the Examining Board.
12.3.5 External Examiners: The eligibility of persons for appointment as
External Examiners and the procedure for the appointment of External
Examiners shall be in accordance with section 13.
12.3.6 Advisory Members: The Chair of an Examining Board may invite
appropriate persons to attend a meeting of an Examining Board in an
advisory capacity. Such persons shall possess no voting rights.
12.3.7 Quorum: The quorum for Examining Boards shall be when the Chair is
satisfied that an appropriate spokesperson(s) for each Module/Unit of
Study is/are present.
Guidance
Examining Board Chairs
Schools should ensure that students are informed of the names of Examining Board
Chairs through handbooks.
Internal Examiners
Heads of School shall appoint module leaders or individual members of staff who
can appropriately represent individual modules as Internal Examiners. While
Schools should not seek to exclude academic staff from attending Boards, it should
be recognised that the main roles of Boards, as set out in 12.4 below, do not require
all teaching staff to be in attendance.
Academic staff that have not been appointed as Internal Examiners may wish to
attend relevant Boards as Advisory Members and should get the agreement of the
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Chair for this prior to their attendance.
The membership of Composite Examining Boards held across different schools
(e.g. the Composite Board that deals with joint honours programmes in the
humanities) shall be determined by the Chair of the Composite Board in conjunction
with the relevant schools.
External Examiners
While External Examiners are required to attend meetings of Examining Boards at
which award classifications are determined, they have an involvement in monitoring
the standards of Programmes on a regular basis. Schools may invite External
Examiners to attend non-final meetings of the Examining Board but there is no
requirement for them to attend. Schools should ensure that External Examiners are
apprised fully of the role that they are expected to play at different points (see
section 13).
In taught Master’s Programmes, the Chair of an Examining Board should discuss
with External Examiners whether it will be preferable for them to attend at the end of
the taught stage, after dissertations have been submitted, or at both points.
Advisory members
In addition to the attendance of relevant academic members of staff, Chairs of
Examining Boards may wish to invite other staff involved in the delivery of
Programmes to Examining Boards and to request that relevant members of
Registry attend to help support and advise Boards.
Joint-Honours Programmes
Where joint-honours Programmes that operate across more than one school, the
Heads of those schools shall identify and appoint a Chair to a Composite Board.
The Chair shall determine the membership of the Composite Board, ensuring that
all of the academic elements that are considered by that Board are represented
appropriately.
12.4 Operation of Examining Boards
Principles
Examining Boards will have appropriate information available to them to
allow them to undertake their roles and responsibilities.
Examining Boards will confirm, but not amend, individual marks.
Schools shall establish Extenuating Circumstances Group(s) to act in
accordance with regulations for Extenuating Circumstances.
Examining Boards shall confirm the action to be taken when students are
determined to have had Extenuating Circumstances.
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Regulations
12.4.1 Examining Boards will use standard University templates and reports to
record and present recommendations to the University Awards and
Progress Committee, Board of Studies and/or School Education Committee
as appropriate.
12.4.2 Examining Boards will determine the action to be taken when students are
considered to have had Extenuating Circumstances, in accordance with the
relevant Regulations.
12.4.3 Chairs of Examining Boards shall be responsible for:
.1 scheduling Examining Board meetings (taking into account deadlines
specified by the Academic Registrar and the date of related
Examining Boards) and notifying members of the date and time of
meetings;
.2 chairing meetings of the Examining Board;
.3 authorising the absence of member(s) from meetings and, in the event
of the absence of any Internal or External Examiners, taking whatever
action is felt desirable to complete the business of the meeting;
.4 signing any result schedules and mark schedules which are confirmed
at meetings of the Examining Board;
.5 in a matter of urgency, or when it seems to the Chair to be desirable,
acting on behalf of the Examining Board.
Following a meeting of the Examining Board, Chairs of Examining
Boards may act executively, subject to the appropriate consultation, in
the following circumstances:
i. to correct an error or omission on the result schedule approved
at the meeting of the Examining Board;
ii. to correct an error or omission in the Module or Unit of Study
result(s) and subsequent progression;
iii. to recommend an amendment to a final award where the
correction of the mathematical calculation brings about a
change to the award and/or its classification.
Save as indicated in i, ii and iii above, Chairs of Examining Boards
may not act executively:
iv. to recommend an award or change its classification; or
v. to require a student to withdraw.
The Chair shall report any action taken to the Board at its next
meeting;
.6 taking such action as may be required in respect of procedures for:
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- the maintenance of student anonymity;
- the management of Extenuating Circumstances (see section
11);
- the disclosure of Examination marks;
- the Unfair Practice Procedure;
- the Academic Appeals Procedure;
- the retention of confirmed Module or Unit of Study marks for a
minimum period of ten years from the date of the meeting at
which the marks were confirmed.
.7 ensuring that all marks have been recorded and are readily available
to the Examining Board;
.8 ensuring that formal Minutes of the meeting of the Examining Board
are taken, and retained for a minimum period of ten years.
Guidance
Duties and Responsibilities of Examining Board Members
Examining Board members shall seek to support the Chair in undertaking the duties
set out in these Regulations. Board members should also seek to support External
Examiners in undertaking their role and to engage constructively with discussions in
matters related to quality and standards, particularly when this focuses on Modules
that an individual member of staff has responsibility for.
Using Management Information and Reports to Support the Operation of
Boards
To support their work, Examining Boards that utilise SIMS to manage assessment
will be provided with reports that detail:
The distribution of Final Marks achieved by students on the Programme in
that session;
The distribution of classified awards in that Programme in the last three
years;
The number of students who have taken a particular Module;
The highest, lowest, mean, median and standard deviation of Module Marks
over the last three years;
For each of the students who has taken each module:
- Programme Code
- Student number
- Student name
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- The attempt number
- The marks achieved in assessment components
- The Module Mark
- The Module result
- An indication of any Extenuating Circumstances;
Result schedules (for both Final Award and Continuing Students). These will
be available with or without student names and will be able to be ordered by
rank or student family name. Students who have not completed a full year of
study (withdrawals and interruptions of study) will be shown separately at the
bottom of the report.
Conduct of Meetings
Boards should first consider the performance of individual students in accordance
with 12.2.3 above. The available template should be used to record the minutes of
the Board. In undertaking this role, Boards should seek to follow the guidance
contained in the Examining Board Processing Manual issued annually by Registry.
Schools should ensure that students are aware that Examining Boards are not able
to amend the marks achieved by individual students, and should seek to develop
secure and reliable processes that will enable Examining Boards to operate
anonymously. Operating Boards anonymously will help re-assure students of the
probity of the assessment process.
Boards should then review the overall results and the performance of students in
the light of the Management Information provided above and the comments of the
External Examiner(s) and members of the Examining Board.
Using the University Templates
Examining Boards (and relevant Sub-Groups) should use the University templates
provided for:
- recording the minutes of Extenuating Circumstances Groups;
- reporting the Outcomes of the Extenuating Circumstances Groups to
relevant Examining Boards; and
- recording the minutes of Examining Boards.
Minutes and outcomes should be recorded formally, noting only decisions and
factual details and without reference to particular members of the Board or
Extenuating Circumstances Groups.
Support for Examining Boards
Heads of School(s) shall appoint an Examining Board Convenor to support the
operation and administration of Board(s) and to help Chair(s) ensure that the
responsibilities listed in 12.4.3 above are undertaken, Examining Board Convenors
also have responsibility for:
- co-ordinating the preparation of Examination question papers for
submission to the Superintendent of Examinations by the specified
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deadline for printing, ensuring, where applicable, that question papers
are submitted for the prior approval of the External Examiners;
- making arrangements for the collection of worked Examination scripts
from the Examination Venue at the end of an Examination or,
alternatively, from the Superintendent.
Convenors may also serve as Examinations Liaison Officers and provide further
support for the organisation of Examinations as appropriate.
12.5 Consideration of Specific Provision and Extenuating Circumstances
Principles
Schools shall establish Extenuating Circumstances Group(s) to act in
accordance with Regulations for Extenuating Circumstances.
Examining Boards shall confirm the action to be taken when students are
determined to have had Extenuating Circumstances.
Examining Boards (and any Groups thereof) shall follow the relevant
Principles, Regulations and Guidance set out in Senate Assessment
Regulations.
Regulations
12.5.1 Programme or Subject Examining Boards shall:
.1 receive a record of all students who have submitted applications for
Specific Provision and record whether Specific Provision was
approved; (see also section 9);
.2 consider Extenuating Circumstances in accordance with the relevant
section of Senate Assessment Regulations; (see also section 11);
.3 receive a record of those students permitted a Supplementary
Assessment or an extension to the submission date of Coursework;
(see also section 11).
Guidance
Schools must consider Specific Provision and Extenuating Circumstances in
accordance with the relevant section in Senate Assessment Regulations.
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12.6 Declaration of Personal Interest
Principle
Staff shall inform their Head of School of any personal interest relating to a
student at the earliest opportunity to allow appropriate arrangements to be
put in place to protect the probity of the Assessment.
Regulations
12.6.1 Members of staff are required to inform their Head of School of any
personal interest relating to a student at the earliest opportunity. Where a
member of staff has informed the Head of School of a personal interest
relating to a student, the Head of School, having consulted the
Superintendent, shall as he/she deems appropriate:
.1 put in place arrangements to ensure that the member of staff is not
responsible for the setting of Examination question papers to be taken
by the student or the marking of any of the student's Assessments,
and shall advise the Superintendent of the measures taken;
.2 inform the Chair of the Examining Board of the member of staff's
interest relating to the student and that he/she should be required to
withdraw from the meeting of the Examining Board when the student's
case is discussed;
.3 instruct the Chair of the Examining Board to ensure that a declaration
of interest, and withdrawal of the member of staff from the Examining
Board, shall be recorded in the Minutes of the meeting of the
Examining Board.
13. EXTERNAL EXAMINERS
13.1 APPOINTMENT
13.1.1 One or more External Examiners shall be appointed for each Programme
and Subject Examining Board which considers Modules or Units of Study
contributing towards the final award. The number of External Examiners to
be appointed shall be determined by the nature and size of the Programme
and subject to approval by the Academic Standards and Quality Committee.
An External Examiner may be appointed for one or more Programme or
Subject Examining Board(s). The budget available for the payment of
External Examiners and their expenses shall be approved by the Senate
and the University Council. The appointments of External Examiners shall
be made within the limits imposed by the budget.
The Academic Registrar will remind Heads of Schools no less than three
months in advance of the expiry of the term of office of an External
Examiner such that Heads can invite action to seek a replacement.
The nomination form for External Examiners, both new and replacement,
shall be as determined by Senate.
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Senate has delegated authority for the approval of nominations to the
Academic Standards and Quality Committee.
Nominations for both new and replacement External Examiners should be
submitted by the appropriate Head of School for consideration by the
Academic Standards and Quality Committee no later than the first meeting
of the session in which the appointment is to be made.
The Academic Registrar will send a letter of appointment to each External
Examiner following approval of the nomination by the Academic Standards
and Quality Committee and will inform the Head of School when the
appointment has been accepted by the External Examiner.
13.1.2 The Academic Standards and Quality Committee applies the following set of
criteria (adapted from the QAA’s UK Quality Code for Higher Education) for
appointing External Examiners and makes every effort to ensure that
External Examiners are competent to undertake their responsibilities. The
criteria are used to ensure that potential conflicts of interest are identified
and resolved prior to appointing External Examiners or as soon as they
arise.
The Academic Standards and Quality Committee may, on the
recommendation of a Head of School, approve legitimate cases for making
an appointment that does not fulfil all criteria.
Person Specification – nominees shall normally satisfy the following criteria:
.1 be at Senior Lecturer level or above (or at an appropriate level of
seniority in the relevant profession);
.2 demonstrate knowledge and understanding of UK-agreed reference
points for the maintenance of academic standards and assurance and
enhancement of quality;
.3 competence and experience in the fields covered by the Programme,
or parts thereof, in the design and operation of a variety of assessment
tasks appropriate to the subject and in the operation of assessment
procedures;
.4 possess relevant academic and/or professional qualifications to at least
the level of the qualification being externally examined, and/or
extensive practitioner experience where appropriate;
.5 be of sufficient standing, credibility and breadth of experience within
the discipline to be able to command the respect of academic peers
and, where appropriate, professional peers;
.6 be familiar with the standard to be expected of students to achieve the
award that is to be assessed;
.7 possess fluency in English and/or Welsh as appropriate to the
Programme, and where Programmes are delivered and/or assessed in
other languages, fluency in the relevant language(s) (unless other
secure arrangements are in place to ensure that External Examiners
are provided with the information to make their judgements);
.8 meet any applicable criteria set by professional, statutory or regulatory
bodies, where appropriate;
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.9 have an awareness of current developments in the design and delivery
of relevant curricula;
.10 have competence and experience relating to the enhancement of the
student learning experience.
Where External Examiners from outside higher education institutions are
nominated, and where there are no other External Examiners from within
higher education institutions as members of the relevant Examining Board, it
will be necessary to demonstrate, when nominating, that such persons have
relevant experience to meet the above criteria.
Conflicts of Interest – nominees should not fall into the following categories
or circumstances:
.11 a member of the University Court, Council or Senate or of any
committee of the University or of one of its collaborative partners, or a
current employee of the University or one of its collaborative partners;
.12 anyone with a close professional, contractual or personal relationship
with a member of staff or student involved with the Programme;
.13 anyone required to assess colleagues who are recruited as students to
the Programme;
.14 anyone who is, or knows they will be, in a position to influence
significantly the future of students on the Programme;
.15 anyone significantly involved in recent or current substantive
collaborative research activities with a member of staff closely involved
in the delivery, management or assessment of the Programme or
modules in question;
.16 former staff or students of the University unless a period of five years
has elapsed and all students taught by or with the External Examiner
have completed their Programme(s);
.17 a reciprocal arrangement involving cognate Programmes at another
institution;
.18 the succession of an External Examiner by a colleague from the
Examiner’s home department and institution;
.19 the appointment of more than one External Examiner from the same
department of the same institution.
Terms of Office
.20 The duration of an External Examiner’s appointment will normally be
for four years, with an exceptional extension of one year to ensure
continuity. Extensions shall be approved by the Academic Standards
and Quality Committee on the nomination of the Head of School.
.21 An External Examiner may be reappointed, in exceptional
circumstances but only after a period of five years or more has elapsed
since their last appointment.
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.22 External Examiners shall normally hold no more than two External
Examiner appointments for taught programmes/modules at any point in
time.
13.1.3 The appointment of an External Examiner may, in exceptional
circumstances, be terminated during the period of the appointment by the
Academic Standards and Quality Committee following consultation with the
Head of School. This may occur under the following circumstances:
where it is perceived that the External Examiner has not fulfilled his/her
duties and responsibilities associated with the post;
following the discontinuation of, or non-recruitment to, the Programme;
where a conflict of interest arises which cannot be satisfactorily
resolved.
The Academic Standards and Quality Committee shall take appropriate
action to resolve conflicts of interest.
13.1.4 An External Examiner may resign by writing to the Academic Registrar,
giving a reasonable period of notice to allow the University to identify and
appoint a suitable replacement.
13.2 ROLE AND DUTIES OF EXTERNAL EXAMINERS
External Examiners are regarded as full and equal members of Examining
Boards whose key role is to provide advice and guidance, and to give an
external perspective to the Board. While External Examiners do not have a
right of veto on Board decisions, Examining Boards should pay careful
attention to any recommendations made by them.
With regard to the Programme, External Examiners shall:
13.2.1 ensure that the Assessment process is valid, reliable and explicit and be
expected to provide informative comment and recommendations upon
whether or not:
the University is maintaining the threshold academic standards set for
its awards in accordance with the frameworks for higher education
qualifications and applicable subject benchmark statements;
the assessment process measures student achievement rigorously and
fairly against the intended outcomes of the Programmes(s) and is
conducted in line with Senate Regulations and related policies and
guidance;
the academic standards and the achievements of students are
comparable with those in other UK higher education institutions of
which the External Examiners have experience.
[derived from UK Quality Code for Higher Education, Chapter B7: External
Examining]
13.2.2 contribute to the Examining Board’s responsibility to monitor the quality and
standards of relevant awards and to make recommendations relating to the
enhancement of quality and standards to Boards of Studies and School
Education Committees (or equivalent) as appropriate.
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13.2.3 consider, comment on, and approve all Examination papers contributing to
the final award, in the context of the relevant Programme specifications;
13.2.4 consider, comment on, and approve all Class Tests, Practical-Based
Assessments and Coursework elements which contribute 50% or more to
the mark for any Module or Unit of Study assessment contributing to the
final award, in the context of expected outcomes;
13.2.5 be provided with Examination scripts, Class Test scripts, outcome of
Practical-Based Assessments and Coursework to determine that internal
marking and classifications are of an appropriate standard;
(See also Senate Regulations for Taught Master's Degrees – Dissertation
Submission: Modular and Non-Modular Programmes, Section 5 Sampling of
Taught Master's Dissertations by External Examiners);
13.2.6 as appropriate to the Programme participate in clinical and/or Practical-
Based Assessments;
13.2.7 attend meetings of Examining Boards at which Award classifications or
specified elements of them are confirmed;
13.2.8 submit written reports annually;
13.2.9 be consulted by Heads of Schools on changes to the forms of Assessment
for any Module or Unit of Study contributing to the final assessment of an
Award.
In addition:
13.2.10 External Examiners are asked to sign the Examining Board Checklist to
confirm that they have been involved in the work of the Examining Board in
determining the results;
13.2.11 External Examiners' signatures on the Examining Board Checklist shall not
be taken as an endorsement of the standards or the conduct of the
Assessment which are matters for consideration in External Examiners'
reports to the University;
13.2.12 The University deems that, in confirming the academic standards of a final
award in their reports, External Examiners are also deemed to confirm
endorsement of the level and standards of its component parts as
appropriate to the structure of the award;
13.2.13 In completing their reports, External Examiners are asked to endorse the
outcomes of the assessment processes they have been appointed to
scrutinise.
13.2.14 Inappropriate Contact From Students
It is inappropriate for students to initiate direct contact with External
Examiners. Any direct contact received by External Examiners should be
referred to the Academic Registrar. External Examiners should not respond
to any direct contact initiated by students.
13.2.15 Conflicts of Interest
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External Examiners are required to draw the attention of the Academic
Registrar to any possible conflict of interest that might arise during their
appointment.
13.2.16 Serious Concerns
External Examiners have a right to raise any matter of serious concern with
the Vice-Chancellor, if necessary by means of a separate confidential
written report. The University will provide a considered and timely response
to any confidential report received, including details of any action that will be
taken as a result.
Where an External Examiner has a serious concern relating to systemic
failings with the academic standards of a Programme or Programmes and
has exhausted all published internal procedures, including the submission of
a confidential report to the Vice-Chancellor, he/she may invoke QAA’s
concerns scheme or inform any relevant professional, statutory or regulatory
body.
Guidance
Approving Forms of Assessment
Heads of School shall clarify for External Examiners, at the start of the academic
year procedures for approving forms of assessment, Examination papers and
Coursework. Under Senate Assessment Regulations, External Examiners are
required to consider, comment on, and approve all Examination papers, and any
Class Tests, Practical Assessments and Coursework Elements that contribute 50%
or more to the mark for any Module or Unit of Study assessment contributing to the
final Award. It is good practice for schools to provide a response to External
Examiners on any suggested amendments to papers or other Assessments.
In undertaking their duties it is recommended that External Examiners should seek
to ensure that Assessments:
are appropriate to the level of study;
will enable learners to demonstrate achievement of the learning outcomes;
cover the subject content appropriately; and
are accessible and fair, so that all learners have equal opportunity to
demonstrate achievement of the learning outcomes.
Heads of School are required to consult with External Examiners on major changes
to the methods of assessment for any Module or Unit of Study contributing to the
final Award.
Meetings with Students
Senate encourages the provision of opportunities for External Examiners and
students to meet (either in person or by electronic means) to discuss the
programme of study and its assessment. Such meetings may lead to the
identification of possible programme enhancements and provide the External
Examiner with a rounded overview of the quality and standard of the student
experience and enhance the External Examiner’s contribution to the consideration
of such matters by the Examining Board. The annual reports of External Examiners
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often usefully include headline issues raised in such meetings.
The Head of School or Chair of Examining Board is expected to confirm to External
Examiners, at the start of the academic year, the opportunities available to them to
meet with students in the absence of members of staff.
It is anticipated that such meetings should normally include the opportunity to meet
with student representatives in the later stages of the Programme(s) in question.
Such students should be well placed to provide informed views of the overall
student experience.
Except as indicated above, it is inappropriate for students to initiate direct contact
with External Examiners. Any direct contact received by External Examiners should
be referred to the Academic Registrar.
Marking and Moderation
Heads of School are required to put in place procedures to ensure that there is
reliable and consistent moderation of marks. Schools should identify and publicise
the processes and procedures used in this area to students and other relevant
stakeholders. These may include second marking, moderation and other relevant
processes. External Examiners are invited to consider and comment upon
procedures in this area, to ensure the reliability and consistency of marking and
feedback.
External Examiners should be provided with a sample of Examination scripts, Class
Test scripts, outcomes of Practical Assessments and Coursework to determine that
internal marking and classifications are of an appropriate standard. Schools are
encouraged to enter into a dialogue with External Examiners on arrangements for
moderation and sampling. This should begin at the earliest possible opportunity. A
sample will normally include a selection of scripts from the top, middle and bottom
of the range, of borderline candidates, and from those assessed internally as first
class/distinction or fail. Scripts should be provided with the comments of the
internal markers and the overall mark-sheet covering all students.
External Examiners must not be requested to arbitrate and/or ‘third mark’
assessments where two internal markers have arrived at substantially different
marks. Where ‘third marking’ does take place, both of the original marks should be
made available to External Examiners to help illustrate standards.
External Examiners may recommend reconsideration by the Examining Board of
the level of marking across student cohorts or across individual Assessment
components. External Examiners should not be required or invited to make
recommendations on, or change the marks of individual students.
External Examiners should not be involved in marking, except in the case of clinical
and/or Practical-Based Assessments.
Unfair Practice
If External Examiners suspect that an Unfair Practice has taken place, they must
report this to the Chair of the Examining Board, who will invoke the University's
Unfair Practice Procedure. Examining Boards must not consider suspected
cases of plagiarism / unfair practice outside of this Procedure.
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13.3 SUPPORT FOR EXTERNAL EXAMINERS
13.3.1 Upon Appointment
The Registry shall provide External Examiners with:
- the latest External Examiner Handbook;
- details of fees and expenses payable;
- a copy of the predecessor’s last report, where available at the time of
appointment.
The Head of School or nominee shall provide External Examiners with copy
of the Programme Information provided to students registered on the
Programme(s) including:
- Entry Requirements;
- Programme Specification;
- Structure of the Programme;
- Module / Unit of Study Descriptions;
- Rules on Assessment, Progression and Award
and shall confirm the names and contact details of appropriate staff in the
School (including the Head of School, Chair and Secretary of the
Examining Board, Chair of the Board of Studies, Programme Director and
appropriate administrative staff).
The Chair of the Programme or Subject Examining Board shall provide
External Examiners with details of procedures to operate throughout their
term of office including:
- arrangements for the approval of draft Examination papers and other
Assessments;
- opportunities for the External Examiner to visit the School prior to their
first Examining Board to support them in their role;
- opportunities for the External Examiner to meet with students (either in
person or by electronic means) without staff being present
and shall agree the date(s) of Examining Board(s) for the first Session.
13.3.2 After Appointment
The Registry shall annually provide External Examiners with:
- the latest External Examiner Handbook;
- Report Form(s) templates for completion by the External Examiner;
- details of fees and expenses claims.
The Chair of the Programme or Subject Examining Board shall provide
External Examiners with details of:
- any proposed changes to the Assessment of any Module or Unit of
Study contributing to the final Award, for comment;
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- any changes to procedures involving the External Examiner
and shall, for each session, agree the date(s) of Examining Board(s).
Guidance
Induction of External Examiners
On appointment, External Examiners are provided with a copy of the External
Examiner Handbook by Registry. This sets out the roles and duties of External
Examiners and includes details of the documentation issued to External Examiners
by Heads of School. It also lists the responsibilities on Chairs of Examining Boards
to put in place arrangements through which relevant procedures and conventions
can be made available to and agreed with External Examiners.
It is the responsibility of schools and Chairs of Examining Boards to ensure that
External Examiners are adequately prepared to undertake their role. A checklist of
good practice in relation to information and guidance to be provided to External
Examiners is provided by Registry to Heads of School with confirmation of new
appointments.
Schools may hold specific induction events for External Examiners. Further advice
on the range of topics that might be covered through induction events is available
from Registry on request. External Examiners may claim fees and expenses
associated with induction from the University. Further information on this is
available on request from Registry.
External Examiners may request that Chairs of Examining Boards provide
additional information at any time. Senate encourages Schools and External
Examiners to enter into an early, open dialogue on any aspect of the roles and
responsibilities of External Examiners, including the nature of any specific induction
activities.
13.4 MEETING OF THE EXAMINING BOARD
13.4.1 In the case of undergraduate Programmes External Examiner(s) shall be
expected to attend the meeting of the Programme, Subject and Composite
Examining Board where the final award for students is determined. In the
case of taught postgraduate Programmes External Examiner(s) shall be
expected to attend at least one meeting of the Examining Board per year
and the meeting(s) attended should be agreed, in advance, by the External
Examiner and the Chair of the Examining Board.
If an External Examiner cannot or does not attend a meeting, he/she shall
be available for consultation. In such circumstances, the External Examiner
shall dispatch to the Chair of the Programme or Subject Examining Board, in
accordance with his/her directions, all documents necessary for the conduct
of the business of the meeting.
13.4.2 The External Examiner(s) shall be required to sign any result schedules and
mark schedules which are determined at the meetings of the Examining
Board(s) in accordance with 13.2.10 and 13.2.11 above.
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Guidance
The key role of External Examiners in the Assessment process is to assure that
standards are being maintained. External Examiners also need to ensure that
Assessment is valid and reliable. Views on the above are made available to the
University through the report forms that External Examiners are required to
complete.
External Examiners must be notified of the dates on which Examining Boards meet
well in advance of the meeting. External Examiners should seek to make every
effort to attend meetings of the Examining Board. As specified in Senate
Regulations, External Examiners are full and equal members of the Examining
Board, but do not have the power of veto over the decisions made by the Board.
As specified in Senate Regulations, External Examiners are asked to sign the
Examining Board Checklist to confirm that they have been involved in the work of
the Examining Board in determining the results. External Examiners' signatures on
the Examining Board Checklist shall not be taken as an endorsement of the
standards or the conduct of the Assessment which are matters for consideration in
External Examiners' reports to the University.
13.5 REPORTS
13.5.1 External Examiners shall be required at the end of each Session to submit a
written report. No payment of fee or expenses shall be made until the report
is received from the External Examiner.
Guidance
External Examiners are required to submit an External Examiner's Report to the
University on an annual basis. It is the normal expectation that:
Reports on undergraduate Programmes should be made as soon as
possible following the meeting of the final Examining Board;
Reports on taught and, where applicable, Master's Degree stages of
Postgraduate taught Programmes should be submitted following the
meeting of the Stage Examining Board;
The form of the Report shall be as determined by Senate. The University requires
External Examiners to report on:
whether the standards set are appropriate for its awards, or award
elements, by reference to published national benchmarks and by reference
to the University's programme specifications and other relevant information;
the standards of student performance in those Programmes or parts of
Programmes which they have been appointed to examine, and on the
comparability of the standards with those of similar Programmes or parts of
Programmes in other UK higher education institutions;
the extent to which its processes for Assessment, Examination, and the
determination of Awards are sound and have been fairly conducted.
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A Report shall be provided by the External Examiner for each Programme
examined except where programmes are closely related, where a composite Report
may be accepted.
External Examiners' reports are received by the Cardiff University Registry on
behalf of the Vice-Chancellor. The Vice-Chancellor has delegated responsibility for
responding to External Examiners' Reports to the Academic Registrar. Upon
receipt of an External Examiner's Report, the Academic Registrar shall identify any
issues which, in the Academic Registrar's view, require an Institutional Response.
The Academic Registrar shall send such reports and details of issues to which an
Institutional Response are required to:
the appropriate Head/Dean of School,
the appropriate Chair of the Examining Board; and/or
the appropriate Chair of the Board of Studies, or equivalent; and/or
the appropriate member(s) of the School's senior administrative staff.
The School shall send a copy of the report to the relevant Professional, Statutory or
Regulatory Body where this is a requirement of that PSRB.
Where the Report contains comment on the teaching or learning process in the
Programme the Head/Dean of School shall make a copy available to the Chair of
the School Teaching Committee, or equivalent body.
Where the Academic Registrar identifies no issues within an External Examiner's
Report which require an Institutional Response informed by the School, the
Academic Registrar shall issue an Institutional Response to the External Examiner
without delay or further input from the School. The Academic Registrar shall send a
copy of the Institutional Response and a copy of the Report to the Head of School.
Reports of External Examiners shall be considered by the relevant Board of Studies
and form part of Cardiff University procedures for Annual Review and
Enhancement. External Examiner Reports and Institutional Responses will be made
publically available online and, for this reason, External Examiners should not
identify in their reports individual students or members of staff.
It shall be the responsibility of the Head of School to advise the Academic Registrar
of such action as it is intended to take on those issues identified in the Report in the
form of a draft Institutional Response. Draft Institutional Responses provided to
REGIS by persons other than the Head/Dean of School shall be considered to bear
the authority of the Head/Dean of School.
On the basis of the draft Institutional Response, and subject to any further liaison
with the School concerned, the Academic Registrar shall issue an Institutional
Response. The Academic Registrar shall issue a copy of the Institutional Response
to the Head of School.
The Academic Registrar shall report annually to the University Academic Standards
and Quality Committee on:
the operation of procedures for the treatment of External Examiner reports;
the compliance of Schools with the requirements of these procedures;
generic issues of concern and noteworthy practice identified in External
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Examiner Reports.
The Vice-Chancellor and/or Academic Registrar may refer any issue raised in an
External Examiner's Report for the consideration of the ASQC or other appropriate
committee for its consideration. The Vice-Chancellor may also request an
immediate response to an External Examiner's Report from the Head/Dean of the
relevant School.
14. RESULTS, TRANSCRIPTS AND DISCLOSURE OF MARKS
14.1 RESULTS
14.1.1 Modular programmes
The Academic Registrar shall inform students in writing of decisions taken
by the Examining Board(s) in respect of Module marks, Module results,
progression, award and classification as appropriate.
14.1.2 Non-modular Programmes
The Academic Registrar shall inform students in writing of decisions taken
by the Examining Board(s) in respect of progression, award and
classification as appropriate.
14.1.3 Re-registration Fees
The Academic Registrar shall inform students in writing of any Re-
registration Fees payable by candidates required to be re-assessed in one
or more Module(s) or Unit(s) of Study.
14.2 TRANSCRIPTS
14.2.1 Each student shall receive a transcript in accordance with the Senate
Regulations governing the Programme. The transcript shall provide the
student with the confirmed Module/Unit of Study marks.
14.2.2 The transcript will be issued by the Academic Registrar in an approved form.
14.2.3 No fee will be charged for the issue of the transcript. A fee, approved by the
University Council, will be charged for a replacement.
14.3 DISCLOSURE OF MARKS
14.3.1 The Head of School shall issue confirmed Module Marks to students only in
respect of Assessments completed at the end of the Autumn Semester.
14.3.2 The Academic Registrar shall issue confirmed marks following the end of
the Spring Semester and following the Resit Examination Period.
14.3.3 No fee shall be charged for the disclosure of marks.
14.3.4 If no Programme or Composite Examining Board is held separately to the
Examining Board held to consider Modules completed during the Spring
Semester, to consider the performance of students in each Module
completed during the course of the Autumn Semester, the Head of School
responsible for the Module shall issue students with the provisional mark for
each Module awarded by the Internal Examiner(s). The release of the
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provisional Module mark awarded by the Internal Examiner(s) shall be
accompanied by a written statement that the marks concerned are
provisional and subject to confirmation by the appropriate Examining Board.
In confirming the marks of each student, the Examining Board shall have the
right to amend any such provisional mark.
Senate Guidelines: Examinations Scheduling
1. The criteria for scheduling Examinations shall be applied uniformly to all
students and all Schools.
2. Students should not be expected to sit more than one 3-hour written
Examination or two 2-hour Examinations per day.
3. If there is no accommodation constraint, students should not expect to sit
more than twelve hours of Examinations in any one week and final year
students should not expect to sit more than nine hours of Examinations in
any four days.
4. The duration of Examinations in an Examination Venue should be the same
in each Examination session.
The above are guidelines and not a set of rules which are inviolable. It may be
necessary to depart from the guidelines in certain circumstances either in respect of
individuals or groups of students.
Senate Guidelines: Invigilators
APPOINTMENT
A minimum of two invigilators shall be appointed for an Examination Venue,
comprising a Senior Invigilator and Invigilator.
The ratio of invigilators to students in an Examination Venue shall be no less than 1
invigilator for every 50 students.
DUTIES OF THE SENIOR INVIGILATOR
A Senior Invigilator shall be responsible for the maintenance of order and the
conduct of the Examination(s) in an Examination Venue in accordance with guidance
issued by the Superintendent. In particular, a Senior Invigilator shall be responsible
for ensuring that:
1. prior to the start of an Examination, all Examination papers are placed with
the appropriate Examination stationery on the correct desks;
2. prior to the start of an Examination, the seating arrangements within the
Examination Venue are placed on the appropriate notice boards outside the
Examination Venue;
3. immediately prior to the start of an Examination, students are instructed of
the procedures to be operated within the Examination Venue in accordance
with the instructions issued by the Superintendent;
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4. no unauthorised person is allowed to enter the Examination Venue prior to,
during, or immediately following an Examination;
5. attendance slips are collected and attendance registers are marked during
the course of an Examination;
6. no student leaves the Examination Venue until a lapse of sixty minutes from
the commencement of an Examination;
7. a record is kept of all students who leave the Examination temporarily and of
the time and duration involved;
8. no student may be permitted to enter an Examination Venue forty-five
minutes or more after the commencement of an Examination;
9. no extra time may be given to any student arriving late for an Examination;
10. all invigilators maintain constant supervision over students prior to, and
during, an Examination and ensure that any student leaving an Examination
unattended is not re-admitted to the Examination Venue;
11. the Unfair Practice Procedure is followed if any student is suspected of
unfair practice and that such cases are reported to the Superintendent;
12. the students are informed when there are thirty minutes of Examination time
remaining, and that after this time no student is permitted to leave the
Examination venue unless authorised by the Senior Invigilator;
13. the invigilators collect all Examination scripts, and that the number of scripts
collected corresponds exactly with the number of students sitting the
Examination;
14. if Examination scripts are not collected by Convenors of Examining Boards
following an Examination, the Examination scripts are delivered to the
Superintendent in accordance with the instructions issued by the
Superintendent;
15. all incidents which may have affected the performance of one or more
students are reported to the Superintendent.
DUTIES OF INVIGILATORS
Invigilators are responsible for assisting the Senior Invigilator under his/her direction.
In particular invigilators shall:
1. assist with the distribution of Examination question papers, answer books
and other stationery in accordance with the seating arrangements and
instructions on the Examination question papers;
2. ensure that all bags and coats are left either outside the Examination venue,
or at a place allocated for this purpose within the Examination venue, and
check that no student has any unauthorised materials on his/her desk and
where appropriate, check any stationery or equipment on a student's desk;
3. after the start of the Examination, collect students' completed attendance
slips and check students' identification in accordance with these
Regulations;
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4. remove all Examination stationery and Examination question papers from
those desks remaining unoccupied thirty minutes after the start of an
Examination;
5. maintain a constant supervision over all students;
6. ensure that the Unfair Practice Procedure is followed if any student is
suspected of unfair practice and inform the Senior Invigilator of all such
cases;
7. report to the Senior Invigilator all incidents which may have affected the
performance of one or more students;
8. at the end of the Examination, collect the Examination scripts as directed by
the Senior Invigilator and ensure that no student leaves the Examination
Venue until permitted by the Senior Invigilator;
9. ensure that no Examination stationery other than Examination question
papers are removed by students from the Examination Venue.
Unfair Practice Procedure
DEFINITIONS
Unfair Practice Co-ordinator – The Unfair Practice Co-ordinator (UPC) must be an
experienced member of the academic staff (other than a Chair of an Examining
Board) who has been nominated to co-ordinate matters related to suspected unfair
practice in coursework within a School. The UPC is responsible for arranging the
initial meeting within the School, for completing the record from this meeting, and for
sending this note to the student(s) and the relevant Chair of the Examining Board.
Heads of School may appoint more than one UPC.
Formative assessment – For the purpose of this Procedure, formative assessment is
defined as assessments that DO NOT count towards Module Marks, Unit of Study
Marks, the award of Credit, and/or progression.
Summative assessment - For the purpose of this Procedure, summative assessment
is defined as assessments that DO count towards Module Marks, Unit of Study
Marks, the award of Credit, and/or progression.
1. APPLICATION
The Unfair Practice Procedure applies to all students undertaking
examinations and assessments, excluding research degree candidates.
This Procedure should be read in conjunction with the Cardiff University
Senate Regulations.
2. DEFINITION
2.1 Unfair Practice is defined generally as any act whereby a person might
obtain for him/herself or for another, an unpermitted advantage or a higher
mark or grade than his/her abilities would otherwise secure. This Procedure
applies to all forms of assessment. Unfair Practice can take one or more of
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a number of forms in relation to non-examination and examination
conditions, including:
2.1.1 Plagiarism: this is using the words or ideas of others without acknowledging
them as such and submitting them for assessment as though they were
one's own work. 'Words or ideas', includes figures, diagrams, mathematics
formulae, and computer programs. These can be plagiarised in a number of
ways, which include:
.1 use of any quotation(s) from textbooks, articles, the Web, or in any
other format, which have not been clearly identified as such by being
placed in quotation marks and correctly referenced in accordance with
the citation and referencing conventions used within particular subject
disciplines.
.2 work that has been slightly changed or paraphrased in a way that
makes it look different from the original.
.3 summary of words or ideas without reference to these in the text and
the source(s) in the bibliography.
.4 use of services of essay banks and/or any other external agencies;
2.1.2 Collusion: this takes place when work that has been undertaken by or with
others is submitted and passed off as solely the work of one person. This
also applies where the work of one student is submitted in the name of
another. Where this is done with the knowledge of the originator both
parties can be considered to be at fault.
2.1.3 Self plagiarism: the reproduction and presentation for assessment of work
that was previously submitted for another assessment. This includes both
work submitted for assessment on the student's current programme of
study, and work previously submitted as part of another programme of study
(within or without the University).
2.1.4 Examination misconduct:
.1 the introduction of any unauthorised source of information into any
examination room and/or associated facilities;
.2 copying from or communication with any person in an examination
room and/or associated facilities, except as authorised by an invigilator;
.3 communication electronically with any other person;
.4 impersonating an examination student or allowing oneself to be
impersonated.
2.1.5 Acting dishonestly in any way, including:
.1 fabrication of data;
.2 making false claims to have carried out experiments, observations,
interviews or any other form of research;
.3 presenting evidence of extenuating circumstances that is falsified.
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2.1.6 The forms detailed above are not exhaustive and other cases may fall within
the general definition of unfair practice.
3. GUIDANCE ON UNFAIR PRACTICE
3.1 Academic Schools must provide written advice and guidance to students on
the avoidance of plagiarism and other forms of unfair practice. This must
include examples of the referencing and citation conventions used within
particular subject disciplines. This information must be provided to students
as part of the induction process and reinforced throughout the Programme,
particularly at the time of assessments.
4. PLAGIARISM AND COLLUSION IN COURSEWORK –FORMATIVE
ASSESSMENT
Where incidences of plagiarism and collusion in formative assessments
occur, an emphasis should be placed on the support and training of
students, to ensure they both understand the nature of academic practice,
and the reasons for this. It is however recognised that many academic
schools are increasingly opting to include a summative element in
assessments that are predominantly formative in nature. It is also custom
and practice in some subject areas for evidence of plagiarism or collusion in
formative assessments to be utilised by Examining Boards. It is for these
reasons the University has adopted the procedure set out below. Using the
procedure will help ensure fairness and consistency of approach.
4.1 HOW CASES ARE HANDLED
Cases of possible unfair practice in a formative piece of coursework shall be
considered within schools internally via the Chair of the Examining Board.
4.2 ACTION TO BE TAKEN
If a member of staff identifies a possible unfair practice in a formative
assessment s/he must bring it to the attention of the student(s), and provide
the student(s) with an opportunity to respond to the concern raised (either
orally or in writing).
4.3 The member of staff shall complete a brief record, which records the nature
of the concern and the student's response. This record shall then be
passed to the Chair of the relevant Examining Board.
4.4 ACTION TO BE TAKEN BY THE CHAIR OF THE EXAMINING BOARD
The Chair of the Examining Board shall consider this record, and may:
4.4.1 dismiss the concern; or
4.4.2 if s/he finds that the student did commit an unfair practice, require the
student to undertake study skills training.
When a student is found to have committed an unfair practice in a formative
assessment, a note may be placed on the student's record. In making this
decision, the Chair of the Examining Board shall take into account the
factors listed in 5.2 below. This note shall remain on the student's record
throughout their period of study. Students must be informed that such
records will be kept.
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4.5 ACTION THAT MAY BE TAKEN BY THE EXAMINING BOARD
The record may be used by the Examining Board when it determines the
results for the module, but only:
4.5.1 where the Examining Board has determined that unfair practice is a
discretionary factor to be considered by the Examining Board, and
4.5.2 where the Chair of the Examining Board determines that it is appropriate to
do so.
5. UNFAIR PRACTICE IN COURSEWORK – SUMMATIVE ASSESSMENT
5.1 HOW CASES ARE HANDLED
Cases of possible unfair practice in a summative piece of coursework may
be dealt with in one of two ways:
5.1.1 internally via the Chair of the Examining Board; or
5.1.2 via the University Committee of Enquiry.
5.2 The decision as to whether to follow 5.1.1 or 5.1.2 rests with the Chair of the
Examining Board in consultation, if it is thought appropriate, with the
Superintendent of Examinations. The decision shall depend on the
circumstances of the individual case. Factors to be taken into account
include:
5.2.1 the extent and nature of the alleged unfair practice;
5.2.2 whether the student has previously been found guilty of an unfair practice in
a summative assessment, in which case the allegation should normally be
referred to the University Committee of Enquiry;
5.2.3 whether any offences in formative assessments are noted on the student's
record;
5.2.4 the level of study.
5.3 ACTION TO BE TAKEN
If a member of staff identifies a possible unfair practice in a summative
assessment, s/he must report the allegation to the Unfair Practice Co-
ordinator. The report must contain a) a summary of the allegation, and b)
the documentary evidence on which the allegation is based.
5.4 On receipt of the report (see 5.3), the Unfair Practice Co-ordinator must
write to the student inviting them to attend a meeting with the member of
staff and Unfair Practice Co-ordinator. This invitation must include the
summary of the allegation. The student must then either:
5.4.1 reply to the invitation confirming their attendance at this meeting; or
5.4.2 reply to the invitation confirming their non-attendance at this meeting.
Within this reply, the student may submit their own written response to the
allegation. Whether or not the student replies to this invitation, the meeting
shall normally be held within ten working days of the date of the invitation.
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5.5 The meeting between the Unfair Practice Co-ordinator and the member of
staff shall be held with or without the student present. The student may be
accompanied, but only by a member of the Students' Union Council, who
shall have observer status.
5.6 The sole purpose of the meeting is to establish the facts relevant to the
allegation. The Unfair Practice Co-ordinator must complete a note of this
meeting, which will then be forwarded to the Chair of the relevant Examining
Board, together with the documentary evidence. A copy of the completed
note must also be sent to the student. Students who dispute this note may
submit their own written statement to the Chair of the Examining Board
within five working days of the date on which the note is sent to the student.
5.7 At the end of this period, the Chair shall consider the allegation, the
documentary evidence, and any statement submitted by the student. If the
Chair thinks fit, s/he may meet the student(s), the member of staff, and the
Unfair Practice Co-ordinator. Students may be accompanied, but only by a
member of the Student's Union Council, who shall have observer status.
5.8 On the basis of this consideration, the Chair shall decide, on the balance of
probabilities whether an unfair practice has occurred, and complete the
Case Record accordingly.
If the Chair is satisfied that no unfair practice has occurred:
5.8.1 the Chair shall dismiss the case; and
5.8.2 send a copy of the completed Case Record to the student and to the
Superintendent of Examinations in Registry. No record of this allegation
shall be placed on the student's file.
If the Chair is satisfied that an unfair practice has occurred, s/he may:
5.8.3 take no further action, or
5.8.4 advise the student to undertake study skills training (as appropriate), and to
warn the student of the possible consequences of any future unfair practice
allegations, or
5.8.5 require the student to undertake study skills training (as appropriate) and to
set the mark for the assessment to zero, or
5.8.6 refer the case to the University Committee of Enquiry, where the offence is
considered serious, or if the student has previously committed an unfair
practice.
The Chair must send a copy of the completed Case Record to the student.
A letter must be sent to accompany this Record setting out:
5.8.7 the reasons for the decision made;
5.8.8 the process of review as detailed in paragraph 5.14 below;
5.8.9 the possibility that the Examining Board may decide not to offer him/her an
opportunity to resubmit the assessment concerned.
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The Case Record and letter should be sent to the student in writing via
recorded delivery. A copy of these documents must be sent to the
Superintendent of Examinations in Registry.
5.9 The Chair of the Examining Board shall determine the nature of the study
skills training.
5.10 When a student is found to have committed an unfair practice in a
summative assessment, a note must be placed on the student's record.
This note must remain on the student's record throughout their period of
study. If a further allegation of unfair practice in a summative assessment is
made against a student with such a note on their record, the case shall
normally be referred to the University Committee of Enquiry.
5.11 Where an allegation of unfair practice has been substantiated, further
individual action may be taken in relation to the Fitness to Practise
Procedure.
5.12 No documentation relating to the allegation or the associated investigations
shall be retained on the student's record, if it is determined that no unfair
practice has taken place.
5.13 REFERRAL TO UNIVERSITY COMMITTEE OF ENQUIRY
If the Chair decides to refer the case to the University Committee of Enquiry,
s/he must forward details to the Superintendent of Examinations. The
procedure set out below at paragraph 7 will then operate.
5.14 REVIEW OF A DECISION BY THE CHAIR OF THE EXAMINING BOARD
A student may request a review of the decision of the Chair of the
Examining Board to impose a penalty under paragraphs 5.8.4 or 5.8.5. The
request must be made to the Superintendent of Examinations, and may only
be made on the following grounds:
5.14.1 procedural irregularities;
5.14.2 exceptional circumstances not brought to the attention of the Chair of the
Examining Board which can be shown to be relevant to the unfair practice.
In appeals based on these grounds, the appellant must show good reason
why such extenuating circumstances were not made known to the Chair of
the Examining Board;
5.14.3 that the decision taken by the Chair of the Examining Board was
unreasonable or could not be sustained by the facts of the case.
The Superintendent of Examinations may also dismiss the request without a
hearing if the request discloses no evidence supporting the ground(s) on
which it is made, or if it is frivolous or vexatious.
5.15 Any request for a review of the decision of the Chair of the Examining Board
must be sent in writing and must be received within ten working days of the
date on which the letter informing the student of the Chair's decision was
sent.
5.16 The University Committee of Enquiry shall conduct the review.
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5.17 The review may lead to a more or less severe penalty being imposed, if the
Committee is satisfied that the original penalty was inappropriate to the
gravity of the unfair practice.
5.18 A student may appeal the University Committee of Enquiry's decision, as set
out in paragraph 16 below.
5.19 EXAMINING BOARD ACTION
The further action to be taken by the Examining Board once a decision has
been taken, either by the Chair of the Examining Board or by the Vice
Chancellor or his/her nominee, is set out in paragraph 14 below.
6. UNFAIR PRACTICE IN A FORMAL EXAMINATION
6.1 UNFAIR PRACTICE IN AN EXAMINATION VENUE OR CLASS TEST
An invigilator who considers, or suspects, that a student is engaging in an
unfair practice must inform such a student, preferably in the presence of a
witness, that the circumstances will be reported to the Superintendent of
Examinations in Registry. The student shall be allowed to continue the
examination and any subsequent examinations without prejudice to any
decision which may be taken. Failure to so inform such a student will not
prejudice subsequent proceedings. Where appropriate, the invigilator will
confiscate and retain evidence relating to any alleged unfair practice. The
Senior Invigilator in the examination must report the circumstance in writing
to the Superintendent of Examinations. The Superintendent must forward
copies of correspondence to the Chair of the relevant Examining Board.
In the case of an unseen written test, which contributes to the final result,
and is conducted within the School, the invigilator must report the allegation
to the Chair of the Examining Board in the first instance. The Chair must
report the case to the Superintendent of Examinations.
6.2 SUSPECTED UNFAIR PRACTICE DETECTED DURING OR
SUBSEQUENT TO THE MARKING PERIOD
An Internal or External Examiner who, whether in the course of the marking
period or subsequently, considers or suspects that a student has engaged in
an unfair practice, must report the matter in writing to the Chair of the
relevant Examining Board as soon as possible. The Chair must retain a
copy of any relevant evidence and must report the matter in writing to the
Superintendent of Examinations in Registry, and submit relevant sources of
evidence. The further action of the Superintendent is set out in paragraph 7
below.
7. ACTION TO BE TAKEN BY SUPERINTENDENT OF EXAMINATIONS
7.1 On receipt of a report concerning an allegation of unfair practice, the
Superintendent of Examinations must determine whether a prima facie case
has been established on the evidence provided. If satisfied that such a case
exists, the Superintendent will arrange for a meeting of the University
Committee of Enquiry to be convened, normally within 6 working weeks of
the allegation being communicated to the student.
7.2 If it is determined that the case will not be referred to the University
Committee of Enquiry, no further action against the student will be taken.
No documentation relating to the allegation and the associated
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investigations will be retained on the student's file. The Superintendent of
Examinations or Chair of Examining Board, as appropriate, must inform the
student in writing that the matter is closed.
8. UNIVERSITY COMMITTEE OF ENQUIRY - COMPOSITION
8.1 The University must establish a Standing Panel of Enquiry for the purpose
of investigating allegations of unfair practice. The Panel will consist of
members of Academic Staff of the University chosen by the Academic
Registrar.
8.2 Each Committee of Enquiry must consist of three members from the
Standing Panel. One of these members will be designated as Chair of the
Committee of Enquiry. The members of the Committee must not be
involved in cases from their own academic School.
8.3 The Academic Registrar or nominee shall act as Secretary to the Committee
of Enquiry.
9. PRIOR TO THE COMMITTEE OF ENQUIRY
9.1 As soon as reasonably practicable after the appointment of the Committee
of Enquiry, the Secretary must confirm the following in writing to the student
by recorded delivery:
9.1.1 the allegation to be considered by the Committee of Enquiry;
9.1.2 copies of statements of witnesses and of documents to be placed before the
Committee of Enquiry;
9.1.3 the date, place and time for the Committee of Enquiry;
9.1.4 that the student has the right to be represented or accompanied, to hear all
the evidence, to call and question witnesses and to submit other evidence,
including a written statement.
9.2 The Secretary must notify the Superintendent, members of the Committee of
Enquiry and the Chair of the Examining Board of the date, place and time of
the meeting and supply them with copies of the allegation and of any
statements or documents.
9.3 A student must provide the Secretary with copies of any witness statements
or other relevant documents, and will inform the Secretary:
9.3.1 whether s/he will be attending the Committee of Enquiry;
9.3.2 whether s/he will be accompanied and/or represented, the name of the
person and whether s/he has legal qualifications.
9.4 The Superintendent of Examinations may also obtain legal representation if
appropriate. The Committee of Enquiry may also obtain legal advice.
9.5 Where a student does not attend the Committee of Enquiry, and provided
that all reasonable means have been taken to contact the student, the
meeting may proceed in his/her absence.
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10. FUNCTIONS OF THE COMMITTEE OF ENQUIRY
10.1 The functions of the Committee of Enquiry are:
10.1.1 to consider the evidence submitted to it on the allegation of unfair practice;
10.1.2 to determine whether the allegation has been substantiated;
10.1.3 to determine, in appropriate cases, the penalty that should be imposed.
11. PROCEDURE DURING THE MEETING
11.1 In cases where two or more students are accused of connected offences,
such as in an allegation of collusion, the Committee of Enquiry may deal
with the cases together. However, each student must be given the
opportunity to request that the cases be heard separately. The decision on
whether separate hearings will be allowed rests with the Chair of the
Committee of Enquiry.
11.2 The Superintendent or his/her nominee (who may be a member of the
relevant Examining Board) will present the case against the student, calling
such witnesses and presenting such evidence as the Superintendent or
nominee thinks fit. The Superintendent or nominee may question both the
student and witnesses. The student may question the witnesses called by
the Superintendent.
11.3 The Superintendent will invite the Unfair Practice Co-ordinator or any other
member of the relevant Examining Board to be present throughout the
hearing. The Chair may invite contributions from that person.
11.4 The student or, if applicable, his or her representative, will have the right to
call and question witnesses and to submit other evidence. The Chair may
invite contributions from the person representing the student.
11.5 When the submission of evidence and the questioning of witnesses are
completed, all persons, other than the members of the Committee and its
secretariat, must withdraw.
11.6 The Committee of Enquiry must then consider whether the allegation has
been substantiated. It is not necessary to prove that the unfair practice was
a wilful or deliberate act.
11.7 The Committee of Enquiry must not normally be informed, before reaching
its verdict on the allegation under consideration, of any evidence of
previously substantiated allegations of unfair practice; the Committee should
be so informed by the Secretary before determining the penalty.
11.8 If the case has been substantiated, the Committee must then consider the
penalty to be imposed.
11.9 When a case has been substantiated, a note must be placed on the
student's record. This note shall remain on the student's record throughout
their period of study. If a further allegation of unfair practice in a summative
assessment is made against a student with such a note on their record, the
case must automatically be referred to the University Committee of Enquiry.
11.10 The decision of the Committee of Enquiry must be confirmed to the student
as part of the proceedings.
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12. PENALTIES AVAILABLE TO THE COMMITTEE OF ENQUIRY
12.1 The Committee of Enquiry may apply one or any combination of the
following penalties:
12.1.1 The issue of a formal reprimand.
12.1.2 The requirement that the student undertake appropriate study skills training,
to be determined in liaison with the Chair of the Examining Board.
12.1.3 The cancellation of the student's marks for all or part of the examination
paper or other assessment component in question.
12.1.4 The cancellation of the student's marks for the whole Module/Unit of Study
concerned.
12.1.5 The cancellation of the student's marks in all of the Modules/Units of Study
for the particular year of study.
12.1.6 Recommendation to the Vice-Chancellor that the student's progress be
postponed for one academic year.
12.1.7 The reduction of the degree result by one class or the non-award of a
distinction, as appropriate.
12.1.8 Recommendation to the Vice-Chancellor that the student be disqualified
from any future examinations.
13. ACTION TO BE TAKEN FOLLOWING THE COMMITTEE OF ENQUIRY
13.1 The decision of the Committee of Enquiry and the reasons for this decision
must be confirmed in writing by the Academic Registrar or nominee to:
13.1.1 the student: if the finding of the Enquiry is that the allegation has been
substantiated the student shall be informed of the findings, the penalty
imposed, and the possibility of the Examining Board not allowing
resubmission/resit as soon as possible;
13.1.2 the Chair of the Examining Board concerned.
13.2 The Academic Registrar, or nominee, must further inform the student of
his/her rights of appeal within ten days of the date on which the letter
informing the student of the Committee's decision was sent. Details of the
appeals procedure are shown at paragraph 16 below.
13.3 The further action to be taken by the Examining Board following a decision
of the Committee of Enquiry is detailed at paragraph 14 below.
13.4 Where the Committee of Enquiry considers that the unfair practice raises
concerns that would fall under the remit of any other University disciplinary
procedure then they must refer the matter to the appropriate Head of
School/Directorate for consideration under those procedures.
13.5 If it is determined that no unfair practice has taken place, no documentation
relating to the allegation and the associated investigations may be retained
on the student's file.
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14. ACTION BY THE EXAMINING BOARD
14.1 Where an allegation of unfair practice has been substantiated, the
Examining Board concerned must determine the student's overall
examination result in the light of the penalty imposed either by the Chair of
the Examining Board or by the Committee of Enquiry. Chairs of Examining
Boards and the University Committee of Enquiry must provide information to
Examining Boards on the circumstances of individual cases to enable
Examining Boards to make an informed decision on whether students may
be allowed to resubmit. The Examining Board may decide that a student is
not allowed to resit examinations/assessments on which they have been
found guilty of unfair practice.
15. EXAMINATION RESULTS
15.1 The Academic Registrar, or nominee, in consultation with the Chair of the
Examining Board, must arrange for the publication of such supplementary
results as may be necessary.
15.2 If a case of alleged unfair practice is under investigation at the time of the
meeting of the relevant Examining Board, the Board must defer
consideration of the student's work until a decision has been made on the
case.
15.3 An Examining Board may cancel a result previously issued and issue a
supplementary result should a case of unfair practice arise subsequently to
the issue of the original result.
16. APPEALS AGAINST THE DECISION OF A COMMITTEE OF ENQUIRY
16.1 A student found guilty of unfair practice in a Cardiff University examination
or other summative assessment may lodge an appeal only on grounds of:
16.1.1 irregularities in the conduct of the unfair practice procedure;
16.1.2 extenuating circumstances not brought to the attention of the Committee of
Enquiry which can be shown to be relevant to the unfair practice. In appeals
based on these grounds, the appellant must show good reason why such
extenuating circumstances were not made known to the Committee of
Enquiry before, or at, its meeting.
16.2 Details of the process of Appeal are given in paragraph 17 below.
17. APPEALS BY STUDENTS FOUND GUILTY OF UNFAIR PRACTICE
17.1 Any appeal against a decision of a Committee of Enquiry will be sent in
writing to the Vice-Chancellor and must reach him/her within 10 days of the
date on which the letter informing the student of the Committee's decision
was sent.
17.2 The Vice-Chancellor may dismiss an appeal that is based wholly on factors
that were known to the Committee of Enquiry when the penalty was
imposed.
17.3 The Vice-Chancellor must refer an appeal (which has not been dismissed
under paragraph 17.2 above) to the University Appeal Board, whose
decision will be final.
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17.4 The University Appeal Board consists of the Vice-Chancellor or his/her
nominee and two members of the Academic Staff chosen by the Vice-
Chancellor. The Academic Registrar or nominee, shall act as Secretary to
the Appeal Board.
17.5 The Appeal Board shall have delegated powers to act on behalf of the
Senate.
17.6 The Appeal Board shall base its decision on the evidence of the appellant's
submission and the testimony of the Chair of the Committee of Enquiry
concerned, together with any further evidence which it considers relevant,
including medical evidence where this is appropriate.
17.7 An appellant will have the right to request a hearing by the Appeal Board
and the Appeal Board will have the discretion whether or not to grant such a
request. If a request to appear in person is granted, the appellant will be
informed by the Academic Registrar, or nominee, in writing by recorded
delivery of the time and date of such a hearing and that s/he may be
accompanied and/or represented. A student who intends to be
accompanied and/or represented is required to inform the Academic
Registrar, or nominee, in writing in advance and must state whether or not
the person accompanying him/her has legal qualifications. The University
may also obtain legal representation. The hearing will be a review of the
Committee's decision and not a rehearing, unless otherwise determined by
the Appeal Board. The Appeal Board will determine its own procedures for
the hearing.
17.8 The Appeal Board shall decide to confirm, vary, or revoke the original
penalty imposed by the Committee of Enquiry.
17.9 The decision of the Appeal Board is final.
17.10 The decision of the Appeal Board and the reasons for this decision must be
conveyed in writing by recorded delivery by the Academic Registrar, or
nominee, to the appellant and to the Chair of the Committee of Enquiry.
17.11 If an appeal is upheld, the Academic Registrar, or nominee, in consultation
with the Chair of the Programme or Composite Examining Board will then
arrange for the issue of such supplementary result as may be necessary.
17.12 If, as a consequence of a successful appeal, a student is regarded as
having qualified for a University award, such a student will be admitted to
his/her award provided all other necessary conditions for his/her admission
have been met.
17.13 The Vice-Chancellor will also have authority to deem a student who has
already been admitted to an award to have been admitted to a different
award if, following a successful appeal, the Programme or Composite
Examining Board decides that the student's award classification will be
amended.
18. AFTER THE DEGREE HAS BEEN AWARDED
18.1 Where the University receives a complaint about the integrity of assessment
after a degree has been awarded in the name of the University, the Head of
the School responsible for the examination of the work in question shall
conduct an investigation.
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18.2 The Head of School shall report his/her findings to the Academic Registrar.
18.3 Where the Head of School has concluded that there is a prima facie case to
be answered, the Academic Registrar will then refer the matter to the
University Awards and Progress Committee.
18.4 Where the Awards and Progress Committee is satisfied that there is good
cause for deprivation of the award, it shall advise the Chair of Senate
accordingly. S/he will recommend to Council that a Panel be established to
hear the recommendation of the Senate.
18.5 The Panel established by Council will hear the recommendation of the
Senate and will receive representation from the person who is the subject of
the recommendation.
18.6 The Panel will determine whether there is good cause for deprivation of the
award and recommend accordingly to the Council.
18.7 The decision of the Council shall be final.
Senate Regulations for the Award of the Degree of PhD
(Doctor of Philosophy)
Senate Regulations for the Award of the Degrees of MD
(Doctor of Medicine)
These Regulations govern the award of doctoral research degrees at Cardiff
University:
PhD (Doctor of Philosophy) - including the MPhil/PhD registration route where the
intended award is PhD, until and unless transfer of candidature to MPhil, when
Senate Regulations for the degree award of MPhil shall apply;
MD (Doctor of Medicine);
1. CRITERIA FOR THE AWARD
1.1 The degree of PhD/MD may be awarded by the University in recognition of
the successful completion of a programme of further study and research, the
results of which are judged to constitute an original contribution to learning
and to give evidence of:
1.1.1 the creation and interpretation of new knowledge, through original research,
of a quality to satisfy peer review, extend the forefront of the discipline and
merit publication;
1.1.2 a systematic acquisition and understanding of a substantial body of
knowledge which is at the forefront of an academic discipline or area of
professional practice;
1.1.3 an ability to relate the results of such study to the general body of
knowledge in the discipline;
1.1.4 the general ability to conceptualise, design and implement a project for the
generation of new knowledge, applications or understanding at the forefront
177
of the discipline, and to adjust the project design in the light of unforeseen
problems;
1.1.5 a detailed understanding of applicable techniques for research and
advanced academic enquiry.
1.2 In respect of the award of MD, the results of the study and research shall be
judged to constitute an original contribution to medical or surgical
knowledge, and shall afford evidence of originality either by the discovery of
new facts or by the exercise of independent critical power. The candidate
shall indicate in what respects the thesis appears to advance clinical
knowledge and/or practice.
1.3 In judging the merit of a thesis submitted in candidature for the degree of
PhD/MD, the examiners shall bear in mind the standard and scope of work
which it is reasonable to expect a capable and diligent student to present
after the period of registered full-time or part-time study.
1.4 The degree of PhD/MD may not be conferred honoris causa under these
Regulations.
2. ENTRY REQUIREMENTS
2.1 An applicant for admission to a programme of research shall be required:
2.1.1 to meet the conditions of the University General Entrance Requirement; and
2.1.2 to meet the particular requirements for the programme of research applied
for.
2.2 A candidate for the degree of MD must have qualified for the degrees of
Bachelor of Medicine and Bachelor of Surgery at least three years prior to
admission.
2.3 Irrespective of a candidate's qualifications, the School concerned must
satisfy itself that a candidate is of the required academic standard to
complete the programme of research proposed.
2.4 The decision as to whether an applicant shall be admitted to the programme
of research proposed shall rest with the relevant Head of School, in
accordance with the University's entry requirements.
2.5 A candidate may formally commence his/her period of research on the first
day of October, January, April or July, subject to the agreement of the Head
of School concerned.
3. VERIFICATION OF QUALIFICATIONS
3.1 An individual verification of the academic or other qualifications obtained
prior to entry may be undertaken, either during the admission process or
following enrolment as a student. As part of this verification,
applicants/students may be required to provide certification to verify their
academic qualifications. The University reserves the right to refuse
admission or apply the Student Disciplinary Procedure if clear and complete
certification for such verification is not provided on request.
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4. METHOD OF CANDIDATURE
4.1 A candidate may qualify for the degree of PhD/MD by pursuing one of the
following methods of study:
4.1.1 by pursuing full-time research at the University;
4.1.2 by pursuing part-time research externally;
4.1.3 by pursuing research as a member of staff
4
.
4.2 A candidate may qualify for the degree of PhD by pursuing full-time research in
an external place of employment approved by the University (see 4.4 below).
4.3 It is possible, in appropriate cases, to transfer from one method of candidature
to another (e.g. from full-time to part-time and vice versa). In such cases the
University will determine a revised minimum registered period of study and will
fix the earliest and latest dates for the submission of the thesis. The revised
registered period of study is calculated by establishing the proportion of full-
time or part-time study a candidate has already completed, then converting the
remaining proportion of study into its part-time or full-time equivalent. The
revised time-limit is calculated on the same basis.
4.4 Where a School proposes to admit a PhD candidate who will pursue full-time
research in an external place of employment, the following written assurances
shall be provided by the employer:
4.4.1 that the candidate will be working on full-time research on a particular,
agreed project;
4.4.2 that the research work shall be undertaken under the direct supervision and
control of a main supervisor nominated by the Head of School (in
accordance with 8.1 below) with specific duties related to the candidature;
such control shall include the right of the supervisor to have access to the
candidate and his/her work at all times in the place of his/her employment.
5. MINIMUM PERIODS OF STUDY
5.1 A candidate must register at the University, pay the appropriate fee
prescribed and pursue the programme of research for the minimum
registered period of study defined below:
In respect of PhD
5.1.1 by pursuing a PhD candidature full-time in the University, or full-time in an
external place of employment, or as a member of staff:
three years, the first year of which shall be regarded as probationary;
5.1.2 by pursuing a PhD part-time external candidature:
five years, the first two years of which shall be regarded as probationary.
4
Staff candidature is restricted to members of staff, holding a contract of salaried
employment equivalent to at least one-third of that of a full-time member in the appropriate
categories of staff.
179
In respect of MD
5.1.3 by pursuing a MD candidature full-time in the University, or full-time in an
external place of employment, or as a member of staff: two years;
5.1.4 by pursuing a MD part-time external candidature: three years.
5.2 Notwithstanding 5.1 above, the Head of School may, at his/her discretion,
require a candidate to pursue research for longer than these minimum
periods
5
.
5.3 A PhD/MD candidate is permitted to submit a thesis no earlier than six
months before the expiry of the registered period approved.
5.4 Notwithstanding 5.1 above, a candidate for PhD may, in exceptional cases
only, be granted exemption from the probationary period where, to the
satisfaction of the Head of School concerned, s/he:
5.4.1 holds a postgraduate Master's degree obtained by research or advanced
study of an approved University which provides sufficient academic
background to permit the completion of the proposed research within the
reduced period; or
5.4.2 has completed a minimum of one year's full-time or two years' part-time
supervised postgraduate work in the same academic discipline as the
proposed programme of research; or
5.4.3 has submitted postgraduate research work of a standard approximate to that
of a Master's degree; or
5.4.4 has had at least one year's relevant experience since graduation.
5.5 Candidates shall be granted exemption from the probationary period in the
case of structured four year training programmes (or their part-time
equivalent) approved for the purpose by the Academic Quality and
Standards Committee.
5.6 Heads of Schools shall be authorised to approve entry with advanced
standing on the basis of one or more periods of pursuance of a programme
of research at an approved university, deemed equivalent by the Head of
School concerned, in lieu of a specified period of the programme of research
at the University. The combined registered periods of further study and
research must equal or exceed the minimum period described in 5.1 above.
5.7 Tuition fees are payable in respect of a candidate's period of study as a
registered student. Heads of School may recommend for fees to be
charged in respect of students who continue to receive supervision and/or
facilities after the expiry of the stipulated period of study.
5
PhD/MD programmes of research may be of longer duration than the minimum stipulated
in Senate Regulations, as will be stated in the offer of admission to the University. In
addition, where circumstances necessitate, a Head of School may require the registered
period to be extended beyond the duration for which the offer of admission was made.
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6. TIME LIMITS
In respect of PhD
6.1 A candidature for PhD shall lapse if a thesis is not submitted, in the form and
manner prescribed by the University, by the following time limit for
completion:
6.1.1 by pursuing a three-year, or longer, full-time registered period of study in the
University, or in an external place of employment:
four years from the beginning of the candidate's period of study;
6.1.2 by pursuing a two-year full-time registered period of study in the University, or
in an external place of employment, being exempt the probationary year:
three years from the beginning of the candidate's period of study;
6.1.3 by pursuing a five-year, or longer, part-time external registered period of
study:
seven years from the beginning of the candidate's period of study;
6.1.4 by pursuing a three-year part-time external registered period of study, being
exempt the probationary period:
five years from the beginning of the candidate's period of study;
6.1.5 by pursuing a three-year, or longer, registered period of study as a member
of staff:
seven years from the beginning of the candidate's period of study;
6.1.6 by pursuing a two-year registered period of study as a member of staff, being
exempt the probationary year:
five years from the beginning of the candidate's period of study.
In respect of MD
6.2 A candidature for MD shall lapse if a thesis is not submitted, in the form and
manner prescribed by the University, by the following time limit for
completion:
6.2.1 by pursuing a registered period of study full-time in the University, or full-time
in an external place of employment: three years from the beginning of the
candidate's period of study;
6.2.2 by pursuing a registered period of study as a part-time external student, or as
a member of staff: five years from the beginning of the candidate's period of
study.
7. INTERRUPTIONS AND EXTENSIONS TO TIME LIMITS
7.1 A registered period of study may be interrupted or a time limit extended by the
University in accordance with the Student Attendance and Engagement
Procedures and/or Extension to Time Limit Procedure – Postgraduate
Research Candidates.
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8. THE APPOINTMENT OF SUPERVISORS
8.1 For each candidature, the Head of School concerned shall appoint at least
one main supervisor who is a member of staff employed in that School and
either:
8.1.1 a member of the academic staff
6
or senior research staff
7
, holding a contract
of employment equivalent to at least 50% of that of an equivalent full-time
member of staff;
8.1.2 a part-time member of the academic/research staff who has formerly
satisfied 8.1.1 above.
8.2 Staff appointed as additional supervisors by the Head of School may be
external to the School concerned or to the University.
9. PERSONAL DEVELOPMENT PLANNING
9.1 Each Head of School shall be responsible for ensuring that all postgraduate
research students are provided with opportunities to participate in a
Personal Development Planning process that meets the minimum
expectations of the University (as defined in the policy framework for the
delivery of Personal Development Planning).
10. PRESENTATION AND SUBMISSION OF THESES
The following regulatory provisions for the presentation and submission of
theses are presented in Senate Regulations for the Presentation and
Submission of Research Degree Theses:
General Requirements
Publication of Work Prior to Submission and its Inclusion in a Thesis
Presentation of Research Degree Theses for Examination
Format for the Presentation of Theses
Additional Materials
Special Provisions Relating to the Creative and Performing Arts
Post-Examination: Deposit of successful Theses in the Digital Repository
Post-Examination: Unsuccessful Outcomes
Ownership and Access.
11. EXAMINATION
11.1 All PhD/MD degree candidates are required to undergo an oral examination.
6
For this purpose, 'academic staff' is defined as professors, readers, senior lecturers and
lecturers of the University.
7
For this purpose, 'senior research staff' is defined as senior research associate grade or
higher.
182
11.2 In the case of candidates re-submitting a thesis for further examination, and
if the Examining Board is satisfied that the re-submitted work meets the
criteria for the award for which the thesis was submitted, the requirement for
a further oral examination may be waived with the agreement of all
members of the Examining Board.
12. ARRANGEMENTS FOR EXAMINATION
12.1 The Head of the School concerned is responsible for the proper
arrangements for the research degree examination.
12.2 The Head of School may delegate the administrative tasks concerning the
submission and examination of a thesis to a senior member of his/her
academic staff who then acts as Convenor of the Examining Board. Where
the Head of School is also the supervisor of the candidate concerned, the
duties of Convenor shall be delegated to a senior member of the academic
staff of the School.
12.3 The Convenor must be satisfied that a prima facie case exists for accepting
the submission and referring the thesis for examination.
12.4 If satisfied that a prima facie case exists for accepting the submission and
referring the thesis for examination, the Convenor of the Examining Board
shall appoint the internal examiner, where appropriate, and shall make
nomination to the Registry of the proposed external examiner(s).
12.5 Determining that a prima facie case exists for accepting the submission shall
in no way prejudice the findings and decision of the Examining Board.
12.6 Where the Convenor is not satisfied that a prima facie case exists for
accepting the submission, the candidate has the right to appeal against this
decision to the Academic Standards and Quality Committee.
13. COMPOSITION OF THE EXAMINING BOARD
13.1 All Examining Boards for PhD/MD degree candidates shall comprise the
following:
13.1.1 a Chair;
13.1.2 an internal examiner, where required (see 13.4 below) appointed by the
Convenor of the Examining Board, in accordance with 15 below;
13.1.3 an external examiner or examiners appointed by the University, in accordance
with 16 below.
13.2 No person may assume more than one of the above roles.
13.3 No person involved in the supervision of the candidate shall act in the capacity
of any of the above roles.
13.4 An Examining Board for a candidate who is, or who has been within the past
three years at the time of submission of the thesis, a member of the academic
staff (at the grade of Lecturer or above) shall be constituted with a second
external examiner in lieu of the internal examiner.
13.5 The Convenor of the Examining Board may appoint other appropriate persons
to act in an advisory capacity. Persons so appointed shall not have the right to
183
vote as members of the Board, but may be invited to attend the oral
examination.
13.6 The Convenor of the Examining Board may invite the supervisor(s) to attend
the oral examination unless the candidate expresses the wish that the
supervisor(s) shall not be present.
13.7 A supervisor attending the oral examination may speak only when invited to do
so by the Chair.
14. APPOINTMENT AND ROLE OF THE CHAIR
14.1 The Convenor shall chair the meeting of the Examining Board or shall appoint
a senior member of the academic staff to chair the meeting.
14.2 The Chair of the Examining Board shall usually be appointed from within the
School concerned, but may, with the approval of the Chair of the Academic
Standards and Quality Committee, be appointed from another School of the
University.
14.3 The Chair of the Examining Board is required to chair the oral examination
and any meeting of the examiners.
14.4 The Chair of the Examining Board shall be independent in the examining
process, and shall be responsible to the Head of School for the conduct of the
examination.
15. APPOINTMENT OF THE INTERNAL EXAMINER
15.1 The internal examiner shall be appointed by the Convenor of the Examining
Board and must be:
15.1.1 a non-probationary member of the academic staff
8
or senior research staff
9
;
or
15.1.2 a person holding an honorary University position of professor, reader, senior
lecturer, lecturer, senior research fellow or research fellow.
15.2 The internal examiner shall usually be appointed from within the School
concerned, but may be appointed from another School of the University.
15.3 The Chair of the Academic Standards and Quality Committee may, on the
special recommendation of the Convenor of the Examining Board
concerned, approve the appointment of a second external examiner in lieu
of an internal examiner.
16. APPOINTMENT OF THE EXTERNAL EXAMINER(S)
16.1 Nomination of the external examiner(s) shall be made in writing by the
Convenor of the Examining Board to the Registry.
8
For this purpose, 'academic staff' is defined as professors, readers, senior lecturers and
lecturers of the University.
9
For this purpose, 'senior research staff' is defined as senior research associate grade or
higher.
184
16.2 The appointment of the external examiner(s) shall be made by the Academic
Standards and Quality Committee.
16.3 The nominated external examiner shall possess specialist knowledge and
expertise in the subject area of the research, and should normally:
16.3.1 be experienced in research and have published;
16.3.2 have experience of the UK research degree examination process, and
particularly for the degree for which the thesis has been submitted;
16.3.3 hold a research degree;
16.3.4 hold/have held appointment within the university system at Senior Lecturer
grade or above (although, in certain cases, it may be appropriate to appoint
from outside the university sector, e.g. a leading industrialist, researcher or
professional practitioner).
16.4 The nominated external examiner shall not have direct professional or
personal knowledge of the candidate, and should not normally:
16.4.1 be a former staff member of the University, unless at least five years have
elapsed since retirement/resignation;
16.4.2 be a former higher degree student of the school concerned, unless at least
five years have elapsed since the date of her/his qualification;
16.4.3 be invited, on a frequent basis, to examine research degrees in the same
school.
16.5 Where all the criteria set down in 16.3 and 16.4 above cannot be met, the
Convenor of the Examining Board may submit a special case for the
consideration of the Chair of the Academic Standards and Quality
Committee.
17. LOCATION OF THE EXAMINATION
17.1 The oral examination shall normally be held at the University. However, the
Chair of the Academic Standards and Quality Committee may, in
exceptional circumstances, permit the oral examination to be held
elsewhere, provided that this is with the unanimous agreement of the Chair,
the examiners and the candidate, and that suitable accommodation and
other arrangements for its conduct have been made.
17.2 The oral examination shall normally be held on a face-to-face basis, with all
concerned present in the same place, at the same time. However, the Chair
of the Academic Standards and Quality Committee may, in exceptional
circumstances, allow for arrangements to be made for the examination to
take place through electronic media. The University will not give approval to
the use of telephone links alone for the purposes of examinations.
17.3 Examination through electronic media shall be in accordance with the
'Procedure and Guidelines for the Conduct of Viva Voce Examinations by
Electronic Means'.
185
18. TIMING OF THE EXAMINATION
18.1 The University expects the oral examination to be held within three months
of the submission of the thesis.
18.2 In exceptional circumstances only, can the oral examination be deferred for
a period exceeding twelve months from the date of submission of the thesis.
19. INFORMATION PROVIDED FOR EXAMINERS
19.1 The Convenor of the Examining Board shall ensure that each examiner is sent
one copy of the thesis.
19.2 The necessary forms and instructions for the conduct of the examination, and
the forms for payment shall be sent to the external examiner(s) by the
Registry.
19.3 The necessary forms and instructions for the conduct of the examination shall
be provided to the internal examiner by the Convenor of the Examining Board.
20 SPECIAL PROVISION
20.1 A candidate requiring special provision for his/her examination shall submit
a written application, supported by documentary evidence, to the Convenor
of the Examining Board.
21 THE REPORTING OF EXTENUATING CIRCUMSTANCES
21.1 A candidate shall provide a statement (supported by documentary evidence
where appropriate) setting out any extenuating circumstances which may
have an effect on his/her performance in the examination to the Convenor of
the Examining Board.
22 BEFORE THE ORAL EXAMINATION
22.1 The examiners shall independently assess the thesis and each prepare a
written report on their reading of the work, and submit these to the Chair of
the Examining Board before the oral examination.
22.2 A candidate's supervisor(s) shall have the right to convey to the Convenor of
the Examining Board any concerns relevant to the candidate's research
project, the resulting thesis or its examination which the supervisor(s)
consider(s) the Board should take into account prior to reaching its decision.
22.2.1 The supervisor(s) shall convey these concerns, in writing, both to the
Convenor and to the candidate as soon as practicable after the presentation
of the thesis.
22.2.2 The Convenor shall invite the candidate to respond to the concerns. The
candidate may submit his/her own written statement within 10 working days
of the date of the note from the Convenor.
22.2.3 The Convenor shall provide any written submission from a candidate's
supervisor(s) and any response by the candidate to the Chair of the
Examining Board before the oral examination. The Examining Board shall
be asked to consider the statements(s) prior to reaching its decision.
186
23. SUSPICION OF UNFAIR PRACTICE
23.1 Suspicion of unfair practice shall be investigated in accordance with the
University's 'Academic Integrity in Research Degree Study' Procedure.
24. PROCEDURES FOR THE CONDUCT OF THE ORAL EXAMINATION
24.1 The oral examination shall be conducted in accordance with the University's
'Procedures for the Conduct of Research Degree Viva Voce examinations'.
25. RECOMMENDATIONS FOR AWARD
25.1 Examining Boards, in recommending a candidate for the degree, shall certify
that the thesis submitted by the candidate substantially covers the
programme of research approved for him/her.
In respect of PhD/MD
25.2 Examining Boards considering PhD/MD submissions may recommend one
of the following options:
Pass – that the candidate be approved for the award of PhD/MD.
Pass Subject to Minor Corrections - that the candidate be approved for
the award of PhD/MD subject to the satisfactory completion of such minor
corrections as may be required by the Examining Board. Such minor
corrections shall be completed within twelve weeks of the Examining Board.
The Examining Board may stipulate that the minor corrections made shall
be scrutinised by either/both examiner(s) prior to the award process being
initiated.
Pass Subject to Corrections and Amendments - that the candidate be
approved for the award of PhD/MD subject to the satisfactory completion of
such corrections and amendments as may be required by the Examining
Board. Such corrections and amendments shall be completed within twelve
weeks of the Examining Board. The Examining Board may stipulate that the
corrections made shall be scrutinised by either/both examiner(s) prior to the
award process being initiated.
Not Approved, Resubmit for PhD/MD - that the candidate be not approved
for the award of PhD/MD but be allowed to modify the thesis and re-submit it
for the award of PhD/MD on one further occasion only, upon payment of a
re-submission fee. The re-submission shall take place within a period not
exceeding one year from the date of the official notification to the candidate
of the outcome of the examination.
Not Approved for PhD/MD, Approved for MPhil - that the candidate be
not approved for the award of PhD/MD, but be approved for the award of
MPhil.
Not Approved for PhD/MD, Approved for MPhil with Minor Corrections
- that the candidate be not approved for the award of PhD/MD, but be
approved for the award of MPhil subject to the completion of such minor
corrections as may be required by the Examining Board. Such minor
corrections shall be completed within twelve weeks of the Examining Board.
The Examining Board may stipulate that the minor corrections made shall
be scrutinised by either/both examiner(s) prior to the award process being
initiated.
187
Not Approved for PhD/MD, Resubmit for MPhil - that the candidate be not
approved for the award of PhD/MD, but be allowed to modify the thesis and
re-submit it for the award of MPhil on one further occasion only, upon
payment of the examination fee. The re-submission shall take place within
a period not exceeding one year from the date of the official notification to
the candidate of the outcome of the examination.
Not Approved - that the candidate be not approved for the award of
PhD/MD and no further submission is permitted.
Successful candidates shall be required to conform to the provisions
of these Regulations covering Format for the Presentation of Theses.
The Head of School or the Convenor of the Examining Board shall
confirm in writing that the student has satisfactorily completed any
amendments and/or corrections and that the thesis has been
presented in a format appropriate for library deposit in accordance
with current requirements prior to the award process being initiated.
26. AFTER THE EXAMINATION
26.1 After completion of the examination, the Convenor shall return the completed
Report and Result form to the Registry. The form will contain the examiners'
reports and the Examining Board's formal recommendation of result. The
formal recommendation of result sheet shall record the exact decision of the
Examining Board and shall be signed by the Chair and the examiners.
26.2 Following receipt of the examiners' reports and the Examining Board's formal
recommendation of result, the Registry shall inform the candidate in writing of
the outcome of the examination.
26.3 Candidates who are not recommended by the Examining Board for the award
of PhD may appeal against the decision reached, in accordance with the
Academic Appeals Procedure.
27. DISAGREEMENT BETWEEN EXAMINERS
27.1 When a recommendation cannot be agreed as the result of a dispute arising
between the examiners, the examination shall be discontinued and the Chair
of the Examining Board shall report the matter to the Chair of the Academic
Standards and Quality Committee, who shall make such arrangements as
are necessary for the resolving of the disagreement.
Senate Regulations for the Award of Doctoral Degrees by
Examination and Thesis (Professional Doctorates)
These regulations govern the award of degrees of Doctoral Degrees by Examination
and Thesis (Professional Doctorates) at Cardiff University as listed as Professional
Doctorates in Senate Regulation for Awards of Cardiff University:
1. CRITERIA FOR THE AWARD
1.1 The degree of Doctor may be awarded in recognition of the successful
completion of
188
- an approved Component of Directed Learning which may include
periods of approved professional, clinical, industrial practice and/or
training; and
- an approved Component of Independent Study and Research
the results of which are judged to constitute an original contribution to learning
and to give evidence of:
1.1.1 the creation and interpretation of new knowledge, through original research,
of a quality to satisfy peer review, extend the forefront of the discipline and
merit publication;
1.1.2 a systematic acquisition and understanding of a substantial body of
knowledge which is at the forefront of an academic discipline or area of
professional practice;
1.1.3 an ability to relate the results of such study to the general body of
knowledge in the discipline;
1.1.4 the general ability to conceptualise, design and implement a project for the
generation of new knowledge, applications or understanding at the forefront
of the discipline, and to adjust the project design in the light of unforeseen
problems;
1.1.5 a detailed understanding of applicable techniques for research and
advanced academic enquiry.
1.2 In judging the merit of a thesis submitted in candidature for the degree of
Doctor, the examiners shall bear in mind the standard and scope of work
which it is reasonable to expect a capable and diligent student to present
after the period of registered study.
1.3 The degree of Doctor may not be conferred honoris causa under these
regulations.
1.4 The examination of the Component of Directed Learning and of the
Component of Independent Study and Research must both be passed in
order to qualify for the award of Doctor.
2. ENTRY REQUIREMENTS
2.1 An applicant for admission to a Programme leading to the Award of a
Doctoral Degree by Examination and Thesis (Professional Doctorate) shall
be required:
2.1.1 to meet the conditions of the University General Entrance Requirement; and
2.1.2 to meet the particular requirements for the Programme applied for, as
specified in the relevant Programme Information.
2.2 Irrespective of a candidate's qualifications, the School concerned must
satisfy itself that a candidate is of the required academic standard to
complete the programme of research proposed.
2.3 The School must also satisfy itself that the candidate is engaged in an
appropriate level of professional activity that provides them with a current
189
and relevant professional context necessary for completion of the
Programme.
2.4 The decision as to whether an applicant shall be admitted to the Programme
shall rest with the relevant Head of School, in accordance with the
University's entry requirements.
2.5 A candidate may formally commence his/her Programme on the first day of
any month, subject to the agreement of the Head of School concerned.
3. VERIFICATION OF QUALIFICATIONS
3.1 An individual verification of the academic or other qualifications obtained
prior to entry may be undertaken, either during the admission process or
following enrolment as a student. As part of this verification,
applicants/students may be required to provide certification to verify their
academic qualifications. The University reserves the right to refuse
admission or apply the Student Disciplinary Procedure if clear and complete
certification for such verification is not provided on request.
4. METHOD OF CANDIDATURE
In respect of: DClinPsy; DEdPsy
4.1 A candidate for DClinPsy or DEdPsy may qualify for the degree by pursuing
the programme of study and research by one of the following methods:
4.1.1 full-time in the University (prior to professional qualification);
4.1.2 part-time externally (after professional qualification).
In respect of: DHS; DNurs; DSW; EdD; DAHP, SPPD
4.2 A candidate may qualify for the degree by pursuing the programme of study
and research by one of the following methods:
4.2.1 full-time in the University;
4.2.2 part-time externally;
4.2.3 as a member of staff
10
.
In respect of EngD
4.3 A candidate may qualify for the degree of EngD by pursuing the programme
of study and research on a full-time basis.
5. MINIMUM PERIODS OF STUDY
5.1 Tuition fees are payable in respect of a candidate's period of study as a
registered student. Heads of School may recommend for fees to be
charged in respect of students who continue to receive supervision and/or
facilities after the expiry of the stipulated period of study.
10
In the case of members of staff, candidature is restricted to members of staff holding a
contract of salaried employment equivalent to at least one-third of that of a full-time
member in the appropriate categories of staff.
190
5.2 A candidate is permitted to submit a thesis no earlier than six months before
the expiry of the registered period approved.
In respect of DClinPsy, DEdPsy, DHS, DNurs, DSW, EdD, DAHP, SPPD
5.3 A candidate for the degree of Doctoral Degree by Examination and Thesis,
with the exception of EngD, must register at the University, pay the
appropriate fee prescribed and pursue the Programme for the minimum
registered period of study defined below, in accordance with specific
Programme requirements.
5.3.1 by pursuing a full-time candidature in the University, or as a member of staff
(where permitted under 4.2 above) - three years;
5.3.2 by pursuing a part-time external candidature - five years.
5.4 Notwithstanding 5.3 above, a candidate may be granted exemption from
certain elements of the Component of Directed Learning, where authorised
by the Head of School concerned, and in no case exceeding one-third of the
Component of Directed Learning.
5.5 Where exemptions have been granted from specified elements of the Component
of Directed Learning, candidatures shall extend over no less than the
minimum period specified below, in accordance with specific Programme
requirements:
5.5.1 by pursuing a full-time candidature in the University, or as a member of staff
(where permitted under 4.2 above) - two years;
5.5.2 by pursuing a part-time external candidature - three years.
In respect of EngD
5.6 All registered periods of study for the degree of EngD shall extend over a
period of four years, the first year of which shall be regarded as
probationary.
5.7 Notwithstanding 5.6 above, the Head of School may, at his/her discretion,
require a candidate to pursue research for longer than the minimum
period
11
.
5.8 A candidate is permitted to submit a thesis no earlier than six months before
the expiry of the registered period approved.
5.9 Notwithstanding 5.6 above, a candidate may, in exceptional cases only, be
granted exemption from the probationary period where, on the
recommendation of the EngD Programme Director and to the satisfaction of
the Head of School concerned, s/he:
5.9.1 holds a postgraduate Master's degree obtained by research or advanced
study of an approved university which provides sufficient academic
11
EngD programmes may be of longer duration than the minimum stipulated in Senate
Regulations, as will be stated in the offer of admission to the University. In addition, where
circumstances necessitate, a Head of School may require the registered period to be
extended beyond the duration for which the offer of admission was made.
191
background to permit the completion of the proposed research within the
reduced period; or
5.9.2 has completed a minimum of one year's full-time or two years' part-time
supervised postgraduate work in the same academic discipline as the
proposed research programme; or
5.9.3 has submitted postgraduate research work of a standard approximate to that
of a Master's degree; or
5.9.4 has had at least one year's relevant experience since graduation.
5.10 Heads of Schools shall be authorised to approve entry with advanced
standing on the basis of one or more periods of pursuance of a research
programme at an approved university, deemed equivalent by the Head of
School concerned, in lieu of a specified period of the Programme at the
University. The combined registered periods of further study and research
must equal or exceed the minimum period described in 5.6 above.
6. TIME LIMITS
In respect of DClinPsy, DEdPsy, DHS, DNurs, DSW, EdD, DAHP, SPPD
6.1 A candidature for a Doctoral Degree by Examination and Thesis, with the
exception of EngD, shall lapse if a thesis is not submitted, in the form and
manner prescribed by the University, by the following time limit for
completion:
6.1.1 by pursuing a three-year, full-time registered period of study in the
University:
four years from the beginning of the candidate's period of study;
6.1.2 by pursuing a five-year, or longer, part-time external registered period of
study, or as a staff candidate (where permitted under 4.2 above):
seven years from the beginning of the candidate's period of study.
In respect of EngD
6.2 A candidature for EngD shall lapse if a thesis is not submitted, in the form
and manner prescribed, by the following time limit for completion:
6.2.1 by pursuing a four-year full-time registered period of study in the University:
four years and six months from the beginning of the candidate's period of
study;
6.2.2 by pursuing a three-year full-time registered period of study in the University,
being exempt the probationary year:
three years and six months from the beginning of the candidate's period of
study.
7. INTERRUPTIONS AND EXTENSIONS TO TIME LIMITS
7.1 A registered period of study may be interrupted or a time limit extended by the
University in accordance with the Student Attendance and Engagement
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Procedures and/or Extension to Time Limit Procedure – Postgraduate
Research Candidates.
8. THE APPOINTMENT OF SUPERVISORS FOR THE COMPONENT OF
INDEPENDENT STUDY AND RESEARCH
8.1 For each candidature, the Head of School concerned shall appoint at least
one main supervisor who is a member of staff employed in that School and
who is either:
8.1.1 a member of the academic staff
12
or senior research staff
13
, employed in
that School, holding a contract of employment equivalent to at least 50% of
that of an equivalent full-time member of staff;
8.1.2 a part-time member of the academic/research staff who has formerly
satisfied 8.1.1 above.
8.2 Additional supervisors appointed by the Head of School may be external to
the School concerned or to the University and may include honorary
appointees of the University.
8.3 In respect of EngD, for each candidature, the Head of School concerned
shall approve an industrial supervisor nominated by the EngD Programme
Director. The industrial supervisor shall be engaged full-time or part-time by
the industrial organisation associated with the approved research
programme.
9. PERSONAL DEVELOPMENT PLANNING
9.1 Each Head of School shall be responsible for ensuring that all postgraduate
research students are provided with opportunities to participate in a
Personal Development Planning process that meets the minimum
expectations of the University (as defined in the policy framework for the
delivery of Personal Development Planning).
10. ASSESSMENT OF THE COMPONENT OF DIRECTED LEARNING
In respect of DClinPsy, DEdPsy, DHS, DNurs, DSW, EdD, DAHP, SPPD
10.1 Programme Information shall include details of:
- the nature and timing of assessment(s);
- provisions for the report and consideration of extenuating
circumstances which may have an effect on performance in an
assessment;
- the decisions open to Examining Boards, including any progression
decisions and opportunities for the reassessment of failed
assessments;
- the timing of reassessments.
12
For this purpose, 'academic staff' is defined as professors, readers, senior lecturers and
lecturers of the University.
13
For this purpose, 'senior research staff' is defined as senior research associate grade or
higher.
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10.2 The examination of the Component of Directed Learningshall comprise
assessments of an advanced character in fields of study prescribed by the
Programme Information. These examinations shall include evaluation of the
professional/clinical practice and training and may take the form of unseen
written examination papers or set projects or other forms of course
assessment.
10.3 There shall be an Examining Board for the Component of Directed Learning
which shall operate in accordance with Examining Boards established under
provisions of the Senate Assessment Regulations for Taught Programmes.
10.4 A candidate who fails any summative examination of the Component of
Directed Learning may, at the discretion of the Examining Board, re-present
himself/herself for examination on one further occasion only, not more than
fifteen months from the date of the original examination. A fee shall be
payable for re-examination.
10.5 A candidate who is permitted to be re-assessed in any form of coursework
assessment shall, at the discretion of the Examining Board, be permitted
either to re-submit modified versions of his/her original work, or to submit for
assessment a new work on different topics from those which originally failed
to satisfy the Examiners.
In respect of EngD
10.6 The examination of the Component of Directed Learning shall comprise
assessments of an advanced character in fields of study prescribed by the
Programme Director. These examinations shall include evaluation of the
professional/industrial practice and training and may take the form of unseen
written examination papers or set projects or other forms of course
assessment.
10.7 A candidate who fails the examination may, at the discretion of the
Programme Examining Board, re-present himself/herself for examination on
one further occasion only, not more than fifteen months from the date of the
original examination. A fee shall be payable for re-examination.
10.8 A candidate who is permitted to be re-assessed in any form of coursework
assessment shall, at the discretion of the Examining Board, be permitted
either to re-submit modified versions of his/her original work, or to submit for
assessment a new work on different topics from those which originally failed
to satisfy the Examiners.
11. PRESENTATION AND SUBMISSION OF THESES
The following regulatory provisions for the presentation and submission of
theses are presented in Senate Regulations for the Presentation and
Submission of Research Degree Theses:
General Requirements
Publication of Work Prior to Submission and its Inclusion in a Thesis
Presentation of Research Degree Theses for Examination
Format for the Presentation of Theses
Additional Materials
194
Special Provisions Relating to the Creative and Performing Arts
Post-Examination: Deposit of successful Theses in the Digital Repository
Post-Examination: Unsuccessful Outcomes
Ownership and Access.
12. EXAMINATION OF THE COMPONENT OF INDEPENDENT STUDY AND
RESEARCH
12.1 The examination of the Component of Independent Study and Research
shall take the form of a thesis (which may be referred to alternatively as a
'research portfolio'), embodying the methods and results of a research
project and submitted in accordance with 11 above.
12.2 The thesis shall be examined in accordance with the following provisions.
12.3 All candidates for the award of Doctor are required to undergo an oral
examination.
12.4 In the case of candidates re-submitting a thesis for further examination, and
if the Examining Board is satisfied that the re-submitted work meets the
criteria for the award of Doctor, the requirement for a further oral
examination may be waived with the agreement of all members of the
Examining Board considering the thesis.
12.5 The Head of the School concerned is responsible for the proper
arrangements for the examination of the Component of Independent Study
and Research.
12.6 The Head of School may delegate the administrative tasks concerning the
submission and examination of a thesis to a senior member of his/her
academic staff who then acts as Convenor of the Examining Board. Where
the Head of School is also the supervisor of the candidate concerned, the
duties of Convenor shall be delegated to a senior member of the academic
staff of the School.
12.7 The Convenor must be satisfied that a prima facie case exists for accepting
the submission and referring the thesis for examination.
12.8 If satisfied that a prima facie case exists for accepting the submission and
referring the thesis for examination, the Convenor of the Examining Board
shall appoint the internal examiner, where appropriate, and shall save in the
case of the DClinPsy and DEdPsy, make nomination to the Registry of the
proposed external examiner(s).
In the case of the DClinPsy and the DEdPsy the Convenor of the Examining
Board shall appoint one or more of the approved External Examiners for the
Programme to the Examining Board of each candidate.
12.9 Determining that a prima facie case exists for accepting the submission shall
in no way prejudice the findings and decision of the Examining Board.
12.10 Where the Convenor is not satisfied that a prima facie case exists for
accepting the submission, the candidate has the right to appeal against this
decision to the Academic Standards and Quality Committee.
195
In respect of the EngD
12.11 The first part of the examination of the Component of Independent Study and
Research shall take the form of an oral presentation of his/her work by the
candidate to an audience comprising one or more members of the Component
of Independent Study and Research (research thesis) Examining Board and
representatives of the associated industrial organisation. The presentation
and subsequent discussion period are intended to demonstrate the
candidate's communication skills and his/her understanding of the research
project and its professional/industrial context. The presentation may be made
at the University or, with the approval of the Chair of the Examining Board, on
the premises of the associated industrial organisation.
12.12 The member(s) of the Component of Independent Study and Research
(research thesis) Examining Board present at the presentation and
subsequent discussion shall provide a written report on the candidate's
performance. The report shall recommend either that the presentation be
considered to have passed or that the presentation be not considered to
have reached the standard required for the award of pass to be made.
12.13 In cases where the presentation is deemed not to have passed, the report
shall outline any particular areas which require improvement. An
unsuccessful candidate shall be allowed to make a second presentation not
sooner than one month nor later than six months after the date of the
original presentation. A re-examination fee shall be required.
12.14 The second part of the examination of the Component of Independent Study
and Research shall take the form of a thesis, embodying the methods and
results of a research project and submitted in accordance with 11 below.
12.15 The thesis shall be examined in accordance with 13 below.
13. COMPOSITION OF THE EXAMINING BOARD FOR THE COMPONENT
OF INDEPENDENT STUDY AND RESEARCH (RESEARCH THESIS)
13.1 All Examining Boards considering the research thesis submitted in part for the
doctoral degree shall comprise the following:
13.1.1 a Chair;
13.1.2 an internal examiner, where required (see 13.4 below) appointed by the
Convenor of the Examining Board, in accordance with 15 below;
13.1.3 an external examiner or examiners appointed by the University, in accordance
with 16 below.
13.2 No person may assume more than one of the above roles.
13.3 No person involved in the supervision of the candidate shall act in the capacity
of any of the above roles.
13.4 An Examining Board for a candidate who is, or who has been within the past
three years at the time of submission of the thesis, a member of the academic
staff (at the grade of Lecturer or above) shall be constituted with a second
external examiner in lieu of the internal examiner.
13.5 The Convenor of the Examining Board may appoint other appropriate persons
to act in an advisory capacity. Persons so appointed shall not have the right to
196
vote as members of the Board, but may be invited to attend the oral
examination.
13.6 The Convenor of the Examining Board may invite the supervisor(s) to attend
the oral examination unless the candidate expresses the wish that the
supervisor(s) shall not be present.
13.7 A supervisor attending the oral examination may speak only when invited to do
so by the Chair.
14. APPOINTMENT AND ROLE OF THE CHAIR OF THE EXAMINING BOARD
FOR THE COMPONENT OF INDEPENDENT STUDY AND RESEARCH
(RESEARCH THESIS)
14.1 The Convenor shall chair the meeting of the Examining Board or shall appoint
a senior member of the academic staff to chair the meeting.
14.2 The Chair of the Examining Board shall usually be appointed from within the
School concerned, but may, with the approval of the Chair of the Academic
Standards and Quality Committee, be appointed from another School of the
University.
14.3 The Chair of the Examining Board is required to chair the oral examination
and any meeting of the examiners.
14.4 The Chair of the Examining Board shall be independent in the examining
process, and shall be responsible to the Head of School for the conduct of the
examination.
15. APPOINTMENT OF THE INTERNAL EXAMINER ON THE EXAMINING
BOARD FOR THE COMPONENT OF INDEPENDENT STUDY AND
RESEARCH (RESEARCH THESIS)
15.1 The internal examiner shall be appointed by the Convenor of the Examining
Board and must be:
15.1.1 a non-probationary member of the academic staff
14
or senior research
staff
15
; or
15.1.2 a person holding an honorary University position of professor, reader, senior
lecturer, lecturer, senior research fellow or research fellow.
15.2 The internal examiner shall usually be appointed from within the School
concerned, but may be appointed from another School of the University.
15.3 The Chair of the Academic Standards and Quality Committee may, on the
special recommendation of the Convenor of the Examining Board
concerned, approve the appointment of a second external examiner in lieu
of an internal examiner.
14
For this purpose, 'academic staff' is defined as professors, readers, senior lecturers and
lecturers of the University.
15
For this purpose, 'senior research staff' is defined as senior research associate grade or
higher.
197
16. APPOINTMENT OF THE EXTERNAL EXAMINER(S) ON THE EXAMINING
BOARD FOR THE COMPONENT OF INDEPENDENT STUDY AND
RESEARCH (RESEARCH THESIS)
16.1 Nomination of the external examiner(s) shall be made in writing by the
Convenor of the Examining Board to the Registry.
16.2 The appointment of the external examiner(s) shall be made by the Academic
Standards and Quality Committee.
16.3 The nominated external examiner shall possess specialist knowledge and
expertise in the subject area of the research, and should normally:
16.3.1 be experienced in research and have published;
16.3.2 have experience of the UK research degree examination process, and
particularly for the degree for which the thesis has been submitted;
16.3.3 hold a research degree;
16.3.4 hold/have held appointment within the university system at Senior Lecturer
grade or above (although, in certain cases, it may be appropriate to appoint
from outside the university sector, e.g. a leading industrialist, researcher or
professional practitioner).
16.4 The nominated external examiner shall not have direct professional or
personal knowledge of the candidate, and should not normally:
16.4.1 be a former staff member of the University, unless at least five years have
elapsed since retirement/resignation;
16.4.2 be a former higher degree student of the school concerned, unless at least
five years have elapsed since the date of her/his qualification;
16.4.3 be invited, on a frequent basis, to examine research degrees in the same
school.
16.5 Where all the criteria set down in 16.3 and 16.4 above cannot be met, the
Convenor of the Examining Board may submit a special case for the
consideration of the Chair of the Academic Standards and Quality
Committee.
17. LOCATION OF THE EXAMINATION
17.1 The oral examination shall normally be held at the University. However, the
Chair of the Academic Standards and Quality Committee may, in
exceptional circumstances, permit the oral examination to be held
elsewhere, provided that this is with the unanimous agreement of the Chair,
the examiners and the candidate, and that suitable accommodation and
other arrangements for its conduct have been made.
17.2 The oral examination shall normally be held on a face-to-face basis, with all
concerned present in the same place, at the same time. However, the Chair
of the Academic Standards and Quality Committee may, in exceptional
circumstances, allow for arrangements to be made for the examination to
take place through electronic media. The University will not give approval to
the use of telephone links alone for the purposes of examinations.
198
17.3 Examination through electronic media shall be in accordance with the
'Procedure and Guidelines for the Conduct of Viva Voce Examinations by
Electronic Means'.
18. TIMING OF THE EXAMINATION
18.1 The University expects the oral examination to be held within three months
of the submission of the thesis.
18.2 In exceptional circumstances only, can the oral examination be deferred for
a period exceeding twelve months from the date of submission of the thesis.
19. INFORMATION PROVIDED FOR EXAMINERS
19.1 The Convenor of the Examining Board shall ensure that each examiner is sent
one copy of the thesis.
19.2 The necessary forms and instructions for the conduct of the examination, and
the forms for payment shall be sent to the external examiner(s) by the
Registry.
19.3 The necessary forms and instructions for the conduct of the examination shall
be provided to the internal examiner by the Convenor of the Examining Board.
20. SPECIAL PROVISION
20.1 A candidate requiring special provision for his/her examination shall submit
a written application, supported by documentary evidence, to the Convenor
of the Examining Board.
21. THE REPORTING OF EXTENUATING CIRCUMSTANCES
21.1 A candidate shall provide a statement (supported by documentary evidence
where appropriate) setting out any extenuating circumstances which may
have an effect on his/her performance on the examination of the Programme
to the Convenor of the appropriate Examining Board.
22. BEFORE THE ORAL EXAMINATION
22.1 The examiners shall independently assess the thesis and each prepare a
written report on their reading of the work, and submit these to the Chair of
the Examining Board before the oral examination.
22.2 A candidate's supervisor(s) shall have the right to convey to the Convenor of
the Examining Board any concerns relevant to the candidate's research
project, the resulting thesis or its examination which the supervisor(s)
consider(s) the Board should take into account prior to reaching its decision.
22.2.1 The supervisor(s) shall convey these concerns, in writing, both to the
Convenor and to the candidate as soon as practicable after the presentation
of the thesis.
22.2.2 The Convenor shall invite the candidate to respond to the concerns. The
candidate may submit his/her own written statement within 10 working days
of the date of the note from the Convenor.
22.2.3 The Convenor shall provide any written submission from a candidate's
supervisor(s) and any response by the candidate to the Chair of the
199
Examining Board before the oral examination. The Examining Board shall
be asked to consider the statements(s) prior to reaching its decision.
23 SUSPICION OF RESEARCH MISCONDUCT OR UNFAIR PRACTICE
23.1 Suspicion of research misconduct or unfair practice shall be investigated in
accordance with the University's 'Academic Integrity in Research Degree
Study' Procedure.
24. PROCEDURES FOR THE CONDUCT OF THE ORAL EXAMINATION
24.1 The oral examination shall be conducted in accordance with the University's
'Procedures for the Conduct of Research Degree Viva Voce examinations'.
25. RECOMMENDATIONS FOR AWARD
25.1 Examining Boards, in recommending a candidate for the degree, shall certify
that the thesis submitted by the candidate substantially covers the
programme of research approved for him/her.
In respect of DClinPsy, DEdPsy, DHS, DNurs, DSW, EdD, DAHP, SPPD
25.2 Examining Boards considering submissions may recommend one of the
following options:
Pass – that the candidate be approved for the award of the doctoral degree
(subject, in the case of the DClinPsy and the DEdPsy, to the candidate
passing the Component of Directed Learning).
Pass Subject to Minor Corrections - that the candidate be approved for
the doctoral degree subject to the satisfactory completion of such minor
corrections as may be required by the Examining Board (subject, in the case
of the DClinPsy and the DEdPsy, to the candidate passing the Component
of Directed Learning). Such minor corrections shall be completed within
twelve weeks of the Examining Board. The Examining Board may stipulate
that the minor corrections made shall be scrutinised by either/both
examiner(s) prior to the award process being initiated.
Pass Subject to Corrections and Amendments - that the candidate be
approved for the award of the doctoral degree subject to the satisfactory
completion of such corrections and amendments as may be required by the
Examining Board (subject, in the case of the DClinPsy and the DEdPsy, to
the candidate passing the Component of Directed Learning). Such
corrections and amendments shall be completed within twelve weeks of the
Examining Board. The Examining Board may stipulate that the corrections
made shall be scrutinised by either/both examiner(s) prior to the award
process being initiated.
Not Approved, Resubmit for the Doctoral Degree - that the candidate be
not approved for the award of the doctoral degree but be allowed to modify
the thesis and re-submit it for the award of the doctoral degree on one
further occasion, upon payment of a re-presentation fee. The re-submission
shall take place within a period not exceeding one year from the date of the
official notification to the candidate of the outcome of the examination.
Not Approved for Doctoral Degree, Approved for Taught Master's
Degree - that the candidate be not approved for the award of PhD, but be
approved for the award of the taught Master's degree specified for the
200
programme of study. [This option is not available in the case of DClinPsy
and DEdPsy.]
Not Approved for Doctoral Degree, Approved for Taught Master's
Degree with Minor Corrections - that the candidate be not approved for
the award of the doctoral degree, but be approved for the award of the
taught Master's degree specified for the programme of study subject to the
completion of such minor corrections as may be required by the Examining
Board. Such minor corrections shall be completed within twelve weeks of
the Examining Board. The Examining Board may stipulate that the minor
corrections made shall be scrutinised by either/both examiner(s) prior to the
award process being initiated. [This option is not available in the case of
DClinPsy and DEdPsy.]
Not Approved for Doctoral Degree, Resubmit for Taught Master's - that
the candidate be not approved for the award of the doctoral degree, but be
allowed to modify the thesis and re-submit it for the award of the taught
Master's degree specified for the programme of study on one further
occasion, upon payment of the examination fee. The re-submission shall
take place within a period not exceeding one year from the date of the
official notification to the candidate of the outcome of the examination. [This
option is not available in the case of DClinPsy and DEdPsy.]
Not Approved - that the candidate be not approved for the award of a
degree and no further submission is permitted.
Successful candidates shall be required to conform to the provisions
of these Regulations covering Format for the Presentation of Theses.
The Head of School or the Convenor of the Examining Board shall
confirm in writing that the student has satisfactorily completed any
amendments and/or corrections and that the thesis has been
bound/presented in a format appropriate for library deposit in
accordance with current requirements prior to the award process
being initiated.
In respect of EngD
25.3 Examining Boards considering EngD submissions may recommend one of
the following options:
Pass – that the candidate be approved for the award of the doctoral degree.
Pass Subject to Minor Corrections - that the candidate be approved for
the degree of EngD subject to the satisfactory completion of such minor
corrections as may be required by the Examining Board. Such minor
corrections shall be completed within twelve weeks of the Examining Board.
The Examining Board may stipulate that the minor corrections made shall
be scrutinised by either/both examiner(s) prior to the award process being
initiated.
Pass Subject to Corrections and Amendments - that the candidate be
approved for the degree of EngD subject to the satisfactory completion of
such corrections and amendments as may be required by the Examining
Board. Such corrections and amendments shall be completed within twelve
weeks of the Examining Board. The Examining Board may stipulate that the
corrections made shall be scrutinised by either/both examiner(s) prior to the
award process being initiated.
201
Not Approved, Resubmit for EngD - that the candidate be not approved
for the degree of EngD but be allowed to modify the thesis and re-submit it
for the degree of EngD on one further occasion only, upon payment of a re-
submission fee. The re-submission shall take place within a period not
exceeding one year from the date of the official notification to the candidate
of the outcome of the examination.
Not Approved, Re-take Oral Presentation – that the candidate be not
approved for the degree of EngD, but be allowed to re-take the oral
presentation on one subsequent occasion. The candidate will retain
eligibility for the award of EngD upon successful completion of the oral
examination element; this element shall be completed within a period of
three months from the date of the official notification to the candidate of the
outcome of the examination.
Not Approved for EngD, Approved for MPhil - that the candidate be not
approved for the award of EngD, but be approved for the award of MPhil.
Not Approved for EngD, Approved for MPhil with Minor Corrections -
that the candidate be not approved for the degree of EngD, but be approved
for the degree of MPhil subject to the completion of such minor corrections
as may be required by the Examining Board. Such minor corrections shall
be completed within twelve weeks of the Examining Board, The Examining
Board may stipulate that the minor corrections made shall be scrutinised by
either/both examiner(s) prior to the award process being initiated. The
Examining Board may stipulate that the corrections made shall be
scrutinised by either/both examiner(s) prior to the award process being
initiated.
Not Approved for EngD, Resubmit for MPhil - that the candidate be not
approved for the degree of EngD, but be allowed to modify the thesis and
re-submit it for the degree of MPhil on one further occasion only, upon
payment of the examination fee. The re-submission shall take place within
a period not exceeding one year from the date of official notification to the
candidate of the outcome of the examination.
Not Approved - that the candidate be not approved for the degree of EngD
and no further submission is permitted.
Successful candidates shall be required to conform to the provisions
of these Regulations covering Format for the Presentation of Theses.
The Head of School or the Convenor of the Examining Board shall
confirm in writing that the student has satisfactorily completed any
amendments and/or corrections and that the thesis has been
bound/presented in a format appropriate for library deposit in
accordance with current requirements prior to the award process
being initiated.
26. AFTER COMPLETION OF THE EXAMINATION OF THE PROGRAMME
26.1 After completion of all elements of the examination of the Programme, the
Convenor shall return the completed Report and Result form to the Registry.
The form will contain the examiners' reports and the Examining Board's formal
recommendation of result. The formal recommendation of result sheet shall
record the exact decision of the Examining Board and shall be signed by the
Chair and the examiners.
202
26.2 Following receipt of the examiners' reports and the Examining Board's formal
recommendation of result, the Registry shall inform the candidate in writing of
the outcome of the examination.
26.3 Candidates who are not recommended by the Examining Board for the award
of Doctor may appeal against the decision reached, in accordance with the
Academic Appeals Procedure.
27. DISAGREEMENT BETWEEN EXAMINERS
27.1 When a recommendation cannot be agreed as the result of a dispute arising
between the examiners, the examination shall be discontinued and the
Chair of the Examining Board shall report the matter to the Chair of the
Academic Standards and Quality Committee, who shall make such
arrangements as are necessary for the resolution of the disagreement.
Senate Regulations for the Award of the Degree of MPhil
(Master of Philosophy)
Senate Regulations for the Award of the Degree of MScD
(Master of Dental Science) (by Research)
These Regulations govern the award of the degree of MPhil (Master of Philosophy)
and the award of the degree award of MScD (Master of Dental Science) (by
Research) at Cardiff University.
1. CRITERIA FOR THE AWARD
1.1 The degree of MPhil/MScD (by Research) may be awarded by the
University in recognition of the successful completion of a programme of
further study and research, the results of which are judged to constitute a
critical evaluation and analysis of a body of knowledge and/or an original
contribution to knowledge, and to give evidence of:
1.1.1 a systematic understanding of knowledge, and a critical awareness of
current problems and/or new insights, much of which is at, or informed by,
the forefront of the academic discipline, field of study, or area of professional
practice;
1.1.2 a comprehensive understanding of techniques applicable to the research or
advanced scholarship;
1.1.3 originality in the application of knowledge, together with a practical
understanding of how established techniques of research and enquiry are
used to create and interpret knowledge in the discipline;
1.1.4 conceptual understanding that enables:
.1 the critical evaluation of current research and advanced scholarship in
the discipline; and
.2 the evaluation of methodologies, the development of critiques of them
and, where appropriate, the proposal of new hypotheses.
1.2 The degree of MPhil/MScD (by Research) may not be conferred honoris
causa under these Regulations.
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2. ENTRY REQUIREMENTS
2.1 An applicant for admission to a programme of research shall be required:
2.1.1 to meet the conditions of the University General Entrance Requirement; and
2.1.2 to meet the particular requirements for the programme of research applied
for.
2.2 A candidate for the degree of MScD (by Research) must have qualified for
the degree of Bachelor of Dental Surgery (BDS or BChD).
2.3 Irrespective of a candidate's qualifications, the School concerned must
satisfy itself that a candidate is of the required academic standard to
complete the programme of research proposed.
2.4 The decision as to whether an applicant shall be admitted to the programme
of research proposed shall rest with the relevant Head of School, in
accordance with the University's entry requirements.
2.5 A candidate may formally commence his/her period of research on the first
day of October, January, April or July, subject to the agreement of the Head
of School concerned.
3. VERIFICATION OF QUALIFICATIONS
3.1 An individual verification of the academic or other qualifications obtained
prior to entry may be undertaken, either during the admission process or
following enrolment as a student. As part of this verification,
applicants/students may be required to provide certification to verify their
academic qualifications. The University reserves the right to refuse
admission or apply the Student Disciplinary Procedure if clear and complete
certification for such verification is not provided on request.
4. METHOD OF CANDIDATURE
4.1 A candidate may qualify for the degree of MPhil/MScD (by Research) by
pursuing one of the following methods of study:
4.1.1 by pursuing full-time research in the University;
4.1.2 by pursuing full-time research in an external place of employment approved
by the University (see 4.3 below);
4.1.3 by pursuing part-time research externally;
4.1.4 by pursuing research as a member of staff
16
.
4.2 It is possible, in appropriate cases, to transfer from one method of candidature
to another (e.g. from full-time to part-time and vice versa). In such cases the
University will determine a revised minimum registered period of study and will
fix the earliest and latest dates for the submission of the thesis. The revised
registered period of study is calculated by establishing the proportion of full-
time or part-time study a candidate has already completed, then converting the
16
Staff candidature is restricted to members of staff, holding a contract of salaried
employment equivalent to at least one-third of that of a full-time member in the appropriate
categories of staff.
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remaining proportion of study into its part-time or full-time equivalent. The
revised time-limit is calculated on the same basis.
4.3 Where a School proposes to admit a candidate who will pursue full-time
research in an external place of employment, the following written assurances
shall be provided by the employer:
4.3.1 that the candidate will be working on full-time research on a particular,
agreed project;
4.3.2 that the research work shall be undertaken under the direct supervision and
control of a main supervisor nominated by the Head of School (in
accordance with 8.1 below) with specific duties related to the candidature;
such control shall include the right of the supervisor to have access to the
candidate and his/her work at all times in the place of his/her employment.
5. MINIMUM PERIODS OF STUDY
5.1 A candidate must register at the University, pay the appropriate fee
prescribed and pursue the programme of research for the minimum
registered period of study defined below:
5.1.1 by pursuing a candidature full-time in the University, or full-time in an external
place of employment, or as a member of staff: one year;
5.1.2 by pursuing a part-time external candidature: two years.
5.2 Notwithstanding 5.1 above, the Head of School may, at his/her discretion,
require a candidate to pursue research for longer than these minimum
periods
17
.
5.3 A one-year candidate may submit a thesis, at the earliest, two weeks before
the expiry of the registered period of study. A two-year candidate may
submit a thesis, at the earliest, six months before the expiry of the registered
period of study.
5.4 Heads of Schools shall be authorised to approve entry with advanced
standing on the basis of one or more periods of pursuance of a programme
of research at an approved university, deemed equivalent by the Head of
School concerned, in lieu of a specified period of the programme of research
at the University. The combined registered periods of further study and
research must equal or exceed the minimum period described in 5.1 above.
5.5 Tuition fees are payable in respect of a candidate's period of study as a
registered student. Heads of Schools may recommend for fees to be
charged in respect of students who continue to receive supervision and/or
facilities after the expiry of the stipulated registered period of study.
6. TIME LIMITS
6.1 A candidature shall lapse if a thesis is not submitted, in the form and manner
prescribed by the University, by the following time limit for completion:
17
MPhil programmes of research may be of longer duration than the minimum stipulated in
Senate Regulations, as will be stated in the offer of admission to the University. In
addition, where circumstances necessitate, a Head of School may require the registered
period to be extended beyond the duration for which the offer of admission was made.
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6.1.1 by pursuing a registered period of study full-time in the University, or full-time
in an external place of employment, or as a member of staff: three years from
the beginning of the candidate's period of study;
6.1.2 by pursuing a part-time external registered period of study: five years from
the beginning of the candidate's period of study.
7. INTERRUPTIONS AND EXTENSIONS TO TIME LIMITS
7.1 A registered period of study may be interrupted or a time limit extended by the
University in accordance with the Student Attendance and Engagement
Procedures and/or Extension to Time Limit Procedure – Postgraduate
ResearchCandidates.
7.2 Applications for interruptions/extensions must be endorsed by the Head of
School concerned and sent to the University's Registry for consideration by
and decision of the Academic Standards and Quality Committee.
8. THE APPOINTMENT OF SUPERVISORS
8.1 For each candidature, the Head of School concerned shall appoint at least
one main supervisor who is member of staff employed in that School and
either:
8.1.1 a member of the academic staff
18
or senior research staff
19
, holding a
contract of employment equivalent to at least 50% of that of an equivalent
full-time member of staff;
8.1.2 a part-time member of the academic/research staff who has formerly
satisfied 8.1.1 above.
8.2 Staff appointed as additional supervisors by the Head of School may be
external to the School concerned or to the University.
9. PERSONAL DEVELOPMENT PLANNING
9.1 Each Head of School shall be responsible for ensuring that all postgraduate
research students are provided with opportunities to participate in a
Personal Development Planning process that meets the minimum
expectations of the University (as defined in the policy framework for the
delivery of Personal Development Planning.)
10. PRESENTATION AND SUBMISSION OF THESES
The following regulatory provisions for the presentation and submission of
theses are presented in Senate Regulations for the Presentation and
Submission of Research Degree Theses:
General Requirements
Publication of Work Prior to Submission and its Inclusion in a Thesis
18
For this purpose, 'academic staff' is defined as professors, readers, senior lecturers and
lecturers of the University.
19
For this purpose, 'senior research staff' is defined as senior research associate grade or
higher.
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Presentation of Research Degree Theses for Examination
Format for the Presentation of Theses
Additional Materials
Special Provisions Relating to the Creative and Performing Arts
Post-Examination: Deposit of successful Theses in the Digital Repository
Post-Examination: Unsuccessful Outcomes
Ownership and Access.
11. EXAMINATION
11.1 All MPhil/MScD (by Research) degree candidates are required to undergo
an oral examination.
11.2 In the case of candidates re-submitting a thesis for further examination and
if the Examining Board is satisfied that the re-submitted work meets the
criteria for the award of MPhil/MScD (by Research), the requirement for a
further oral examination may be waived at the Examining Board's discretion
12. ARRANGEMENTS FOR EXAMINATION
12.1 The Head of the School concerned is responsible for the proper
arrangements for the research degree examination.
12.2 The Head of School may delegate the administrative tasks concerning the
submission and examination of a thesis to a senior member of his/her
academic staff who then acts as Convenor of the Examining Board. Where
the Head of School is also the supervisor of the candidate concerned, the
duties of Convenor shall be delegated to a senior member of the academic
staff of the School.
12.3 The Convenor must be satisfied that a prima facie case exists for accepting
the submission and referring the thesis for examination.
12.4 If satisfied that a prima facie case exists for accepting the submission and
referring the thesis for examination, the Convenor of the Examining Board
shall appoint the internal examiner, where appropriate, and shall make
nomination to the Registry of the proposed external examiner(s).
12.5 Determining that a prima facie case exists for accepting the submission shall
in no way prejudice the findings and decision of the Examining Board.
12.6 Where the Convenor is not satisfied that a prima facie case exists for
accepting the submission, the candidate has the right to appeal against this
decision to the Academic Standards and Quality Committee.
13. COMPOSITION OF THE EXAMINING BOARD
13.1 All Examining Boards for MPhil/MScD (by Research) degree candidates shall
comprise the following:
13.1.1 a Chair;
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13.1.2 an internal examiner, where required (see 13.4 below) appointed by the
Convenor of the Examining Board, in accordance with 15 below;
13.1.3 an external examiner or examiners appointed by the University, in accordance
with 16 below.
13.2 No person may assume more than one of the above roles.
13.3 No person involved in the supervision of the candidate shall act in the capacity
of any of the above roles.
13.4 An Examining Board for a candidate who is, or who has been within the past
three years at the time of submission of the thesis, a member of the
academic staff (at the grade of Lecturer or above) shall be constituted with a
second external examiner in lieu of the internal examiner.
13.5 The Convenor of the Examining Board may appoint other appropriate persons
to act in an advisory capacity. Persons so appointed shall not have the right to
vote as members of the Board, but may be invited to attend the oral
examination.
13.6 The Convenor of the Examining Board may invite the supervisor(s) to attend
the oral examination unless the candidate expresses the wish that the
supervisor(s) shall not be present.
13.7 A supervisor attending the oral examination may speak only when invited to do
so by the Chair.
14. APPOINTMENT AND ROLE OF THE CHAIR
14.1 The Convenor shall chair the meeting of the Examining Board or shall appoint
a senior member of the academic staff to chair the meeting.
14.2 The Chair of the Examining Board shall usually be appointed from within the
School concerned, but may, with the approval of the Chair of the Academic
Standards and Quality Committee, be appointed from another School of the
University.
14.3 The Chair of the Examining Board is required to chair the oral examination
and any meeting of the examiners.
14.4 The Chair of the Examining Board shall be independent in the examining
process, and shall be responsible to the Head of School for the conduct of the
examination.
15. APPOINTMENT OF THE INTERNAL EXAMINER
15.1 The internal examiner shall be appointed by the Convenor of the Examining
Board and must be:
15.1.1 a non-probationary member of the academic staff
20
or senior research
staff
21
; or
20
For this purpose, 'academic staff' is defined as professors, readers, senior lecturers and
lecturers of the University.
208
15.1.2 a person holding an honorary University position of professor, reader, senior
lecturer, lecturer, senior research fellow or research fellow.
15.2 The internal examiner shall usually be appointed from within the School
concerned, but may be appointed from another School of the University.
15.3 The Chair of the Academic Standards and Quality Committee may, on the
special recommendation of the Convenor of the Examining Board
concerned, approve the appointment of a second external examiner in lieu
of an internal examiner.
16. APPOINTMENT OF THE EXTERNAL EXAMINER(S)
16.1 Nomination of the external examiner(s) shall be made in writing by the
Convenor of the Examining Board to the Registry.
16.2 The appointment of the external examiner(s) shall be made by the Chair of
the Academic Standards and Quality Committee.
16.3 The nominated external examiner shall possess specialist knowledge and
expertise in the subject area of the research, and should normally:
16.3.1 be experienced in research and have published;
16.3.2 have experience of the UK research degree examination process, and
particularly for the degree for MPhil/MScD (by Research);
16.3.3 hold a research degree;
16.3.4 hold/have held appointment within the university system at Senior Lecturer
grade or above (although, in certain cases, it may be appropriate to appoint
from outside the university sector, e.g. a leading industrialist, researcher or
professional practitioner).
16.4 The nominated external examiner shall not have direct professional or
personal knowledge of the candidate, and should not normally:
16.4.1 be a former staff member of the University, unless at least five years have
elapsed since retirement/resignation;
16.4.2 be a former higher degree student of the school concerned, unless at least
five years have elapsed since the date of her/his qualification;
16.4.3 be invited, on a frequent basis, to examine research degrees in the same
school.
16.5 Where all the criteria set down in 16.3 and 16.4 above cannot be met, the
Convenor of the Examining Board may submit a special case for the
consideration of the Chair of the Academic Standards and Quality
Committee.
21
For this purpose, 'senior research staff' is defined as senior research associate grade or
higher.
209
17. LOCATION OF THE EXAMINATION
17.1 The oral examination shall normally be held at the University. However, the
Chair of the Academic Standards and Quality Committee may, in
exceptional circumstances, permit the oral examination to be held
elsewhere, provided that this is with the unanimous agreement of the Chair,
the examiners and the candidate, and that suitable accommodation and
other arrangements for its conduct have been made.
17.2 The oral examination shall normally be held on a face-to-face basis, with all
concerned present in the same place, at the same time. However, the Chair
of the Academic Standards and Quality Committee may, in exceptional
circumstances, allow for arrangements to be made for the examination to
take place through electronic media. The University will not give approval to
the use of telephone links alone for the purposes of examinations.
17.3 Examination through electronic media shall be in accordance with the
'Procedure and Guidelines for the Conduct of Viva Voce Examinations by
Electronic Means'.
18. TIMING OF THE EXAMINATION
18.1 The University expects the oral examination to be held within three months
of the submission of the thesis.
18.2 In exceptional circumstances only, can the oral examination be deferred for
a period exceeding twelve months from the date of submission of the thesis.
19. INFORMATION PROVIDED FOR EXAMINERS
19.1 The Convenor of the Examining Board shall ensure that each examiner is sent
one copy of the thesis.
19.2 The necessary forms and instructions for the conduct of the examination, and
the forms for payment shall be sent to the external examiner(s) by the Registry.
19.3 The necessary forms and instructions for the conduct of the examination shall
be provided to the internal examiner by the Convenor of the Examining Board.
20. SPECIAL PROVISION
20.1 A candidate requiring special provision for his/her examination shall submit
a written application, supported by documentary evidence, to the Convenor
of the Examining Board.
21. THE REPORTING OF EXTENUATING CIRCUMSTANCES
21.1 A candidate shall provide a statement (supported by documentary evidence
where appropriate) setting out any extenuating circumstances which may
have an effect on his/her performance on the examination to the Convenor
of the Examining Board.
22. BEFORE THE ORAL EXAMINATION
22.1 The examiners shall independently assess the thesis and each prepare a
written report on their reading of the work, and submit these to the Chair of
the Examining Board before the oral examination.
210
22.2 A candidate's supervisor(s) shall have the right to convey to the Convenor of
the Examining Board any concerns relevant to the candidate's research
project, the resulting thesis or its examination which the supervisor(s)
consider(s) the Board should take into account prior to reaching its decision.
22.2.1 The supervisor(s) shall convey these concerns, in writing, both to the
Convenor and to the candidate as soon as soon as practicable after the
presentation of the thesis.
22.2.2 The Convenor shall invite the candidate to respond to the concerns. The
candidate may submit his/her own written statement within 10 working days
of the date of the note from the Convenor.
22.2.3 The Convenor shall provide any written submission from a candidate's
supervisor(s) and any response by the candidate to the Chair of the
Examining Board before the oral examination. The Examining Board shall
be asked to consider the statements(s) prior to reaching its decision.
23. SUSPICION OF RESEARCH MISCONDUCT OR UNFAIR PRACTICE
23.1 Suspicion of research misconduct or unfair practice shall be investigated in
accordance with the University's 'Academic Integrity in Research Degree
Study' Procedure.
24. PROCEDURES FOR THE CONDUCT OF THE ORAL EXAMINATION
24.1 The oral examination shall be conducted in accordance with the University's
'Procedures for the Conduct of Research Degree Viva Voce examinations'.
25. RECOMMENDATIONS FOR AWARD
25.1 Examining Boards, in recommending a candidate for the degree, shall certify
that the thesis submitted by the candidate substantially covers the
programme of research approved for him/her.
25.2 Examining Boards considering MPhil/MScD (by Research) submissions may
recommend one of the following options:
Pass – that the candidate be approved for the degree of MPhil/MScD (by
research).
Pass Subject to Minor Corrections - that the candidate be approved for
the degree of MPhil/MScD (by Research) subject to the satisfactory
completion of such minor corrections as may be required by the Examining
Board. Such minor corrections shall be completed within twelve weeks of
the Examining Board. The Examining Board may stipulate that the minor
corrections made shall be scrutinised by either/both examiner(s) prior to the
award process being initiated.
Pass Subject to Corrections and Amendments - that the candidate be
approved for the degree of MPhil/MScD (by Research) subject to the
satisfactory completion of such corrections and amendments as may be
required by the Examining Board. Such corrections and amendments shall
be completed within twelve weeks of the Examining Board. The Examining
Board may stipulate that the corrections made shall be scrutinised by
either/both examiner(s) prior to the award process being initiated.
211
Not Approved, Resubmit for MPhil/MScD - that the candidate be not
approved for the degree of MPhil/MScD (by Research) but be allowed to
modify the thesis and re-submit it for the degree of MPhil/MScD (by
Research) on one further occasion only, upon payment of a re-submission
fee. The re-submission shall take place within a period not exceeding one
year from the date of the official notification to the candidate of the outcome
of the examination.
Not Approved - that the candidate be not approved for the degree of
MPhil/MScD (by Research).
Successful candidates shall be required to conform to the provisions
of these Regulations covering Format for the Presentation of Theses.
The Head of School or the Convenor of the Examining Board shall
confirm in writing that the student has satisfactorily completed any
amendments and/or corrections and that the thesis has been
bound/presented in a format appropriate for library deposit in
accordance with current requirements prior to the award process
being initiated.
26. AFTER THE EXAMINATION
26.1 After completion of the examination, the Convenor shall return the completed
Report and Result form to the Registry. The form will contain the examiners'
reports and the Examining Board's formal recommendation of result. The
formal recommendation of result sheet shall record the exact decision of the
Examining Board and shall be signed by the Chair and the examiners.
26.2 Following receipt of the examiners' reports and the Examining Board's formal
recommendation of result, the Registry shall inform the candidate in writing of
the outcome of the examination.
26.3 Candidates who are not recommended by the Examining Board for the award
of MPhil/MScD (by Research) may appeal against the decision reached, in
accordance with the Academic Appeals Procedure.
27. DISAGREEMENT BETWEEN EXAMINERS
27.1 When a recommendation cannot be agreed as the result of a dispute arising
between the examiners, the examination shall be discontinued and the
Chair of the Examining Board shall report the matter to the Chair of the
Academic Standards and Quality Committee, who shall make such
arrangements as are necessary for the resolving of the disagreement.
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Senate Regulations for the Award of the Degree of MRes
(Master of Research)
1. GENERAL
1.1 Senate Regulations for Modular Taught Programmes shall apply to MRes
Programmes except as indicated in the table below:
Senate Regulations for Modular Taught
Programmes
Senate Regulations for the Award
of the Degree of MRes (Master of
Research) (these Regulations)
Regulation 5 - Modules
Regulation 2., below, replaces
Regulation 5.7 of Senate
Regulations for Modular Taught
Programmes
Regulation 6 - Structure
Regulation 3., below, replaces
Regulation 6.1 of Senate
Regulations for Modular Taught
Programmes
Regulation 9 - Progression
Regulations 4.1 and 4.2, below,
replace Regulations 9.1 and
Regulation 9.4 of Senate
Regulations for Modular Taught
Programmes
Regulation 10 - Award
Regulation 5., below, replaces
Regulation 10.1 of Senate
Regulations for Modular Taught
Programmes
Regulation 11 – Classification of Awards
Regulation 6., below, replaces
Regulation 11.1 of Senate
Regulations for Modular Taught
Programmes)
2. MODULES
2.1 A Dissertation Module for an MRes Programme shall be at least equal to 90
Credits and no more than 120 Credits at Level 7.
2.2 For MRes Programmes a traditional ‘Dissertation’ may be replaced by an
alternative format (with single or multiple assessed outputs) that presents
the results of independent research.
Where a traditional Dissertation format is used as a requirement of an MRes
Programme it shall be a bound submitted work and the maximum word limit
shall accord with the following:
90-Credit Dissertation
30,000 words
213
100-Credit Dissertation
33,000 words
110-Credit Dissertation
37,000 words
120-Credit Dissertation
40,000 words
3. STRUCTURE
3.1 Unless approved as an exception by the Academic Standards and Quality
Committee each Programme leading to an MRes Degree shall be divided
into two Stages as follows:
Postgraduate Certificate Stage;
Master's Degree Stage (MRes).
The structure of MRes Programmes shall be set out in Programme
Information which shall as a minimum accord with the following
requirements:
3.1.1 a modular Programme leading to the award of MRes shall consist of
Modules at least to the value of 180 Credits at Level 7 which shall include a
Dissertation or equivalent outputs of research of at least 90 Credits at Level
7;
3.2 no student may be permitted or required to pursue and/or be assessed in
Modules to the value of:
more than 120 Credits in any academic year; and
more than 180 Credits in any calendar year.
3.3 Programme Information shall identify all Exit-Point Awards associated with
the Programme and shall stipulate the Modules contributing to each award.
4 PROGRESSION
4.1 To progress from the Postgraduate Certificate Stage to the Master's Degree
Stage of an MRes Programme, students must have achieved:
the Credits set out below;
Credit in any Required Modules; and
where relevant, the required professional competencies.
At the end
of the
Certificate
Stage
Students who have been awarded 60 Credits at Level 7
shall:
EITHER progress to the Master’s stage of their MRes
Programme;
OR be awarded a Postgraduate Certificate
214
4.2 A student for an MRes award may, with the Head of School's approval,
begin supervised or unsupervised preparatory work on the Dissertation prior
to completion of the Postgraduate Certificate Stage, but may not submit
work for assessment unless and until the Postgraduate Certificate Stage of
the Programme has been passed.
5. AWARD
5.1 Subject to such additional requirements provided in Programme Information,
a student who has achieved a minimum number of Credits as provided in
the following table, including Credit in any Required Modules, shall be
eligible for the Award indicated.
Postgraduate Certificate
60 Credits at Level 7
Master's Degree
180 Credits at Level 7
6. CLASSIFICATION OF AWARDS
6.1 The following provisions shall be applied where students are eligible for an
MRes award as indicated in 5. above. For the purpose of classification of
MRes awards, Module Marks will be combined and weighted according to
their Credit Weighting to provide a Final Mark. Students will be informed of
the Classification Set applicable to their Programme via the Programme
Information issued to them.
To be awarded an MRes Degree with Distinction a student must:
achieve a Final Mark of 70% or above, AND
achieve a mark of at least 70% in their Dissertation, AND
achieve an average mark of at least 65% in their taught Modules.
To be awarded an MRes Degree with Merit a student must:
achieve a Final Mark of 60% or above, AND
achieve a mark of at least 60% in their Dissertation, AND
achieve an average mark of at least 55% in their taught Modules.
Senate Regulations for the Award of the Degree of PhD
(by Published Works)
These Regulations govern the award of the degree of PhD (Doctor of Philosophy)
(by Published Works) at Cardiff University.
1. CRITERIA FOR THE AWARD
1.1 The criteria for the award of the degree of PhD (by Published Works) shall
be the same as those established for the degree of PhD, and as provided in
1.2 below.
1.2 The degree of PhD may be awarded by the University in recognition of the
successful completion of a programme of further study and research, the
215
results of which are judged to constitute an original contribution to learning
and to give evidence of:
1.2.1 the creation and interpretation of new knowledge, through original research,
of a quality to satisfy peer review, extend the forefront of the discipline and
merit publication;
1.2.2 a systematic acquisition and understanding of a substantial body of
knowledge which is at the forefront of an academic discipline or area of
professional practice;
1.2.3 an ability to relate the results of such study to the general body of
knowledge in the discipline;
1.2.4 the general ability to conceptualise, design and implement a project for the
generation of new knowledge, applications or understanding at the forefront
of the discipline, and to adjust the project design in the light of unforeseen
problems;
1.2.5 a detailed understanding of applicable techniques for research and
advanced academic enquiry.
2. DEFINITION OF PUBLISHED WORKS
2.1 For the purpose of these Regulations, 'published works' may be defined as
works which are in the public domain or which have at least been accepted
for publication (provided that the candidate can provide adequate proof that
this is the case). As a consequence, research reports prepared for a
restricted readership and/or on a confidential basis will not be eligible
normally for inclusion in a submission for this degree.
2.2 Works submitted for examination should not normally have been published
more than ten years previous to the date of registration.
3. ELIGIBILITY OF CANDIDATES
3.1 Except as provided in 3.3 below, any candidate for the degree of PhD (by
Published Works) shall satisfy at least one of the following eligibility criteria:
i) be a graduate of Cardiff University, or of the University of Wales
following candidature at Cardiff University, of at least six years'
standing prior to registration for such a degree; or
ii) be a member of staff of at least six years' standing at Cardiff University
prior to registration for the degree; or
iii) be a holder of an honorary title of Cardiff University of at least six years'
standing prior to registration for the degree.
3.2 A candidate for the degree must be registered as a student/staff candidate
at the University prior to examination for the degree.
3.3 A person shall not be eligible to proceed to the degree of PhD (by Published
Works) under these regulations if he or she has been previously approved
for a PhD or other related doctoral degree of Cardiff University or of the
University of Wales following candidature at Cardiff University.
216
3.4 A graduate of Cardiff University or of the University of Wales following
candidature at Cardiff University who has been examined for a doctoral
degree but who has not been approved for such a degree may not become
a candidate for the degree of PhD under these Regulations.
4. APPLICATION
4.1 Through preliminary enquiries, a prospective candidate for the degree of
PhD (by Published Works) shall identify the most appropriate School for
registration and shall write to the Head of that School stating the subject with
which his or her contribution to scholarship appears to be most nearly
connected, and specifying the published work or works on which his or her
claim to the degree is based.
4.2 A candidate, in submitting an application, shall be required to:
4.2.1 declare that the proposed submission as a whole is not substantially the
same as any that he or she has previously made or is currently making,
whether in published or unpublished form, for a degree, diploma, or similar
qualification at any university or similar institution;
4.2.2 state what parts (if any) of the work or works proposed to be submitted have
previously been submitted for another qualification;
4.2.3 declare that, until the outcome of the current application to the University is
known, the work or works proposed to be submitted will not be submitted for
any such qualification at another university or similar institution.
5. REGISTRATION
5.1 If the School concerned is willing to accept the candidature, s/he shall be
required to register at the University and to pay the appropriate fee
22
.
5.2 For each candidature, the Head of School concerned shall assign an advisor
or advisors. The advisor(s) shall provide general guidance on the
presentation of the published works for examination and advise on the
critical commentary that shall accompany the works. The following
categories of staff are eligible for appointment as an advisor:
5.2.1 a member of the academic staff
23
or senior research staff
24
, holding a
contract of employment equivalent to at least 50% of that of an equivalent
full-time member of staff;
5.2.2 a part-time member of the academic/research staff who has formerly
satisfied 5.2.1 above.
22
The fee for PhD (by Published Works) shall be equivalent to the standard per annum
tuition fee charged by the University to part-time PhD students, as current at the time of
registration. One-third of the fee shall be payable at the point of registration; the remaining
two-thirds shall be payable at the point of submission. Cardiff University Staff Candidates
are required to pay only a staff submission fee, equivalent to that charged to PhD Staff
Candidates.
23
For this purpose, 'academic staff' is defined as professors, readers, senior lecturers and
lecturers of the University.
24
For this purpose, 'senior research staff' is defined as senior research associate grade or
higher.
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6. MINIMUM PERIOD OF REGISTRATION
6.1 A candidate for PhD (by Published Works) must register at the University for
a minimum period of three months prior to the submission of the work to be
examined.
7. SUBMISSION OF THE WORK TO BE EXAMINED
7.1 PhD (by Published Works) candidates shall submit three copies of the
submission to the Head of School concerned or his/her nominee.
7.2 The submission shall comprise:
7.2.1 a list of the works submitted;
7.2.2 the published works to be examined;
7.2.3 a critical commentary, as described in 7.3 below;
7.2.4 any other documentation which may be required, as described in 7.4 below.
7.3 Candidates shall be required to provide a critical commentary of some 5,000
- 10,000 words giving an evaluation of the field in which they have worked,
and indicating also the original contribution to learning in that field which in
their opinion their work has made.
7.4 Candidates may submit work(s) done in collaboration with others in support
of the candidature, but such work shall be accompanied by a statement
signed by each collaborator indicating the nature and amount of the work
done by the candidate.
7.5 The submission shall be accompanied by a 'Notice of Submission Form'
25
,
and the remaining portion of the fee, as applicable.
8. EXAMINATION
8.1 The Head of School, or his/her nominee, shall arrange for a Panel
(comprising the Head of School concerned, the candidate's advisor(s) and
one other internal assessor who shall normally be a senior member of the
School's staff (to be appointed by the Head of School)) to consider the
works submitted in order to decide whether or not there is a prima facie case
to support the referral of the works for examination.
8.2 Where the Head of School is also the candidate's advisor, two other internal
assessors shall be appointed.
8.3 The Head of School, must be satisfied that a prima facie case exists for
accepting the submission and referring the thesis for examination.
8.4 Determining that a prima facie case exists for accepting the submission shall
in no way prejudice the findings and decision of the Examining Board.
8.5 Should the Panel decline to accept the works for examination, two-thirds of
the fee paid shall be returned to the candidate, together with the three
copies of the work concerned.
25
Forms for the submission of theses are provided to Schools by the University.
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8.6 All candidates for PhD (by Published Works) are required to undergo an oral
examination on the work submitted and on the general field of knowledge
within which it falls.
9. ARRANGEMENTS FOR EXAMINATION
9.1 The Head of the School concerned is responsible for the proper
arrangements for the research degree examination.
9.2 The Head of School may delegate the administrative tasks concerning the
examination of the work to a senior member of his/her academic staff who
then acts as Convenor of the Examining Board. Where the Head of School
is also the advisor of the candidate concerned, the duties of Convenor shall
be delegated to a senior member of the academic staff of the School.
10. COMPOSITION OF THE EXAMINING BOARD
10.1 All Examining Boards for PhD (by Published Works) candidates shall
comprise the following:
10.1.1 a Chair;
10.1.2 an internal examiner, where required (see 10.4 below) appointed by the
Convenor of the Examining Board, in accordance with 12 below;
10.1.3 an external examiner or examiners appointed by the University, in accordance
with 13 below.
10.2 No person may assume more than one of the above roles.
10.3 The candidate's advisor shall not act in the capacity of any of the above roles,
although s/he may be invited by the Chair of the Examining Board to attend the
oral examination in an advisory capacity.
10.4 An Examining Board for a candidate who is, or who has been within the past three
years at the time of submission, a member of the academic staff (at the grade of
Lecturer or above) shall be constituted with a second external examiner in lieu of the
internal examiner.
11. APPOINTMENT AND ROLE OF THE CHAIR
11.1 The Convenor shall chair the meeting of the Examining Board or shall appoint
a senior member of the academic staff to chair the meeting.
11.2 The Chair of the Examining Board shall usually be appointed from within the
School concerned, but may, with the approval of the Chair of the Academic
Standards and Quality Committee, be appointed from another School of the
University.
11.3 The Chair of the Examining Board is required to chair the oral examination
and any meeting of the examiners.
11.4 The Chair of the Examining Board shall be independent in the examining
process, and shall be responsible to the Head of School for the conduct of the
examination.
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12. APPOINTMENT OF THE INTERNAL EXAMINER
12.1 The internal examiner shall be appointed by the Convenor of the Examining
Board and must be:
12.1.1 a non-probationary member of the academic staff
26
or senior research
staff
27
; or
12.1.2 a person holding an honorary University position of professor, reader, senior
lecturer, lecturer, senior research fellow or research fellow.
12.2 The internal examiner shall usually be appointed from within the School
concerned, but may be appointed from another School of the University.
12.3 The Chair of the Academic Standards and Quality Committee may, on the
special recommendation of the Convenor of the Examining Board concerned,
approve the appointment of a second external examiner in lieu of an internal
examiner.
13. APPOINTMENT OF THE EXTERNAL EXAMINER(S)
13.1 Nomination of the external examiner(s) shall be made in writing by the
Convenor of the Examining Board to the Registry.
13.2 The appointment of the external examiner(s) shall be made by the Chair of
the Academic Standards and Quality Committee.
13.3 The nominated external examiner shall possess specialist knowledge and
expertise in the subject area of the research, and should normally:
13.3.1 be experienced in research and have published;
13.3.2 have experience of the UK research degree examination process, and
particularly for the degree for which the thesis has been submitted;
13.3.3 hold a research degree;
13.3.4 hold/have held appointment within the university system at Senior Lecturer
grade or above (although, in certain cases, it may be appropriate to appoint
from outside the university sector, e.g. a leading industrialist, researcher or
professional practitioner).
13.4 The nominated external examiner shall not have direct professional or
personal knowledge of the candidate, and should not normally:
13.4.1 be a former staff member of the University, unless at least five years have
elapsed since retirement/resignation;
13.4.2 be a former higher degree student of the school concerned, unless at least
five years have elapsed since the date of her/his qualification;
26
For this purpose, 'academic staff' is defined as professors, readers, senior lecturers and
lecturers of the University.
27
For this purpose, 'senior research staff' is defined as senior research associate grade or
higher.
220
13.4.3 be invited, on a frequent basis, to examine research degrees in the same
school.
13.5 Where all the criteria set down in 13.3 and 13.4 above cannot be met, the
Convenor of the Examining Board may submit a special case for the
consideration of the Chair of the Academic Standards and Quality
Committee.
14. LOCATION OF THE EXAMINATION
14.1 The oral examination shall normally be held at the University. However, the
Chair of the Academic Standards and Quality Committee may, in exceptional
circumstances, permit the oral examination to be held elsewhere, provided
that this is with the unanimous agreement of the Chair, the examiners and
the candidate, and that suitable accommodation and other arrangements for
its conduct have been made.
14.2 The oral examination shall normally be held on a face-to-face basis, with all
concerned present in the same place, at the same time. However, the Chair
of the Academic Standards and Quality Committee may, in exceptional
circumstances, allow for arrangements to be made for the examination to
take place through electronic media. The University will not give approval to
the use of telephone links alone for the purposes of examinations.
14.3 Examination through electronic media shall be in accordance with the
'Procedure and Guidelines for the Conduct of Viva Voce Examinations by
Electronic Means'.
15. INFORMATION PROVIDED FOR EXAMINERS
15.1 The Convenor of the Examining Board shall ensure that each examiner is sent
one copy of the submitted work.
15.2 The necessary forms and instructions for the conduct of the examination, and
the forms for payment shall be sent to the external examiner(s) by the Registry.
15.3 The necessary forms and instructions for the conduct of the examination shall
be provided to the internal examiner by the Convenor of the Examining Board.
16. BEFORE THE ORAL EXAMINATION
16.1 The examiners shall independently assess the thesis and each prepare a
written report on their reading of the work, and submit these to the Chair of
the Examining Board before the oral examination.
17. PROCEDURES FOR THE CONDUCT OF THE ORAL EXAMINATION
17.1 The oral examination shall be conducted in accordance with the University's
'Procedures for the Conduct of Research Degree Viva Voce examinations'.
18. RECOMMENDATIONS FOR AWARD
18.1 Examining Boards, in recommending a candidate for the degree, shall
certify that the thesis submitted by the candidate substantially covers the
programme of research approved for him/her.
18.2 Examining Boards may recommend one of the following options:
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Pass - that the candidate be approved for the degree of PhD.
Pass Subject to Minor Corrections and/or Amendments - that the
candidate be approved for the degree of PhD subject to the satisfactory
completion of such corrections and amendments to the critical summary as
may be required by the Examining Board. Such minor corrections and
amendments shall be completed within twelve weeks of the Examining
Board. The Examining Board may stipulate that the minor corrections made
shall be scrutinised by either/both examiner(s) prior to the award process
being initiated.
Not Approved, Re-take Oral Presentation - that the candidate be not
approved for the degree of PhD, but be allowed to re-take the oral
presentation on one subsequent occasion, not later than one year from the
date of official communication to him/her of the result by the University
Registry. A re-examination fee will be payable by the candidate.
Not Approved - that the candidate be not approved for the degree of PhD.
(In such circumstances the award of an MPhil or equivalent may not be
made. After a first submission, where the published work has been found to
be not satisfactory, the Examining Board may, at its discretion, permit a
further submission (to include additional works of an appropriate quality and
standard) within a period not exceeding five years, to be determined by the
Board, for the degree of PhD on payment of a re-submission fee.)
Successful candidates shall be required to conform to the provisions
of these Regulations covering Format for the Presentation of Theses.
The Head of School or the Convenor of the Examining Board shall
confirm in writing that the student has satisfactorily completed any
amendments and/or corrections and that the thesis has been
bound/presented in a format appropriate for library deposit in
accordance with current requirements prior to the award process
being initiated.
19. AFTER THE EXAMINATION
19.1 Two copies of every work of research approved by the examiners shall
become the property of the University.
19.2 The Convenor shall arrange for the deposit of one copy of a successful
research thesis in the National Library of Wales, Aberystwyth, and for the
deposit of a second copy in the University Library.
19.3 An Examining Board may attach to a work which has not been approved by
the Examiners any decision or recommendations or comments which they
may desire to communicate to the candidate after the termination of the
examination.
20. DISAGREEMENT BETWEEN EXAMINERS
20.1 When a recommendation cannot be agreed as the result of a dispute arising
between the examiners, the examination shall be discontinued and the
Chair of the Examining Board shall report the matter to the Chair of the
Academic Standards and Quality Committee, who shall make such
arrangements as are necessary for the resolving of the disagreement.
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Senate Regulations for Senior Doctoral Degrees
1. GENERAL
These Regulations are to be read in conjunction with the Academic
Ordinances of Cardiff University, which shall be authoritative in respect of
matters relating to the award of Cardiff University qualifications.
The senior doctoral degrees awarded by the University are listed in Senate
Regulations for Awards of Cardiff University.
2. DEFINITIONS
The following definitions shall apply in respect of these Regulations:
Published Work
For the purposes of senior doctoral awards, the definition "published work"
shall be as follows:
a) Any combination of books, articles, or musical compositions, printed or
otherwise reproduced, which are made available to the general public
through the normal channels by being distributed by a publishing firm
or some other agency.
b) Articles or musical compositions, printed or otherwise reproduced,
appearing in a journal or other publication sponsored by a learned
society.
3. ADMISSION TO CANDIDATURE
3.1 Graduates of the University of not less than two years' standing may be
admitted to candidature for a senior doctoral degree during or subsequently
to the second year after having qualified for the degree of Doctor of
Philosophy or the third year after having qualified for the degree of Master of
Philosophy or other cognate Master's degree or the tenth year after having
qualified for an initial degree.
3.2 In the case of the Degree of Doctor of Dental Science, Graduates of the
University of not less than two years' standing, and possessing the degree
of Bachelor of Dental Surgery, may be admitted to candidature for the
degree of Doctor of Dental Science during or subsequently to the second
year, after having qualified for the degree of Doctor of Philosophy or the
third year after having qualified for the degree of Master of Dental Science,
Master of Science or Master of Philosophy or the tenth year after having
qualified for the degree of Bachelor of Dental Surgery.
3.3 A member of the teaching, research, administrative, library or technical staff
of the University, or an Associated Theological College, who is a graduate of
another University, may become a candidate for a senior doctoral degree
provided:
3.3.1 that s/he has taken an initial degree at least ten years previously, and
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3.3.2 that s/he has been a member of the staff of the University or an Associated
Theological College for at least five years.
3.4 For the purpose of these Regulations, Graduates of the University shall
include Graduates of the University of Wales presented by Cardiff University
or its predecessor institutions.
4. CRITERIA FOR SUBMISSION
4.1 A candidate for a senior doctoral degree is required to submit, to the
judgement of the University, his/her contributions to the advancement of
knowledge in some subject recognised for the purpose. The subjects
recognised for this purpose are those which are open to candidates for the
degree of Master of Philosophy as well as any cognate to them.
4.2 In the case of candidates who are potentially eligible to submit for a degree
under more than one category (eg either DLitt or DSc), the Vice-Chancellor,
on the advice of Senate, will decide upon the appropriate senior doctoral
degree to be awarded to a successful candidate.
4.3 Candidates shall be required to submit independent work which is a
substantial contribution to knowledge. Work done in collaboration may be
submitted in support of the candidature, but such work shall be
accompanied by a statement signed by each collaborator indicating the
nature and amount of the work done in collaboration. Candidates shall be
required to provide a summary, of about four or five pages in length, giving
an indication of the field or fields in which they have specialised, and
indicating also the contribution to knowledge in that field which in their
opinion their work has made. At the discretion of the examiners, the
candidate may be summoned to an interview.
4.4 Candidates for the degree of DMus are required to submit published
compositions or manuscripts which constitute a substantial contribution to
the art of music. Work done in collaboration may be submitted in support of
the candidature, but such work shall be accompanied by a statement signed
by each collaborator indicating the nature and amount of the work done in
collaboration.
5. PROCEDURES FOR SUBMISSION
5.1 Notice of candidature for the degree must be given to the Academic
Registrar or nominee, and must be accompanied by two copies of each of
the published works it is desired to submit to the judgment of the University.
Such notice may be given at any time during the academic year, but if it is
given later than 31 January, the result of the candidature will not ordinarily
be determined at such date as to allow the candidate, if successful, to be
admitted to the degree in that academic year. Candidates shall state when
submitting their work, how much, if any, of it has been submitted or is being
concurrently submitted in candidature for any other degree.
5.2 The fee for admission to candidature must be forwarded to the Academic
Registrar or nominee, together with the official form of notice of candidature.
6. CONSIDERATION OF SUBMISSIONS
6.1 All works submitted by a candidate for a senior doctoral degree shall be
considered by a committee consisting of:
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6.1.1 The Pro Vice-Chancellor of the relevant College as determined by the field of
the Senior Doctoral Degree;
6.1.2 two other members of Senate appointed by the Pro Vice-Chancellor of the
relevant College.
6.2 If satisfied that a prima facie case has been established for referring the works
for detailed examination for the degree in question, the committee shall
appoint three referees, of whom two shall act in the first instance. If the
committee is not satisfied it shall inform the Academic Registrar or nominee,
who shall notify the candidate.
6.3 Each of the two appointed referees shall send to the Academic Registrar or
nominee a detailed and independent report as to the scope, quality and
originality of the works, stating whether in his/her opinion the degree should be
awarded.
6.4 In making their report on the candidature for the doctorate, referees are
requested to consider the following questions, viz:
6.4.1 Does the candidate's work show mastery of the subject?
6.4.2 Does the work possess quality, originality and distinctiveness worthy of the
degree for which it has been submitted?
6.4.3 (With the exception of candidates for the degree of DMus) does the work
make a substantial contribution to the advancement of knowledge of such a
nature as to make the candidate an acknowledged expert in the field covered?
6.4.4 Can the candidate be considered worthy of the award of the degree?
(It would assist the University materially in the final consideration of the
work, if, in answering these questions, referees would express briefly the
principal reasons that have led them to their conclusions.)
6.5 Referees are reminded that the purpose of requiring publication is to ensure
that the work submitted has been available for criticism by relevant experts,
and that referees are given discretion to disregard any of the work submitted if,
in their opinion, the work has not been so available for criticism either on
account of its inaccessibility or because it has been submitted for the degree
at too short an interval after its publication.
6.6 The written reports of the referees shall be deposited in the archives of the
University.
7. AWARD OF DEGREE
7.1 The reports of the two referees shall be submitted by the Academic Registrar
or nominee to the committee appointed in accordance with paragraph 6.1
above.
7.2 The committee shall consider the recommendations of the referees, and shall
present a report, including a recommendation as to the award of the degree, to
the Senate.
7.3 A recommendation to the Senate may be made by the committee in the light
of the quality, detail, etc of the two reports, even though they may not be in
225
agreement. The third referee need not necessarily be asked to submit an
independent report.
7.4 The Senate shall make the final decision on the candidature.
8. One copy of every work approved by the examiners shall be deposited in
the University Library, and the other in the National Library of Wales,
Aberystwyth.
Senate Regulations for the Presentation and Submission of
Research Degree Theses
PREAMBLE
These regulations shall apply to all theses submitted for the award of PhD, MD,
MPhil, MScD by Research and doctoral degrees by examination and thesis. These
regulations shall not apply to PhD by Published Works.
1 GENERAL REQUIREMENTS
1.1 References in these regulations to 'a thesis' should also be taken to include
any non-standard forms of submission/assessment approved by the
Academic Standards and Quality Committee in respect of particular
candidatures.
1.2 Every candidate's research shall be completed by the presentation of a
thesis which embodies the methods and results of the research.
1.3 In respect of PhD and EngD, the thesis shall not normally exceed 80,000
words in length (excluding appendices and footnotes).
1.4 In respect of MD, the thesis shall not normally exceed 60,000 words in
length (excluding appendices and footnotes).
1.5 In respect of MPhil and MScD, the thesis shall not normally exceed 50,000
words in length (excluding appendices and footnotes).
1.6 In respect of Doctoral Degrees by Examination and Thesis (Professional
Doctorates), excluding the EngD, the thesis (which may be referred to
alternatively as a 'research portfolio') shall normally be between 35,000 and
50,000 in length (excluding appendices and footnotes), in accordance with
programme regulations.
2 PUBLICATION OF WORK PRIOR TO SUBMISSION AND ITS INCLUSION
IN A THESIS
2.1 A candidate is at liberty to publish the whole or part of the work produced
during his/her candidature prior to its submission as a whole, or part of a
thesis, provided that in the published work it is nowhere stated that it is in
consideration for a higher degree.
2.2 A series of academic papers, whether published or otherwise, is not
acceptable for submission as a thesis, with the exception of PhD by
Published Works.
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2.3 Research work already published, or submitted for publication, may be
incorporated in a thesis. With the exception of Doctoral Degrees by
Examination and Thesis (see 2.4 below), papers themselves may not be
included in the body of a thesis but may be adapted to form an integral part
of a thesis and make a relevant contribution to a main theme. Publications
derived from the work described in a thesis may be appended as
supplementary material, not to be assessed, at the back of a thesis.
2.4 In respect of Doctoral Degrees by Examination and Thesis, the thesis, or
research portfolio, may include, as one element, one or more academic
papers, in accordance with programme regulations.
3 PRESENTATION OF RESEARCH DEGREE THESES FOR
EXAMINATION
3.1 The thesis may be presented for examination in a temporary, but secure
binding with a glued spine, which is sufficiently robust to withstand transit to
and from the examiners. It should show on the spine the candidate's name
and the degree for which s/he is a candidate.
3.2 For the purpose of examination (including re-examination), a candidate shall
submit the items listed below to the Head of the School concerned, or
his/her designated nominee.
3.2.1 the required number of copies of the thesis. The thesis should be typed and
copies should be temporarily bound. For most candidates the required
number of copies will be two. A Head of School / Examining Board
Convenor may, however, appoint an additional, advisory examiner; in such
cases, the candidate will be required to submit an additional copy of the
thesis. Each copy must contain:
.1 a title page, which states:
the full title of the thesis
the degree award title for which the thesis is presented
the year of presentation (or re-presentation in the case of a
thesis that is to be re-examined)
the candidate's name;
.2 a summary not exceeding three hundred words;
.3 a statement signed by the candidate declaring that, except where
indicated by specific reference, the work submitted is the result of the
candidate’s own investigation and the views expressed are those of the
candidate;
.4 a statement signed by the candidate declaring that no portion of the
work presented has been submitted in substance for any other degree
or award at this or any other university or place of learning, nor is being
submitted concurrently in candidature for any degree or other award.
The preliminary pages of the thesis may also include a dedication,
acknowledgements, list of abbreviations and similar (these are not
compulsory);
.5 a list of contents, which includes the page number for each item listed.
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3.2.2 an additional loose copy of the summary;
3.2.3 a completed 'Notice of Submission' form.
3.3 Where portions of investigation were conducted in collaboration with, or with
the assistance of, others, the extent and nature of these contributions
should be highlighted clearly in acknowledgements, as well as referenced
within the main body of the text.
3.4 All theses shall be presented in English or Welsh. Quotations and technical
terms, however, may be given in the language in which they were written.
3.5 Candidates must ensure that material authored by a third-party that has
been used in their thesis has been sufficiently acknowledged.
3.6 Bibliographic citations and references must be consistent throughout the
thesis.
3.7 A candidate may not amend, add to or delete from the thesis after it has
been submitted, unless this is required as a result of a decision of an
Examining Board.
4 FORMAT FOR THE PRESENTATION OF THESES
4.1 For the main text of the thesis, double or 1.5 spacing in a font type and size
which ensures readability must be used (for example 11 point in a font such
as Arial, Trebuchet, or Helvetica).
4.2 Characters employed in all other texts (e.g. footnotes) must not be less than
10 point. Single spacing may be used for the summary, quotations,
footnotes and references.
4.3 The thesis may be single-sided or double-sided: the normal expectation is
that the thesis will be double-sided to support the University's sustainability
agenda.
4.4 To aid readability, the margin at the binding edge of any page should be not
less than 40mm; other margins should be not less than 20mm.
4.5 Preliminary pages must be numbered in roman numerals. Thereafter page
numbering must consist of a single sequence of Arabic numerals throughout
the thesis.
4.6 A4 paper must be used and should be of good quality and sufficient opacity
for normal reading.
4.7 Drawings, figures, charts, etc. may be in black ink and/or in colour; in all
cases they must be clear and legible.
4.8 Diagrams, maps and similar documents, of a size unsuited to be bound
within the thesis, should be submitted in a portfolio of reasonable size and
shall bear the particulars stated to be necessary for the volume.
5 ADDITIONAL MATERIALS
5.1 Candidates may submit non-text material, such as audio or video
recordings, with their thesis, if such material forms a useful addition to, or
explanation of, work contained in the written submission and if such material
228
constitutes the most appropriate method of presenting the information
concerned. Any material of this type shall be submitted in a format approved
by the candidate’s School for the purpose of the examination.
5.2 SPECIAL PROVISION IN RESPECT OF PROJECTS INVOLVING DESIGN
In the case of candidates for PhD and MPhil, where design is an integral
part of the research investigation and has given rise to material that cannot
be bound into the thesis, the submission shall include drawings, models or
other forms of presentation that result from the design. The design work(s)
shall be recorded for examination in an appropriate format determined by
the relevant School and form part of the final record.
6 SPECIAL PROVISIONS RELATING TO THE CREATIVE AND
PERFORMING ARTS
6.1 In the case of candidates for the degree of PhD in Creative Writing, the
submission will take one of the following forms:
i. For prose (novel, short story, work of creative non-fiction or play/film
script), the creative portion and critical commentary will not normally
exceed 100,000 words with the critical commentary comprising not less
than 20,000 words;
ii. For poetry, a collection of poetry, prose poetry or micro-fiction
amounting to around 60 pages, with an accompanying critical
commentary of not less than 20,000 words;
iii. An integrated Creative/Critical submission of no more than 100,000
words.
6.2 In the case of candidates making practice-led submissions for the degree of
PhD or MPhil in Music, the submission should take one of the following
forms:
a major work or portfolio of works of original composition, accompanied
by a written commentary (of between 10,000 and 20,000 words for
PhD; of between 5,000 and 10,000 words for MPhil) providing a critical
analysis and placing the work in its academic context. The submission
should include supporting recorded material in an appropriate format
determined by the School of Music for the record and form part of the
final submission; or
a public recital or public lecture-recital of approximately ninety minutes'
duration, together with either a supporting thesis (of between 40,000
and 50,000 words for PhD; of between 20,000 and 25,000 words for
MPhil), or an appropriate scholarly edition with analytical commentary.
The public recital or public lecture-recital shall be recorded in an
appropriate format determined by the School of Music for the record
and form part of the final submission.
7 POST-EXAMINATION: DEPOSIT OF SUCCESSFUL THESES IN THE
DIGITAL REPOSITORY
7.1 Once the Examining Board has made recommendation for an award, and
has approved the required corrections where applicable, the candidate will
be required to upload the final version of the thesis into the University's
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digital repository before confirmation of the award. Candidates may prepare
for their own use printed copies of the final version of the thesis.
7.2 Where the thesis contains material authored by a third-party for which there
are copyright restrictions, the candidate must ensure that the copyright
licence/permission extends to the preservation of the thesis and for making
it available to others for download. Alternatively, the candidate may make
available to others a redacted version of their thesis which excludes the
third-party material.
7.3 The University Awards and Progress Committee will only consider
recommendations for an award following confirmation that the final version
of the thesis has been uploaded into the University’s digital repository or,
where approval has been granted for the thesis to be provided in printed
form only (see 7.4 and 7.5 below), that two printed copies of the final version
of the thesis have been provided to the library.
7.4 The thesis may be held by the University in print form and not stored in the
digital repository where either:
(i) the submission of the thesis is in accordance with the special
provisions relating to the creative and performing arts and a case is
made that availability of the thesis via the University's digital repository
would compromise commercial publication of the work; or
(ii) copyright law requires the redaction of significant parts of a thesis.
In both cases, the two hard bound copies of the final thesis must be
submitted to the library (in accordance with 7.5) and the thesis title and
summary will be recorded in the library catalogue. In the case of special
provisions relating to the creative and performing arts the commentary
element of the thesis must be uploaded to the University’s digital repository
prior to confirmation of the award.
7.5 Where approval is granted by the Chair of Academic Standards and Quality
Committee or his/her nominee for the thesis to be provided in print form
only, theses must meet the following requirements for library deposit:
(i) Theses shall be bound permanently within boards, the binding being of
a fixed kind in which leaves are permanently secured in the manner of
a hardback book. The boards shall have sufficient rigidity to support
the weight of the work when standing upon a shelf;
(ii) The spine shall bear the surname and initials of the candidate, the full
or abbreviated title of the work, the name of the degree for which it was
submitted and the date of submission. This information shall be printed
along the spine in such a way as to be readable when the volume is
lying flat with the front cover uppermost;
(iii) If the work consists of more than one volume the spine shall also bear
the number of each volume.
7.6 Where the thesis is lodged only in print form in the University library (see
7.4), the thesis will be available to staff and students of the University and
made available for inter-library loan.
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8 POST-EXAMINATION: UNSUCCESSFUL OUTCOMES
8.1 All copies of a failed thesis submitted by the candidate shall be returned to
the candidate, once the process of examination (and the hearing of any
subsequent appeal) has been completed.
9 OWNERSHIP AND ACCESS
9.1 Depositing the final copy of the thesis, approved by the Examining Board, to
the University’s digital repository or to the library in print form grants Cardiff
University a licence to store a copy of the thesis, but the student remains the
copyright owner and is free to publish the thesis elsewhere.
9.2 Candidates (other than those whose registration status was staff-
candidature) are not employed by the University and, as such, may own
intellectual property (IP; including copyright) in work which they are solely
responsible for producing. In some circumstances, however, a student
candidate will have assigned his or her ownership interest in IP to the
University or to a third party; this usually relates to sponsorship
arrangements which have required such assignment. In other
circumstances, the student's supervisor(s) or research group will have
contributed to the creation of IP: to maximise the prospect of successfully
commercialising the IP, the student may be encouraged to assign ownership
rights to the University on the same basis as academic staff.
9.3 An accepted principle of academic research at any level is that the research
methods and results should be open to scrutiny, discussion and debate.
Hence, a thesis accepted for a doctoral award or MPhil/MScD shall normally
be openly available and subject to no security or restriction of access. On
uploading the thesis to the digital repository, the candidate shall be required
to confirm either:
9.3.1 that the thesis may be made immediately available; or
9.3.2 that the thesis may be made available after expiry of an approved bar on
access (see below); in this case, the title and summary of the thesis shall
normally be freely available.
9.4 BAR ON ACCESS
Notwithstanding 9.3 above, a request may be submitted to the Chair of the
Academic Standards and Quality Committee to place a bar on access to a
candidate's work for a specified period of time.
9.4.1 An application for a bar on access will be considered where, for example,
there are grounds for commercial or public sensitivity, individual
confidentiality or security, or to allow the author to prepare the work for
publication.
9.4.2 The standard period for a bar on access is 12 months. A bar on access that
exceeds 12 months is considered non-standard.
9.4.3 An application for a bar on access can be made at any time from the outset
of the Programme but must be submitted in advance of uploading the thesis
to the digital repository, preferably before the viva voce examination has
taken place, to allow time for the application to be reviewed and prevent
delays in the awarding of the degree. The application may be made by the
candidate or the supervisor.
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9.4.4 A standard bar on access can be for no longer than 12 months and a non-
standard bar on access can be for no longer than 3 years. Any repeat
applications for a bar on access cannot extend the total period to more than
5 years, unless there are truly exceptional circumstances.
9.4.5 All non-standard and repeat bar on access applications must provide a clear
justification for a bar on access that exceeds 12 months and be endorsed by
the Head of School or his/her nominee. Applications must state whether the
student has been funded by a research council.
9.4.6 Non-standard applications where the grounds are preparing the work for
publication must include evidence that a publishing deal is in place or has a
reasonable level of probability, evidence that the particular publishing house
requires an embargo in respect of web publication, and a clear time-line
which justifies the period requested. If approved on these grounds, a single
print copy of the final thesis must be submitted to the library. The print copy
may be provided in temporary binding or hard back binding (in line with the
requirements of 7.5). The print copy will be held centrally and securely by
Library Service until expiry of the bar and will be available on request to
Cardiff University staff and students and for inter-library loan.
9.4.7 Although the bar shall be regarded as operative as soon as the work is
submitted for examination, the period approved shall be calculated from the
date on which the candidate is formally notified by the University that s/he
has qualified for a degree.
9.4.8 Where a bar on access has been approved, the final version of the thesis
must be uploaded to the University’s digital repository (in line with 7.3) but
will remain in a secure area until expiry of the bar. The summary and title of
the thesis shall normally be freely available.
9.4.9 Any approved bar on access will also apply to members of the University's
staff. However, where the thesis is lodged temporarily in print form in the
University library (as in 9.4.6), the thesis will be available to staff and
students of the University and made available for inter-library loan.
9.4.10 Upon expiry of a bar on access the thesis will become immediately available
via the digital repository unless an application for an extension to the bar on
access has been approved. In addition, for a non-standard bar on access
and where the grounds were for the purposes of preparing the work for
publication, the print copy of the thesis stored in the library will be made
available for collection by the student.
Cardiff University Procedures for the Conduct of Research Degree
Examinations
1. INTRODUCTION
1.1 The purpose of this document is to provide guidance to those involved in
arrangements for and conduct of oral (viva voce) examinations for research
degrees, including Convenors and Chairs of Examining Boards, Examiners
and Candidates, and to outline the University’s expectations of those
involved.
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1.2 This document draws on and expands upon relevant Senate Regulations of
Cardiff University. If there is any discrepancy between Senate Regulations
and this document, Senate Regulations shall take precedence.
1.3 The oral (viva voce) examination is an integral part of the research degree
examination process; it is not merely a ritual. An oral (viva voce)
examination, as described in this document, is mandatory for all research
thesis submissions, with the exception of the MRes.
1.4 For PhD, MD and MPhil degrees, the Examining Board that is constituted for
the purpose of the viva voce examination undertakes the only summative
assessment of a Candidate's work.
1.5 For professional doctorates, including the EngD, directed learning elements
are separately assessed and contribute to the overall assessment of the
Candidate. Nonetheless, an independent research project is a core element
of all professional doctorates and a viva voce examination, as described
here, is required for the assessment of that work.
1.6 The only circumstances in which the viva voce examination requirement can
be waived are where the appointed Examiners are independently of the view
that a resubmitted thesis meets the requirements of the intended degree
award (see below).
2 CRITERIA FOR AWARDS AND THESIS WORD LIMITS
2.1 Criteria for research degree awards are contained within the relevant Senate
Regulations ('Senate Regulations for the Award of the Degree of PhD', etc.),
and are provided on the relevant 'Result and Report Form' for completion by
the Examining Board.
2.2 Senate Regulations also give the maximum word length of a thesis for each
given award: 80,000 words for PhD and EngD, 60,000 for MD, 50,000 for
MPhil. Senate Regulations state that the thesis shall not normally exceed
the given word length. This allows the School and the Examining Board
some degree of flexibility where the nature of the particular thesis lends itself
to a longer than usual length.
2.2.1 In accepting for examination a thesis that exceeds the stated word limit, the
School is required to have determined that its length is appropriate for its
particular form, and is expected to have alerted potential Examiners during
the initial approach and sought their agreement to examine the thesis.
2.3 Particular forms of submission are required for PhD by Published Works and
for research degrees relating to the creative and performing arts. Here,
Senate Regulations stipulate the minimum and maximum word length for the
accompanying written commentary. Similarly, professional doctorate theses,
other than for the EngD, are defined in terms of minimum and maximum
word lengths.
3 RESPONSIBILITIES FOR THE EXAMINATION: HEAD OF SCHOOL,
CONVENOR AND CHAIR
3.1 A Head of School is responsible to the relevant Pro Vice-Chancellor, Head
of College for the overall management of the research students in their
School, including their examination, and for assuring the integrity of the
examination process.
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3.2 Arrangements for the viva voce examination are overseen by the Convenor
of the Examining Board. The Head of School will act as the Convenor or will
delegate this responsibility to another member of senior staff in the School.
3.3 Where the Head of School shares responsibility with an appointed
Convenor, the division of duties should be made clear to all parties.
3.4 The Convenor will act as Chair of the Examining Board or will ensure that
another senior member of the School's staff is appointed to this role. The
Chair is responsible for the fair and proper conduct of the examination and
for guiding the Candidate and Examiners through the proceedings.
3.5 A Candidate's supervisor cannot assume the role of Convenor or Chair.
Where the Head of School is the supervisor s/he must appoint other staff
member(s) to these roles.
4 COMPOSITION OF THE EXAMINING BOARD
4.1 Every research degree Examining Board shall comprise three members: the
Chair; an External Examiner; and an Internal Examiner (except in those
cases where two External Examiners are appointed, see below). No
individual may assume more than one of these roles.
4.2 A Head of School/Convenor may appoint other appropriate persons to act
as expert advisors to the Examining Board if merited by the project's topic or
scope (e.g. an industrially-based doctorate). A person so appointed may be
invited to attend the viva voce examination but has no right to vote on the
decision of the Examining Board.
4.3 Two External Examiners are required where, at the time of thesis
submission, a Candidate is, or has been within the past three years, a
member of Cardiff University staff (at Lecturer grade or above). The
Examining Board will be constituted with a second External Examiner in lieu
of the Internal Examiner.
4.4 Where there is a close personal relationship between the Candidate and a
member of staff in the School concerned, the Head of School/Convenor
should consider the appropriateness of appointing a second External
Examiner, in lieu of an Internal Examiner, to the Examining Board.
4.5 No member of the Candidate’s supervisory team can act as the Internal
Examiner. A supervisor may, however, be invited to attend the viva voce
examination (see below).
5 APPOINTING THE MEMBERS OF THE EXAMINING BOARD
5.1 Examiners must be appointed in accordance with the relevant Cardiff
University Regulations ('Senate Regulations for the Award of the Degree of
PhD', etc.).
5.2 External Examiners are nominated by the Head of School/Chair of the
Examining Board using the ‘Nomination of Examiners’ form and are
appointed by the Academic Standards and Quality Committee.
5.3 The Internal Examiner and the Chair of the Examining Board are appointed
by the Head of School/Convenor. The appointments are reported to the
Registry, using the 'Nomination of Examiners' and 'Confirmation of
Examining Board' forms.
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6 CHOOSING THE EXTERNAL EXAMINER
6.1 Proposal(s) for the External Examiner are generally made by the
Candidate's supervisors(s) to the Head of School/Convenor and their merits
are considered in accordance with the local protocol in the School. The
University expects the supervisor(s) to consult the Candidate on the
proposal(s).
6.2 The External Examiner should possess specialist knowledge and expertise
in the subject area of the Candidate's research project, and should normally:
- be an experienced and published researcher;
- hold a research degree;
- have experience of examining UK research degrees, and particularly
the degree for which the thesis has been submitted;
- hold/have held appointment within the university system at Senior
Lecturer grade or above.
6.3 In certain cases, it may be appropriate to appoint an External Examiner from
outside the university sector (e.g. a leading industrialist, researcher or
professional practitioner), and/or to appoint a relatively inexperienced or
junior External Examiner, where specialist knowledge and expertise is an
overriding consideration. In either case, the School will be required to show
that the Internal Examiner and the Chair are well-experienced in research
degree examination (including for the degree for which the thesis has been
submitted).
6.4 An External Examiner should not normally be a former staff member of the
University or a former higher degree student of the School concerned,
unless at least five years have elapsed since retirement/resignation or
qualification, respectively.
6.5 An External Examiner should not normally be invited on a frequent basis to
examine research degrees in the same School: it is unusual for the same
External Examiner to be appointed more than twice in a three-year period.
6.6 In addition, an External Examiner should not have direct personal or
professional knowledge of the Candidate. It is not uncommon for a
Candidate to have met their External Examiner during the course of their
research studies, e.g. at a conference, and discussed their work: this would
not necessarily prohibit the appointment. The School should exercise
caution, however, and ensure that the nominee has not provided direct
advice or input into the Candidate's project.
6.7 Where a second External Examiner is appointed in lieu of an Internal
Examiner, there some flexibility may be permitted in respect of applying the
criteria for appointment (i.e. 6.2 above).
7 CHOOSING THE INTERNAL EXAMINER
7.1 The Internal Examiner should be a non-probationary member of the
academic or research staff (at grade 6 or above), be competent in the area
of the work to be examined, and have experience in examining research
degrees or have received training for this role.
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7.2 No member of the Candidate's supervisory team can be appointed as the
Internal Examiner.
7.3 It is usual for the Internal Examiner to be appointed from within the School
concerned, but they may be appointed from another School of the
University.
7.4 The person appointed as an Internal Examiner is likely to be known to the
Candidate but it is important that s/he is unconnected to the project and has
an impartial view of the final thesis. Where an appropriate level of
knowledge in the topic is limited in the School and in the University, a Head
of School/Convenor may appoint as an Internal Examiner a member of staff
who has acted as an Independent Reviewer for the student's academic
progress monitoring, so long as:
- the Independent Reviewer has reviewed and commented only on
discrete parts of the Candidate's work, and not the full or substantive
thesis; and
- the Independent Reviewer has not acted in that capacity within the last
12 months of the Candidate's fee-paying registration.
8 ARRANGING THE VIVA VOCE EXAMINATION
8.1 It is the responsibility of the Convenor to ensure that the practical
arrangements for the viva voce examination are made.
8.2 The Convenor is responsible for ensuring the following:
- that a comfortable room is set aside for the examination, in a quiet and
‘neutral’ location;
- that the room is properly accessible, equipped and functioning in
respect of any special provision requests of an Examining Board
member or the Candidate (including any adjustments following
previously reported Extenuating Circumstances), and/or of any specific
requirements identified for the viva voce examination (e.g. if the
Candidate is required to give a presentation, see below);
- that the arrangements for the examination are confirmed, in writing, to
the Candidate and the members of the Examining Board;
- that each Examiner is sent one copy of the thesis, and instruction on
submission of their pre-examination written reports;
- that the Chair and Internal Examiner are provided with the relevant
examination paperwork;
- that the Chair of the Examining Board is notified of any known
extenuating circumstances that may affect the Candidate's
performance during the viva voce examination and is advised of
appropriate action.
8.3 The Registry is responsible for sending the examination paperwork and the
payment forms to the External Examiner when making the appointment. The
Registry also directs the Chair and the Internal Examiner to the relevant
documents on the web when notified of their appointment.
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8.4 The viva voce examination should normally take place within three calendar
months of the date of submission of the thesis. If this is not possible, the
Candidate should be kept informed on the progress being made to arrange
the examination. The viva voce examination must be held within twelve
months of submission unless there are highly exceptional circumstances.
8.5 An examination may not proceed without both the appointed Examiners
being present. In the event of an Examiner’s unexpected incapacity, the
examination must be postponed to another date. If circumstances arise that
prohibit the appointed Chair from attending, the Convenor may appoint a
replacement if an appropriate member of staff is available.
9 HOLDING THE ORAL EXAMINATION AWAY FROM CARDIFF OR BY
ELECTRONIC MEANS
9.1 The viva voce examination should take place at Cardiff University and on a
face-to-face basis with all concerned present in the same room and at the
same time. Notwithstanding this expectation, it is recognised that it may be
necessary - under exceptional conditions - for arrangements to be made for
examinations to take place either in a different location or through electronic
media.
9.2 An application for an examination either to take place in a location other
than Cardiff University or by electronic media should be submitted to the
Registry for the consideration of the Chair of the Academic Standards and
Quality Committee.
9.3 The Convenor may seek approval for the examination to be held in a
location away from Cardiff University if, for example, the Candidate or the
External Examiner has long-term health problems and has difficulty in
travelling.
9.4 The Convenor may seek approval for the examination to be held through
electronic media where:
- conditions have arisen such that it would not be possible otherwise to
proceed with a viva voce examination (e.g. where a student cannot
return to the UK because of visa or other restrictions, or where there is
a limited pool of expertise and the nominated External Examiner is
unavailable to travel to the UK); or
- agreed arrangements for a face-to-face viva voce examination have
had to be abandoned because of unexpected circumstances: e.g.
severe weather; incapacity of one of the participants. (Note that where
such circumstances as these arise, the viva voce examination should
normally be rescheduled rather than be held through electronic media,
unless the Candidate would suffer disproportionately as a result of
postponement.)
9.5 Applications should be made in accordance with Cardiff University's
'Procedure for Examination by Electronic Means'.
10 EXTENUATING CIRCUMSTANCES
10.1 If the Candidate wishes to report any extenuating circumstances that will
have an impact on his or her performance during the viva voce examination,
s/he should notify the Convenor of the Examining Board, providing
supporting evidence as appropriate. The Convenor should take such
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circumstances into account in the timing and/or location of the viva voce
examination and in giving advice to the Chair on the conduct of the
examination. A scheduled examination will be postponed only in exceptional
and unforeseen circumstances.
10.2 If, following the outcome of the viva voce examination, the student feels that
there were extenuating circumstances that impacted on his or her
performance during the examination, s/he may appeal the result via the
Appeals Procedure.
11 PURPOSE OF THE VIVA VOCE EXAMINATION
11.1 The viva voce examination may serve different purposes, according to a
Candidate's differing qualities and those of the written thesis, but the
essential purposes of the viva voce examination are:
- to enable the Examiners to assure themselves that the thesis is the
Candidate's own work;
- to enable the Examiners to assure themselves that the Candidate
understands the research that s/he carried out and what s/he has
written in the thesis;
- to enable the Examiners to assess the Candidate's ability to locate
his/her work within the broader context of the particular field of
scholarship to which the project relates;
- to give the Candidate an opportunity to defend the thesis and to clarify
any obscurities or weaknesses in it: this is particularly important in
borderline cases;
- to enable the Examiners to explore how the thesis might be raised to
the required standard should they be unable to recommend the award
at this stage.
11.2 Examiners may also take the opportunity to discuss with the Candidate their
subsequent research or professional direction and/or to explore prospects
for publication.
12 THE DUTIES OF THE EXAMINERS BEFORE THE VIVA VOCE
EXAMINATION
12.1 The Examiners are required independently to assess the thesis and each to
prepare a written report on their reading of the work. These written reports
are submitted to the Convenor or the Chair of the Examining Board before
the viva voce examination takes place.
12.2 Immediately prior to the viva voce examination, the Examiners will confer
with one another, in the presence of the Chair, in order to:
- exchange copies of their independent reports (if this has not already
been done);
- identify the issues to be raised in the examination;
- agree the broad strategy for the examination - who will ask which
questions and in what order.
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13 THE CONDUCT OF THE VIVA VOCE EXAMINATION: DUTIES AND
RESPONSIBILITIES OF THE CHAIR
13.1 The Chair is responsible to the relevant Pro Vice-Chancellor, Head of
College for the proper conduct of the examination: that it is fair and that due
process is followed. The Chair must remain present throughout.
13.2 The Chair should be conversant with the regulations and criteria governing
the award of the relevant degree in order to be able to advise the Examiners
as required, and be responsible for seeing that the formal documentation is
properly completed once the examination has been held. The Chair is also
responsible for taking proper account of any extenuating circumstances
reported by the Convenor and for adjusting the running of the examination
accordingly.
13.3 The Chair should not allow a candidate to be apprised of the likely result at
the outset of the viva voce examination. To do so would be to deny one of
the primary purposes of the examination - to confirm that the thesis is the
Candidate's own work.
13.4 The viva voce examination should be allowed to run for as long as
necessary for it to serve its proper purpose. This is typically between two
and three hours but may be shorter or longer.
13.5 Specifically, the Chair should:
- greet the Candidate on arrival and introduce him/her to the Examiners;
- take care to put the candidate at ease and explain the form that the
examination will take, as has been agreed by the Examiners;
- ensure that each of the Examiners has proper opportunity to contribute
to the examination process;
- ensure that the questioning of the Candidate is not allowed to become
aggressive;
- ensure that a supervisor, if accompanying the student, does not speak
unless asked specifically, by the Chair, to do so;
- ensure that the correct running order is adhered to (see below).
13.6 A supervisor, if present, must be asked to withdraw before the Candidate so
as to provide the Candidate with an opportunity to say anything to the
Examiners that they would prefer to say without the supervisor being
present. The Candidate should be asked whether they wish to make any
further points pertinent to the thesis or research project or their supervision.
Candidates should not feel obliged to add such comments.
13.7 The Candidate must be asked to withdraw before the Examiners begin their
final deliberations.
14 SUMMARY PRESENTATION BY THE CANDIDATE
14.1 Typically, a viva voce examination starts with the Candidate being asked to
give a brief overview of their research project, the research questions, key
methods or sources and the main outcomes. It has become common
practice in some disciplines/Schools for the Candidate to be asked to
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prepare a presentation for this purpose. In such cases, the Candidate
should not be judged on their presentation skills; it is just a means of
conveying the project summary to the Examiners.
14.2 It is the responsibility of the Convenor to ensure that the Candidate has
adequate notice of such a requirement, to include this aspect in the
notification of arrangements to the Examining Board members and the
Candidate, and to ensure that any necessary equipment is provided and
functioning in the room assigned for the examination.
15 ATTENDANCE OF A SUPERVISOR
15.1 The University permits attendance of the supervisor(s) at the viva voce
examination. Regardless of the prevailing discipline practice concerning
supervisor attendance, all Candidates may invite their supervisor to attend
their viva voce examination. Further, if it is the standard practice of the
School to invite a supervisor and the Candidate is uncomfortable with this
prospect, the Candidate's views should be respected and the supervisor
should not attend. In order to facilitate the arrangement of the viva voce, the
student should inform the Convenor whether they want their supervisor(s) to
attend at the earliest opportunity.
15.2 If attending, a supervisor may offer clarification to the Examining Board on a
given matter, for example if the PhD is linked to a wider research project, but
only when called upon specifically to do so by the Chair; the supervisor may
not contribute in any other way to the discussion or answer questions on
behalf of the Candidate. The supervisor cannot be present at any pre-viva
discussion of the thesis or of the Candidate, and must leave the examination
before the Candidate does so, to give the Candidate the opportunity to
speak freely.
16 COMPLETING THE VIVA VOCE EXAMINATION
16.1 Once the Examiners have concluded their deliberations and agreed a
recommendation, the Candidate should be invited back into the room and
informed of the outcome of the examination. If the Candidate wishes, the
supervisor(s) may also be present.
16.2 If the Candidate has not been successful on this occasion, the Chair should
outline the key deficiencies of the thesis. If the Candidate is permitted to
resubmit, the Chair should advise them that they will, in due course, receive
a written statement of the deficiencies to assist in the revision of the work
(see 19 below).
16.3 If the Candidate has been recommended for the award but this is subject to
corrections and/or amendments, the Candidate should be provided with the
appropriate instruction when called back in to the examination room to be
informed of the outcome: it is the responsibility of the Chair to outline the
areas that require correction or amendment.
16.4 At the conclusion of the viva voce examination, the Examiners should agree
upon, and sign, the 'Joint Examiners' Report' section of the Result and
Report Form, and the 'Formal Recommendation' which must be
countersigned by the Chair.
16.5 The External Examiner is asked to complete an additional section of the
Result and Report Form, 'Comments on Quality and Standards'.
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16.6 The outcome of the viva voce examination should be reported immediately
to the Registry so that official notification can be issued to the Candidate of
the result and of any deadline for the completion of corrections or
resubmission.
16.6.1 Where the recommendation of the Examining Board is to pass the thesis or
to pass the thesis subject to corrections and/or amendments, the original
documentation should be retained by the School until any required revisions
have been carried out satisfactorily and the thesis has been uploaded into
the University's digital repository. The Head of School/Convenor is then
required to confirm successful upload of the approved version into the digital
repository as part of the transfer of information to the Registry.
16.6.2 Where the recommendation of the Examining Board is not a pass, the Head
of School/Convenor should ensure that the examination paperwork is sent to
the Registry immediately following the examination.
17 OUTCOME OF THE VIVA VOCE EXAMINATION: EXAMINING BOARD
RECOMMENDATIONS
17.1 The permitted Examining Board recommendations are contained within the
relevant Senate Regulations ('Senate Regulations for the Award of the
Degree of PhD', etc.), and provided on the relevant 'Result and Report
Form' for completion by the Examining Board.
17.2 The Result and Report Form also includes advice to Examining Boards on
interpreting the decisions available to them. Definitions and example
deficiencies are provided to help the Examiners distinguish between 'pass
subject to minor corrections', 'pass subject to corrections and amendments'
and 'not approved, permitted to resubmit', etc. A thesis should only be
recommended for one of the pass category decisions if it is deemed to be
satisfactory in substance and any defects are in detail and/or presentation.
Where a thesis is not approved, a resubmission within a period of one
further year should only be recommended where the Examiners can see
evidence that the Candidate is capable of modifications required for the
thesis to meet the criteria for an award.
18 EXAMINERS' DISPUTE: FAILING TO REACH AGREEMENT
18.1 In the rare event that the Examiners are unable to reach agreement over the
outcome of a research degree examination, no decision must be recorded.
The Chair of the Examining Board should write, via the Academic Registrar,
to the Chair of the Academic Standards and Quality Committee giving a
clear account of the disagreement. The full Result and Report Form should
accompany this account.
18.2 The Chair of the Academic Standards and Quality Committee shall make
appropriate arrangements for arbitration.
18.3 If an Arbitrating Examiner is appointed, the Candidate may be required to
undergo a further oral examination.
19 WRITTEN ADVICE TO CANDIDATES NOT RECOMMENDED FOR THE
AWARD BUT PERMITTED TO RESUBMIT
19.1 Where the Examiners do not recommend the award of a research degree
but permit a resubmission, then the Candidate will be provided with a written
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statement of the deficiencies of the thesis, which has been agreed by both
Examiners.
19.2 The Convenor will arrange for this statement to be issued to the Candidate
as soon after the examination as is practicable; the University expectation is
that no more than two weeks as a maximum are required to provide the
Candidate with the statement. A copy of the statement shall be given to the
Candidate's main supervisor.
19.2.1 It is the responsibility of the supervisor to advise their student through the
resubmission period. This responsibility cannot be assumed by the Internal
Examiner since doing so would compromise their impartiality in re-
examining the thesis.
19.3 The Data Protection Act provides that all candidates have the right to
request access to any comments or reports made about them, including
those made in the context of the examination.
20 EXAMINATION OF A RESUBMITTED THESIS
20.1 In the case of candidates resubmitting a thesis for further examination, the
original Examining Board should be re-constituted.
20.1.1 Occasionally, circumstances dictate that a member of the original Examining
Board cannot continue in their role. If one of the original Examiners cannot
continue, the Registry must be notified and a replacement appointed
20.2 The Convenor is responsible for ensuring that each Examiner is sent one
copy of the thesis, and instruction on submission of their independent written
reports.
20.3 If the Examiners are both satisfied that the resubmitted work meets the
criteria for the award of the degree for which it is being presented, it is open
to them to waive the viva voce examination requirement on this occasion.
They may still stipulate that some corrections are required.
20.4 If, however, the Examiners do not agree that the thesis can be
approved for the intended degree, a further viva voce examination
must be held.
20.5 The same Result and Report Form template is used for resubmissions. The
documentation should be completed by the members of the reconstituted
Examining Board as above (with the exception of the 'Joint Report on the
Candidate at the Oral Examination' if this has been waived), and the
Convenor should arrange for Registry to be notified, as normal.
21 APPEALS BY CANDIDATES AGAINST DECISIONS OF RESEARCH
DEGREE EXAMINING BOARDS
21.1 A Candidate who is not recommended for the award of the degree for which
s/he submitted a thesis, may appeal against the decision reached by the
Examining Board.
21.2 Permitted grounds for appeal and the procedure are described in the
Academic Regulations Handbook: Academic Appeals Procedure.
22 SUSPICION OF UNFAIR PRACTICE
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22.1 If there is reason to suspect unfair practice either during the examination of
a thesis pre-viva, or during the viva voce examination of the Candidate,
suspicions must be investigated in accordance with the 'Unfair Practice
Procedure (Research Degrees)'.
22.2 'Cardiff University's Policy and Procedures in Relation to Academic Integrity
in Research Degree Study', which includes the Unfair Practice Procedure, is
included in the Academic Regulations Handbook.
Senate Guidelines: Postgraduate Research External Examiners
External Examiners' Reports
These Guidelines are designed to describe the operation of procedures for the
treatment of Postgraduate External Examiner Reports.
1. External Examiners are required to submit an External Examiner's Report to
the University at the conclusion of the examination.
2. The form of the Report shall be as determined by Senate.
3. External Examiners' Reports are received by the Cardiff University Registry
on behalf of the Vice-Chancellor. The Vice-Chancellor has delegated
responsibility for responding to External Examiners' Reports to the
Academic Registrar. Upon receipt of an External Examiner's Report, the
Academic Registrar shall identify any issues which, in the Academic
Registrar's view, require an Institutional Response. The Academic Registrar
shall send such reports and details of issues to which an Institutional
Response is required to the appropriate Head of School.
Where the Report contains comment on the teaching or learning process in
the programme the Head/Dean of School shall make a copy available to the
Chair of the School Teaching Committee, or equivalent body.
Where the Academic Registrar identifies no issues within an External
Examiner's Report which require an Institutional Response informed by the
School, the Academic Registrar shall issue an Institutional Response to the
External Examiner without delay or further input from the School. The
Academic Registrar shall send a copy of the Institutional Response and a
copy of the Report to the Head of School.
4. Reports of External Examiners shall form part of Cardiff University
procedures for Annual Review and Enhancement.
5. It shall be the responsibility of the Head of School to advise the Academic
Registrar of such action as it is intended to take on those issues identified in
the Report in the form of a draft Institutional Response. Draft Institutional
Responses provided to REGIS by persons other than the Head of School
shall be considered to bear the authority of the Head of School.
6. On the basis of the draft Institutional Response, and subject to any further
liaison with the School concerned, the Academic Registrar shall issue an
Institutional Response. The Academic Registrar shall issue a copy of the
Institutional Response to the Head of School.
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7. The Academic Registrar shall report annually and as part of the University's
Annual Review and Enhancement process overseen by the University
Academic Standards and Quality Committee on:
- the operation of procedures for the treatment of External Examiner
reports;
- the compliance of Schools with the requirements of these procedures;
- generic issues of concern and noteworthy practice identified in External
Examiners' Reports.
8. The Vice-Chancellor and/or Academic Registrar may refer any issue raised
in an External Examiner's Report for the consideration of the Academic
Standards and Quality Committee or other appropriate committee for its
consideration. The Vice-Chancellor may also request an immediate
response to an External Examiner's Report from the Head of the relevant
School.
Extension to Time Limit Procedure – Postgraduate Research
Candidates
1. APPLICATION
1.1 This Procedure applies to all registered postgraduate research candidates
during the writing up Stage of their Programme. Postgraduate Taught
student should refer to the Extenuating Circumstances Procedure.
2. DEFINITION
2.1 An extension to a time limit is defined as a period of University approved
extension to the anticipated submission deadline of thesis for postgraduate
research candidates and during the writing up Stage of their Programme.
2.2 An extension to a time limit should not normally exceed 12 calendar months.
3. GENERAL
3.1 The responsibility for approving an extension to a time limit shall lie with the
Academic Standards and Quality Committee, on the recommendation of the
relevant Head of School.
4. CRITERIA FOR APPROVING AN EXTENSION TO A TIME LIMIT
4.1 A time limit for submission may be extended by the University, in
exceptional cases, and only in accordance with the following criteria which
can be demonstrated to have adversely affected the candidate's progress:
4.1.1 ill health;
4.1.2 compassionate grounds;
4.1.3 parental leave;
4.1.4 exceptional professional commitments;
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4.1.5 unavoidable practical or logistical difficulties.
5. HOW TO APPLY FOR AN EXTENSION TO A TIME LIMIT
5.1 An application for an extension to a time limit should normally be made by
the candidate in writing to the Head of School stating:
5.1.1 the original submission date;
5.1.2 the requested submission date; and
5.1.3 the reason for the extension request.
5.2 Applications shall be supported by documentary evidence, including medical
certification where appropriate.
5.3 When an application for an extension to time limit is made the Head of
School should consider the application in the context of a statement on the
case from the student's Supervisor.
5.4 A full and reasoned written case, supported by appropriate independent
evidence, must be endorsed by the Head of School and submitted to
Registry for the consideration of the Academic Standards and Quality
Committee. In all cases, a clear statement from the School concerned
must be supplied, showing that the case has been evaluated and that the
requested extension is considered to be appropriate.
5.5 Where an application is endorsed by the Head of School, the following
details should be provided to Registry:
5.5.1 the name and University number of the candidate;
5.5.2 the candidate's contact details;
5.5.3 the title of the programme of study being pursued by the candidate;
5.5.4 the grounds upon which the extension to a time limit has been supported
including copies of any evidence submitted by the candidate;
5.5.5 the original submission date;
5.5.6 the proposed revised submission date;
5.5.7 a timetable clearly defining the work to be done and timescale for
completion.
5.6 Applications will normally only be considered in advance of the submission
date for the thesis.
5.7 The Head of School should notify the candidate and supervisor, in writing, if
any application is not endorsed and therefore not forwarded for
consideration by the Academic Standards and Quality Committee.
6. CONFIRMATION OF DECISION
6.1 Consideration of applications for an extension to a time limit shall take place
as soon as possible after a request is submitted.
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6.2 The candidate and School will be notified in writing of the decision of the
Academic Standards and Quality Committee by Registry. The candidate will
be informed of any right to appeal against a decision not to grant an
extension to a time limit, or against the length of the extension to a time limit
that has been granted.
7. APPEALS
7.1 The candidate shall be given ten days from the date of notification within
which to lodge an appeal against a decision not to grant an extension to a
time limit.
7.2 Students shall be informed that if they are dissatisfied with a decision of
either the Head of School or College Dean they can request that the
decision is reviewed under the following grounds:
i. procedural irregularities;
ii that the decision was unreasonable and could not be sustained by the
facts of the case;
ii. new relevant evidence unknown to Head of School or College Dean
when making their decision, where students can show good reason
why they could not have provided the evidence before the Head of
School or College Dean considered the extension application.
7.3 The appeal shall be made to the Academic Registrar (or nominee) in writing
and shall contain details of all circumstances relevant to the appeal which
the candidate wishes to be taken into account.
7.4 Appeals shall be considered by a Pro Vice-Chancellor who has had no
association with the first consideration of the application for an extension to
a time limit.
7.5 As part of the appeals process, the Pro Vice-Chancellor shall consider a
report of the deliberations of the Head of School/Academic Standards and
Quality Committee as relevant, any submission by the candidate and such
other evidence as is deemed appropriate.
7.6 The Pro Vice-Chancellor shall determine whether the appeal shall be upheld
and, if so, the length of extension to a time limit, if any, that shall be granted.
7.7 The decision of the Pro Vice-Chancellor shall be final and no further
submissions shall be considered.
Cardiff University: Policy and Procedures in Relation to
Academic Integrity in Research Degree Study
1. PRINCIPLES
1.1 Integrity and honesty are fundamental values in any academic institution.
Integrity and honesty in research are essential to the function of the
academic community, as well as to the University's reputation.
1.2 "All Researchers should maintain exemplary standards of academic practice
and honesty in all aspects of research by reading, understanding and
incorporating these guidelines into their everyday work. Any breach of these
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guidelines may be grounds for disciplinary action." (Cardiff University's
Research Governance Framework)
1.3 All individuals pursuing research degrees at this University are expected to
observe the highest standards of academic integrity and honesty and the
University will deal severely with those individuals found to be in breach of
these standards.
1.4 The University expects that, by virtue of advanced academic standing and of
substantial previous experience in the academic environment, persons
admitted to postgraduate study, enter the University with an awareness of
the general standards for appropriate academic behaviour, and of what
constitutes academic integrity and honesty.
1.5 All candidates registered for postgraduate degrees are assigned at least
one academic supervisor who is expert in the field of study in which the
research project is located. The supervisor will provide support and
guidance as to what constitutes good research practice in the discipline
concerned, but the onus is on the individual to conduct themselves and their
work honestly and ethically.
2. RESEARCH MISCONDUCT: DEFINITION
Research Misconduct specifically encompasses, but is not limited to, the
following:
2.1 piracy – the deliberate exploitation of the ideas from others without proper
acknowledgement;
2.2 plagiarism – the copying of ideas, text, software or data (or various
combinations thereof) without permission or acknowledgement;
2.3 misrepresentation – any deliberate attempt to represent falsely or unfairly
facts or the ideas or work of others, whether or not for personal gain or
enhancement;
2.4 fraud – deliberate deception, which may include the invention, or
fabrication, of data;
2.5 protocols – failure to follow established protocols if this failure results in
unreasonable risk or harm to humans, other sentient creatures generally
recognised in this context, or the environment, and facilitating of misconduct
in research by collusion in, or concealment of, such actions by others;
2.6 removal or damage – intentional, unauthorised removal of or damage to
research-related property of another including apparatus, materials, writings,
data, hardware or software or any other substances or devices used in or
produced by the conduct of research.
3. MISCONDUCT IN RESEARCH DEGREES
3.1 Cases of Misconduct in Research Degrees are, fortunately, quite rare.
When they do arise, they are treated with the utmost seriousness because
they offend the University's research community and damage its reputation.
3.2 The University expects that careless or poor research practices and
referencing techniques will be eliminated through the normal processes of
supervision and progress monitoring within the School.
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3.3 Candidates experiencing difficulty with understanding or practising any of
the accepted norms of research activity shall be provided with remedial
training, by their School or another appropriate provider, as soon as the
problem has been identified.
3.4 In the event that a staff or student candidate for the award of a research
degree of the University is suspected of any Research Misconduct (as
defined above), the matter will be investigated and disciplinary action may
be taken under one of the following Procedures, as appropriate:
3.4.1 misconduct identified before formal thesis submission:
Staff Disciplinary Procedure or
Procedure for Dealing with Allegations of Misconduct by Employees in
Academic Research or
Student Disciplinary Procedure (according to the status of the candidate's
registration);
3.4.2 misconduct identified after formal thesis submission:
Unfair Practice (Research Degrees) Procedure
3.5 Where a case of unfair practice relates to a thesis submitted in candidature
for a research degree of Cardiff University, the normal consequence is
failure – with or without the opportunity to re-submit.
4. UNFAIR PRACTICE PROCEDURE (RESEARCH DEGREES)
Research misconduct, as defined above, may translate into Unfair Practice
in the context of research degree examinations. Unfair Practice is defined
generally as any act whereby a person might obtain for him/herself or for
another, an unpermitted advantage or a better result than his/her abilities
would otherwise secure.
Once a thesis has been submitted for examination, Unfair Practice may be
identified at different stages in the examining/award process:
4.1 AT THE PRE-ORAL EXAMINATION STAGE
4.1.1 Where one or more of the appointed Examiners has reason to suspect that
an Unfair Practice has been committed, this must be reported, in writing, to
the Chair of the Examining Board, before the oral examination is due to take
place. The examination shall proceed and the Examining Board will use the
oral examination as their opportunity to investigate the suspicions raised by
any of the Examiners concerned. It is always open to a Research Degree
Examining Board to require the candidate to undergo a written examination
also.
4.1.2 Should the Examining Board conclude that no offence has taken place, then
it should proceed to make its decision in the normal way and on the basis of
the quality of the thesis and the candidate's performance in the oral
examination and (where relevant) written examination, and to record the
agreed result on the outcome of the examination. This should then be
passed to the Academic Registrar who will confirm the result to the
candidate, in the normal way.
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4.1.3 Should the examining process lead the Examiners to conclude that there is
a prima facie case of Unfair Practice to be answered, the Chair of the
Examining Board shall:
.1 advise the candidate that the examination is suspended pending
further investigation of their submission, in relation to an allegation of
Unfair Practice;
.2 refer the matter to the Academic Registrar, together with a joint report
from the Examiners, detailing the evidence to hand.
4.1.4 The Academic Registrar shall inform the candidate of the case against them
and will proceed to establish a Committee of Enquiry (see 5 below).
4.2 DURING THE ORAL EXAMINATION
4.2.1 A primary purpose of the oral examination is to confirm that the work, as
submitted, is the candidate's own. Should the candidate's performance in
the examination lead the Examiners to believe otherwise, or to doubt the
integrity of the research data presented, and the Examiners are satisfied
that there is a prima facie case of Unfair Practice to be answered, the
examination must be suspended. The Chair should:
.1 advise the candidate that the examination is suspended pending
further investigation of their submission;
.2 refer the matter to the Academic Registrar, together with a joint report
from the Examiners, detailing the evidence to hand.
4.2.2 The Academic Registrar shall inform the candidate of the case against them
and will proceed to establish a Committee of Enquiry.
4.3 AFTER THE DEGREE HAS BEEN AWARDED
4.3.1 Where the University receives a complaint about the integrity of a thesis,
after a research degree has been awarded in the name of the University, the
Head of the School responsible for the examination of the work in question
shall conduct an investigation.
4.3.2 The Head of School shall report his/her findings to the Academic Registrar.
4.3.3 Where the Head of School has concluded that there is a prima facie case to
be answered, the Academic Registrar will then refer the matter to the
University Awards and Progress Committee.
4.3.4 Where the Awards and Progress Committee is satisfied that there is good
cause for deprivation of the award, it shall advise the Chair of Senate
accordingly. S/he will recommend to Council that a Panel be established to
hear the recommendation of the Senate.
4.3.5 The Panel established by Council will hear the recommendation of the
Senate and will receive representation from the person who is the subject of
the recommendation.
4.3.6 The Panel will determine whether there is good cause for deprivation of the
award and recommend accordingly to the Council.
4.3.7 The decision of the Council shall be final.
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5. COMPOSITION OF COMMITTEES OF ENQUIRY (PRE-AWARD)
5.1 A Committee of Enquiry established at the pre-award stage shall comprise 3
senior members of the academic staff/Research Tutors from cognate
research areas within the University, appointed by the Vice-Chancellor.
No member of the Committee will have had any previous connection with
the candidate or his/her research project.
5.2 The Committee of Enquiry shall determine whether:
5.2.1 the case against the candidate is not substantiated – in which case the
thesis will be referred to a newly-constituted Examining Board, to be
examined as if for the first time. No members of the original Examining
Board shall be appointed to the new Examining Board. No further
examination fee shall be payable;
5.2.2 the case against the candidate is substantiated and:
either
.1 the candidate be allowed to revise the thesis and submit it for re-
examination, to the original Examining Board, upon payment of a full
re-submission fee;
or
.2 the candidate be disqualified from further examination by the
University.
6. CONDUCT OF COMMITTEES OF ENQUIRY
Committees of Enquiry into alleged Unfair Practice in Research degrees will
be conducted in the same manner as Committees of Enquiry investigating
allegations of Unfair Practice against candidates pursuing taught
programmes of study, as detailed in the University's Unfair Practice
Procedure (Taught Programmes).
7. APPEALS AGAINST THE DECISION OF A COMMITTEE OF ENQUIRY
7.1 A candidate for a research degree who has been found guilty of unfair
practice may lodge an appeal against the decision of the Committee of
Enquiry only on grounds of:
7.1.1 irregularities in the conduct of the Unfair Practice Procedure;
or
7.1.2 extenuating circumstances not brought to the attention of the Committee of
Enquiry and which can be shown to be relevant to the unfair practice. In
appeals based on these grounds, the appellant must show good reason why
such extenuating circumstances were not made known to the Committee,
either before or during its meeting.
7.2 The Vice-Chancellor may disallow an appeal that is based wholly on factors
which were known to the Committee of Enquiry when the penalty was
imposed.
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7.3 The Vice-Chancellor will refer an appeal (which has not been disallowed
under 7.2 above) to the University Appeal Board (Research Degrees).
7.4 The Appeal Board may decide to confirm, vary or disallow the penalty
imposed by the original Committee of Enquiry.
7.5 The Appeal Board (Research Degrees) shall comprise:
The Vice-Chancellor or his/her nominee, plus
2 members of the Academic Standards and Quality Committee, chosen by
the Vice-Chancellor.
8. FURTHER ACTION TO BE TAKEN AGAINST MEMBERS OF
UNIVERSITY STAFF IN RELATION TO UNFAIR PRACTICE
8.1 Where an allegation of Unfair Practice against a member of the University's
staff is substantiated, the Staff Disciplinary Procedure may be invoked once
the opportunity for appeal has lapsed or an appeal has been disallowed or
rejected.
Part 2
Study
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STUDY - GUIDANCE ON UNIVERSITY PROCEDURES
The Procedures listed in the following section of the Academic Regulations
Handbook are formal University procedures relating to a student’s actions, behaviour
or progress. In many instances, discussing concerns with a student when they first
emerge, taking informal measures, and acting upon early intervention can help to
resolve a concern before the need to implement a formal University procedure. The
purpose of the guidance below is to provide a useful framework for all staff in dealing
with concerns about a student.
When exploring any initial concern with a student, a non-judgmental, supportive and
flexible approach should be used. Staff involved are encouraged to view the steps
outlined in the guidance as a framework. Appropriate adjustments may be made
according to the needs of the student and their individual situation. If the staff
member has any queries, they should discuss this with their Head of School (or
nominee), Student Support and Wellbeing or the Student Cases Team (Registry and
Academic Services) as appropriate to the circumstances and University Procedure.
If a meeting would be helpful:
informally invite the student to attend a meeting with an appropriate member
of staff (in a School environment this would most likely be the student’s
Personal Tutor) to discuss the matter;
if the staff member feels it would be helpful, they should gather any relevant
information and clarify any action already taken. This may include notes from
any previous informal discussions that have taken place; information about
non-attendance; or asking staff colleagues if they have any concerns (whilst
maintaining compliance with policies on sensitive data and confidentiality);
the student may be accompanied by a friend or other appropriate
representative (e.g. from the Students’ Union)..
In the meeting it may be appropriate to consider the following points if relevant to the
individual situation:
identify and explain the nature of the concern being raised, provide clear
examples as the student may not have realised the impact of their actions;
encourage the student to give their perspective on what is happening and the
cause of the issue. If appropriate, seek clarification as to whether this has
happened before and if so what action has been taken;
clarify how/if the current behaviour contravenes University regulations. Draw
attention to any rules that the student may be breaching;
ensure that the student understands that they have a personal responsibility
to be well enough to study and to be respectful of others;
discuss appropriate measures to help the student manage their workload, or
consider any reasonable adjustments (for disabled students) that may
alleviate any health concerns and assist the student in the University
environment;
provide information about any relevant University support services that the
student may benefit from;
signpost external support services that the student may make use of.
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advise the student to get help through their GP (if appropriate) or contact/visit
the student Health Centre/Service;
in conjunction with the student, agree upon any actions to be taken, or
support to be provided;
invite the student to meet with the staff member again to follow up on any
actions; address any additional issues; to confirm that any concerns have
been resolved; or if actions have not resolved the concern then to discuss
with the student how one or more of the following University Procedures will,
or may, be used to address the situation.
After the meeting, a record of the meeting (such as an email sent to the student
containing notes from the meeting), including support measures discussed, should
be kept on file confidentially by the member of staff at the meeting as a matter of
course. It is good practice to retain records of meetings for the duration of a
student’s candidature plus one year.
Student Support and Wellbeing can offer confidential support for any student or staff
member who requests support. If at any time a staff member feels out of their depth,
unable to support a student, or unsure of student-staff boundaries, they should seek
advice from their Head of School or the Head of Student Support and Wellbeing.
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Student Attendance and Engagement Procedures: Overview
1. PROCEDURES AND DEFINITIONS
1.1 The following Procedures relating to student attendance and engagement
apply to all registered students (full-time and part-time) of the University:
Interruption of Study Procedure
A student absent for more than 10 consecutive study days will apply for
an authorised absence in accordance with this Procedure.
If a student is known to be absent from their Programme of Study for
more than 10 consecutive study days, a Head of School, or nominee,
may authorise the absence in accordance with this Procedure.
Non-Engagement with Programme Procedure
If a student fails to comply with the University’s Minimum Requirements
for Demonstrating Engagement, action will be taken in accordance with
this Procedure.
Unsatisfactory Academic Progress Procedure
If a student is failing to meet the academic requirements of their
Programme of Study or failing to comply with requirements relating to
timetabled activities, action will be taken in accordance with this
Procedure.
Research Student Progress Monitoring Procedure
Postgraduate research student progress will be supported and
monitored to maximise the likelihood of their completing their degree
successfully and within the expected timescale in accordance with this
Procedure.
1.2 The following definitions will apply to Procedures relating to student
attendance and engagement:
.1 Exclusion – the discontinuance of the registration of a student on
his/her Programme(s) of Study for a specified period of time or
permanently.
.2 Engagement Contacts – Study-related activity that will be monitored
to ensure that students are satisfying the minimum University
requirements for demonstrating engagement.
.3 University Minimum Requirements for Demonstrating
Engagement
A student shall demonstrate engagement with their studies through the
following means:
.1 Taught Programmes Registration to Study with the University
Collection of Student Card and demonstration of eligibility
to study in the UK (for new students)
Payment of Tuition Fees
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Confirmation of Programme of Study and Modules
Engagement Contacts
o Submission of Coursework
o Attendance at Examinations/Class Tests
o Contact with Personal Tutor
o Use of University IT systems;
.2 Placement (or a period of study away from the University)
greater than 4 weeks on a Taught Programme
Heads of School will specify minimum requirements for
demonstrating engagement and ensure that the minimum
requirements are monitored and recorded throughout the
placement period;
.3 Research Programmes
Registration to Study with the University
Collection of Student Card and demonstration of eligibility
to study in the UK (for new students)
Payment of Tuition Fees
Confirmation of research degree details
Engagement Contacts
o Initial and Six-monthly Reporting
o Annual Progress Review
o Use of University IT systems.
.4 Heads of School may specify additional and supplementary
Engagement Contacts for Programmes to satisfy Professional,
Statutory and Regulatory Body (PBBR) requirements.
Guidance
Registration to study
with the University
A student’s registration with the University is
recorded on the Student Information
Management System (SIMS).
Collection of Student
Card
Collection of a Student Card is recorded on
SIMS.
Confirmation of
Programme of Study
and modules/
Confirmation of
research degree details
A student will confirm Programme of Study and
module/research degree information via the
Student Information Management System
(SIMS).
Engagement
Contacts:
Submission of
coursework and
attendance at
Examinations/Class
Test
If a student does not submit coursework or
does not attend an examination and does not
provide evidence of extenuating circumstances,
a mark of zero and a grade of X will be entered
on SIMS.
Contact with Personal
Tutors
A student should meet with his/her Personal
Tutor a minimum of once each Semester.
Heads of School will ensure that records to
confirm or otherwise that a student has made
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contact with his/her Personal Tutor a minimum
of once each Semester are maintained.
Use of University IT
systems
The University will make available to Heads of
Schools a report which details any students
who have not made use of University IT
systems in two consecutive weeks during the
academic year. IT system use which will be
monitored will be Learning Central, GradeMark,
Library Management System (Voyager) and the
Student Information Management System
(SIMS). Email will not be used as an indicator
of engagement.
Initial/Six-monthly
Reviews and Annual
Progress Reviews
Completion of Initial/Six-monthly Reviews and
Annual Progress Reviews will be recorded on
SIMS
A student is regarded as not satisfying the University’s minimum requirements for
demonstrating engagement if a student misses any five consecutive Engagement
Contacts.
1.3 Application of these Procedures and consequent action by the University to
notify external agencies regarding individual students will be fully consonant
with the requirements arising from statutory provision.
2. STUDENT RESPONSIBILITIES
2.1 All students are required to be engaged with their Programme of Study for
the full duration of the published session dates for their Programme of Study
and to satisfy at all times the University’s Minimum Requirements for
Demonstrating Engagement with their studies. Students will also be
expected to demonstrate that they are making satisfactory academic
progress by complying with the academic requirements of their Programme.
2.2 Students must complete registration and new entrants must verify identity
and eligibility to study, and be issued their Student Card by the latest start
date which shall be no later than two weeks after the start of teaching on
their Programme, or such earlier date as may be specified by the Head of
School. Students should not attend any lectures, seminars, tutorials, or any
other study related activity until they have completed registration, and new
entrants been issued with their Student Card.
2.3 All students are required promptly to notify the School of all short-term
absences (an absence of 10 consecutive study days or less due to illness or
other circumstances) from their Programme of Study and also to report
extenuating circumstances to be referred to the School’s Extenuating
Circumstances Group.
2.4 It is the responsibility of the student to ensure that any necessary actions
that are required to mitigate against the academic implications of short-term
absences are agreed with the staff concerned.
2.5 Students must submit promptly an application for an Interruption of Study if
they are absent for more than 10 consecutive study days.
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2.6 Students must respond promptly to any request received from a member of
University staff regarding compliance with Procedures relating to student
attendance and engagement.
Guidance
3. STAFF RESPONSIBILITIES
3.1 Academic Registrar
If a student does not register with the University or does not collect a
Student Card by the latest start date, the Academic Registrar, or nominee,
will initiate proceedings under the Non-Engagement with Programme
Procedure. The Academic Registrar, or nominee, is responsible for
259
ensuring that students annually register to study with the University and that
all new students are issued with a Student Card.
3.2 Director of Finance
If a student does not pay tuition fees in accordance with an agreed payment
schedule, the Director of Finance, or nominee, will initiate proceedings
under the Procedures in the Event of Non-Payment of Tuition Fee. The
Director of Finance is responsible for ensuring that registered students
annually pay tuition fees in full to the University.
3.3 Head of School
3.3.1 Heads of School are responsible for ensuring that students are informed of
the requirements for their Programme of Study, specifying:
.1 the University Minimum Requirements for Demonstrating Engagement;
.2 where appropriate, supplementary Engagement Contacts to satisfy
Professional, Statutory and Regulatory Body requirements;
.3 the academic requirements of their Programme of Study and
requirements in relation to timetabled activities;
.4 where appropriate, minimum requirements for demonstrating
engagement during a Placement (or a period of study away from the
University) greater than 4 weeks.
3.3.2 Heads of School are responsible for ensuring that the University Minimum
Requirements for Demonstrating Engagement of registered students are
accurately recorded and that all absences from study reported by students
are retained by the School from the first day of absence or as soon as
possible thereafter.
3.3.3 Heads of School are responsible for ensuring that the Research Student
Progress Monitoring Procedure is completed for all postgraduate research
students.
3.3.4 The Head of the home School, or nominee, shall be responsible for taking
action under the Non-Engagement with Programme Procedure if a student:
.1 does not confirm their Programme of Study and modules or does not
confirm their research degree details by the latest start date; or
.2 is not satisfying the University’s Minimum Requirements for
Demonstrating Engagement or additional and supplementary
Engagement Contacts for Programmes to satisfy Professional,
Statutory and Regulatory Body requirements; or
.3 if there are any concerns regarding a student’s engagement.
3.3.5 The Head of the home School, or nominee, shall be responsible for applying
the Interruption to Study Procedure if a student is known to be absent for
more than 10 consecutive study days and has not submitted an application
for an Interruption of Study but has consented to the Procedure being
applied on their behalf. If the student does not consent to the Interruption of
Study Procedure being applied on their behalf, the Head of the home
School, or nominee, shall apply the Unsatisfactory Academic Progress
Procedure.
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3.3.6 The Head of the home School, or nominee, shall be responsible for taking
action under the Unsatisfactory Academic Progress Procedure if there are
concerns that a student is not satisfying the academic requirements of the
Programme.
3.3.7 The Head of the home School, or nominee, shall inform the Head of the
partner School if any action is being taken in accordance with the
Procedures relating to student attendance and engagement.
Guidance
3.4 Senior Academic
The responsibility for considering appeals against Exclusion on a temporary
or permanent basis shall lie with a Senior Academic who has had no
previous involvement with the case.
The Vice-Chancellor will appoint a pool of senior members of the Academic
Staff (Senior Academics) to consider appeals under the Student Attendance
and Engagement Procedures. Each College will be required to nominate a
minimum of two senior members of the Academic Staff for consideration by
the Vice-Chancellor to join the pool. The Academic Registrar, or nominee,
261
shall appoint one Senior Academic from the pool to consider each individual
appeal.
Interruption of Study Procedure
1. APPLICATION
1.1 A student absent for more than 10 consecutive study days shall request an
authorised absence by submitting an application for an Interruption of Study.
An Interruption of Study should not normally exceed 12 months for any
category of student.
1.2 If a student is known to be absent for more than 10 consecutive study days
and satisfies the conditions for an Interruption of Study but has not applied
for an Interruption of Study, this Procedure can be applied by a Head of
School, or nominee, if the student consents. If the student does not consent
to the Interruption of Study Procedure being applied on their behalf, the
Head of the home School, or nominee, shall apply the Unsatisfactory
Academic Progress Procedure.
1.3 Applications for an Interruption of Study should be made in writing to the
Head of School stating:
.1 the duration of the Interruption of Study being sought; and
.2 the reason for the Interruption of Study with supporting evidence.
1.4 Before applying for an Interruption of Study, students are advised to consult
with their Personal Tutor or Supervisor in order to discuss the circumstances
relating to the request and the likely academic implications of the
Interruption of Study. Further guidance on any non-academic implications,
including financial or student visa, can be sought from the relevant
professional services departments.
1.5 An application for an Interruption of Study shall be considered by the
relevant Head of School, or nominee.
1.6 Consideration of an application for an Interruption of Study shall take place
as soon as possible after a request is submitted. Arrangements for the
refund of any fees relating to a period can only be made from the date at
which the student’s absence was first recorded within the University.
2. CRITERIA FOR APPROVING AN INTERRUPTION OF STUDY
An Interruption of Study may be granted on the following grounds:
2.1 Ill Health
Interruption of Study may be granted to a student on grounds of illness.
2.2 Maternity
Interruption of Study may be granted to a student on grounds of maternity.
262
2.3 Parental Leave
Interruption of Study may be granted on grounds of parental responsibility
that would prohibit study.
2.4 Sabbatical Office
Interruption of Study may be granted to a student who has been elected to a
sabbatical post in the Students' Union.
2.5 Work Experience
Interruption of Study may be granted to students on non-sandwich
Programmes in order that they may obtain work experience, provided the
experience to be gained is relevant to the Programme. Students who are
pursuing a sandwich Programme shall not normally be granted an
Interruption of Study in order to obtain further work experience, unless there
are exceptional circumstances, supported by a statement from the
prospective employer.
Students in the UK on a student visa shall not be permitted an Interruption of
Study for work experience in the UK.
2.6 Exceptional Professional Commitments
Interruption of Study may be granted to students registered on part-time
Programmes due to exceptional professional commitments.
2.7 Study Abroad
Interruption of Study may be granted to students registered on Programmes
which do not already include an intercalated year abroad in order that they
may study at an institution of higher education overseas, provided that the
experience to be gained is relevant to the Programme. Students who are
pursuing a Programme which includes an intercalated year shall not
normally be granted an Interruption of Study in order to complete a further
period abroad, unless there are exceptional circumstances, supported by a
statement from the host institution of higher education.
2.8 Compassionate Grounds
Interruption of Study may be granted on compassionate grounds where the
alteration in the personal, domestic or family circumstances of the student
justifies such a request.
2.9 Financial Hardship
Interruption of Study may be granted on grounds of financial hardship
provided that these have arisen as a result of changed circumstances
beyond the student's control and that the Interruption of Study is not being
sought in order to avoid the University's fee collection procedures.
(Postgraduate students should note that Research Councils will not accept
an Interruption of Study on grounds of financial hardship.)
2.10 Academic Grounds
The Head of School, or nominee, may, exceptionally and where it is:
- considered to be in the student’s best interest; and
263
- wherever practicable, with the student's agreement
require a student to undergo a period of Interruption of Study to ensure the
student rejoins the Programme of Study at an appropriate point in the
academic year.
3. APPROVAL OF AN INTERRUPTION OF STUDY
3.1 The Head of School, or nominee, shall, on receipt of an application for an
Interruption of Study from a student, decide whether to approve or reject the
application.
3.2 When considering a request for an Interruption of Study, the Head of
School, or nominee, shall take into account:
.1 any difficulties arising from changes to the structure and content of the
Programme which will take place during the period of the interruption:
students will normally be required to pursue the Programme as offered
at the time studies are resumed;
.2 any arrangements regarding assessment so that the student is neither
advantaged nor disadvantaged compared with other students pursuing
the same Programme. Having determined the nature of these
arrangements, the Head of School, or nominee, shall provide the
student with a written statement of those assessment requirements
which will be allowed to stand and any that will be held over until the
return to study. This statement shall include details of any revised
submission deadlines.
3.3 An Interruption of Study or multiple interruptions of study for a period in
excess of twelve months shall only be granted in exceptional circumstances.
Such absences are subject to approval by the Academic Standards and
Quality Committee, on a recommendation from the Head of School, or
nominee, which may include a recommendation on the appropriateness of
allowing assessed work to be carried over.
3.4 The Head of School shall retain details of all applications for an Interruption
of Study, including any supporting documentary evidence.
4. RESTRICTIONS ON APPLICATIONS
Taught Students
4.1 Applications for an Interruption of Study shall not be considered by a Head
of School, or nominee, during a formal assessment period for the
Programme.
4.2 If a student applies for an Interruption of Study during these times he/she
shall be advised by the Head of School, or nominee:
.1 that the closing date for receipt of applications has passed and that
Senate Regulations governing the conduct of Examinations/
Assessments shall apply and, if appropriate, the student should submit
an application for Extenuating Circumstances;
.2 that he/she should write to the Head of School explaining his/her
circumstances, providing a medical certificate or other documentary
evidence as appropriate;
264
.3 that the application for an Interruption of Study will not be considered
by the Head of School until the end of the formal assessment period;
.4 that any decision of the Head of School shall be taken independently
and shall not prejudice any subsequent decision of the Examining
Board.
Postgraduate Research Students
4.3 An Interruption of Study should not be used as a substitute to seeking
approval for an extension to a student's candidature.
4.4 Applications for Interruption of Study will not be considered where the date
of return exceeds the submission deadline. In such cases, a formal
extension to the thesis deadline should be sought before the submission of
an application for and Interruption of Study [see Extension to Time Limit
Procedure].
4.5 An Interruption of Study cannot be granted once the deadline for thesis
submission has passed. Thereafter, a candidate, who is still intending to
submit, will be required to apply for an extension to his/her submission
deadline.
4.6 The submission deadline will not be automatically extended by a length of
time commensurate with the Interruption of Study. Extensions to time limit
will be considered in accordance with Extension to Time Limit Procedure.
5. CONFIRMATION OF DECISION
5.1 Where an application is approved, the following details should be provided,
as relevant, to the Academic Registrar:
.1 the name and University number of the student;
.2 the title and year of the Programme being pursued by the student;
.3 the grounds upon which the Interruption of Study has been granted
including copies of any evidence submitted by the student such as a
medical certificate;
.4 the date of the start of the absence;
.5 the date of return to study;
.6 the point in the Programme at which the student will be permitted to
return, together with a detailed statement of any implications for the
assessment of the student;
.7 the details of any conditions which must be satisfied before the student
shall be permitted to return to the University, which may include an
occupational health assessment.
5.2 The student will be notified in writing of the decision on their application for
an Interruption of Study by the Academic Registrar, or nominee. The
student will be informed of the right to appeal against a decision not to grant
an Interruption of Study, or against the length of the Interruption of Study
that has been granted (see Student Attendance and Engagement
Procedures: Appeals and Return to Study).
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5.3 Where a student is granted an Interruption of Study and is subsequently
granted a refund of tuition fees for the duration of the absence, he/she shall
cease temporarily to be a registered student of the University. As such any
entitlement to the use of University facilities shall be suspended until the
student resumes the payment of fees. The Academic Registrar, or nominee,
shall notify the relevant parties within the University.
5.4 The student's financial sponsor, if any, will be notified by the University of
the Interruption of Study, in accordance with the timescales arising from
statutory and other requirements. A refund of tuition fees will be made as
appropriate.
Guidance
266
Non-Engagement with Programme Procedure
1. The following Procedure shall be used where a student:
.1 has not registered to study with the University; or
.2 has registered to study with the University but has not collected their
Student Card; or
.3 has registered to study with the University but has not confirmed their
Programme of Study and modules or has not confirmed their research
degree details by the latest start date; or
.4 is not satisfying the University’s Minimum Requirements for
Demonstrating Engagement or additional and supplementary
Engagement Contacts for Programmes to satisfy Professional,
Statutory and Regulatory Body requirements; or
.5 there are any concerns regarding a student’s engagement.
2. In the case of 1.1 and 1.2, the Academic Registrar, or nominee, shall write
to the student reminding them of the requirement to register with the
University and to collect their Student Card. The written communication will:
.1 invite the student to meet with a member of staff to discuss their
registration on their Programme of Study;
.2 seek confirmation from the student whether they wish to interrupt or
discontinue their studies; and
state that continued failure to complete registration with the University will
result in their Exclusion from the University.
If the student does not register to study with the University and/or collect
their Student Card within one week of issue of the written communication,
the student will be informed in writing by the Academic Registrar, or
nominee, that they are permanently excluded.
The student will be informed of their right to appeal against this decision
(see Student Attendance and Engagement Procedures: Appeals and Return
to Study).
3. In the case of 1.3, the Head of School, or nominee, shall write to the
student reminding them of the requirement to confirm their Programme of
Study and modules or confirm their research degree details by the latest
start date. The written communication will:
.1 invite the student to meet with a member of staff to discuss the
confirmation of their Programme of Study and modules or confirmation
of their research degree details;
.2 seek confirmation from the student whether they wish to interrupt or
discontinue their studies; and
state that continued failure to confirm their Programme of Study and
modules or confirm their research degree details with the University will lead
to their Exclusion, temporarily or permanently, from the University.
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If the student does not confirm their Programme of Study and modules or
confirm their research degree details within one week of issue of the written
communication, the Head of School, or nominee, shall inform the Academic
Registrar that the student should be excluded, temporarily or permanently.
The Academic Registrar, or nominee, will inform the student of the decision
of the Head of School that they are excluded, permanently or temporarily.
The student will be informed of their right to appeal against this decision
(see Student Attendance and Engagement Procedures: Appeals and Return
to Study).
4. In the case of 1.4 and 1.5, the Head of School, or nominee, shall write to
the student reminding them of the requirement to engage with their
Programme. The written communication will:
.1 invite the student to meet with a member of staff to discuss their
engagement with their Programme of Study;
.2 seek confirmation from the student whether they wish to interrupt or
discontinue their studies; and
state that continued non-engagement will result in their Exclusion from the
University.
Where the student does not respond to written communication regarding
their non-engagement within one week of issue of the written
communication and provide evidence of engagement with their Programme,
the Head of School, or nominee, shall inform the Academic Registrar that
the student should be excluded, temporarily or permanently.
The Academic Registrar, or nominee, will inform the student of the decision
of the Head of School that they are excluded, permanently or temporarily.
5. Temporary Exclusions will normally be until the start of the next academic
session.
6. The Academic Registrar and Head of School, as appropriate, shall retain a
record of all correspondence and decisions taken.
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Guidance
269
Unsatisfactory Academic Progress Procedure
1. This Procedure applies to all registered undergraduate and postgraduate
taught students. The procedures for postgraduate research students are
detailed separately in the Research Student Monitoring Procedure.
Schools will monitor a student’s compliance with the academic requirements
of their Programme of Study to ensure that they are making satisfactory
academic progress and bring any issues of concern to the student’s
attention in accordance with this Procedure.
2. Any member of staff may bring to the attention of the Head of School, or
nominee, details of a student whose academic progress is giving cause for
concern.
3. The Head of School, or nominee, shall, on receipt of a report, with
appropriate evidence, decide whether the student's academic progress is
unsatisfactory.
4. If a Head of School, or nominee, decides that the academic progress of a
student is unsatisfactory, he or she shall issue a formal written warning of
possible Exclusion to the student. This communication should contain:
.1 a report on the progress of the student in each Module/Unit of Study
deemed to be unsatisfactory (including those taught in other Schools)
which shall specify how the student has failed to satisfy the
requirements for academic progress on his/her Programme;
.2 the duration the formal written warning shall remain in force for and the
requirements which the student must complete in order to avoid being
recommended for Exclusion together with specific deadlines, where
appropriate;
.3 an invitation to the student to bring to the attention of the Head of
School information in writing relating to any circumstances which might
have had an adverse effect on the student's ability to fulfil the academic
requirements of the Programme.
5. A formal written warning of Exclusion issued to a student shall not specify
either:
.1 achievement of a certain level of performance in one or more formal
Assessments; or
.2 an overall result in the formal progression or qualifying
assessment/Examination, as determined by an Examining Board;
as requirements which the student must achieve.
6. A warning of Exclusion shall not be issued during a formal Examination
Period for the specific Programme, but a warning issued before such a
period may extend into that Period. The warning shall remain in force for a
minimum period of 2 weeks in order that the student may have reasonable
opportunity to improve his/her academic standing. The maximum overall
period during which a student may remain under warning shall be 4 weeks.
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7. At the end of the specified warning period, the Head of School, or nominee,
shall review the progress of the student and shall determine whether:
.1 there has been sufficient improvement and no further action should be
taken: the student should be notified accordingly in writing; or
.2 there has been some improvement but not sufficient for the warning of
Exclusion to be lifted; the period of warning may be extended for one
further period (minimum of 2 weeks and a maximum of 4 weeks) and
the student should be notified in writing in accordance with paragraph
4. The overall period of warning should not exceed 8 weeks from the
date of the letter notifying the student of the first formal written warning;
or
.3 there has been insufficient improvement and that the student should
attend an Exclusion Panel to consider a formal recommendation for
Exclusion. The Head of School, or nominee, shall provide the following
information to the Exclusion Panel:
.1 a copy of the formal written warning including a detailed list of
the requirements which the student was required to complete in
order to avoid being recommended for Exclusion;
.2 a report on the progress of the student in each Module/Unit of
Study (including those taught in other Schools) which shall
specify how the student has failed to satisfy the requirements of
the written warning.
8. If a student has previously been the subject of an official warning of possible
Exclusion and, in the same academic year, the Head of School, or nominee,
again decides that the student's academic progress is unsatisfactory, the
Head of School, or nominee, shall make a formal recommendation for the
Exclusion of the student to an Exclusion Panel.
9. The membership of an Exclusion Panel will be the Head of School, or
nominee, as Chair, and one member of academic staff from the School. No
member of staff should be a member of an Exclusion Panel if they have
been involved in prior consideration of the student case.
10. The Exclusion Panel shall determine whether the student:
.1 shall not be excluded;
.2 shall be excluded temporarily from the Programme for a specified
period with a right to re-enter the programme at a defined point;
.3 shall be excluded permanently from the Programme.
11. If the Exclusion Panel decides to exclude a student, permanently or
temporarily, the student will be notified in writing of the decision by the
Academic Registrar, or nominee. The student will be informed of their right
to appeal against this decision (see Student Attendance and Engagement
Procedures: Appeals and Return to Study).
The Head of School shall retain a copy of all correspondence and decisions
taken.
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Guidance
Student Attendance and Engagement Procedures: Appeals and
Return to Study
1. APPEALS AGAINST EXCLUSION
1.1 The student shall be given 14 days from the date of the letter confirming the
University decision, either in respect of an Interruption of Study or Exclusion,
in which to lodge an appeal. An appeal can be made:
.1 against the decision not to grant an Interruption of Study or against the
length of the Interruption of Study that has been granted if the length
granted is shorter than the student requested;
.2 against the decision to exclude the student, either temporarily or
permanently from their Programme;
.3 against the decision not to allow the student to return to study following
an Interruption of Study or a temporary Exclusion.
1.2 Appeals shall be made in writing to the Academic Registrar and shall
contain details of all circumstances and all evidence relevant to the appeal
which the student wishes to be taken into account.
1.3 Appeals shall be considered by a Senior Academic who has had no
association with the first consideration of the case. The Senior Academic
shall be authorised to disallow any appeal which is solely based wholly on
facts which were known when the decision regarding the Interruption of
Study or Exclusion was taken.
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1.4 As part of the appeals process, the Senior Academic shall consider a report
of the reason for Exclusion as relevant, any submission by the student, and
such other evidence as is deemed appropriate.
1.5 The Senior Academic shall determine whether the appeal shall be upheld or
rejected. The decision of the Senior Academic shall be final and no further
submissions shall be considered.
1.6 If the appeal is upheld the Senior Academic shall specify the arrangements
for return to study.
2. CONFIRMATION OF EXCLUDED STATUS
2.1 An excluded person ceases to be a registered student of the University once
the appeal period has lapsed, unless the student concerned lodges an
appeal.
2.2 Where an appeal is lodged the appellant shall remain a registered student
for the duration of the appeals procedure but, in the event that the Senior
Academic confirms the Exclusion, the commencement of the period of
Exclusion shall be backdated to the date of the original decision to exclude
the student.
2.3 From the date of the decision to exclude a student onwards and for the
duration of the Exclusion period, the student concerned shall have no
entitlement to use the University's facilities. The relevant parties within the
University and, where appropriate, the relevant Student Finance
Body/Sponsor/Statutory Bodies shall be informed of the termination or
suspension of registered status by the Academic Registrar, or nominee. In
the event that a student is excluded, no refund shall be made in respect of
fees previously paid for tuition during the period of Exclusion.
3. RETURN TO STUDY
3.1 If the Interruption of Study or temporary Exclusion is not in excess of 12
calendar weeks, the student shall not be required to submit written
confirmation of intention to resume studies unless there were conditions that
were a requirement for returning to study.
3.2 If the Interruption of Study or temporary Exclusion is in excess of 12
calendar weeks, the student shall be required to submit confirmation of the
intention to resume studying, at least one month prior to the expected date
of return. This notification should be sent to the Academic Registrar. If such
notification is not received, re-admission shall be at the discretion of the
Head of School, or nominee.
3.3 Where the Interruption of Study or temporary Exclusion has been approved
on medical grounds and fitness to study has been specified as a condition
for return to study, the University may require students to obtain an
occupational health assessment before resuming study to confirm fitness to
resume studies.
3.4 Where a student fails to comply with any other conditions that were a
requirement for returning to study, the Head of School, or nominee, may
permanently exclude the student from their Programme.
3.5 All students returning to study will be required to register to study with the
University and, where appropriate, collect a Student Card, before they are
eligible to study.
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3.6 Students excluded permanently from their Programme under the terms of
paragraph 6.5 above shall have the right of appeal (see paragraph 4,
Appeals Against Exclusion).
Guidance
Students who require a student visa to study in the UK will be asked to
confirm their intention to return to study at least two months prior to the
expected date of return in order that they have sufficient time to apply for
and obtain a student visa.
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ACADEMIC APPEALS PROCEDURE
This Procedure can be made available in the following alternative formats: braille,
large print, tape, disk and on coloured paper. Please contact Student Cases to
request a copy in your chosen format.
Contents
The following table outlines the Sections of the Academic Appeals Procedure and
the principles that are adhered to by the University when students raise an appeal.
Heading of
Section
What’s included in the
Section
Guiding principle for the section
1
Scope and
definition
When students can raise
an academic appeal.
Students have the right to appeal
against the decision of the Programme,
Composite or PGR viva voce
Examining Board.
2
Grounds of
appeal
The permitted appeal
grounds and the
requirement for evidence.
Appeals are only considered on
permitted grounds, which will be
managed through consistent, fair and
transparent procedures in a timely
way.
3
School
response to
appeal
The requirement for the
Chair of the Examining
Board to provide a
response to the student’s
appeal.
The Chair of the Examining Board
must provide a factual statement and
evidence to be considered alongside
an appeal.
4
Consideration
of the appeal
Who considers the appeal
and the potential appeal
outcomes.
Each appeal will be considered fairly
on the basis of the evidence provided
by someone outside of the School.
5
Appeal Board
The process where, in
exceptional circumstances,
an appeal is referred to an
Appeal Board for further
consideration.
Where an appeal is referred to an
Appeal Board by a Senior Academic, a
student and a School representative
will present information to the Board for
consideration.
6
Reconvening
an Examining
Board
The process for
reconvening an Examining
Board if an appeal is
upheld.
A reconvened Examining Board will
consider information presented in the
appeal and review its original decision
in line with Senate Regulations.
7
Review of the
Senior
Academic’s
or Appeal
Board’s
decision
How to request a review of
the appeal decision if a
student is dissatisfied with
the outcome of the appeal.
A student can request the decision of
the Senior Academic or Appeal Board
to be reviewed to ensure that the
decision is fair and reasonable.
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1 Scope and Definition
1.1 The Programme, Composite or Postgraduate Research Examining Board
(PGR viva voce Examining Board) formally considers a student’s academic
results and recommends action to be taken by the Awards and Progress
Committee in accordance with Senate Regulations.
1.2 The University publishes results and awards and informs students of their
right of appeal via the Student Information and Management System
(SIMS). The information will also be made clearly available to a student in
the programme handbook, University Website and Senate Assessment
Regulations.
1.3 The Academic Appeals Procedure applies to every student on a programme
of study leading to an award granted by Cardiff University, including awards
granted by Cardiff University in partnership with other providers, unless
otherwise stated in the student handbook.
1.4 The Academic Registrar may delegate the operation of the Academic
Appeals Procedure to a nominee.
1.5 A student, following the formal publication of the results by the University,
may appeal against the results by submitting a completed Academic Appeal
Form within 28 calendar days of the published decision. Students must
provide a good reason for submitting their appeal outside of the 28 calendar
days in order for the appeal to be considered. The Academic Registrar or
nominee shall consider the reason for lateness and confirm whether the
appeal will be accepted for consideration; this decision will be final.
Guidance
G1 Publication of Results
The Programme, Composite or Postgraduate Research Examining Board
(PGR viva voce Examining Board) formally considers your results. Examining
Boards are either established groups of academics who convene to consider
a group of students’ results or the Examiners on the Panel who examine the
thesis (PGR viva voce examination).
Following the consideration of the Examining Board, the University will write
to you, via SIMS, to inform you of the formal results and provide details of
your right to appeal against the results.
G2 Informing you of your right to appeal
You can find information about how to appeal in the Student Handbook, on
the University website at www.cardiff.ac.uk/appeals and in your formal results
letter issued via SIMS.
Principle
Students have the right to appeal against the decision of the Programme, Composite
or PGR viva voce Examining Board.
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You can seek independent advice from Student Advice in the Students’ Union
on 029 2078 1410 or at [email protected]. This information will be
provided in all formal correspondence from the University during the
Academic Appeals Procedure.
G3 Nominating a representative to manage your appeal
You can nominate a representative to manage your appeal on your behalf.
The Students’ Union provide independent advisors who can discuss this
option with you. The ‘form of authority’ section on the Academic Appeal Form
enables you to give permission for the following:
to appoint a representative to manage your appeal and act on your
behalf;
if a representative is appointed, to be copied in on any correspondence
relating to your appeal;
to have a supporter copied into communication, please note that a
‘supporter’ is unable to take action on your behalf.
You cannot normally be represented by someone acting in a legal capacity
unless this is requested and agreed as a reasonable adjustment. You cannot
be represented by an employee of the University.
Any reference in this Procedure to a ‘student’ refers to a student or a
student’s representative.
2 Grounds of appeal
2.1 A student may appeal on one or more of the following grounds only:
i. an arithmetical or other error of fact in the results published following
the decision of the Examining Board;
ii. a defect or irregularity in the conduct, the written instructions or written
advice relating to an Assessment either: unknown to the Examining
Board which can be shown to have had an adverse effect on the
student’s performance; or known to the Examining Board and where
the Board has acted unreasonably;
iii. Extenuating Circumstances either unknown to the Examining Board
where the student can show good reason why they could not have
been made known to the Examining Board when the student’s results
were being considered; or known to the Examining Board and where
the Board has acted unreasonably.
2.2 Appeals submitted on any basis other than the permitted grounds, including
the academic judgement of examiners, shall not be admissible and the
Academic Registrar or nominee will inform the student accordingly in writing.
Principle
Appeals are only considered on permitted grounds, which will be managed through
consistent, fair and transparent procedures in a timely way.
277
2.3 A student must include evidence in support of any claims made in the
appeal.
2.4 A student shall normally be informed within 7 calendar days in writing
whether the appeal will be considered under the Procedure. If the appeal is
accepted, the student will receive further information regarding the process
and timeframe of the Procedure and the likely outcomes if an appeal were to
be successful.
Guidance
G4 Arithmetical or other error of fact in the published results
If you believe an arithmetical or other error has occurred in your published
marks, progression or award decision then you should seek clarification from
the University by raising an academic appeal.
If you appeal on the ground of arithmetical or factual error, your marks will be
checked for errors. However, you cannot challenge the academic judgement
of examiners under any University procedure. Appeals made solely on the
basis of academic judgement, for example, that a higher mark was deserved
based on your knowledge, will be rejected.
G5 Defect or irregularity in the conduct of an assessment or written advice
relating thereto
The University normally expects you to raise defects or irregularities in the
conduct of the assessment or in the written advice at the time they occur, by
writing to the Chair of the Examining Board or their nominee. An example of
a defect would be where something disruptive occurs that had a material
effect on an exam or PGR viva voce exam or if there is an error on a
question paper. If a defect affects all students in an examination venue the
invigilators will report it directly to the Examining Board.
You can appeal on this ground if you can demonstrate and provide evidence
that:
a defect or irregularity occurred and it had a serious detrimental impact
on your academic performance;
bias or perception of bias occurred in the marking of your assessment;
the Examining Board has not addressed defects or irregularities that
occurred in the conduct of or the written advice relating to your
assessment;
action the Examining Board took in relation to a defect or irregularity was
unreasonable in light of all the facts.
If as a result of personal circumstances, including a disability, a defect or
irregularity has had a more serious impact on you than the rest of those
affected by the defect, then you should report this to your School using the
Extenuating Circumstances Procedure; more information is available in G6.
You cannot use any of the permitted academic appeal grounds to challenge
matters relating to teaching or supervision provided during your programme.
278
These issues must be raised under the Student Complaint Procedure at the
time they occur which will normally be before the results are received. If you
raise a complaint about the teaching or supervision during your programme,
and it is upheld, this may be considered as a defect or irregularity under the
Academic Appeals Procedure. If you raise a complaint and an appeal then
the appeal may be held in abeyance pending the outcome of the complaint or
both Procedures may continue where they relate to different matters.
G6 Extenuating Circumstances
You can appeal on the grounds of extenuating circumstances if you can
demonstrate and provide evidence setting out:
1. a good reason why extenuating circumstances were not disclosed to the
Extenuating Circumstances Group by the deadline given by the School; and
2. extenuating circumstances which meet the criteria of the Extenuating
Circumstances Procedure and therefore must be:
Severe and exceptional;
Unforeseeable or unavoidable;
Close in time to the assessment, or where you can demonstrate that the
circumstances continued to have an impact on their academic performance
in the Assessment.
You may also appeal against the reasonableness of a decision made in
relation to an application for extenuating circumstances submitted by the
School’s deadline. You would have to demonstrate in writing clearly why
you believe the decision is unreasonable.
G7 Evidence for an appeal
You must attach all relevant evidence to the appeal. You will not normally
be permitted to submit further evidence after the submission of the
Academic Appeal Form. If you believe there is good reason for submitting
evidence after you have submitted your appeal form you will need to give a
justification which will be considered by the Academic Registrar or
nominee, whose decision will be final.
In appeals based on the ground of extenuating circumstances that were
unknown to the Examining Board; evidence is an absolute requirement. If
you do not submit any evidence this may make the appeal ineligible as the
circumstances cannot be substantiated.
G8 The operation of the Procedure and related correspondence
The Academic Registrar will normally delegate the operation of Academic
Appeals to the Head of Student Cases. Any correspondence between the
University and the student or their representative regarding the process will
be directed to and from the Head of Student Cases.
G9 Appeal timeframe and expediting an appeal
Appeals will normally be completed within 90 calendar days. However, if
you believe there is an exceptional reason why your appeal should be
completed more quickly, state this in a covering letter along with evidence,
attached to the appeal. The Academic Registrar or nominee will consider
whether you have provided good reason to expedite the appeal. An
279
example of good reason for expediting an appeal would be in order to meet
a professional or statutory body deadline for a professional programme you
are studying. You should be aware that during the summer period, appeals
cannot normally be expedited to allow students to sit resit assessments.
G10 Making reasonable adjustments to the appeals process
You should confirm on the appeal form if you have a disability which
requires reasonable adjustments to be made to the Academic Appeals
Procedure. Students will receive an acknowledgement letter within 7
calendar days which will confirm what adjustments if any have been made.
G11 Ineligible appeal submissions
An appeal will be ineligible if it is not within the permitted grounds. If your
appeal is ineligible under the Academic Appeals Procedure, you will be
given a letter (known as a Completion of Procedures letter) confirming the
reasons for the decision and whether the information in your appeal will be
referred to any other University procedure.
G12 Data Protection and Confidentiality
You are advised that completed University Academic Appeal Forms and
evidence will be kept securely and will be processed in-line with the Data
Protection Act 1998, including the requirements regarding processing
sensitive personal data, such as health matters. The form and supporting
information will be shared only with appropriate University staff including
your Personal Tutor(s) where relevant and the Chair of the Examining
Board. If your appeal is referred to a reconvened Examining Board,
members of the Board will be aware of your appeal to enable consideration
of the impact of the appeal on your academic performance. Information
regarding any extenuating circumstances will not be discussed at the
Examining Board.
If you are on a Programme leading to professional accreditation and if the
information you submit during an appeal raises concerns regarding your
fitness to practise (for example it reveals a physical or mental health
condition which despite reasonable adjustments or treatment may
adversely affect your fitness to practise the particular profession), it will be
referred to the Head of School as a concern in accordance with the Fitness
to Practise Procedure.
3 School Response to the Appeal
3.1 The Academic Registrar or nominee, shall require a response to an appeal
from the Chair of the Examining Board (who may delegate this role). The
factual statement and accompanying evidence shall set out whether:
i. there is an arithmetical or other error of fact in the results published
following the Examining Board’s decision;
Principle
The Chair of the Examining Board must provide a factual statement and evidence to
be considered alongside an appeal.
280
ii. there was any known defect or irregularity in the conduct, in the written
instructions or written advice relating to an Assessment and if so what
action, if any, was taken by the Examining Board and the reasons for
the action taken; and
iii. any extenuating circumstances reported to the Examining Board, and if
so, any action that was taken including any remedy and the reasons for
taking that action.
3.2 The Chair of the Examining Board or nominee shall normally provide the
written response and evidence to the Academic Registrar or nominee within
14 calendar days of the request.
Guidance
G13 Evidence to support the verification
The Chair of the relevant Examining Board is required to review the
evidence and provide a response to the appeal. Evidence could include:
copies of assessment marks or mark sheets;
extracts from the Examining Board minutes or Extenuating
Circumstances Groups;
the Student Handbook or other student information issued to students;
Extenuating Circumstances Forms previously been considered by the
School.
The Chair must provide a response and evidence for each ground of the
appeal. Where the Board’s decision has been questioned on the ground of
unreasonableness all information the Board considered when reaching its
decision should be provided.
The Chair of the Examining Board shall not normally be permitted to submit
any further evidence following the submission of the response.
4 Consideration of the Appeal
4.1 The Vice-Chancellor will appoint a pool of senior members of the Academic
Staff (Senior Academics) who will be trained to consider appeals under this
Procedure. Each College will be required to nominate a minimum of five
senior members of the Academic Staff for consideration by the Vice-
Chancellor to join the pool.
4.2 The Academic Registrar or nominee shall appoint one Senior Academic
from the pool, not from the same College as the student, to consider the
appeal. In the case of appeals from Postgraduate Research students the
Senior Academic will be appropriately experienced in the regulations
regarding postgraduate research.
Principle
Each appeal must be considered fairly on the basis of the evidence provided.
281
For each appeal, the Senior Academic will consider the Appeal Form and the
evidence submitted by the student, the information provided by the Chair of
the Examining Board, the University Regulations and take one of the
following actions:
i. refer the appeal to a reconvened Examining Board to review the
original decision in light of the information presented; or
ii. reject the appeal; or
iii. in exceptional circumstances refer the appeal to an Appeal Board for
further consideration.
Additionally, for students on Postgraduate Research Degrees where a case
is to be referred back to an Examining Board, the Senior Academic (or
where appropriate, Appeal Board), shall also specify:
a) whether or not the candidate is permitted to make any revisions to the
thesis as originally submitted and if so whether it will require further review
or examination by an Examining Board;
b) whether or not the candidate is deemed to be submitting as if for the first
time or re-submitting;
c) whether or not the candidate will be liable to pay a further examination fee;
d) the deadline for submission/re-submission.
4.3 A student will be informed of the decision and reasoning of the Senior
Academic by the Academic Registrar or nominee. A student will normally
receive this within 38 calendar days of submitting their appeal and evidence.
Guidance
G14 The Senior Academic decision
A Senior Academic will consider your appeal and the verification provided
by the Chair of the Examining Board and will:
refer an appeal to a reconvened Examining Board if it meets the
grounds for appeal criteria and is supported by evidence; or
reject an appeal if it does not meet the grounds for appeal criteria or is
not supported by evidence; or
in exceptional circumstances, refer an appeal to an Appeal Board for
further consideration where a decision cannot be made regarding the
facts of the case.
You will be provided with: the decision of the Senior Academic; the reason
for that decision; and the next part of the process. Upon request, you will
also be provided with the name of the Senior Academic who made the
decision.
282
5 Appeal Board
5.1 An appeal will be referred to an Appeal Board in exceptional circumstances
where a Senior Academic cannot make a decision regarding the facts of the
case.
5.2 Where an appeal is referred to an Appeal Board, the Academic Registrar
shall appoint three Senior Academics as Board members, one of whom shall
be Chair. The Board members will not be from the student’s School or have
a previous material connection to the student.
5.3 The Academic Registrar or nominee will inform the student in writing that an
Appeal Board is to be convened to consider the appeal and confirm:
i. the date, time and venue of the meeting and the student’s right to
representation or support at the Appeal Board;
ii. that a student may attend the Appeal Board to present the appeal; and
the deadline by which the student must advise the Academic Registrar
or nominee in writing, whether or not the student will attend the
meeting and the name of anyone who will be accompany them at the
Appeal Board.
5.4 If the student does not appear at the hearing without reasonable explanation
and the Appeal Board is satisfied that due notice was given to the student,
the Appeal Board may proceed in the absence of the student and shall
consider at the appropriate stage any representations made by, or on behalf
of, the student. The Chair will have discretion as to what constitutes
'reasonable explanation'.
5.5 The Secretary shall ensure that copies of the formal papers which the
original Senior Academic considered will be provided to the Appeal Board
members and the student at least 14 calendar days prior to the Appeal
Board hearing.
5.6 The Appeal Board will consider the papers presented; and oral
representations by the student and by a School representative.
5.7 The student and the School representative will not be permitted to introduce
new evidence to the Appeal Board.
5.8 The Appeal Board will take one of the following decisions:
i. that the appeal be referred to a reconvened Examining Board to review
the case in light of the information presented.
ii. that the appeal be rejected and no further consideration be given to the
appeal.
Principle
Where an appeal is referred to an Appeal Board by a Senior Academic, a student
and a School representative will present information to the Board for consideration.
283
Guidance
G16 Membership of an Appeal Board
Senior Academics who refer the appeal to an Appeal Board are able to be a
member of the Appeal Board, provided that they have made no judgement on
the merits of the appeal and will have viewed the same information as the
rest of the Appeal Board members. However, the referring Senior Academic
shall not chair the Appeal Board.
A “material” connection to the student in this context is any connection that
could lead a reasonable observer to conclude that the relevant Board
member had prior knowledge of the student which could or would affect that
Board member’s consideration of the appeal to the detriment of the student.
G17 Student representative at the Appeal Board
You can be accompanied by either a representative or supporter during the
Appeal Board. You can permit a representative or supporters to speak on
your behalf during the Appeal Board. You cannot normally be represented by
someone acting in a legal capacity unless this is requested and agreed as a
reasonable adjustment.
6 Reconvening an Examining Board
6.1 Where an appeal is referred to a reconvened Examining Board under
Sections 15.3.2(i) or 15.4.7(i), the Academic Registrar or nominee shall
write to the Chair of the Examining Board requiring the Examining Board to
re-convene to review the case in the light of the information presented in the
appeal. The review may not require a student's original result to be
changed. However, the Examining Board may in light of the appeal
information provide a different results decision. The Chair of the Examining
Board shall provide the decision of the re-convened Examining Board in
writing to the Academic Registrar within 18 calendar days of the request.
6.2 The Academic Registrar or nominee shall inform the student of the outcome
of the reconvened Examining Board in writing and, if appropriate, issue a
supplementary result, normally within 25 calendar days of the student
receiving the decision that the appeal will be referred to a reconvened
Examining Board.
6.3 The Academic Registrar or nominee will report all appeal outcomes to the
next meeting of the University Awards and Progress Committee. Where the
appeal relates to a matter of principle, the University Awards and Progress
Committee will confirm or reject the recommendation of the reconvened
Examining Board. Where the University Awards and Progress Committee
does not accept the recommendation of the reconvened Examining Board, it
shall be empowered to substitute its own decision.
Principle
A reconvened Examining Board must consider information presented in the appeal
and review its original decision in line with Senate Regulations.
284
Guidance
G18 Examining Board decision – Chair’s Action
Where the Chair is required to reconvene an Examining Board, there are
some instances where the Chair can take Chair’s Action. These are
confirmed in Section 12.4.3 of the Senate Assessment Regulations for
Taught Programmes.
G19 Remedies
The reconvened Examining Board will provide a remedy for appeals where
appropriate. Likely remedies include enabling you to be re-assessed, for
example as a further first attempt, or a further second attempt. Your mark
will be capped at a pass mark where you are having a further second or
further third attempt as required by the University Senate Academic
Regulations. Reconvened Examining Boards are only permitted to amend
marks where there has been a factual error in the published marks.
G20 Informing the University of the decision of the reconvened Examining Board
The reconvened Examining Board or nominee will provide a summary of the
decision or an extract of the reconvened Examining Board minutes to the
Head of Student Cases as the nominee of the Academic Registrar.
7 Review of the Senior Academic’s or Appeal Board’s decision
7.1 Students shall be informed that if they are dissatisfied with a decision of
either the Senior Academic or the Appeal Board to reject the appeal they
can request that the decision is reviewed under the following grounds:
i. procedural irregularities;
ii that the decision was unreasonable and could not be sustained by the
facts of the case;
ii. new relevant evidence unknown to the Senior Academic when making
the decision, where students can show good reason why they could not
have provided the evidence before the Senior Academic considered
the appeal.
7.2 A student will need to submit a request for review in writing to the Academic
Registrar or nominee, outlining the grounds of the request and including any
evidence within 7 calendar days of receiving the appeal decision. If a
student confirms in writing that they do not wish to progress to this stage
then no further action will be taken in relation the appeal. A Completion of
Procedures letter will be provided to a student at this stage upon request
confirming that the internal procedures were not completed.
Principle
A student can request the decision of the Senior Academic or Appeal Board be
reviewed to ensure that the decision is fair and reasonable.
285
7.3 On receiving a request for review, the Academic Registrar or nominee will
consider the grounds and evidence and dismiss any request for review that
is not within the permitted grounds or is not substantiated by evidence.
7.4 Any request for review that is not dismissed will be considered by a Pro
Vice-Chancellor who has no prior knowledge of the appeal. The Pro Vice-
Chancellor will receive: the student’s submission; the Chair of the Examining
Board’s verification; and the Senior Academic’s decision, along with all
corresponding evidence. The Pro Vice-Chancellor may seek further
clarification from the Senior Academic where required and will either:
i. substitute a decision permitted under the Senate Academic
Regulations; or
ii. confirm the original decision.
7.5 The Pro Vice-Chancellor’s decision is final and the student will be notified of
the decision by the Academic Registrar or nominee within 7 calendar days
and will be provided with a Completion of Procedures letter.
Guidance
G21 Office of the Independent Adjudicator
You will receive a final decision letter following a request for review of the
appeal. This letter (also known as a Completion of Procedures Letter) will
explain how you can raise a complaint with the Office of the Independent
Adjudicator if you remain dissatisfied with the academic appeal outcome.
286
Students' Fitness to Study Procedure
Emergency Situations
The Fitness to Study Procedure is not for dealing with emergency situations. Where
it is believed that a student’s behaviour presents an immediate risk to themselves or
others, the Emergency Services should be called (999). If appropriate, University
Security should be called on 029 208 74444.
Guidelines for dealing with crisis situations can be found at:
www.cardiff.ac.uk/studentsupport/crisis
Fitness to Study Procedure
1.0 Purpose
1.1 Cardiff University is committed to the wellbeing and safety of all its students.
Our community is a friendly and supportive one, where equality is promoted,
diversity and inclusivity are valued and individuals are respected.
28
There are
rules and regulations to protect everyone studying and working within our
community. If the Rules of Behaviour
29
are not followed, then a student may
be subject to action under the Student Discipline Procedure
30
. The purpose of
the Fitness to Study Procedure is to help to manage situations where the
cause of potential misconduct is connected to issues relating to a student’s
medical, psychological or emotional wellbeing; and therefore it may not be
appropriate to follow the Student Discipline Procedure.
1.2 The Procedure has been designed to be used in very prescribed
circumstances, not for everyday incidents or generalist application. See
Scope at Section 5.0 below.
1.3 The Fitness to Study Procedure is supported by guidance notes throughout.
2.0 Definition
2.1 Fitness to study relates to a student’s ability to meet both the academic
requirements of the programme
31
and the reasonable social and behavioural
requirements expected of a student living and studying within the University
environment.
32
3.0 Principles and Aims
3.1 The University has an obligation to provide a safe and supportive learning
environment for students. Equally, students have a responsibility for their own
28
See our Student Charter: www.cardiff.ac.uk/studentcharter.
29
Rules of Behaviour: http://www.cardiff.ac.uk/regis/sfs/studentcases/Rules%20of%20Behaviour.pdf.
30
Student Discipline Procedure:
http://www.cardiff.ac.uk/regis/sfs/studentcases/Studentcond&discipline/studentconductdiscipline.html
31
Programme requirements can be found in each programme’s module specifications.
32
Reasonable social and behaviour requirements are found in the Cardiff University Rules of Behaviour.
http://www.cardiff.ac.uk/regis/sfs/studentcases/Rules%20of%20Behaviour.pdf.
287
wellbeing.
3.2 When a student is unwilling or unable to manage their own wellbeing and the
University has good reason to intervene, it will do so in a way which is
proportionate to the risk of harm. The University will seek to respect the
student’s dignity and will as far as possible respect the student’s choices and
decisions.
3.3 Where a student’s behaviour is of more serious concern, Stage Two - Fitness
to Study Consideration
33
can be instigated. Where a student is causing
serious and immediate risk to themselves or the University; and immediate
suspension is viewed to be the best option for both their own safety and that
of others, then this will be done in line with section 2.5.1of the Student
Discipline Procedure.
34
3.4 Wherever possible, any decision reached about a student’s fitness to study
will be made through an inclusive process involving the student, University
staff and health care or other professionals (as appropriate to each individual
case).
3.5 Implementation of the Procedure will be evidence based.
The Procedure provides a framework to:
3.6 enable students to be open about the difficulties they are experiencing; help
members of staff to refer students to the right support at an early stage; and
ensure a consistent and sensitive approach to managing situations that give
rise to serious concern;
3.7 enable students to address and support the challenges that can arise, in
managing their medical, psychological or emotional health;
3.8 promote consideration of supportive measures for all students which enable
them to succeed.
The Procedure:
3.9 is designed to be supportive in nature and will identify forms of support that
may enable a student to continue, or return, to study as soon as they are fit to
do so and within a reasonably practicable timescale;
3.10 provides a framework which enables staff within Academic Schools and
Departments to work in partnership with the University Professional Services
to best address concerns about a student’s fitness to study.
4.0 University Obligations
4.1 The University has a duty of care to act reasonably to protect the health,
safety and wellbeing of all students and staff.
35
We recognise our obligation
to respond appropriately to situations where medical, psychological or
emotional issues are having a profoundly disruptive impact on students and
on the wellbeing of others around them. This will be done by developing and
implementing supportive and inclusive policies and procedures
36
that treat all
students fairly, acknowledge individual circumstances, and ultimately increase
33
An explanation of all Fitness to Study Support Stages can be found in section 6.0.
34
http://www.cardiff.ac.uk/regis/sfs/regs/1213acadregs/3.01%20-
%20Student%20Discipline%20Procedure.doc%202.pdf
35
Cardiff University Occupational Safety, Health and Environment Policy Statement
http://www.cardiff.ac.uk/osheu/resources/Occupational%20Safety%20Health%20and%20Environment%20P
olicy%20Statement%202012.pdf
36
These measures are in line with the University’s Strategic Equality Plan.
www.cardiff.ac.uk/govrn/cocom/equalityanddiversity
288
student success.
4.2 Information about a student’s medical, psychological or emotional health will
be treated as confidential and stored securely in line with the Data Protection
Act 1998.
37
Confidentiality will only be broken in exceptional circumstances if:
a student is in imminent danger of causing serious harm to themselves
or others;
there is a legal requirement to disclose the information;
professional fitness to practise may be compromised; or
it is in the substantial public interest to do so.
Unless it will prejudice the purpose of the disclosure, the student’s consent
should be sought first.
38
4.3 The University will comply with medical records/information and medical
confidentiality regulations both statute and professional bodies.
5.0 Scope
5.1 The Fitness to Study Procedure is available to all students except those
studying on programmes covered by the Students’ Fitness to Practise
Procedure.
5.2 This Procedure should only be applied when all of the following conditions are
met:
there are concerns regarding a student who appears to be unwilling or unable
to manage their fitness to study;
this is connected to underlying medical, psychological or emotional problems;
the student’s behaviour is causing significant disruption to the wellbeing or
health and safety of themselves, or others within the University
community;
informal action has not resolved the concerns
39
, and/or the risk is deemed
serious enough to initiate Stage Two of the Procedure.
40
5.3 The Fitness to Study Procedure will not normally be applied to a disabled
student (if the concern is related to their disability) unless all reasonable
adjustments have been made to ensure that the student has had an equal
opportunity to meet the University’s academic and behavioural requirements.
Where a potential need for such adjustments is identified, the Fitness to Study
Procedure will be halted and the student referred to the Disability and
Dyslexia Service.
5.4 The Procedure does not replace the Personal Tutor system or other support
mechanisms. It is intended to address those situations where it is clear that
there are serious fitness to study concerns affecting the individual student
and/or the student community.
5.5 There are a number of University procedures for managing different
37
For further information as to how the Data Protection Act works in the context of Cardiff University refer to
the Data Protection Policy www.cardiff.ac.uk/govrn/cocom/accinf/dataprotection
38
Wherever feasible, members of staff should seek advice from the Governance and Compliance Division
before breaking confidentiality.
39
Informal support mechanisms should have been fully explored, including signposting students to specialist
support services within the University.
40
Stage Two – Fitness to Study Consideration, section 10.0.
289
situations.
41
Where this may be unclear the Academic Registrar will
determine the most appropriate procedure to use in the circumstances.
5.6 Members of staff whose work involves non-specialist pastoral contact with
students (such as administrative staff within a School Office) will have an
important role in identifying potential problems and such staff are advised to
seek guidance from specialist support staff in Student Support and Wellbeing
Division before applying this Procedure.
Stages of Fitness to Study Procedure and Support
6.0 Introduction
The Procedure has a number of stages designed to offer the student support and
bring about a resolution by enabling the student to contact the appropriate support
services:
6.1 Stage One - Support - Section 9
For growing concerns about a student’s wellbeing.
For use where informal intervention has not been successful.
For cases serious enough that specialist intervention may be required initially.
6.2 Stage Two - Fitness to Study Consideration - Section 10
For serious or persistent concerns about a student’s wellbeing.
For use where the University community and/or the individual student is at
serious risk.
6.3 Appeal Consideration - Section 11
The student may appeal against the decision of the Case Review Hearing.
6.4 Return to Study – Section 12
Actions the student needs to undertake before returning to study
7.0 Fitness to Study Formal Procedure Stages
7.1 The formal support Procedure has two separate, but linked stages, which do
not have to be applied in a consecutive order. The seriousness or perceived
seriousness and the attendant risk will influence the stage at which to initiate
the Procedure.
42
8.0 Potential Triggers of the Procedure
Guidance
Any concerns in relation to a student’s fitness to study should be brought to the Head
of School or another senior member of staff e.g. Director of Campus Services; they
will, in conjunction with the Director of Student Support and Wellbeing Division,
assess the evidence, consider the impact and decide whether to instigate the
Procedure, and at which stage would be most appropriate dependent upon the
severity of the issues.
41
For a list of University procedures, see the Academic Regulations Handbook:
http://learning.cf.ac.uk/quality/regs/handbook/
42
An Operational Guidance section for the Fitness to Study Procedure can be found through this website:
http://www.cardiff.ac.uk/advice/academic/index.html. Operational Guidance includes scenarios, worked
examples and templates that support the operation of the procedure.
290
Heads of School may wish to consider nominating a senior tutor (a lead member of
staff) who would instigate any Fitness to Study procedures required within the
School.
Any initiation of the Procedure must be based on evidence. In most instances, this
will take the form of records from informal activities undertaken as part of the normal
personal tutor-student relationship. This is particularly important in relation to
behaviour where there is known to be a link to an illness or disability. If actions are
taken as a result of assumptions, this could be considered as direct unlawful
discrimination on the grounds of a student’s disability.
43
The Procedure can be triggered by direct observation; reports from a third party
(including other students); from the reactions of others; or by the general
presentation or demeanour of the student. It would be unusual and only in the most
serious of circumstances that the Procedure would be implemented without having
first considered informal intervention as described in the ‘Guidance on University
Procedures’. An example may be a breach of University Rules not dealt with under
the Discipline Procedure.
Students who have concerns about other’s fitness to study should discuss this with a
member of staff with whom they feel comfortable. This member of staff can then
raise the issue if appropriate with the Head of School or another senior member of
staff e.g. Director of Campus Services. The student will not take further action
regarding the situation.
Stage One – Support - can only be initiated after consulting with the Director of
Student Support and Wellbeing Division by the Head of School or another senior
member of staff e.g. Director of Campus Services, who will have liaised closely with
staff who have expressed a concern.
Stage Two - Fitness to Study Consideration - can only be instigated by the Academic
Registrar (or nominee) following consultation with appropriate staff in the Academic
School/Department.
9.0 Stage One - Support
Regulation
9.1 Stage One - Support is initiated when there are growing concerns about a
student’s medical, psychological or emotional health; if initial guidance and
support has not been successful and a response from the University is
required, or if the case is too serious to be dealt with informally.
9.2 The Head of School or another senior member of staff e.g. Director of
Campus Services will consult with the Director of Student Support and
Wellbeing Division (or nominee) before a decision is made as to whether
there are grounds to initiate Stage One.
9.3 A member of the Student Support and Wellbeing Division will invite the
student in writing to attend a formal meeting, case conference, with
appropriate members of staff to discuss the concerns relating to their fitness
to study.
9.4 The case conference will decide:
. that no further action is required as the student is fit to study;
. that an Individual Action Plan should be developed and agreed in
43
For further guidance and information about the Equality Act 2010:
www.cardiff.ac.uk/govrn/cocom/equalityanddiversity/disability.
291
conjunction with the student;
. to recommend that the student be referred with their consent to the
University’s Occupational Health for a medical assessment of the
student’s fitness to study at this time;
. when a review meeting will take place.
9.5 The options open to the case conference include:
. to recommend special academic arrangements such as part-time
study, split assessments etc;
. to advise the student to take an interruption from their studies for a
mutually agreed period of time to allow for treatment;
. to refer to Stage Two - Fitness to Study Consideration.
9.6 A review meeting (within the agreed timeframe, 9.4) will be held with the
Director of Student Support and Wellbeing Division to consider whether the
fitness to study concern has been resolved.
9.7 If the student does not fully engage with the Individual Action Plan, the matter
will be escalated to Stage Two - Fitness to Study Consideration - of the
Procedure. Occasionally a student may be fully co-operating and adhering to
their Individual Action Plan but there is still a risk to their health, safety or
wellbeing or that of others around them. In these circumstances Stage Two -
Fitness to Study Consideration should be instigated.
Stage One - Guidance
An appropriate member of staff from the Student Support and Wellbeing Division will
organise a meeting with the student and relevant staff. At Stage One – Support - a
flexible approach should be adopted when applying the Procedure to ensure that the
needs of the student are at the forefront of any meetings, discussions or actions.
Before the case conference
. Staff involved in the case conference will include the Director of
Student Support and Wellbeing Division (or nominee) and those with
an appropriate level of decision-making authority such as the Head of
School (or nominee), Director of Campus Services, or specialist
support staff from Occupational Health Service, Student Support and
Wellbeing Division and/or Security.
. The invitation should include details about the Fitness to Study
Procedure, the purpose of the meeting and the student’s right to be
accompanied and/or represented by a Students’ Union Adviser, a
friend, or other appropriate representative.
. Before the meeting, a nominated member of staff should gather any
relevant information and clarify any action already taken. This may
include details about the interventions at Initial Guidance and any
relevant records, reports or statements.
Case Conference
Discussions with the student at the Case Conference meeting should include:
. making the student aware of ongoing concerns about their fitness to
study and the University Rules of Behaviour
44
;
. assessing how the student’s actions are affecting them and /or the
44
http://www.cardiff.ac.uk/regis/sfs/studentcases/Rules%20of%20Behaviour.pdf.
292
University community;
. allowing the student to express their views and perceptions, including
supportive measures from past experiences;
. reminding the student about relevant support services available;
. discussing what support options are most appropriate to try to improve
the current situation. This could include the student agreeing to access
University or external support services; allowing for extensions;
reviewing existing reasonable adjustments (for disabled students); or it
may be more beneficial to the student to discuss an Interruption of
Study, or part time study. The panel should consult with Advisers from
Student Support and Wellbeing Division, who will advise on
implications relating to student funding, prior to amendments to a
student’s progression. In some cases it may be appropriate for other
students to receive advice or information about their disability;
. clarifying any agreed actions;
. drawing particular attention to the consequences if the causes for
concern continue.
Individual Action Plan
This will include as appropriate:
. provision of support for the student;
. referral to external services;
. actions that the student needs to take;
. formal agreement of expectations and understanding of the
consequences of not adhering to the Individual Action Plan, which may
result in referring to Stage Two - Fitness to Study Consideration;
. a formal review date with Director of Student Support and Wellbeing
Division (or nominee), as well as more informal regular progress
reviews with a nominated member of staff;
. information that may need to be disseminated to other students and
staff.
At this stage the student should be informed about undergoing an Occupational
Health assessment and referred to Occupational Health with their consent. If a
student does not agree to have an Occupational Health assessment or does not
agree to disclose the report to the University, then the University should continue
with Stage One based on the information already available.
Initial Meeting Actions
. The decisions made during the meeting, including details of the
Individual Action Plan, will be sent to: the student within 5 working
days; the Head of School (or nominee) who will disseminate the
information to relevant staff; and Advisers from Student Support and
Wellbeing Division who will keep a copy confidentially, for the duration
of the student’s studies.
. If the student fails to attend the meeting, it will go ahead in the
student’s absence and any decisions made will be communicated in
writing to the student within 5 working days of the meeting taking place.
Review Meeting
. During the review meeting, progress towards the agreed actions will be
explored, any further concerns will be explained and consideration will
293
be given to any new or ongoing support requirements. A decision will
be made as to whether the concern has been resolved and the student
is fit to continue their studies. If so, no further action will be necessary.
The student will be informed of the findings of the review in writing
within 5 working days.
10.0 Stage Two - Fitness to Study Consideration
Regulation
10.1 The Academic Registrar has the authority to implement Stage Two - Fitness
to Study Consideration when serious or persistent concerns are raised about
a student’s fitness to study: or if the health, safety, mental wellbeing or
behaviour is putting the student and/or members of the University community
at significant risk; if the student has breached the University Rules of
Behaviour and it is connected to underlying medical, psychological and
emotional problems.
10.2 A Fitness to Study Consideration Case Review Hearing may be convened to
consider the situation where mechanisms at Initial Guidance and Stage One
have failed to resolve the issues. It will consider why a resolution has not
been achieved from interventions, what additional support or
recommendations would achieve the best outcome for the student, and how
the case may be progressed.
10.3 Membership of the Case Review Hearing will be appointed by the Academic
Registrar, and confirmed by the Vice-Chancellor. The Academic Registrar, or
nominee, will service the panel. Members will have no prior knowledge of the
case. The panel will consist of:
. a Deputy Vice-Chancellor, Pro Vice-Chancellor or Head of School, who
will act as Chair of the Panel;
. a Students’ Union Elected Officer;
. a member of academic staff who is outside of the student’s school;
. a presenting officer
45
will be required to present information but will not
be part of the decision making process.
10.4 The student will be invited to attend the Case Review Hearing and may be
accompanied and/or represented by a Students’ Union Adviser, a friend, or
other appropriate representative. If attending, the student will be present
during the presentation of all the evidence, unless medical evidence suggests
that this will place the student at risk. In such cases, appropriate medical
advice will be obtained from the University Occupational Health Consultant.
10.5 At the discretion of the Chair and normally decided in advance of the case,
the Case Review Hearing may seek advice from the Occupational Health
Consultant
46
; Director of Student Support and Wellbeing Division; Head of
School; representatives from Counselling, Student Support and Wellbeing
Division or Campus Services as appropriate; the Student’s GP or relevant
health professional. The student will be advised in writing of any additional
individual(s) that will be in attendance at the Hearing and the purpose of their
attendance.
45
A Presenting Officer presents concerns to the panel, knows about the history of the case, and can respond
to questioning. It is likely to be the Director of Student Support and Wellbeing Division or nominee.
46
The Occupational Health Consultant should review the individual before the Case Review Hearing. Those
involved would be appropriately informed with a report from the Occupational Health Consultant (in line with
regulations). The Consultant would only be able to give generic advice, not student specific advice without
reviewing the student.
294
10.6 The student will be notified at least 10 days in advance of the Case Review
Hearing and will be provided with copies of all the evidence which is due to be
considered.
10.7 The student will be invited to provide a statement to members in advance of
the meeting along with any evidence they would wish the Panel to consider.
10.8 If the student fails to attend the Case Review Hearing and the Panel is
satisfied that due notice was provided, the Hearing may proceed in the
absence of the student.
10.9 The case will be outlined by the member of staff who has dealt with the Stage
One arrangements, or if this is not possible, someone who is familiar with the
case.
10.10 When the Panel is satisfied that all evidence has been presented and they
have full understanding of the case based on the evidence available, the
student and presenting officer will be asked to withdraw. The Panel will then
consider the case.
10.11 The Panel will make a decision, taking into account all of the individual
circumstances, all medical guidance and the University’s duty of care. The
options open to the Panel are:
. to confirm that the student is fit to study;
. to put in place or revise an individual action plan;
. to suspend any placement that the student is attending, or switching to
an equivalent course without a placement requirement;
. to temporarily exclude the student from their studies for a maximum
period of 12 months
47
to be reviewed every two months;
. to permanently exclude the student from their studies.
10.12 The student will normally be informed of the decision of the Panel immediately
following the Hearing.
10.13 The student will be informed of the Panel’s decision in writing within 5 working
days. A report of the outcomes will be sent to the Head of School (or
nominee) and held confidentially by the Student Cases Service.
Stage Two - Guidance
The purpose of the Case Review Hearing will be to:
. summarise the situation, concerns raised and any relevant information
(including all previous reports, action plans and formal
recommendations);
. highlight the seriousness of a Case Review Hearing in relation to
University rules and regulations and re-iterate that a student has a
personal responsibility to be fit to study or to seek appropriate support;
. provide the student with an opportunity to give their perspective. They
will be advised to consent to the disclosure of the Occupational Health
report, which will contain the relevant medical information for the Case
Review Hearing;
. emphasise all appropriate support services available to the student;
47
During an Interruption of Study or temporary exclusion, students are permitted to seek advice and support
from the University Student Support Centre and the Students' Union Advice and Representation Centre.
Some services may be limited if they require the individual to be a registered student.
295
. consider all options to decide upon the most appropriate course of
action including: additional support strategies, or reasonable
adjustments that can be put in place (for disabled students
48
);
recommending disciplinary action; recommending temporary or
permanent exclusion; or withdrawal from a placement.
Appeals and Return to Study
11.0 Appeal against a decision of the Case Review Hearing
Regulation
11.1 A student may appeal the decision of the Case Review Hearing Panel by
writing to the Academic Registrar within 10 working days of receiving written
notice of the decision of the Panel. The student must include the ground(s) of
the appeal and all evidence. A student may appeal on the following grounds:
i) irregularities in the conduct of the Case Review Hearing;
ii) exceptional personal circumstances and/or new evidence not brought
to the attention of the Case Review Hearing Panel which can be shown
to be relevant to the decision. Appeals based on this ground must
show good reason why the student did not present this information
before or during the Case Review Hearing.
11.2 The Academic Registrar is required to disallow an appeal which is purely
vexatious or based wholly on factors which were known to the Case Review
Hearing when the decision was made. Where an appeal is not disallowed the
appeal shall be referred to a Pro Vice-Chancellor, who has not been involved
in any earlier stages of the procedure, who will consider the case.
11.3 All evidence, decisions and reasons of the Case Review Hearing shall be
made available to the Pro Vice-Chancellor along with the student’s appeal
and any evidence. The Pro Vice-Chancellor will adjudicate on the case and
determine whether the appeal is:
- allowed: the Pro Vice-Chancellor will refer the case back to the Case
Review Hearing to review their decision;
- disallowed.
11.4 The Pro Vice-Chancellor shall give their written decision within 5 working days
of the appeal hearing. The Pro Vice-Chancellor may substitute any
alternative decision from Section 12.12.
11.5 Once the University has completed the process and the student has been
informed of the final decision, the student will have recourse to the OIA.
Details as to how to access this service will be included in the Completion of
Procedures letter.
12.0 Returning to study
Regulation
12.1 Guidelines for returning to study should be made clear at the time of
exclusion, discussed with the student and be included in the report of Stage
Two - Fitness to Study Consideration.
48
After consideration at the Case Review Hearing involving representatives from the Disability Service it may
be judged that the limits of reasonableness have been reached at this time (in accordance with the Disability
Discrimination Act 1995 and Equalities Act 2010).
296
12.2 During a period of temporary exclusion the student should be encouraged to
maintain contact and to advise the University of their progress. This may help
to facilitate their return to study when well enough.
12.3 When a student believes they are ready to return to University study they will
need to notify the Head of School in writing of their request to return to study
at least 2 months prior to the expected date of return.
12.4 In order to satisfy the University that they are fit to return to study, the student
will need to provide the University with a report from an independent health
professional.
12.5 Students who have been temporarily excluded at Stage Two - Study at
Fitness to Study Consideration must attend a mandatory Occupational Health
appointment before their return to study.
12.6 The decision to allow a student to return to study will be made by the Head of
School in consultation with the Academic Registrar, and with other relevant
members of support staff. On some programmes, students may only be able
to return to study at certain times of the academic year, or at the start of a
new academic year due to the programme requirements.
12.7 For students returning from a temporary exclusion, a member of the Student
Support Centre (Mental Health Adviser, Disability Adviser, Student Support
Officer) will make contact with the student and arrange to meet with them to
complete a return to study assessment. The assessment will consider; past
difficulties: risk issues which may need monitoring; and the management and
review of recommended support needs, special arrangements or reasonable
adjustments. Before their return the student will be expected to agree to all
measures put in place, satisfy their conditions for return and cooperate fully.
12.8 Post-Graduate Research students should seek a formal extension to the
thesis deadline.
49
Any extension to deadline approved by the University does
not imply the approval of the sponsor. It is the student’s responsibility to
make suitable arrangements concerning sponsors or visas as appropriate.
50
Returning to Study - Guidance
An Occupational Health appointment will be able to advise on the potential impact
that returning to study might have on that student’s health and wellbeing, and
provide an opportunity for relevant support measures to be arranged prior to return.
Students who took a voluntary Interruption of Study (at Stage One) may also benefit
from: a referral to Occupational Health appointment; a meeting with a member of the
Student Support Centre prior to their return to study so that they can discuss any
support measures.
49
See Extension to Time Limit Procedure: Postgraduate Research Candidates.
50
Advice on visa matters can be sought from International Student Support, ISS@cardiff.ac.uk
www.cardiff.ac.uk/studentsupport/international.
297
Students' Fitness to Practise Procedure
This Procedure can be made available in the following alternative formats:
braille, large print, tape, disk and on coloured paper. Please contact Student
Cases to request a copy in your chosen format.
Contents
The following table outlines the Sections of the Students’ Fitness to Practise
Procedure and the principles that are adhered to by the University when a concern is
raised that may bring into question a student’s fitness to practise.
Heading of
Section
What’s included in the
Section
Guiding principle for the section
1
Scope and
definition
Who is covered by the
Procedure and examples
of behaviour that may
bring into question a
student’s fitness to
practise
The consideration of a student’s
fitness to practise will be managed
through consistent, fair and
transparent procedures.
2
Investigating
the concern
The types of investigation
that can take place and
how they will be
conducted.
Concerns should be investigated
objectively, proportionately and
transparently.
3
Considering
the concern:
School
Committee
The Committee members
and the process that
takes place before,
during and after the
Committee and appealing
the Committee decision.
Concerns should be considered
proportionately and fairly by a trained
panel which includes professional
expertise.
4
Considering
the concern:
University
Committee
5
Monitoring of
the University
Committee
required
actions
The process when
students do not comply
with the required actions
put in place by the
University Committee
Monitoring should take place in a
timely way enabling students to be
supported in undertaking actions and
have concerns raised where actions
are not being undertaken.
6
Appeal
against the
University
Committee
decision
The process to consider
an appeal of a Committee
decision.
Students have the right to appeal the
decision of the University committee.
7
Suspension
The process and purpose
of suspension during an
investigation.
The University has a duty of care to
students, staff and the wider
community including patients, clients
and members of the public.
298
1. Scope and Definition
Principles
The consideration of a student’s fitness to practise will be managed through
consistent, fair and transparent Procedures.
1.1 This Procedure covers students when they are enrolled on a Programme that
leads directly to, or that satisfies a necessary condition of, a professional
qualification, and/or which gives the right to practise in one or more
professions.
1.2 A student shall not engage in any conduct which renders them not fit to be
admitted to and practise that profession or calling.
1.3 Heads of School are responsible for advising students of the Professional
Body requirements and confirming that students do not constitute a risk to
themselves and/or others, and meet the requirements for professional fitness
to practise. Students on professional programmes must comply with
University and relevant Professional Body requirements.
1.4 In accepting the offer of a place at the University, students agree to comply
with all rules and procedures of the University and the professional, regulatory
or statutory body or organisation.
1.5 Students are required to immediately inform their Personal Tutor or other
University staff member of any change to their fitness to practise status, for
example if a student is diagnosed with a health condition that could impact
upon fitness to practise, or if a student is subject to action by the police. The
Academic Registrar, in liaison with the Head of School, will decide whether
breaches of the University’s regulations may be subject to the University's
Student Disciplinary Procedure, Unfair Practice Procedure or Fitness to
Practise Procedure as appropriate.
1.6 In all proceedings a student shall be presumed to be innocent of any alleged
concern until proven otherwise. Any decision shall be determined under the
principles of Natural Justice and decided on the balance of probabilities.
1.7 The University will only disclose information relating to fitness to practise to
persons outside of the University once all proceedings have been completed,
unless professional or statutory body guidelines state otherwise, where this
has been publicised to students in advance or there is a legal requirement to
disclose. Refer to Section 10 of the Annex to the Senate Regulations for
Awards of Cardiff University – Academic Management and Decision Making –
General Principles.
1.8 The University defers to specific Professional or Statutory Body or employer
regulations in investigating or determining that a student is deemed to be fit to
practise, where required.
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1.9 Rules of Behaviour
The following are examples of, but not limited to, circumstances which would
trigger an investigation of a student’s fitness to practise. They apply to all
aspects of a student’s professional and personal life, including online activity
and social networking:
i. a breach of the University’s Rules of Behaviour or Professional Body or
Statutory regulations;
ii. substance misuse;
iii. a criminal offence including any caution or reprimand or an ongoing
investigation by the police or a relevant professional, regulatory or
statutory body;
iv. a failure to advise the University of a criminal offence including a caution
or reprimand;
v. physical or verbal abuse or intimidation of fellow students, patients,
clients, colleagues, university staff or members of the public;
vi. failure to rectify behaviour that has been subject to any disciplinary
actions under the University's regulations;
vii. repeated unprofessional behaviour;
viii. falsification of documents, clinical, personal or academic records, data or
research material;
ix. publishing, including via social networking sites, inappropriate material
including statements and images;
x. physical or mental health condition which, despite reasonable adjustments
or treatment, affects a student’s fitness to practise;
xi. breaches of confidentiality;
xii. bringing the University or the profession into disrepute;
xiii. any other circumstance which may call into question a student's fitness to
practise.
Guidance
G1. Principles of fitness to practise proceedings
Any investigation or consideration of a fitness to practise concern will adhere to
the principles of natural justice. These principles include giving you the full
information and evidence regarding any concern that is raised about you;
300
giving you an opportunity to fully respond to all issues raised; and enabling you
to challenge the evidence presented. These principles also require any
consideration of a concern to be conducted fairly and without bias.
All decisions within this Procedure are made on the balance of probabilities in
accordance with the evidence and information available. This means that the
occurrence of the event was more likely than not to have happened.
G2. Presumption of innocence
While investigating any concern under this Procedure, you will be presumed to
still remain fit to practise until a decision has been made by the Committee.
However, where risks are identified, this presumption of innocence does not
preclude: suspension from placement or programme; or limiting access to
University facilities pending a full investigation. You may also be subject to
investigation from other professional bodies or organisations and the University
may need to wait until police, professional body or employer investigations
have taken place before conducting its own investigation. Each case is
considered on the basis of the facts available at the relevant time.
G3. University rules
You are required to adhere to the Rules outlined in the Student Disciplinary
Procedure, Section 1.9 above and all other rules whilst you remain a registered
student of the University. This includes all activity on campus, in placement, off
campus, in a social setting and in online activity including social networking
sites.
G4. Head of School as decision-maker
The Head of School is empowered to make decisions about whether concerns
raised are investigated under this Procedure; whether to suspend you or
recommend that you are suspended; and whether concerns are dismissed,
considered by a School Committee or by a University Committee. The Head of
School can delegate these decisions to a single nominated member of staff.
Alternatively, when considering whether concerns are investigated under the
Procedure this can be delegated to a small nominated panel of staff within the
School at the discretion of the Head of School.
2. Investigating the Concern
Principles
Concerns should be investigated objectively, proportionately and
transparently.
2.1 A concern regarding a student’s fitness to practise should be submitted in
writing by a named complainant together with any evidence to the Head of
School.
301
2.2 On receipt of a written concern, the Head of School shall consider whether, on
the face of it, there is sufficient evidence to warrant an investigation. This will
include consideration of whether there is a duty to recommend suspension as
permitted under Section 7. A decision will then be made by the Head of
School as to whether the concern should be investigated. No further action
shall be taken for concerns that are not to be investigated. Where it is
decided that a concern will be investigated, an Investigating Officer will be
appointed and the student will be informed within 14 days of the appointment.
2.3 The role of the Investigating Officer is to establish the facts of the case and
make a formal recommendation as to whether, on the face of it, there is a
case to answer.
2.4 The Investigating Officer will normally meet with the student and any other
relevant parties to clarify matters of fact. The student should normally be
given at least 7 calendar days’ notice of the alleged concern and any
meetings they are required to attend. Students will be provided with a
record of the meeting for them to agree within 7 calendar days.
2.5 The Investigating Officer will make a written report outlining the facts, the
supporting evidence and which recommends to the Head of School:
i. There is no case to answer and the matter should be dismissed; or
ii. The case should proceed to a School Committee; or
iii. The case should proceed to a University Committee.
2.6 The Head of School will consider the recommendation of the Investigating
Officer and confirm the action taken in relation to the concern. Where the
concern relates to a serious matter, it may be referred immediately to a
University Committee.
Guidance
G5. Submitting a concern about a student’s fitness to practise
Concerns should be made in writing and can be submitted in hard copy or by
email. The person raising the concern should include as much detail as
possible about the concern, supporting evidence and the names of anyone
else involved to ensure a full investigation can take place.
Anonymous concerns will be exceptionally considered where the matter is
deemed serious and primary independent evidence has been provided to
verify the concern. Likewise if an individual has produced primary independent
evidence verifying a concern and then retracts the concern, the Head of
School may still consider the concern in line with the Procedure.
The person raising the concern must be aware that the information will be
shared with the student as part of the investigation and formal process.
If you are worried about raising a concern then you can meet informally with
staff in the School to discuss the process and support available. If at any time
someone raising a concern feels vulnerable or unsafe then they should contact
the Investigating Officer who will refer the matter to the Head of School to
consider any protective mechanisms that can be put in place.
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A concern raised with any member of staff in the School should be forwarded
to the Head of School.
G6. Investigating under multiple procedures
The Academic Registrar, in conjunction with the Head of School will confirm
the appropriate procedure depending on the circumstances of the case.
Students will be advised of the appropriate procedures at the time of the
investigation depending on the type of offence.
If you have queries about the process which is being followed you can discuss
this with your personal tutor or Students’ Union or Professional Union
representative. You can seek independent advice from Student Advice in the
Students’ Union on 029 2078 1410 or at [email protected]. Other
profession specific Unions may also be available to offer you independent
advice.
G7. Investigating Officer
Each School with programmes covered by this Procedure will have at least two
trained Investigating Officers; training will be provided centrally by the
University.
Investigating Officers will normally investigate concerns within their School and
will have no personal connection to a student being investigated, for example
they will not be their personal tutor, mentor or supervisor. This is to avoid any
bias or perception of bias in the investigation. The Investigating Officer’s role is
to undertake fact-finding meetings; collate evidence; identify witnesses where
appropriate; recommend the appropriate Committee to consider the case and
present the case to the School or University Committee.
G8. The Investigation
The Investigating Officer will determine the appropriate method of investigation
dependent upon the concern being raised:
Types of investigation
1. Conduct
Where a concern relates to your conduct, the Investigating Officer will gather
the relevant evidence and conduct a fact-finding meeting with you normally
within 14 calendar days of being appointed and meet with any other relevant
parties in a timely way. If the allegation relates to a criminal conviction, it will
not be necessary to re-investigate the details of the offence. However, the
Investigating Officer will still need to ensure you provide all the relevant
documentation and any further information through a fact-finding meeting.
2. Health
Where a concern relates to your health, the Investigating Officer will make a
referral to the University Occupational Health Department or, where required,
an external Occupational Health consultant. The Occupational Health
professional will decide whether or not it is suitable to meet you personally
and/or whether information should be gathered from your current health
practitioners. The Occupational Health professional will provide a report to the
303
Investigating Officer normally within 14 calendar days of the referral.
3. Conduct and Health
Where a concern appears to be based around both your conduct and health,
the Investigating Officer will make a referral to Occupational Health who will
normally provide a report within 14 calendar days of the referral and conduct a
fact-finding meeting with you normally within 14 calendar days of being
appointed and meet with any other relevant parties in a timely way.
G9. Meeting with you or other parties
It may be necessary and appropriate to hold fact-finding meetings with anyone
else named as being involved in the concern.
The Investigating Officer will give the following information in advance of the
meeting:
The reason for the meeting;
The purpose of the meeting;
A copy of the concern and accompanying evidence;
A copy of the Fitness to Practise Procedure;
The staff who will be in attendance at the meeting;
Your right to be represented or accompanied by someone during the
meeting;
For students of the University: the contact details of Student Advice in the
Students’ Union who can provide independent advice on any University
procedure.
If you are unable to attend the meeting then it should be re-arranged at a
mutually convenient time providing that this would not lead to unreasonable
delay. If you are unable to attend in person then the meeting can take place
via video link or telephone.
You have the opportunity to challenge the evidence presented and offer
alternative evidence to defend yourself during the investigation and any
subsequent hearing.
A record of the meeting will be provided within 7 calendar days and if there is a
dispute as to the content you can submit a statement confirming why you do
not believe the meeting record is accurate. This should be included in the
investigation documentation that is submitted to the Head of School.
If, following the fact-finding meeting, the Investigating Officer believes that your
health may have impacted on your conduct an Occupational Health referral will
be made.
Following this meeting, it may be necessary to meet again with you if further
information has emerged during the investigation. Sometimes due to the
nature of the allegation it may be necessary for the Investigating Officer to
meet with other parties before meeting with you.
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G10. Occupational Health referral
An Occupational Health referral is normally made by the Investigating Officer,
but in some situations it may have already been made by other University staff.
Depending on the circumstances, a referral may be made to the University
Occupational Health Department, or where required, an external physician
specialising in Occupational Health.
The University Occupational Health Department will be responsible for seeking
medical evidence from your general practitioner, or other medical practitioners,
where relevant, and may recommend an independent medical examination.
The costs of this will be met by the University.
G11. Decision following investigation
A School Committee will normally consider a concern which brings into
question your fitness to practise. However, where the matter is deemed to be
serious, in relation to the level of risk to patients, clients, members of the public
or University, concerns may be referred directly for consideration by a
University Committee.
3. Considering the Concern: School Committee
Principles
Concerns should be considered proportionately and fairly by an independent
panel which includes professional expertise.
Committee Composition
3.1 A School Committee will normally be arranged within 28 calendar days of the
decision of the Head of School. The Committee membership will consist of at
least two members of staff and may also include an external member where
this is required by a professional, regulatory or statutory body:
i. a senior member of staff from the School who shall be Chair. This
person should have no previous material connection with the student;
ii. a member of staff in the University from a cognate discipline; and
iii. where required, a member of the profession the student’s Programme
leads to, who is external to the University and has no formal connection
with the Programme where this is required by professional or statutory
regulations.
Hearing Arrangements
3.2 The Academic Registrar shall nominate a Student Cases Service Adviser to
attend the Committee and provide guidance on the Procedure.
3.3 The Head of School will nominate a Secretary from within the School who will
be provided with the Investigating Officer’s Report and organise the date and
time for the Committee.
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3.4 The student and/or Investigating Officer are able to call witnesses to give
evidence during the hearing including the Occupational Health
Consultant/nurse for health related concerns.
3.5 14 calendar days before the Committee, the Secretary will provide the formal
Committee papers to the student and confirm the entitlement for a student: to
be accompanied or represented at the Committee; to present a written
submission and any evidence to the Committee; or call any witnesses to the
Committee.
3.6 7 calendar days before the Committee, the student will provide the Secretary
with any written statement, evidence and the names of any witnesses who will
be attending the Committee. These will be sent immediately to the Committee
Members and the Investigating Officer. It is the student’s responsibility to
notify their witnesses of the hearing arrangements.
3.7 If the student does not attend the Committee and the Chair is satisfied that
due notice was given to the student and no reasonable explanation has been
provided, the Committee may proceed in the absence of the student.
Decisions of the Committee
3.8 Following consideration of all of the information presented, the Committee
may take one of more of the following actions:
i. dismiss the concern;
ii. issue an informal warning which will not be placed on the student’s
record;
iii. issue a formal warning to be placed on the student's record, which will
be taken into account if any future breaches of the Procedure arise for a
time specified by the Committee;
iv. require the student to attend scheduled support sessions provided by the
School, a University service or externally;
v. require the student to write a reflective piece relating to health or conduct
which will be supported and monitored by a specified member of staff;
vi. require the student to develop and complete an action plan in
conjunction with a specified member of staff;
vii. require the student to continue to be monitored by the University
Occupational Health Department and permit the student to continue on
the programme with appropriate engagement with treatment and
support;
viii. require the student to take an Interruption of Study for a specified period
of time;
ix. refer the concern to the University Committee.
3.9 Students shall be provided with a written decision within 7 calendar days of
the hearing.
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3.10 Students can appeal the decision of the Committee as permitted under
Section 6 of the Procedure.
3.11 Where the Head of School considers that a student has not adhered to all of
the required actions as stipulated by the Committee, the Head of School will
send a Non-Adherence Report to the Academic Registrar as permitted within
Section 5.
Guidance
The following guidance relates to a School Committee and a University Committee.
G12. Documentation
The formal Committee papers will include:
- the Investigating Officer’s report including all evidence that has been
gathered relating to the concern, any occupational health report, and
consideration of the Investigating Officer’s recommendation;
- your current progress on the Programme;
- any regulations you are expected to adhere to relating to your future
profession;
- a copy of this Procedure.
G13. Committee members
All Committee members are required to be independent and have had no
previous material knowledge of the student, the concern or the person who
raised the concern. “Material” in this context is any knowledge that could lead
a reasonable observer to conclude that the relevant Panel member had prior
knowledge of the student which could or would affect that Panel member’s
consideration of the appeal to the detriment of the student.
All internal Committee members are required to attend centrally-organised
training relating to decision-making. Any external Committee members will
have experience in making decisions relating to fitness to practise.
G14. Before the Hearing
You can provide any documentation you wish to the Committee which you
believe to be pertinent to the case relating to the allegation; your character; or
your conduct. The documentation will be sent out to the Committee prior to the
hearing and will form part of the formal Committee papers.
If the Investigating Officer is unavailable for the Committee then another
trained member of staff from the School can be nominated by the Head of
School who will act as the School Representative to present the case.
If you are unable to attend the Committee for good reason then it should be re-
arranged. If you are unable to attend the Committee in person then the
meeting can take place via video link or telephone.
In your absence the Committee shall consider at the appropriate stage any
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representations made by you. The Chair will have discretion as to what
constitutes 'reasonable explanation'.
G15. During the Hearing
The Committee may, at its discretion, adjourn the proceedings at the
reasonable request of you, the Investigating Officer or a Committee member.
The Investigating Officer will present the concern and information to the
Committee, calling witnesses as appropriate. Committee members, students
or their representatives can ask questions of clarification.
You will then be invited to present your response and evidence to the
Committee, calling witnesses as appropriate. The Committee members or the
Investigating Officer can ask questions of clarification.
The Investigating Officer can give a summary of the case and you will then
have the opportunity to make a final statement to the Committee before you
and the Investigating Officer or School Representative are invited to withdraw
from the Committee.
The Committee will then have a private meeting with the Advisor and Secretary
in attendance to consider the verbal and written evidence that has been
presented.
Committee members when reaching a decision and any penalty will consider:
the committee papers;
the oral representations from the student, the student’s representative
and the School or University representative;
the Fitness to Practise Procedure;
the Professional or Statutory body regulations.
Following its deliberations, the Committee shall:
i. make findings of fact;
ii. decide whether the facts found to be proven and amount to impairment
of fitness to practise by reason of misconduct or ill health;
iii. consider whether there are any mitigating or remediating factors which
may affect the Committee’s decision regarding the student’s fitness to
practise. This may include any training or treatment that the student had
undergone in the interim period;
iv. decide upon any penalty or action which should be put in place taking
into account any mitigating circumstances;
v. decide upon the consequences of you not adhering with any penalty or
action that is put in place.
Following the Committee’s decision, you should be informed of the following:
i. the decision of the Committee;
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ii. the reasons for the decision of the Committee;
iii. the consequences of not adhering to any actions the Committee has
required; and
iv. the right of appeal.
All members of the Committee shall have equal voting rights. In the absence
of an unanimous verdict, the decision of the majority shall prevail.
Only when a Committee has decided that an allegation is substantiated will
they be informed of any previous warnings that need to be taken into account
in considering an appropriate penalty.
G16. After the Hearing
No penalty imposed by a Committee shall be implemented until the appeal
period has elapsed, or where you have lodged an appeal, until the appeal has
been considered.
The staff specified to monitor required actions will report to the Head of School
where you have not adhered to these actions. Where the Head of School
believes that the required actions have not been adhered to they will send a
Non-Adherence Report to the Academic Registrar. The report will include the
formal Committee papers and a statement relating to the student’s
engagement with the required actions.
4. Considering the Concern: University Committee
Principles
Concerns should be considered proportionately and fairly by an independent
Committee which includes professional expertise.
Committee Composition
4.1 A University Committee will consist of five members:
i. a Pro Vice-Chancellor, College Dean or a Head of School, who shall be
Chair;
ii. two members of academic staff from Schools or Units with cognate
disciplines;
iii. a student member of Senate;
iv. an external representative of the profession concerned, who may be
from another university or the relevant profession.
Hearing Arrangements
4.2 The arrangements for the University Committee hearing shall be made in
accordance with section 3.2 above.
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4.3 The Academic Registrar shall nominate a Student Cases Service Adviser and
Secretary of the Committee as appropriate.
Decisions of the Committee
4.4 Following consideration of all of the information presented, the Committee
may take one of more of the following actions:
i. any action listed under Section 3.7;
ii. require the student to make a formal written apology;
iii. suspend the student for a specified period of time;
iv. require the student to re-sit part(s) of the Programme, where the
regulations permit;
v. require any other action considered appropriate by the Committee to
enable the student's successful completion of the remainder of the
Programme;
vi. withdraw the student from a current Programme, but permit the student
to transfer to an alternative non-professional programme;
vii. exclude the student from the Programme and from the University.
4.5 Where the case against the student is upheld, the Committee will refer the
decision to the Academic Registrar. In liaison with the Head of School, where
appropriate the relevant professional, regulatory or statutory body may be
informed of the case.
4.6 Students shall be provided with a written decision by the Academic Registrar
within 7 calendar days of the hearing.
4.7 Students can appeal the decision of the Committee as permitted under
Section 6 of the Procedure.
4.8 Where the Head of School considers that a student has not adhered to all of
the required actions as stipulated by the Committee, the Head of School will
send a Non-Adherence Report to the Academic Registrar as permitted within
Section 5.
Guidance
The Guidance following Section 4 applies to both School Committees and University
Committees.
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5. Monitoring of the Committee required actions
Principles
Monitoring should take place in a timely way enabling students to be
supported in undertaking actions and have concerns raised where actions are
not being undertaken.
5.1 Where the Head of School has considered that a student has not undertaken
the required actions from a Committee, the Head of School will send a Non-
Adherence Report to the Academic Registrar.
5.2 The Academic Registrar shall give the student 14 calendar days to provide a
response to the Non-Adherence Report and provide any evidence for
consideration by the Chair of the Committee regarding the required actions.
5.3 The Chair of the Committee will consider: the Non-Adherence Report and the
student’s response.
5.4 The Chair of the Committee will consider whether the student has undertaken
the required actions. If the student is found not to have undertaken the
required actions, the Chair will determine if there is good reason. In these
circumstances the Chair may choose to uphold the Committee’s original
decision. In the case of failure to adhere to reasonable requests or where the
student is unable to complete actions the Chair may choose to substitute the
decision specified at the time by the Committee.
5.5 The decision of the Chair of the Committee shall normally be sent to the
student within 28 days of the Non-Adherence Report being sent to the
Academic Registrar. The Chair of the Committee’s decision shall be final.
6. Appeal against a Committee Decision
Principles
Students have the right to appeal a decision of the Committee.
6.1 A student can appeal a Committee decision on the following grounds:
i. procedural irregularities;
ii. that the decision was unreasonable and could not be sustained by the
facts of the case;
iii. new relevant evidence unknown to the Committee when making their
decision, where students can show good reason why they could not
have provided the evidence at the Committee.
6.2 Students will be required to specify the grounds of appeal and any information
or evidence they wish to be considered to the Academic Registrar within 14
calendar days of receiving the written decision.
6.3 The Academic Registrar is required to disallow an appeal which is based
wholly on circumstances which were known to the Committee when the
penalty was imposed, and may dismiss without a hearing an appeal submitted
on any basis other than the permitted grounds or which is frivolous or
vexatious.
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6.4 Where an appeal is not dismissed, the Academic Registrar will refer the
appeal for consideration by the Pro Vice-Chancellor.
6.5 The Pro Vice-Chancellor will consider the appeal documentation presented by
the student alongside the formal Committee papers, the minutes of the
Committee, the decision letter issued to the student and any other information
they deem relevant.
6.6 The Pro Vice-Chancellor may uphold or modify the decision of the Committee
or refer the appeal to a University Committee for further consideration.
6.7 The decision of the Pro Vice-Chancellor shall be final and normally issued
within 28 calendar days of receipt of the appeal.
Guidance
G17. Office of the Independent Adjudicator
If the decision of the Pro Vice-Chancellor completes the internal Fitness to
Practise Procedure then you will be eligible to raise a complaint with the Office
of the Independent Adjudicator within 3 months of receiving the Completion of
Procedures letter. Information regarding how to do this will be included in the
letter informing you of the decision.
7. Suspension
Principles
The University has a duty of care to students, staff and the wider community
including patients, clients and members of the public.
7.1 A student can be suspended from the University from their Programme of
study, or where the risk is only in relation to patients, clients or members of
the public, a student can be suspended from placement or clinical settings
only. The latter is only permitted where academic performance does not
require clinical or placement work.
7.2 The Vice-Chancellor is empowered to suspend a student with immediate
effect for a period of up to 12 calendar months. The Vice-Chancellor may
delegate their powers of suspension to a Deputy Vice-Chancellor or a Pro
Vice-Chancellor, Academic Registrar or other nominee.
7.3 The purpose of the suspension is to protect University members, the public,
the student or colleagues pending the investigation or completion of the
Fitness to Practise Procedure. A risk assessment will be conducted and
written reasons for the decision shall be recorded and made available to the
student.
7.4 Where there is considered to be an immediate risk, a Head of School is
empowered to suspend a student with immediate effect from a placement for
up to 7 calendar days in order to protect the safety of patients, clients and
members of the public. Any suspension made under this regulation must be
reviewed by the Vice-Chancellor (or nominee) within 7 calendar days.
Subsequently the suspension will be reviewed in line with Section 7.8.
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7.5 During a period of suspension from placement or clinical setting, a student
cannot attend placement or clinical setting activities but they can continue to
attend other scheduled academic teaching or assessments and make use of
University facilities unless otherwise restricted or withdrawn. Eligibility and
extent of access to University facilities will be decided at the time of
suspension, taking account of the nature of the circumstances and/or of any
alleged offence, but may be modified thereafter.
7.6 During a period of suspension from the University, a student cannot attend
academic teaching or any associated assessments and their entitlement to
access some or all University facilities may also be limited or withdrawn.
Eligibility and extent of access to University facilities will be decided at the
time of suspension, taking account of the nature of the circumstances and/or
of any alleged offence, but may be modified thereafter.
7.7 An order of suspension may include a requirement that the student should
have no contact of any kind with a named person or persons.
7.8 The Vice-Chancellor shall review any suspension at least every 60 calendar
days and where new information becomes available, with the intention of
bringing the case to a conclusion as soon as is reasonably practicable. The
student should be notified in writing of the outcome of any review within 7
calendar days.
7.9 A suspended student may request a review of the suspension, where there is
a change of circumstances (e.g. where court action is concluded, the student
is acquitted in the case of a criminal offence or police bring a case to an early
resolution by way of caution, warning).
7.10 A suspended student may request a review of the decision of the Vice-
Chancellor or nominee within 7 days of decision. The review will be
considered by the Deputy Vice-Chancellor, a Pro Vice-Chancellor, College
Dean or Academic Registrar who has not previously considered the case.
The student shall be given an opportunity to provide evidence to the reviewer,
who shall be empowered to lift or confirm the suspension on the basis of
appropriate expert advice.
7.11 Where a student is suspended pending the outcome of criminal charges and
is subsequently acquitted of those, the Vice-Chancellor shall re-admit the
student to the University, taking such steps as the Vice-Chancellor shall deem
to be appropriate to overcome any detriment caused to the student's
academic progress. This shall not preclude the University from considering
any concerns under this Procedure that may arise from the facts of the case
that might impact on a student’s fitness to practise.
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Guidance
G18. The decision to suspend
The Vice-Chancellor or nominee and Head of School shall be governed solely
by principles of justice, fairness and safety in dealing with any suspension. The
power to suspend under this provision is to protect the members of the
University community in general (or a particular member or members),
patients, professional clients or members of the public.
The power shall be used only when a risk assessment is conducted and as a
result the Vice-Chancellor or Head of School is of the opinion that it is urgent
and necessary to take such action.
Suspension is never automatic, and shall only be used where, after careful
consideration of the facts as they stand at the time, it appears to the Vice-
Chancellor or Head of School that this is the appropriate course of action.
G19. Suspension from placement or programme
Where you appear to present a risk to patients, clients or members of the
public but you do not appear to present a direct risk to the scheduled teaching
of the Programme or the University community the decision may be made to
suspend you from placements or clinical settings but not from academic
studies. Examples of when this might be appropriate include an allegation
relating to the falsification of medical documents or a health condition that
appears to present risk to the public in a placement or clinical setting.
Additionally, please be aware that if you are on placement, the placement
provider may ask you to leave and withdraw the placement opportunity.
8. Alternate Officers
The University reserves the right to designate an alternate to any of the
Officers named within this Procedure.
Senate Regulation Governing Personal Tutors
1. Each Head of School shall be responsible for ensuring that all students on
taught programmes of study are allocated and notified of a personal tutor at
the beginning of their programme. In joint honours programmes where the
subjects designated in the programme title are the responsibility of two or
more Schools, students shall be allocated a personal tutor from each
School.
2. The role of the personal tutor will be:
2.1 to provide such support and guidance to students as defined in Code of
Practice for Personal Tutors which can be found at:
http://learning.cf.ac.uk/supporting-students/personal-tutors/code-of-practice/
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3. If a personal tutor leaves the University or is absent for a prolonged period
or on leave for a prolonged period, Heads of Schools will provide cover by a
second named member of the academic staff, (as defined in Ordinance 12
of Cardiff University).
4. Schools will be required to implement a personal tutor system best suited to
the interests of their students, and such a system should, as a minimum,
embody the principles contained within the Code of Practice for Personal
Tutors.
5. A Head of School shall be satisfied that staff are sufficiently accessible and
suitably qualified and/or experienced to act as Personal Tutors.
6. Details of the personal tutor system being operated within a School will be
monitored by Academic Standards and Quality Committee via the Periodic
Review of Programmes.
7. Students will have the opportunity to change their personal tutor and will not,
at the first request, be required to state the reason. Any subsequent
requests for a change of personal tutor will be subject to the discretion of the
Head of School, whose decision will be final.
Research Student Progress Monitoring Procedure
1 OVERVIEW
1.1 The University is committed to the effective monitoring of research students'
academic progress. The Research Student Progress Monitoring Procedure
provides a formal system of regular reporting and evaluation, which
complements the continuous dialogue between the student and their
supervisors, and the ongoing monitoring that is central to the supervision
process.
1.2 The University expects students to make good progress in their study and
research. The purpose of the Progress Monitoring Procedure is to support
students in their efforts to meet this expectation and to maximise the
likelihood of their completing their degree successfully and within the
expected timescale. It allows for the identification of practical, as well as
academic, obstacles to progress, and for concerns about progress to be
raised, documented and addressed.
1.3 Continued registration on a research degree programme is conditional upon
the student demonstrating satisfactory progress, and a student may be
required to withdraw from the University or to change from doctoral to MPhil
status if he or she is not performing at a satisfactory level. A student whose
progress is a cause for concern has the right to know if this is the case, and
the School has a responsibility to take appropriate action promptly where
there are concerns about progress.
1.4 Compliance with this Procedure is mandatory and applies to all students
registered for research degrees
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. Progress is monitored from the date of
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With the exception of those programmes that are highly structured and include substantial
taught elements and have built in schedules of assessment: MRes, DClinPsy, DEdPsych
315
initial registration on the programme through to thesis submission (including
during any period beyond that of fee-paying registration and any
resubmission period).
1.5 The University recognises that differences between disciplines, types of
research degree programme and mode of study necessitate appropriate
variation in the implementation of the Monitoring Procedure, but the key
elements are common to all and promote a consistent approach.
1.6 Schools must detail their local arrangements for implementing the Progress
Monitoring Procedure, including how these are applied to part-time students
and/or those studying away from Cardiff for a period of time, and ensure that
students and supervisors are aware of the arrangements.
1.7 The Research Student Progress Monitoring Procedure comprises the
following three elements:
1.7.1. Initial Reporting, normally to be completed within the first 3 months of
registration for the research degree programme;
1.7.2. Progress Report, the first of which normally to be completed within 9
months of registration (within 6 months of Initial Reporting). Progress
Reports should be completed every 6 months thereafter (normally at 9, 15,
21, 27, 33 months, etc.);
1.7.3. Annual Formal Progress Review, the first normally to be completed within
9 months of the student's first registration, then annually thereafter (normally
within 9, 21, 33 months, etc.).
2 INITIAL REPORTING
2.1 During the early stage of the research programme, the student and main
supervisor are required to agree a Research Plan and to complete a
Development Needs Analysis (i.e. a skills audit and plan). The Initial
Reporting requires confirmation that these have been undertaken, and
requires the student and main supervisor each to submit an Initial Report.
The nature of the reports will be defined by the School: their purpose is to
allow any early difficulties to be highlighted and acted upon as appropriate.
Other member(s) of the supervisory team should be involved in accordance
with their role.
2.2 The Initial Reporting should normally be undertaken within the first three
months of the student's registration. Completion of the Initial Reporting must
be endorsed by the body or individual nominated for this purpose, usually
the School's Postgraduate Research Board (or equivalent), or the Director of
Postgraduate Research Studies (or nominee) acting on its behalf.
3 PROGRESS REPORT
3.1 The purpose of the Progress Report is to assess a student's progress with
sufficient frequency to allow for remedial action to be taken if necessary.
The process also involves reviewing and updating the Research Plan and
so helps maintain the focus of the research, while re-evaluating the
student's skills training needs. The first Progress Report exercise should be
completed within six months following the Initial Reporting.
3.2 The exercise requires the production of two separate reports: the Student’s
Self-Assessment Report recording the work done since the last Self-
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Assessment Report (or Initial Report) and the Supervisor’s Report
commenting on progress. The reports are followed by a Progress Meeting of
the student and supervisor.
3.3 The Student's Self-Assessment Report: research students are required to
submit a Self-Assessment Report at six-monthly intervals from the Initial
Reporting up until thesis submission. The Self-Assessment Report should
prompt the student to:
3.3.1. reflect on the progress made against the agreed objectives and milestones
for the period;
3.3.2. reflect on progress made with the production of the written thesis;
3.3.3. highlight any specific problems associated with the research;
3.3.4. append a record of training and development undertaken during the
reporting period.
3.4 The Supervisor Report: main supervisors are required to produce a
Supervisor Report for each student working under their direction, at six-
monthly intervals, up until thesis submission. The main supervisor(s) should
be prompted to:
3.4.1. confirm whether the student has maintained regular contact;
3.4.2. assess the student's progress and the standard of their work;
3.4.3. highlight for the School's attention any matters that have impeded (or will
impede) the student's progress;
3.4.4. identify if there is a risk that the student will not complete within the
expected timeframe;
3.4.5. consult with other member(s) of the supervisory team in accordance with
their role.
3.5 The Progress Meeting: The student and main supervisor are required to
hold a Progress Meeting to discuss their reports, to consider the work to be
undertaken over the next six-month period, in order to produce an updated
Research Plan and to undertake a further Development Needs Analysis (i.e.
a skills audit and plan). Other member(s) of the supervisory team should be
involved in accordance with their role.
3.6 Each Progress Report exercise is completed when all elements are
considered and confirmed by the body or individual nominated for this
purpose – usually the School's Postgraduate Research Board (or
equivalent), or the Director of Postgraduate Research Studies acting on its
behalf, who will inform the student of the outcome of the reporting exercise.
4 ANNUAL FORMAL PROGRESS REVIEW
4.1 The progress of every research student is formally reviewed on an annual
basis up until the successful submission of the thesis. The first Formal
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Progress Review is normally completed within 9 months
52
of the student first
registering, and at 12-monthly intervals thereafter (so normally completed
within 9, 21, 33 months).
4.2 The School's arrangements for conducting the Annual Formal Progress
Review and the criteria for proceeding must be clearly communicated to its
students and staff.
4.3 Each Annual Formal Progress Review contains the following elements:
4.3.1 a substantial piece of written work from the student, to be considered by a
Review Panel;
4.3.2 a meeting of the student and the Review Panel;
4.3.3 a documented outcome of the review and a recommendation in accordance
with 4.8 below.
4.4 The Review is based on the submission, by the student, of a substantial
piece of written work. The length and format of this work is defined by the
School. For full-time students, it is commonly equivalent to a thesis chapter
or a paper for publication in their non-final years; it should normally be of a
smaller scale for part-time students. The written work must be made
available to those members of staff responsible for reviewing the student's
progress in advance of the Review Panel meeting, allowing for adequate
consideration.
4.5 When a student is in their final year of fee-paying residence (e.g. at 33
months for a three-year PhD, and at nine months for a one-year MPhil),
he/she will be required to provide their School with evidence that the primary
research has been completed and there is a clear plan for thesis completion
and submission. This evidence may include a complete first draft of the
thesis.
4.6 The Review Panel must include at least one member of academic staff who
is an independent reviewer; it may also include member(s) of the student's
supervisory team. One member of the Review Panel is designated as its
Convenor and is responsible for its arrangement and reporting.
4.7 The student is required to attend the Review Panel meeting set up to
consider his/her progress. The format of the meeting is determined by the
School; it may take the form of a 'viva voce' interview, or a presentation and
question session.
4.8 Following the meeting, the Review Panel will make one of the following
recommendations:
4.8.1 that the student's progress and standard of work is satisfactory and that the
student is likely to complete their degree successfully and within the
expected timescale;
4.8.2 the student’s progress and standard of work is satisfactory overall but that
one or more unsatisfactory aspects of progress and/or performance have
been identified (see 14.13 below);
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Modest adjustment to the timing can be made in respect of the first year of doctoral degrees
that include taught, assessed components within their structure, and where performance in the
assessments is an additional criterion for proceeding to the next stage of the programme.
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4.8.3 that the student's progress and/or standard of work is unsatisfactory, and
that either:
i) he/she is required to change his/her registration from a doctoral degree
to MPhil (the Review Panel having satisfied itself that the revised
research project is, or will be, appropriate for an MPhil submission
within a revised time-scale, and that the student has made or is making
adequate progress toward the revised qualification aim); or
ii) he/she placed on a Warning of Exclusion from Research Study: this
Procedure will require the student to provide evidence of improvement
against a clear set of stipulated criteria within a time period of no less
than three and no more than six months.
4.9 Occasionally, the Review Panel may seek to defer its recommendation, and
require the student to provide additional evidence relating to the student’s
current work with which to inform its assessment. This is not a mechanism
by which to require the student to undertake new study or research. The
Review Panel may defer its recommendation on this basis for a maximum of
one month.
4.10 The Review Panel will provide a documented outcome, summarising its
assessment of the student’s progress and/or standard of work providing the
recommendation.
4.11 The Review Panel's report and recommendation will be referred to the
School's Postgraduate Research Board (or equivalent), or to the Director of
Postgraduate Research Studies acting on its behalf, for consideration
together with evidence from the Progress Report. The School's
Postgraduate Research Board (or equivalent), or the Director of
Postgraduate Research Studies acting on its behalf, will confirm or amend
the Panel’s recommendation, which will be notified to the student and main
supervisor.
4.12 The student and his/her main supervisor will be provided with a copy of
documented outcome once confirmed by the School's Postgraduate
Research Board (or equivalent), or the Director of Postgraduate Research
Studies acting on its behalf.
4.13 Any unsatisfactory aspects of progress and performance should be clearly
stated in the documented outcome. Where weaknesses have been
identified but a balanced evaluation is to recommend that the student be
permitted to proceed on the research degree programme for which he/she is
registered, the documented outcome should include clear action points
agreed by the School's Postgraduate Research Board (or equivalent), or the
Director of Postgraduate Research Studies acting on its behalf, and the
main supervisor.
4.14 Request for transfer from MPhil to PhD: a student may submit a request to
transfer from MPhil registration to PhD or to MD at any time for
consideration by the next Formal Progress Review. The request must be
supported by the main supervisor. The Review Panel will consider the
progress made by the student and the feasibility of extending the scope of
the project in making their recommendation to the School's Postgraduate
Research Board (or equivalent), or the Director of Postgraduate Research
Studies acting on its behalf, who will also ensure that any sponsorship
and/or ethical issues have been duly considered.
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5 UNSATISFACTORY PROGRESS
5.1 All students registered for research programmes are expected to maintain
regular contact with their supervisor(s) and to satisfy the Expected Contacts
defined by the Head of School. Concerns about a research student's
academic progress can be raised at any time: if progress is identified as
being unsatisfactory, or the standard of the student's work is below that
which is expected, the School is required to take action as detailed below.
5.2 Where a student fails to submit any of the reports required as part of the
Research Student Progress Monitoring Procedure without adequate
explanation, the Director of Postgraduate Research Studies may request the
student concerned to attend an interview to discuss the reason(s) for non-
submission.
5.3 If the student fails to engage with the requirements of the programme at any
stage and/or fails to respond to requests to attend interviews, the School
may implement the University's Non-Engagement Procedure, as detailed in
the Handbook of Academic Regulations.
5.4 If a supervisor has concerns about the rate of a student's progress or the
standard of work, he/she should raise them during a supervisory meeting.
Where the supervisor has significant concerns, these should be reported to
the Director of Postgraduate Research Studies who shall request the
student concerned to attend an interview. This may arise as part of the
Progress Report or at any other time. The main supervisor shall be invited to
attend the interview with the student; the student can, however, request a
separate meeting with the Director of Postgraduate Research Studies to
which the supervisor(s) shall not be invited to attend.
5.5 Where issues raised with the Director of Postgraduate Research Studies
lead the School to determine that the student's progress is less than
satisfactory, the student may be placed under a Warning of Exclusion from
Research Study.
6. EXCLUSION FROM RESEARCH STUDY
6.1 Where, in accordance with 4.8 or 5.5 above it has been determined to place
a student under a Warning of Exclusion from Research Study, the Director
of Postgraduate Research Studies will meet with the student and issue
him/her with a formal written warning, signed by the Head of School, stating
that his/her failure to comply with the University's Monitoring
requirements/lack of academic progress, may lead to his/her exclusion from
research study. A copy of the written warning must be placed on the
student's School file and a copy sent to the Academic Registrar.
6.2 A research student who has received written warning from the Head of
School shall be given at least three months in which to demonstrate
compliance/improvement.
6.3 At the end of the three months' warning period, the Supervisor shall
recommend to the Head of School, via the Director of Postgraduate
Research Studies, either:
6.3.1 that the warning be lifted, or
6.3.2 that the warning be extended for a further period of three months, or
320
6.3.3 that the student be excluded from research study.
6.4 No research student shall remain under warning for more than six
consecutive months. At the end of six months, a decision about his/her
future status must be made by the School Committee/Panel appointed by
the Head of School for this purpose.
6.5 Recommendations for the termination of research students' registration shall
be referred to the School Committee/Panel appointed by the Head of School
for this purpose.
6.6 The School Committee/Panel shall meet to consider recommendations from
Supervisors for the termination of a student's registration.
6.7 The Head of School shall notify the student, in writing, that a formal
recommendation for his/her exclusion from research study has been made.
The Head of School shall invite the student (i) to submit to him/her any
written information that he/she wishes to be put before the relevant School
Committee/Panel and (ii) to attend the meeting of the School
Committee/Panel, in person, to present his/her case against exclusion.
The student shall be given 10 clear days' notice, in writing, of the meeting
that will consider the recommendation for his/her exclusion. The notice shall
be sent Recorded Delivery.
6.8 Where a student fails to respond to the Head of School's invitation, or elects
not to attend the exclusion meeting, the School Committee/Panel may
proceed to consider the recommendation for exclusion in his/her absence.
6.9 The student shall be informed, in writing, by the Head of School, of the
decision reached by the School Committee/Panel in his/her case.
7. APPEALS AGAINST EXCLUSION/TERMINATION OF CANDIDATURE
OR REQUIRED CHANGE OF REGISTRATION
7.1 A candidate for a research degree who has been excluded or has had their
candidature terminated or has been required to change their registration
may lodge an appeal, in writing, to the Academic Registrar, within twenty
one (21) days of the decision. Appeals are only permitted on grounds of:
i) irregularities in the conduct of the School Committee or Panel; or
ii) extenuating circumstances not brought to the attention of the School
Committee or Panel and which can be shown to be relevant to the
School decision. In appeals based on these grounds, the appellant
must show good reason why such extenuating circumstances were not
made known to the School Committee or Panel, either before or during
its meeting.
7.2 The Academic Registrar, or nominee, will invite the Head of School to
provide a written school response to the appeal including supporting
evidence as appropriate.
7.3 The Academic Registrar may disallow an appeal that is based wholly on
factors which were known to the School Committee or Panel when the
exclusion was imposed.
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7.4 The Academic Registrar will refer an appeal (which has not been disallowed
under 4.3 above) to the University Appeal Panel (Research Degrees). The
Head of School will be invited to nominate a school representative to attend
the Appeal Panel.
7.5 The Appeal Panel (Research Degrees) shall be nominated by the Academic
Registrar and comprise:
i) Chair - A Pro Vice-Chancellor or Head of School not previously
involved in consideration of the student’s academic performance, plus
ii) Two members of the academic staff who have experience of
supervising research degree candidates and who have not been
previously involved in consideration of the student’s academic
performance.
7.6 The procedure to be adopted by the Appeal Panel (Research Degrees) shall
be as follows:
i) The Academic Registrar or nominee shall be the Secretary to the
Appeal Panel (Research Degrees). The Secretary shall fix the place
and time for the hearing which shall be at the earliest possible
opportunity and normally within six weeks of receipt of the appeal and
shall make them known to the student, to the school representative and
to the members of the Appeal Panel (Research Degrees). The
Secretary shall advise the student of the composition of the Appeal
Panel (Research Degrees). The student shall have a right to attend
the Appeal Panel (Research Degrees) and to present evidence in
support of their appeal. The student shall be required to inform the
Secretary whether he/she will be accompanied and/or represented, the
name of the person and whether he/she will be acting in a professional
legal capacity. The University may also obtain legal representation if
appropriate. The school representative will be present at the Appeal
Panel (Research Degrees) and will present the School submission.
ii) The Appeal Panel (Research Degrees) will consider:
– the written appeal provided by the student as detailed in
paragraph 4.1 above;
– the written school response to the appeal as detailed in
paragraph 4.2 above; and
– oral presentations by the appellant and by the school
representative.
The appellant and the school representative will not be permitted to
introduce new evidence to the Appeals Board.
iii) If the student does not appear at the hearing without reasonable
explanation and the Appeal Panel (Research Degrees) is satisfied that
due notice was given to the student, the Appeal Panel (Research
Degrees) may proceed in the absence of the student and shall
consider at the appropriate stage any representations made by or on
behalf of the student. The Chair will have discretion as to what
constitutes ‘reasonable explanation’.
322
iv) The outcomes of the Appeal Panel (Research Degrees) shall be
decided on the evidence before it.
v) The Appeal Panel may decide to confirm the exclusion/termination of
candidature or to uphold the appeal and substitute an alternative
decision.
7.7 The Academic Registrar hall inform the student of the outcome of his/her
appeal in writing, normally within five (5) working days of the meeting of the
Appeal Panel (Research Degrees). The communication of the outcome of
the appeal to the student completes appeal procedure and no further
submissions shall be considered.
Part 3
Student Matters
325
CARDIFF UNIVERSITY STUDENT COMPLAINT PROCEDURE
Contents
The following table outlines the Sections of the Student Complaint Procedure and the
principles that are adhered to by the University when students make a complaint.
Section/what’s included in the Section
Guiding principle for the Section
1.
Introduction
Information about who can make a complaint
under the Procedure and what types of issues
can and cannot be raised
Students have the right to complain. A
student who complains will suffer no
detriment as a consequent of doing so
2.
Support available to students using this
Procedure
Information about the variety of sources of
support available to students, including
independent support from Student Advice,
Students’ Union
Support and advice is available to
students throughout all stages of the
Procedure from a variety of sources
3.
Early Resolution Stage
Information about Early Resolution (through
discussion) and Early Resolution (in writing)
and the action required by students and the
University
In the first instance every effort should
be made to raise and resolve
complaints early and locally
4.
Formal Stage
Information about the Formal Stage and the
action required by students and the University
The University is committed to
undertaking a full and fair investigation
of serious or complex complaints
5.
Review Stage
Information about the Review Stage and the
action required by students and the University
A student can request the Formal
Complaint Decision to be reviewed to
ensure that the decision is fair and
reasonable in the light of the evidence
available
6.
Confidentiality and Anonymity
Information about the process followed by the
University in order to manage complaints in a
confidential and sensitive way
All complaints will be managed in a
confidential and sensitive way.
Information gathered as part of this
Procedure will only be shared with
other parties on a ‘need to know’ basis.
7.
Group Complaints
The procedure and guidance for group
complaints and the action required by
students and the University
Where the issues affect a number of
students, a group complaint may be
considered.
8.
Complaint Details and Supporting
Evidence
Procedure and guidance for students on the
formulation of complaints and supporting
evidence.
The proper investigation of complaints
requires complaint issues to be set out
in detail and supported by the
submission of evidence.
9.
External Adjudication (the Office of the Independent Adjudicator for Higher Education
(OIA))
10.
Substitute Officers
11.
Legal Action
12.
Monitoring and Recording of Complaints
13.
Review of Procedure/Equality Impact Assessment
14.
Useful Contact Information (including University contacts and Student Advice,
Students’ Union)
326
CARDIFF UNIVERSITY STUDENT COMPLAINT PROCEDURE
This Procedure can be made available in the following alternative
formats: Braille; large print; tape; disk and on coloured paper. Please
contact the Governance and Compliance Division to request a copy in
your chosen format.
1. INTRODUCTION
Principle
Students have the right to complain. A student who complains will suffer no
detriment as a consequence of doing so.
1.1 WHO CAN MAKE A COMPLAINT?
Students are eligible to use this Procedure as individuals or as a group if
they are:
.1 registered Cardiff University students;
.2 former Cardiff University students.
Guidance for Students
G1 Registered students include those registered or enrolled on a programme and
those on an interruption of study, temporary withdrawal or temporary exclusion
or suspension.
G2 Former students are eligible to use this Procedure up to 28 calendar days
after their formal leaving date or (if eligible to graduate) up to 28 calendar
days after graduation date.
G3 The University expects you to raise a complaint yourself within 7 calendar
days of the issue arising, either through discussion (Early Resolution
Discussion) or by completion of the appropriate form and submitting it in hard
copy or by email. Relevant Forms for all stages of this Procedure can be
downloaded here: http://www.cardiff.ac.uk/govrn/cocom/student/index.html or
obtained in paper form from the appropriate complaint administrator (Early
Resolution Stage Complaint Form) or Governance and Compliance Division
(Formal and Review Stage Complaint Forms).
G4 If a complaint is not received within the time limits attached to each stage of
the Procedure, the complaint will normally be deemed as ‘out of time’. The
time limits may be waived if good reason can be shown by you for not having
brought the complaint forward within these limits. However, you should be
aware that any lengthy delay may mean the University cannot reasonably be
expected to investigate and/or make a finding regarding such complaints.
G5 Staff dealing with complaints may seek advice from the Governance and
Compliance Division when determining the eligibility of a complaint under the
Procedure. If the University decides that the complaint is not eligible for
consideration under the Procedure (including complaints that are deemed to
be ‘out of time’) the Governance and Compliance Division will send you a
letter to confirm that the University’s internal procedures have been completed
and the reasons for the decision. This will normally be sent to you within 14
calendar days of receipt of the complaint. This letter is known as a
Completion of Procedures letter. There is no further action you can take under
the University’s internal procedures. You can, if you wish, refer the
University’s decision to the Office of the Independent Adjudicator for Higher
Education (OIA) – (see Section 9 – External Adjudication).
327
1.2 WHAT TYPES OF ISSUES CAN STUDENTS RAISE UNDER THIS
PROCEDURE?
Students can use this Procedure if their complaint relates to any of the
following:
.1 failure by the University to meet its obligations;
.2 concerns about the delivery of a programme (taught or research),
teaching or administration, including supervision;
.3 issues relating to the quality of facilities, learning resources or services
provided by the University.
Guidance for students
G6 Failure by the University to meet its obligations
This could include information on the University’s website, contained in
programme student handbooks and the Student Charter.
G7 Student/Staff Panel Representative
Some issues, such as timetabling, heating in a lecture theatre, may be
raised with your Student/Staff Panel Representative.
G8 Complaints relating to supervision
If you think that your supervisory arrangements are not functioning as well as
they should be then you must make your School aware of this as soon as
possible so that the School can help to resolve the situation. In order to give
the School an opportunity to review supervisory arrangements and, where
appropriate, implement a remedy for the remaining period of supervision,
complaints about supervision must be made under this Procedure and
should be raised as soon as possible and within 28 calendar days of the
problem arising.
You should be aware that issues about supervision are not normally
grounds for academic appeal and, therefore, you should not wait for marks
to be formally confirmed by the University before raising an issue about
supervision.
G9 Placements
If you are on a placement of any length, studying or working, and wish to
complain about the service provided by the placement provider which you
think has impacted on your learning experience, then you should submit a
complaint under the Formal Stage of this Procedure directly to Cardiff
University.
It is normally expected that complaints about general issues will be raised by
you directly with the placement provider by using the placement provider’s
internal complaint procedures. Where this is not possible you should contact
the appropriate University complaint administrator (see
http://www.cardiff.ac.uk/govrn/cocom/student/index.html ) for further
guidance.
If you have raised your complaint directly with the placement provider and
you are unhappy with the outcome you may submit a Formal complaint to
the University (see Section 4).
328
1.3 WHEN IS THIS PROCEDURE NOT APPLICABLE?
This Procedure should not be used to make a complaint about the following:
.1 Academic Judgement - that is the decision made by academic staff on
the quality of academic work or the criteria being applied to mark work
(rather than the administrative marking process)
53
. Academic
Judgement cannot be challenged under any procedure;
.2 Any matter that may be actively pursued under the Academic Appeals
procedure. Please refer to the Appeals Procedure:
www.cardiff.ac.uk/appeals;
.3 Complaints relating to Campus Facilities. Please refer to Campus
Services Customer Complaints Procedure:
http://www.cardiff.ac.uk/resid/resources/Customer%20Care%20Policy.
pdf
.4 A fellow student. Please refer to the Student Conduct & Discipline
Procedure:
http://www.cardiff.ac.uk/regis/sfs/studentcases/Studentcond&discipline/
studentconductdiscipline.html;
.5 The Students’ Union: http://www.cardiffstudents.com/about-
cusu/policy/
.6 Applications: complaints relating to an application to study at Cardiff
University. Please refer to the Complaints and Appeals Procedure for
Applicants: http://www.cardiff.ac.uk/regis/general/ .
Guidance for students
G10 You should be aware that marks and assessment results cannot be
changed by using this Procedure. Issues related to the outcome of an
academic assessment must be raised through the Academic Appeals
Procedure: www.cardiff.ac.uk/appeals
G11 Where you have initiated more than one procedure the University will
determine the most appropriate Procedures to be followed. Where the
issues are related, the University may decide to suspend one procedure
pending the outcome of the other. Alternatively, the University may, with
your agreement, decide to consider matters together, for example, where a
complaint covers issues that fall within the remit of other procedures such as
the Academic Appeals Procedure.
2. SUPPORT AVAILABLE TO STUDENTS USING THIS PROCEDURE
Principle
Support and advice is available to students throughout all stages of this Procedure
from a variety of sources.
2.1 Students are encouraged to obtain advice, guidance and support and may
be accompanied at all meetings.
2.2 Independent support and guidance is available to students from Cardiff
University Students’ Union Student Advice.
53
As defined in the Office of the Independent Adjudicator (OIA) - The Good Practice Framework for
handling complaints and academic appeals: http://oiahe.org.uk/good-practice-framework.aspx
329
2.3 University staff and the University's Student Support Centres can advise
students on the Procedure but are not able to assist in the formulation of a
complaint or accompany a student to meetings held under the Procedure.
2.4 The University understands that in exceptional cases students may be
unable to make a complaint themselves, for example, due to a health
condition and in such cases the student may be represented by a third party.
In these cases students are encouraged to appoint an independent
representative who is familiar with the University’s procedures and
processes for example, a Students’ Union Elected officer or adviser.
Requests to be represented may be made by students in writing under any
stage of this Procedure to the Governance and Compliance Division. They
will be considered on a case-by-case basis. If the request is approved, the
student will be asked to sign a consent form which will be provided by the
Governance and Compliance Division. The University will then correspond
directly with the student’s representative in relation to the complaint and a
copy of all correspondence will be sent to the student for information.
2.5 Students cannot normally be accompanied or represented by someone
acting in a legal capacity unless this is requested and agreed as a
reasonable adjustment.
Guidance for students
G12 Independent support
You are encouraged to seek independent support from someone familiar
with the University’s procedures and processes, i.e. a Students’ Union
Elected officer or adviser. Where applicable, support can also be provided by
your Professional Union or Professional Body.
G13 Staff support available to students
This includes Senior Personal Tutors, Personal Tutors, Programme
Directors, Year Tutor and the School or Professional Service complaint
administrators, or equivalents.
G14 Contact Information
Contact Information for the different support services available to you can be
found in Section 14 – Useful Contact Information.
G15 Complaints about staff
Staff implicated in a student complaint may seek support from their line
manager and/or Human Resources. They may also be
accompanied/supported at any investigation meetings by a Trade Union
representative (if they are a member) or by a colleague who has no material
interest in the complaint. Staff cannot normally be represented by someone
acting in a legal capacity unless this is requested and agreed as a
reasonable adjustment.
330
3. EARLY RESOLUTION STAGE
Principle
In the first instance every effort should be made to raise and resolve complaints early
and locally.
3.1 Early Resolution (through discussion)
.1 In the first instance, students should raise complaints with the
person whose action or inaction is the cause of dissatisfaction or try
to resolve the issue by discussion with an appropriate member of
staff (see Guidance for students below). This action should
normally take place within 7 calendar days of the problem arising.
.2 If the person dealing with the complaint considers that due to its
complexity the complaint should be dealt with under Early
Resolution (in writing), an Early Resolution (in writing) Complaint
Form will need to be completed (see Section 3.2).
.3 Students will be informed of the outcome normally within 7
calendar days from the person who is dealing with the complaint.
Where considered proportionate and appropriate, the student will
receive a written outcome by email.
.4 If students are dissatisfied with the outcome they can submit a
complaint in writing under Early Resolution (in writing) (see below),
to the School, College or Professional Service, using the Early
Resolution Complaint Form.
And/or
3.2 Early Resolution (in writing)
.1 Written complaints must be submitted by completion of the Early
Resolution Complaint Form which can be downloaded here:
http://www.cardiff.ac.uk/govrn/cocom/student/index.html ) or
obtained in paper format from the relevant complaint administrator
and submitted with relevant evidence to the School, College or
Professional Service complaint administrator in hard copy or by
email. This action should take place normally within 7 calendar
days of the problem arising or within 7 calendar days of receipt of
the Early Resolution (through discussion) outcome which may have
been confirmed verbally or in writing. The University expects that
the complaint will normally be resolved and a written outcome by
email issued within 14 calendar days of receipt of the Early
Resolution Complaint Form.
.2 On receipt of the Early Resolution Complaint Form, if it is
considered that the complaint is likely to take longer than 14
calendar days to resolve due to the complexity or seriousness of
the issue, then the complaint can be referred for consideration
under the Formal Stage (See Section 4) and the student will be
informed accordingly.
.3 If students are dissatisfied with the outcome of the Early Resolution
Stage they may escalate the complaint to the Formal Stage of the
Procedure; this should normally be done within 14 calendar days
of the date of the Early Resolution (in writing) written outcome (see
Section 4 – Formal Stage).
331
Guidance for students
G16 Colleges, Schools and Professional Services will identify members of staff to
undertake the role of the complaint administrator. Contact information can
be found here: http://www.cardiff.ac.uk/govrn/cocom/student/index.html.
G17 Early Resolution remedies may include:
providing you with more information/explanation;
suggesting solutions;
offering an apology.
G18 If responsibility for the issue raised lies in the staff member’s area of work,
every attempt will be made to resolve the complaint at source in consultation
with you. Where necessary, liaison with other staff and services will take
place to facilitate a swift resolution.
4. FORMAL STAGE
Principle
The University is committed to undertaking a full and fair investigation of serious or
complex complaints.
4.1 WHAT SHOULD STUDENTS DO?
.1 Students may submit a Formal Stage complaint under the following
circumstances and timescales:
(i) they are dissatisfied with the Early Resolution Stage, normally
within 14 calendar days of receiving the Early Resolution
written outcome; or
(ii) complaints of a serious nature, as soon as possible but
normally within 28 calendar days of the problem arising.
Formal Complaints must be submitted by completion of the Formal Stage
Complaint Form which can be downloaded here:
http://www.cardiff.ac.uk/govrn/cocom/student/index.html or obtained in paper
form from the Governance and Compliance Division and submitted to the
Governance and Compliance Division in hard copy or by email.
4.2 WHAT WILL THE UNIVERSITY DO?
On receipt of the formal complaint, the University will undertake an initial
evaluation to check that the complaint is submitted under the right
procedures and the appropriate stage, within stated deadlines, and in the
required format. This might result in:
referral to the Early Resolution Stage if this is considered appropriate
and has not been completed by the student;
the student being advised to use a different procedure;
request for further information or clarification;
the complaint being rejected, for example because it is submitted late;
the complaint proceeding to formal investigation;
the establishment of a Complaint Board if considered appropriate.
332
4.3 WHAT HAPPENS NEXT?
.1 If the complaint is rejected the Governance and Compliance
Division will issue the student with a Completion of Procedures
letter confirming the reasons for the decision and the complaint file
will be closed. A copy of the Completion of Procedures letter will be
sent to the appropriate Senior Officer (s)
54
, including the College
Registrar as appropriate.
There is no further action a student can take under the University’s
internal procedures. However, students can, if they wish, refer their
complaint to the Office of the Independent Adjudicator for Higher
Education (OIA).
.2 If the complaint proceeds the Governance and Compliance
Division will refer the complaint to the appropriate Senior Officer
and a copy will be sent to the College Registrar as appropriate.
The Governance and Compliance Division will confirm to the
student in writing the date of the referral and to whom it has been
referred.
Where the complaint is about a Head of School/Professional
Service, the complaint will be referred to a Pro-Vice Chancellor or
the Chief Operating Officer for consideration. If the complaint is
about a Pro Vice- Chancellor or the Chief Operating Officer it shall
be referred to the Vice-Chancellor for consideration. If the
complaint is about the Vice-Chancellor it shall be referred to the
Chair of Council.
If the complaint involves more than one College, academic School
and/or Professional Service, it will be referred to a Pro Vice-
Chancellor to allocate to an appropriate Investigating Officer. The
Governance and Compliance Division will inform the student and
relevant Senior Officer(s) and College Registrar as appropriate.
.3 The University will confirm the outcome of this initial evaluation to
the student in writing and will make any referral to the appropriate
Senior Officer(s) normally within 7 calendar days of receipt of the
complaint.
4.4 WHAT WILL THE SENIOR OFFICER DO?
The Senior Officer will allocate the complaint to an Investigating Officer,
normally within 3 calendar days of receipt.
4.5 THE INVESTIGATION
The Investigating Officer will confirm the scope of the investigation to the
student. If the student’s expectations appear to go beyond what the
University can reasonably provide or what is in its power to provide, the
Investigating Officer will advise the student as soon as possible in writing in
order to manage the student’s expectations about possible outcomes.
The Investigating Officer will gather and consider any relevant evidence to
produce a factual and objective written investigation report. During the
investigation, the Investigating Officer may ask to meet with the student, any
person implicated in the complaint and any other relevant parties. The
report will outline the process followed, evidence gathered, conclusions
drawn and any remedy.
54
‘Senior Officer’ includes: Heads of School/Professional Service, Director of Campus Facilities, Pro
Vice-Chancellors, Chief Operating Officer and the Vice-Chancellor
333
The Formal Complaint Investigation Report and any recommendations will
be referred to the appropriate Senior Officer for consideration/approval and
the Senior Officer will confirm the Formal Complaint Decision.
4.6 OUTCOME
Students can expect to receive the Formal Complaint Decision
55
from the
Senior Officer normally within 32 calendar days of the complaint being
allocated to the Investigating Officer. The student will also receive copies of
the information considered by the Investigating Officer and will be provided
with a clear explanation of the reasons for each decision. Students will also
be given information about:
their right to take the complaint to the review stage;
the grounds on which they can do so;
the time limit for escalating to the review stage;
the appropriate procedure;
where and how to access support.
The Formal Complaint Decision will also be copied to the College Registrar
as appropriate and the Governance and Compliance Division.
4.7 WHAT HAPPENS NEXT?
If satisfied with the Formal Complaint Decision, the student is required to
confirm this in writing to the Senior Officer normally within 10 calendar days
of the date of the Formal Complaint Decision. This may be done by email or
post.
Where appropriate the Senior Officer will arrange for any agreed remedy to
be implemented. The complaint will then be closed.
If the student is dissatisfied with the Formal Complaint Decision, a review
can be requested (see Section 5 – Review Stage). Students should submit
their request for review by completing the Review Request Form which can
be downloaded here:
http://www.cardiff.ac.uk/govrn/cocom/student/index.html or obtained in paper
form from the Governance and Compliance Division, as fully and accurately
as possible, normally within 10 calendar days of the date of the Formal
Complaint Decision. The form may be submitted to the Governance and
Compliance Division in hard copy or by email.
If students do not confirm that they are satisfied with the Complaint Decision
within 10 calendar days of the date of the Formal Complaint Decision or
submit a Review Request within 10 calendar days of the Formal Complaint
Decision, the University will close the complaint file and notify the student in
writing.
Guidance for students
G19 Allocation of your complaint to an Investigating Officer
The complaint will be allocated by the Senior Officer to a member of staff
who has been trained as an Investigating Officer and has had no previous
involvement in the matter.
55
Normally, short Formal Complaint Investigation Reports will form part of the Formal Complaint
Decision letter, longer reports will be produced separately.
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G20 The Investigating Officer’s role
The Investigating Officer will hold separate meetings with you and any other
parties to the complaint.
Special attention will be given by the Investigating Officer to identifying
complaints that may require particularly swift action. This may include but is
not limited to:
complaints involving a threat of serious harm;
complaints relating to disability support;
issues of serious and repeated services failure and/or significant delay.
The Investigating Officer may be assisted by an administrative officer.
G21 Complaint Board
The University reserves the right to convene a Complaint Board at the
Formal and Review Stages if it considers it to be appropriate due to the
seriousness and/or complexity of the complaint. The Complaint Board will
undertake the same role as the Senior Officer under the Formal Stage or as
the Reviewer at the Review Stage.
The Complaint Board will consist of three members none of which will have
had any previous involvement with or material interest in the case.
G22 Completion of the Formal Stage
Normally the Formal Stage of the Procedure should be completed within 52
calendar days of submission of your formal complaint. However, the 52
calendar day timeframe for completion of the Formal Stage of the Procedure
is affected by the actions and cooperation of you as the complainant. It is
important to do all you can to meet all University deadlines for the
submission of complete and detailed material.
There will occasionally be circumstances when, for good reason, the
University will need to extend the timeframe. Where this is the case, the
University will notify you and keep you regularly informed of progress.
5. REVIEW STAGE
Principle
A student can request the Formal Complaint Decision to be reviewed to ensure that
the decision is fair and reasonable in the light of the evidence available.
5.1 WHEN CAN STUDENTS SUBMIT A REVIEW REQUEST?
If students remain dissatisfied with the Formal Complaint Decision they can
request a review of the decision by a Reviewer.
A complaint must have been completed under the Formal Stage before it
can be escalated to the Review Stage. This stage will not normally include a
reconsideration of the issues raised, or a further investigation. The grounds
for a Review Stage request are:
.1 the Procedures were not followed correctly at the Formal Stage;
.2 the decision and/or remedy were unreasonable;
.3 there is new material evidence which the student was unable, for valid
reasons, to provide at the Formal Stage.
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Guidance for students
G23 The Reviewer
The Reviewer will not have had any previous involvement in the complaint
and will be sufficiently senior to the officer who has approved the Formal
Complaint Decision.
G24 In relation to points 5.1.1 and 5.1.2, the Reviewer will review the complaint
on the basis of the information available to the Investigating Officer at the
Formal Stage.
G25 If the review request is based on ground 5.1.3, details of the new evidence
must be supplied together with an explanation as to why this was
unavailable at the time of the investigation and why it is considered to be
material.
G26 If the complaint has resulted in a course of action under the Staff Disciplinary
Procedure the student will be informed. However, there is no right of review
against any subsequent decision made under that procedure.
5.2 SUBMITTING A REVIEW REQUEST
Students should submit their request for review by completing the Review
Request Form which can be downloaded here:
http://www.cardiff.ac.uk/govrn/cocom/student/index.html or obtained in paper
form from the Governance and Compliance Division, as fully and accurately
as possible, normally within 10 calendar days of receiving the Formal
Complaint Decision. The form may be submitted to the Governance and
Compliance Division in hard copy or by email.
The student should set out clearly which of the three grounds at 5.1 above
apply and why and, if 5.3 applies provide copies of the new evidence.
5.3 WHAT WILL THE GOVERNANCE AND COMPLIANCE DIVISION DO?
On receipt of the Review Request, the Governance and Compliance Division
will undertake an initial evaluation to check that the student has completed
the Formal Stage of the Procedure, that the request is submitted under the
correct Procedure and under permitted grounds, within the deadline, and in
the required format. This might result in:
.1 the request being rejected, for example because it is submitted late
or under grounds which are ineligible;
.2 the complaint proceeding to the Review Stage;
.3 with the student’s agreement, referral to a mediation process.
If the student’s expectations appear to exceed the scope of the Review
Stage, the student will be advised of this by the Governance and
Compliance Division as soon as possible in writing in order to manage
expectations about possible outcomes.
If the Review Request is rejected at initial evaluation, the Governance and
Compliance Division will also issue the student with a Completion of
Procedures letter explaining the reasons for the decision and close the
complaint file. A copy of the Completion of Procedures letter will also be
sent to the appropriate Senior Officer, the Investigating Officer and College
Registrar as appropriate.
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There is no further action students can take under the University’s internal
procedures. However, students can, if they wish, refer their complaint to the
Office of the Independent Adjudicator for Higher Education (OIA).
The Governance and Compliance Division will confirm the outcome of this
initial evaluation to the student and issue a Completion of Procedures letter
as appropriate normally within 7 calendar days of receipt of the review
request.
If the complaint is escalated to the Review Stage, the Governance and
Compliance Division will inform the appropriate Senior Officer normally
within 7 calendar days of receipt of the Review Request, that a Review
Request has been received and will provide them with a copy of the request,
a copy of the Formal Complaint and a copy of the Complaint Investigation
Report. A copy of the Review Request will also be sent to the Investigating
Officer for information and the College Registrar as appropriate.
The Senior Officer will be asked to provide a Review Request Response to
the Governance and Compliance Division normally within 7 calendar days
of the date the Review Request is sent to them.
The Governance and Compliance Division will refer the case to the Reviewer
normally within 7 calendar days of receiving the Review Request
Response.
5.4 WHAT WILL THE REVIEWER DO?
The Reviewer will consider the Review Request on the basis of the grounds
under which it has been submitted and the Review Request Response. The
Reviewer may decide to uphold or overturn the Formal Complaint Decision
and will advise the Governance and Compliance Division normally within 10
calendar days of the date of the referral. Students can expect to receive
the Reviewer’s decision normally within 38 calendar days of the Review
Request being received by the Governance and Compliance Division.
5.5 OUTCOME
The Reviewer may decide to either uphold or overturn the Formal
Complaint Decision as follows:
.1 Formal Complaint Decision and any proposed remedy upheld
If the Reviewer rejects the Review Request and upholds the
Formal Complaint Decision, the Governance and Compliance
Division will issue the student with a Completion of Procedures
letter, confirming the Reviewer’s decision and the reasons for this
and close the complaint. A copy will also be sent to the Senior
Officer, Investigating Officer and the College Registrar as
appropriate.
There is no further action students can take under the University’s
internal procedures. However, students can, if they wish, refer their
complaint to the Office of the Independent Adjudicator for Higher
Education (OIA).
337
.2 Formal Complaint Decision upheld but alternative remedy offered
If the Reviewer upholds the Formal Complaint Decision but
considers that an alternative remedy is to be offered, the
Governance and Compliance Division will issue the student with
details of the new remedy. A copy will also be sent to the Senior
Officer, Investigating Officer and the College Registrar as
appropriate.
Students will be asked to confirm whether or not they are satisfied
with the Review Stage Decision (see 5.6 below).
.3 Formal Complaint Decision overturned
If the Reviewer overturns the Formal Complaint Decision, the
Governance and Compliance Division will issue the Reviewer’s
Decision to the student, explaining the reasons for the decision and
any revisions to the Formal Complaint Decision. The Senior Officer
and Investigating Officer will be informed of the decision and also
the College Registrar as appropriate. The student will be asked to
confirm whether or not they are satisfied with the Reviewer’s
Decision (see 5.6 below).
5.6 WHAT DOES THE STUDENT DO NEXT?
Where the Formal Complaint Decision is upheld but an alternative remedy is
offered (see 5.5.2) or the Formal Complaint Decision is overturned (see
5.5.3), students are required to confirm in writing to the Governance and
Compliance Division, normally within 14 calendar days of the date of the
Review Request Decision, whether or not they are satisfied with the
decision. This may be done by email or by post.
If the student is satisfied with the Review Stage Decision, the Governance
and Compliance Division will arrange for the agreed remedy to be
implemented and the complaint will be closed.
If the student is dissatisfied with the Review Stage Decision, as there is no
further action the student can take under the University’s internal
procedures, the Governance and Compliance Division will automatically
issue a Completion of Procedures letter to the student, normally within 14
calendar days of receipt of the confirmation. A copy of the Completion of
Procedures letter will be sent to the Reviewer, the Senior Officer and College
Registrar as appropriate. Students can, if they wish, refer their complaint to
the Office of the Independent Adjudicator for Higher Education (OIA).
If the student does not confirm their satisfaction, or otherwise, with the
Review Request Decision within 14 calendar days of the date of the Review
Request Decision, as there is no further action the student can take under
the University’s internal procedures, the Governance and Compliance
Division will close the complaint file and automatically issue a Completion of
Procedures letter to the student normally within 14 calendar days. A copy
of the Completion of Procedures letter will be sent to the Reviewer, the
Senior Officer and College Registrar as appropriate. Students to whom
Completion of Procedures letters are issued can, if they wish, refer their
complaint to the Office of the Independent Adjudicator for Higher Education
(OIA).
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Guidance for students
G27 Completion of the Review Stage
Normally the Review Stage of the Procedure will be completed within 38
calendar days of submission of your Review Request. However, the 38
calendar day timeframe for completion of the Review Request Stage is
affected by your actions and cooperation as the complainant. It is important
to do all you can to meet all University deadlines for the submission of
complete and detailed material.
There will occasionally be circumstances when, for good reason, the
University will need to extend the timeframe. Where this is the case, the
University will notify you and keep you regularly informed of progress.
G28 Completion of Procedures letter
The Completion of Procedures letter will inform you about your right to
submit a complaint to the Office of the Independent Adjudicator for Higher
Education (OIA) (see Section 9 – External Adjudication), the time limit for
doing so and where and how to access advice and support.
6. CONFIDENTIALITY AND ANONYMITY
Principle
All complaints will be managed in a confidential and sensitive way. Information
gathered as part of this Procedure will only be shared with other parties on a ‘need to
know’ basis.
6.1 Persons who are the subject of a complaint will be informed of the complaint
so that they are given the opportunity to respond.
6.2 At the Formal Stage the completed Formal Complaint documentation will
normally be copied to the person(s) who is (are) the subject of the complaint
unless the student can demonstrate that there is a good reason for not
doing so.
6.3 Anonymous complaints will not normally be accepted. However, in
compelling cases supported by evidence, an exception may be made.
Guidance for students
G29 The Student Complaint Procedure will ensure an appropriate level of
confidentiality and you can be confident that no detriment will be
experienced if you raise a complaint in good faith. Anonymous complaints
will only be considered where there is clear and compelling evidence that
justifies an exception being made and for the matter to be investigated.
G30 We will normally use your University email account to correspond with you
about your complaint. If a University email account is not available, you will
be asked to provide an alternative personal email account.
G31 The University expects all parties to act reasonably and fairly towards each
other and with respect.
G32 Where a complaint raised is later shown to be frivolous, vexatious or
motivated by malice, it will be dismissed and disciplinary action may be
taken against you.
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7. GROUP COMPLAINTS
Principle
Where the issues raised affect a number of students, a group complaint may be
considered.
7.1 The University will accept a group complaint where students are complaining
about the same issue at the same time and seeking the same outcome. The
University requires the group to appoint one spokesperson to represent the
group as a whole and to liaise with the other students.
7.2 The University reserves the right to separate out group complaints where
individual remedies would be more appropriate and to apply a resolution to a
wider number of students than may have submitted the group complaint.
7.3 The Completion of Procedures letter (if issued) will be addressed to the
‘group spokesperson’. All students party to the group will be named in the
Completion of Procedures letter and a copy will be sent to all students party
to the group.
7.4 If a student wishes to withdraw from the group, this should be confirmed in
writing, either by email or post, to the person managing the complaint.
7.5 All other aspects of the Procedure apply to Group Complaints including the
support that is available to individual students making a complaint (see
Section 2).
Guidance for students
G33 For Data Protection Purposes, each student party to the group will be
required to sign an individual Group Complaints Consent form which can be
downloaded here: http://www.cardiff.ac.uk/govrn/cocom/student/index.html
or requested in paper form from the Governance and Compliance Division.
The consent of all parties to the group will need to be received by the person
managing the complaint prior to accepting the group complaint.
8. COMPLAINT DETAILS AND SUPPORTING EVIDENCE
Principle
The proper investigation of complaints requires complaint issues to be set out in
detail and supported by the submission of evidence.
8.1 Students are required to set out their complaint clearly and succinctly at all
stages of the Procedure, providing evidence to substantiate the issues
raised where possible, and stating the outcome they are seeking. The types
of evidence that may be relevant include, but are not limited to:
.1 University documentation for example, relevant Student Handbook;
.2 Correspondence;
.3 Independent medical evidence;
.4 Witness statements;
.5 Reports by Professionals;
.6 Financial information.
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Guidance for students
G34 The independent evidence that could be submitted by you to support your
complaint may include:
Medical/health certificate which confirms illness for a defined period;
Letter of support/explanation from a support service at the University
(for instance, a statement from the Disability and Dyslexia Service);
Letter of support/explanation from a third party (such as a police report,
counsellor’s letter, local authority report, etc.);
A witness statement, including information to corroborate your
complaint. The statement must be signed by the witness and dated.
G35 Such supporting evidence must be submitted on documentation that is
recognisably authentic (for example, on headed paper) and be signed and
dated by the relevant authority. It must be unaltered and not annotated by
you. Translated evidence should similarly be authentic and can normally be
obtained from the facility issuing the certificate (for example, hospital, official
body).
G36 The University will not normally accept covert recordings as evidence to
support a complaint.
9. EXTERNAL ADJUDICATION
If, having received the formal notification of the Completion of Internal
Procedures, the student is still not satisfied that the University has
considered the complaint fairly and justly there is provision for an external
review of the case.
The Office of the Independent Adjudicator for Higher Education (OIA)
provides an independent scheme for the review of student complaints.
Further information can be found on the OIA’s website:
http://www.oiahe.org.uk/
10. SUBSTITUTE OFFICERS
The University reserves the right to substitute any officers within the
Procedure as necessary. No officer shall be substituted by any person who
is connected with or has any interest in the complaint.
Guidance for students
G37 The University will ensure that decisions are taken by people who are not
connected or associated with the issue that is subject to the complaint.
11. LEGAL ACTION
All actions under this Procedure will normally cease upon receipt of formal
correspondence from a solicitor intimating a legal claim against the
University on the student's behalf, or upon instigation of legal proceedings
against the University in relation to the complaint.
12. MONITORING AND RECORDING OF COMPLAINTS
The monitoring and recording of complaints will be in accordance with the
specifications contained in the Policy for the Student Complaint Procedure.
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13. REVIEW OF PROCEDURE/EQUALITY IMPACT ASSESSMENT
A review of this Procedure and an Equality Impact Assessment will be
carried out on a regular basis. The Equality Impact Assessment will be
available here:
http://www.cardiff.ac.uk/govrn/cocom/equalityanddiversity/eqimpactassess/c
ompleted-eias.html
14. USEFUL CONTACT INFORMATION
Professor Patricia Price
Pro Vice-Chancellor, Student Experience
and Academic Standards
Cardiff University
Main Building
Park Place
Cardiff CF10 3AT
Tel: 029 208 70530
Email: [email protected]
Governance and Compliance Division
Cardiff University
30 – 36 Newport Road
Cardiff CF24 0DE
Tel: 029 208 79639
Email: [email protected]
Student Advice
3
rd
Floor, Students Union,
Park Place
CF10 3QN
Tel: 029 2078 1410
Fax: 029 2078 1508
Email: [email protected]
Student Support Centres
50 Park Place
Tel: 029 208 74844
Email:
And
2
nd
Floor, Cardigan House
Heath Park
Tel: 029 20742070
Email:
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Student Discipline Procedure
1. STUDENT DISCIPLINARY CODE
1.1 SCOPE
This Code shall apply to all students of the University, that is, any person
registered at Cardiff University as a candidate for a degree, diploma,
certificate or other distinction of Cardiff University or of other universities and
of other awarding bodies. It shall also apply to Sabbatical Officers of the
Students' Union. This Code covers behaviour which may be dealt with
under the University's Fitness to Practise Procedure or under the
Disciplinary Procedures of the Students' Union (see 2.2 'Application' below)
or under rules applicable to Residences, Library and University IT facilities.
1.2 APPLICATION
This Code shall apply to all students of the University (as defined above)
when they may reasonably be regarded as being under the auspices of the
University or in a public place within the vicinity of the University. This shall
include behaviour arising at any time when the student may be regarded as
representing the University as an individual or as part of a team or group,
and when the student is at some location away from the University following
an arrangement made through the University or the Students' Union.
Students studying away from the University on periods of Experiential
and/or Professional Learning are specifically covered by this Code. In
addition, any student convicted of a criminal offence or bringing the
University into disrepute, wherever the offence or misconduct takes place,
may also be subject to action under this Code.
1.3 RULES OF BEHAVIOUR
1.3.1 A student shall observe University rules which shall include those set out
below and any other rules and regulations introduced from time to time by
the Senate or other authorised body or authority. A student who is a
member of the Students' Union shall also observe the Students' Union rules.
1.3.2 A student shall not behave in a manner inconsistent with the proper
functioning of the University and shall not engage in conduct which may
involve an offence against a person; cause a nuisance (e.g. interference
with another person's reasonable enjoyment of their own property or of a
public place where they are entitled to be); damage, deface, misappropriate
or misuse any property including property of the University and the Students'
Union; or otherwise behave in a manner likely to bring the University into
disrepute or likely to cause offence to others.
1.3.3 A student shall not engage in conduct which disrupts or is likely to disrupt
teaching, study, assessment, research, administration or social activities in
the University, or which obstructs, or is likely to obstruct any student in
pursuit of their studies or person employed by the University or the Students'
Union in the performance of their duty, or any visitor to the University.
1.3.4 A student shall not engage in any form of harassment towards other
students or members of the University's staff. In this context, harassment
may include a student engaging in one or more of the types of conduct
specified in 1.3.2 and 1.3.3 above. Harassment consists of behaviour
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towards another which causes, or which might reasonably be expected to
cause, sufficient distress or annoyance to disrupt seriously the work or
substantially to reduce the quality of life of that other, by such means as
bullying, verbally or physically abusing, ill-treating or otherwise creating or
maintaining a hostile environment for that other, including via the use of
social networking sites, other websites or any other forms of electronic
media and communication.
1.3.5 A student shall leave any premises of the University or the Students' Union
when reasonably required so to do by any person employed by the
University or the Students' Union.
1.3.6 A student shall not act in such a way as prejudices the freedom of speech of
any other student or any member of the University or visitor to the
University, or contravene the provisions of the University's Code of Practice
thereon.
1.3.7 Unless otherwise authorised, a student shall enrol with the University as
instructed at the start of each academic session or, where this is different, in
accordance with the enrolment date specified in the student's Programme
Information.
1.3.8 A student shall comply with all requirements as to attendance at classes or
assessments or submission of work and shall not engage in, or be party to
any academically improper or dishonest practice. (Attention is drawn to the
University Unfair Practice Procedure.)
1.3.9 A student shall not communicate confidential University information or
communicate the contents of a restricted Cardiff University document to
anyone outside the University community.
1.3.10 A student shall not impersonate another, or give false information to any
person employed by the University or the Students' Union in the course of
their duties.
1.3.11 A student shall not do anything that is likely to cause injury or impair the
safety of others on University premises and shall comply with all
requirements as to safety, including any instructions or codes of practice on
health and safety issued by the University and/or its Schools.
1.3.12 A student shall not gain or attempt to gain unauthorised access to a
computer system, either of, or via those of the University, or modify or
attempt to modify without authority computer programs or data in or via
University equipment. A student shall not allow another person to use
his/her University computing account by sharing passwords or by any other
mechanism.
1.3.13 A student shall comply with a reasonable request to meet any person
employed by the University or the Students' Union in the performance of his
or her duty at his or her place of work within the University premises.
1.3.14 A student who is absent from the University for more than three consecutive
working days during the semester/term or absent from any assessment
which he/she is required to take shall comply with the requirements
specified within the Senate Student Absence Procedures and, in the case of
absence from an assessment, the Senate Assessment Regulations.
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1.3.15 A student shall be required to have a valid University student identity card
(ID Card) which shall be carried when on University property and shall be
produced when a request is made by any person employed by the
University or the Students' Union, and shall surrender the identity card to the
University upon ceasing to be a student of the University.
1.3.16 A student shall not purchase, attempt to purchase or order goods or
services on behalf of the University, or use University facilities for private
purposes without permission.
1.3.17 A student shall pay all fees and other money owing to the University in
accordance with University Financial Regulations. If payment is not
received the University may initiate proceedings under the Procedure for
Payment of Tuition Fees and Other Monies.
1.3.18 Where a student is enrolled on a Programme that leads directly to, or that
satisfies a necessary condition of, a professional qualification, and/or which
gives the right to practise in one or more professions, he/she shall not
engage in any conduct which renders him/her unfit to be admitted to and
practise that profession or calling.
1.3.19 A student shall not make publically available inappropriate comments or
pictures which may breach the University Dignity at Work and Study Policy
and which causes distress offence to an identified member of staff or
student on websites by electronic media or by any other means.
1.3.20 A student shall not:
sign or confirm attendance for another student on any register in a
monitored academic class or activity or commission another person to
confirm their attendance;
allow another person to use his/her student card.
1.3.21 A student shall not give false information during the application and/or
enrolment processes or give false information to any officer employed by the
University or the Students' Union or to a placement provider in the course of
their duties.
1.3.22 A student shall not share or publish, via social networking sites, file share
programmes or any other means, any material that is provided for the
purposes of their learning without the express written consent from the
academic member of staff who produced or presented that material. This
does not preclude students sharing material with fellow students of the
University within the normal parameters of an academic programme.
1.4 CONCURRENT JURISDICTION - CRIMINAL AND DISCIPLINARY
1.4.1 The University shall not take any action which purports to set aside or
circumscribe its legal obligations or the legal rights of those subject to this
Code.
1.4.2 Many circumstances which fall within the scope of this Disciplinary Code
have the potential also to be regarded as a breach of criminal law (e.g.
stealing, damage to property, fighting), and there are criminal acts which,
even if they occur beyond the normal jurisdiction of the University, could
jeopardise the good name of the University or could be of such a nature that
the perpetrator could reasonably be regarded as posing a danger to other
345
members or to the good order of the University community (e.g. supplying
illegal drugs, serious sexual assault, persistent theft).
1.4.3 The University Student Disciplinary Code and Disciplinary Procedures exist
to provide a straightforward framework to enable the University to deal
quickly and fairly with such matters.
1.4.4 The University shall maintain a constructive relationship with the Police, shall
co-operate in any Police enquiry, and shall report any matter which appears
to constitute a serious criminal offence, or where otherwise the University
thinks fit to do so, directly to the Police.
1.4.5 The University reserves the right to consider the consequences of
convictions for criminal acts incurred by a student with regard to the
suitability of that person to continue as a student of the University, or to
impose such other penalties as are permitted within the terms of the Student
Disciplinary Procedure and the powers of the Senate Disciplinary Panel.
Such considerations shall be heard by the Disciplinary Panel as defined
within the Student Disciplinary Procedure. This paragraph shall not restrict
the power of the Vice-Chancellor to discipline a student in accordance with
that Procedure. Where applicable, the University also reserves the right to
consider whether further individual action may be taken in relation to other
relevant University Procedures.
1.5 BREACHES OF UNIVERSITY CODES, RULES AND REGULATIONS
1.5.1 Subject to 1.4 above, any alleged breach of this Code or of other Codes,
Rules or Regulations in the University, shall be dealt with through the
application of the University's Student Disciplinary Procedure unless the
alleged breach is better dealt with only through some other procedure, e.g.
Unfair Practice Procedure, Fitness to Practise Procedure, Procedure for
Payment of Tuition Fees and Other Monies, Student Attendance and
Engagement Procedures or other similar procedures. Personal disputes
where the proper functioning of the University is not affected by those
disputes shall not be dealt with under the Student Disciplinary Procedure. In
respect of procedures relating to misconduct in the Library or University
Accommodation, procedures relating to the Computing Service, Fitness to
Practise Procedure or Disciplinary Procedures of the Students' Union, cases
may be dealt with either under those procedures or under the Student
Disciplinary Procedure.
1.5.2 The Registry will keep a record of all formal reprimands imposed on a
student or other disciplinary action taken by the University. However, such
a record shall only be taken into account in the event of a subsequent
disciplinary incident arising within twelve calendar months of the original
incident unless otherwise specified at the conclusion of the original incident.
2. STUDENT DISCIPLINARY PROCEDURE
2.1 SCOPE
This Procedure shall apply to all students of the University, that is, any
person registered at Cardiff University as a candidate for a degree, diploma,
certificate or other distinction of Cardiff University or of other universities and
of other awarding bodies. It shall also apply to Sabbatical Officers of the
Students' Union. This Procedure covers behaviour which may be dealt with
under the University's Fitness to Practise procedure or under the
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Disciplinary Procedures of the Students' Union (see 2.2 'Application' below)
or under rules applicable to Residences, Library and University IT facilities.
2.2 APPLICATION
The conduct of persons whilst students at the University is governed by
various procedures including:
.1 the Student Disciplinary Code;
.2 the Fitness to Practise Procedure;
.3 rules relating to Libraries;
.4 rules relating to Residences;
.5 rules relating to the University IT facilities;
.6 Disciplinary Procedures of the Students' Union;
.7 such other rules as may from time to time be introduced to regulate the
conduct of students.
With the exception of the Disciplinary Procedures of the Students' Union,
such procedures, codes and rules are hereinafter collectively referred to as
'University Rules'.
2.3 PRELIMINARY INVESTIGATION
2.3.1 Any breach of University Rules shall be the subject of a preliminary
investigation. The purpose of a preliminary investigation shall be to
determine whether such breach may be disposed of summarily by the
person undertaking such preliminary investigation without the need for
referral to higher authority and the use of formal disciplinary procedures.
The person who shall be appointed as the investigating officer to carry out
such preliminary investigations shall be appointed by the Academic
Registrar or nominee.
2.3.2 Following preliminary investigation, the Investigating Officer shall have the
discretion to:
a) dismiss a complaint;
b) impose any penalty permitted by the appropriate University Rules;
c) refer the complaint to the Academic Registrar accompanied by a
written report;
d) require the student to make a formal apology;
e) issue a caution which shall not be recorded on the student's record;
f) issue a reprimand which shall be noted against the student in the
Registry and shall include a formal written warning that treatment of
any future misconduct within twelve months will take such reprimand
into account;
g) refer the matter to the police or other authorities.
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2.3.3 Where the provisions of the Disciplinary Procedures of the Students' Union
have been exhausted and the case remains unresolved, a complaint,
accompanied by a written report, may be referred to the Academic Registrar
by an authorised officer of the Students' Union. The complaint will thereafter
be handled through the University Procedure as from 2.4 onwards.
2.3.4 A student dealt with under (b), (d), (e) or (f) of 2.3.2 shall be entitled to
appeal against such a decision to the Academic Registrar within 5 working
days by notice in writing accompanied by a written statement of the grounds
for such appeal.
2.4 THE ACADEMIC REGISTRAR AND THE VICE-CHANCELLOR
Where the Academic Registrar receives a written report or a written notice
under 2.3.2(c), or 2.3.3 above, the Academic Registrar shall decide, in light
of the nature of the case, whether to:
2.4.1 refer the matter directly to the Senate Disciplinary Panel; or, inform the
student concerned in writing that he or she has a choice to have the case
heard by a Senate Disciplinary Panel or to have the case submitted for an
executive decision by the Vice-Chancellor; or
2.4.2 recommend to the Vice-Chancellor (or delegate) that the student be
suspended or excluded from all or from some University facilities with
immediate effect.
2.5 SUSPENSION
2.5.1 The Vice-Chancellor has power to suspend a student with immediate effect
for a period of up to 12 calendar months. The Vice-Chancellor may
delegate their powers of suspension to a Deputy Vice-Chancellor or a Pro
Vice-Chancellor who will make a full report to the Vice-Chancellor of any
suspension. The Vice-Chancellor or delegate shall confirm the suspension
in writing, giving reasons together with the right to appeal within 5 working
days.
2.5.2 During a period of suspension, a student will not be entitled to attend
academic teaching or any associated assessments and his/her entitlement
to access some or all University facilities may also be withdrawn. Eligibility
and extent of access to University facilities will be decided at the time of
suspension, taking account of the nature of the alleged offence, but may be
modified thereafter.
2.5.3 Any student suspended may appeal against the suspension to the
Disciplinary Appeals Committee. The Disciplinary Appeals Committee shall
meet as soon as possible to consider the appeal and in any case no later
than four weeks after the date of suspension. The student shall remain
suspended until such time as the Disciplinary Appeals Committee has
considered the appeal.
2.5.4 The Vice-Chancellor (or delegate) shall be governed solely by principles of
justice and fairness in dealing with any suspension, save that the purpose of
suspension is not to impose a penalty but is to enable the case to be
thoroughly investigated, if it is an internal matter, or to reach a conclusion if
the matter is subject to a criminal prosecution. The power to suspend under
this provision is to protect the members of the University community in
general (or a particular member or members), patients or professional
clients. The power shall be used only where the Vice-Chancellor (or
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delegate) is of the opinion that it is urgent and necessary to take such
action. Written reasons for the decision shall be recorded and made
available to the student.
2.5.5 Suspension is never automatic, and shall only be used where, after careful
consideration of the facts as they stand at the time, it appears to the Vice-
Chancellor (or delegate) that this is the appropriate course of action.
2.5.6 The Vice-Chancellor (or delegate) shall review any suspension at least every
two months or where the circumstances change and warrant a review. The
intention is to bring the case to a conclusion as soon as is reasonably
practicable. The student will have the right to make written representations
which will be taken into account when the suspension is being reviewed.
The student should be notified in writing of the outcome of any review within
a specified period of time, usually 5 working days.
2.5.7 The student may request a review of the suspension, where there is a
change of circumstances (e.g. where court action is concluded, the student
is acquitted in the case of a criminal offence or police bring a case to an
early resolution by way of caution, warning).
2.5.8 Where a student is suspended pending the outcome of criminal charges, but
is subsequently acquitted of those, the Vice-Chancellor shall re-admit the
student to the University, taking such steps as the Vice-Chancellor shall
deem to be appropriate to overcome the damage done to the student's
academic progress. There shall be no re-examination of the same case
under University Disciplinary Procedures in these circumstances.
2.6 EXCLUSION
2.6.1 The Vice-Chancellor has power to exclude a student with immediate effect.
The Vice-Chancellor may delegate powers of exclusion to a Deputy Vice-
Chancellor or a Pro Vice-Chancellor who will make a full report to the Vice-
Chancellor of any exclusion. The power shall be used where the Vice-
Chancellor (or delegate) is of the opinion that it is urgent and necessary to
take such action and where after careful consideration of the facts as they
stand at the time, it appears to the Vice-Chancellor (or delegate) that this is
the appropriate course of action. The Vice-Chancellor will also consider
cases under this Procedure where:
a) the University has grounds to believe that a registered student obtained
his/her place on the basis of false, incorrect or misleading information;
b) the student has failed to follow reasonable requests from University
Officers to complete the enrolment process.
2.6.2 In consideration of the case the Vice-Chancellor (or delegate) will receive:
a full report from the appropriate University officer (appointed by the
Academic Registrar) and supporting evidence;
a written statement or evidence from the student (if received);
other appropriate evidence.
2.6.3 If the case is considered by a delegate on behalf of the Vice-Chancellor, a
full report of any exclusion will be made to the Vice-Chancellor. The Vice-
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Chancellor or delegate shall confirm the exclusion in writing, giving reasons
together with the right to appeal within 5 working days.
2.6.4 An excluded student will not be entitled to attend academic teaching or any
associated assessments and his/her entitlement to access University
facilities will be withdrawn.
2.6.5 Any student excluded may appeal against the exclusion to the Disciplinary
Appeals Committee. The Disciplinary Appeals Committee shall meet as
soon as possible to consider the appeal and in any case no later than four
weeks after the date of exclusion. The student shall remain excluded until
such time as the Disciplinary Appeals Committee has considered the
appeal.
2.6.6 The Vice-Chancellor (or delegate) shall be governed solely by principles of
justice and fairness in dealing with any exclusion. Exclusion is never
automatic. The power to exclude under this provision is to protect the
members of the University community in general (or a particular member or
members), patients or professional clients. Written reasons for the decision
shall be recorded and made available to the individual concerned.
2.7 EXECUTIVE ACTION BY THE VICE-CHANCELLOR
If a student agrees to an alleged breach being referred to the Vice-
Chancellor for executive action, the student must be advised that there are
no rights of representation or of appeal against decisions taken by the Vice-
Chancellor, and that the Vice-Chancellor may choose between one or more
of the following courses of action to:
.1 dismiss the case;
.2 reprimand the student;
.3 require the student to make a formal apology;
.4 fine the student a sum not exceeding £500;
.5 prohibit the student from using a limited range of University facilities;
.6 exclude the student from University accommodation;
.7 require the student to undertake a specified number of hours of service
for the benefit of the complainant, the University, the Students' Union or
the local community;
.8 restrict or impose conditions on the student's right of association with
other students on University or Students' Union premises.
A notice of such disciplinary action, except in the case of dismissal of a
complaint, shall be noted against the student's record in the Registry.
Such notice shall only be taken into account in the event of a
subsequent disciplinary incident arising within twelve calendar months
of the original incident, unless otherwise specified in the original
disciplinary notice.
In any case where the student concerned chooses not to submit
himself/herself for executive action by the Vice-Chancellor, the
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Academic Registrar or nominee shall refer the case to the Senate
Disciplinary Panel.
2.8 THE SENATE DISCIPLINARY PANEL
2.8.1 The period of office of staff members of the Senate Disciplinary Panel shall
be two sessions and of student members, one session. The Members shall
be:
a) a Deputy Vice-Chancellor or Pro Vice-Chancellor (nominated by the
Vice-Chancellor) who shall chair the Panel;
b) a member of staff elected by and from the members of the Senate; and
c) a student member of the Senate, appointed by the Senate on the
nomination of the student members of Senate.
In any particular case where he/she thinks fit to do so, the Vice-Chancellor
as Chair of Senate, may select a person of equivalent status to act as a
substitute for any member of the Panel (e.g. where a member has prior
involvement in the case; a personal knowledge of the parties; or illness).
2.8.2 The procedure to be adopted by the Senate Disciplinary Panel ('the Panel')
shall be as follows:
a) The Academic Registrar or nominee shall be the Secretary to the
Panel. The Secretary shall be responsible for informing the student of
the substance of the breach of rules or regulations alleged against
him/her, for fixing the place and time of hearing which shall be at the
earliest possible opportunity and making them known to the student, to
the complainant (i.e. the person who requests the Academic Registrar
to institute proceedings or, if that person so decides, the person who
makes the allegation against the student or, in the case of an allegation
by a committee, the Chair of the meeting at which the committee
resolved to make it), and the members of the Panel and witnesses
whose names and addresses have been supplied to the Secretary and
who have been called by the student or by the complainant or by the
Panel. The Secretary shall ascertain, as far as possible, that copies of
any documents and statements which will be referred to at the
disciplinary proceedings are supplied to the Panel and to the
complainant and to the student not fewer than 10 working days before
the hearing. In particular the Secretary shall supply copies of these
Rules and Procedures to all interested parties.
b) The student may write to the Secretary prior to the hearing admitting or
disputing the allegation, enclosing such documents or making such
representations (including any issues of procedural irregularity which
the student believes may have occurred prior to the hearing) as he/she
may wish to be considered by the Panel at any hearing, or indicating
whether he/she proposes to attend the hearing.
c) Any party who proposes to call witnesses to adduce evidence at the
hearing shall notify the Secretary of the names and addresses of such
witnesses not fewer than 5 working days before the date fixed for the
hearing.
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d) The Chair of the Panel shall have discretion to delay the date of the
hearing at the request of the student or of a complainant for such time
as seems to the Chair to be reasonable.
e) If the student does not appear at the hearing and the Panel is satisfied
that due notice was given, the Panel may proceed in the absence of
the student and shall consider at the appropriate stage any
representation made on behalf of the student.
In such cases, the Panel, if it subsequently finds against the student,
may choose to extend the period in which an Appeal may be lodged.
f) The student appearing before the Panel shall be entitled to be
accompanied and/or represented by an adviser of his/her choice. A
complainant shall also be entitled to appear before the Panel and to be
accompanied and or represented by an adviser of his/her choice. A
student shall be required to inform the Secretary whether he/she will be
accompanied and/or represented, the name of the person and whether
he/she will be acting in a professional legal capacity. The University
may also obtain legal representation if appropriate.
g) The Panel shall be entitled to call witnesses to give evidence on any
matter relevant to the enquiry on which the Panel wishes to hear
evidence. The Chair shall inform each witness of the charges which
have been made against the student.
h) The proceedings of the Panel shall be held in private, save that the
Panel shall have the discretion to make its proceedings open to
members of the University if so requested by the student appearing
before it. The Secretary shall prepare a record of the main evidence
heard by the Panel, its decisions, and the reasons.
i) The proceedings of the Panel shall be decided on the evidence before
them. Decisions must be fair and reasonable and shall be determined
on the balance of probabilities.
j) The student or his/her representative and any complainant or his/her
representative shall be entitled to ask questions of anyone called as a
witness. The student and the complainant shall each also be entitled
to call witnesses of his/her own and shall also be entitled personally or
by his/her representative to question witnesses who have made
documentary evidence available to the Panel, where such witnesses
attend. The right of any party to call witnesses shall be limited to those
witnesses whose identities have been notified to the Secretary in
accordance with 2.8.2(a) above.
k) The Panel shall be entitled to question the student or his/her
representative and any complainant or his/her representative or any
witness on any matters which they regard as relevant.
l) The Panel may, at its discretion, adjourn the proceedings.
m) The student and his/her representative and any complainant and
his/her representative shall withdraw from the meeting of the Panel
when it deliberates on the issue.
n) All members of the Senate Disciplinary Panel shall have equal voting
rights. If a member of the Senate Disciplinary Panel does not appear
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at the hearing, provided that the Panel is satisfied that due notice was
given, the Panel may proceed with the case provided the Panel is not
reduced thereby to fewer than 2 members and provided that the
student agrees to the hearing proceeding.
In the absence of a unanimous verdict by the Panel, the decision of the
majority shall prevail. In the event of any equality of votes the case
against the student shall be deemed not proved.
o) Before the Panel deliberates on the penalty which should be imposed
for any breach, it shall be informed of any penalty imposed on the
student during a period of twelve months preceding the date of the
hearing for the breach of a University Rule, and shall be entitled to hear
any relevant medical or character witnesses, and to call for a
background report from the Director of Student Support and
Development or for any other University records pertaining to the
student, and the student or his/her representative shall have an
opportunity to make any statement in mitigation.
p) Within 5 working days of the decision of the Panel, the Secretary shall
send the student concerned a written statement of the findings, and of
the penalty or penalties imposed, if any. The written statement must
notify the student of his/her right to appeal against an adverse finding
or against the imposition of a penalty.
2.8.3 The Senate Disciplinary Panel may dismiss the case or by way of penalty
may:
a) reprimand the student;
b) require the student to make a formal apology;
c) fine the student a sum not exceeding £500;
d) require the student to undertake a specified number of hours of service
for the benefit of the complainant, the University, the Students' Union or
the local community;
e) restrict or impose conditions on the student's right of association with
other students on University or Students' Union premises;
f) restrict the student's use of certain or all University facilities;
g) exclude the student from the University either for a specified period or
permanently.
A notice of such disciplinary penalty shall be placed on record against the
student in the Registry. Such notice shall only be taken into account in the
event of a subsequent disciplinary incident arising within twelve months of
the original incident, unless otherwise specified in the disciplinary notice.
2.8.4 The Senate Disciplinary Panel shall have the power to require, in addition to
any penalty imposed under 2.8.3 above:
a) a student who has been found to be responsible for damage to or loss
of University property or for the University incurring expenses as a
direct result of his/her action to pay by way of compensation such sum
as it may determine;
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b) a student or other party to pay such part, if any, of the reasonable costs
of the proceedings as it may determine.
2.8.5 A student penalised by the Senate Disciplinary Panel or suspended under
2.5 above or excluded under 2.6 above shall have the right to appeal to the
Senate Disciplinary Appeals Committee (subject to 2.8.6 below). No
member of the Senate Disciplinary Appeals Committee shall have had prior
involvement with the case. Its members shall be:
a) a Deputy Vice-Chancellor or Pro Vice-Chancellor not previously
concerned with the case (who shall be its Chair), nominated by the
Vice-Chancellor to act in this capacity for a particular case;
b) one member of staff elected by and from the members of the Senate;
and
c) one student member of the Senate, appointed by the Senate on the
nomination of the student members of Senate;
save that, in any particular case where he/she deems it prudent to do so,
the Vice-Chancellor, as Chair of Senate, may select a person of equivalent
status to act as a substitute for any member of the Committee (e.g. where a
member has prior involvement in the case; personal knowledge of the
parties; or illness).
All members of the Senate Disciplinary Appeals Committee shall have equal
voting rights. In the event of any equality of votes the student's appeal shall
be upheld. The Chair shall be entitled to a vote, but shall not have a casting
vote. If a member of the Senate Disciplinary Appeals Committee does not
appear at the hearing, provided that the Committee is satisfied that due
notice was given, the Committee may proceed with the appeal provided the
Committee is not reduced thereby to fewer than 2 members. The decision
of the Disciplinary Appeals Committee shall be final.
No penalty imposed on a student by the Senate Disciplinary Panel shall be
implemented until such time as the appeal period has elapsed, or, in the
case of a student who has lodged an appeal, until the Senate Disciplinary
Appeals Committee has heard the appeal.
2.8.6 Appeal Against a Decision of the Senate Disciplinary Panel
a) A student penalised by the Senate Disciplinary Panel may lodge an
appeal only on grounds of:
i irregularities in the conduct of the student disciplinary procedure;
ii exceptional personal circumstances and/or new evidence not
brought to the attention of the Senate Disciplinary Panel which
can be shown to be relevant to the disciplinary offence. In
appeals based on these grounds the appellant must show good
reason why such personal circumstances and/or new evidence
were not made known to the Senate Disciplinary Panel before,
or at, its meeting.
b) The Chair of the Senate Disciplinary Appeals Committee is required to
disallow an appeal which is based wholly on factors which were known
to the Senate Disciplinary Panel when the penalty was imposed.
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c) The Academic Registrar Governance shall refer an appeal which has
not been disallowed under (b) above to the Senate Disciplinary
Appeals Committee.
d) Details of the process of Appeal are given in 2.8.7 below.
e) The Senate Disciplinary Appeals Committee shall decide to confirm,
vary or disallow the original decision or penalty imposed by the Senate
Disciplinary Panel but may not increase any penalty imposed.
2.8.7 The procedure to be adopted by the Senate Disciplinary Appeals Committee
('the Committee') shall be as follows:
a) An appeal from a decision of the Senate Disciplinary Panel shall be
heard if the student concerned or his/her representative gives notice in
writing to the Academic Registrar of his/her intention to appeal within
the period specified by the Panel, which shall not be fewer than 5
working days, and if the grounds for the appeal are as specified in
2.8.6 above. Within 5 working days of giving notice of appeal, the
student or his/her representative shall state the grounds for the appeal
in writing to the Academic Registrar.
b) An appeal against a decision of the Vice-Chancellor to suspend or
exclude a student shall be heard if the student concerned or his/her
representative gives notice in writing, stating the grounds for the
appeal, to the Academic Registrar of his/her intention to appeal within 5
working days.
c) The Academic Registrar or nominee shall be the Secretary to the
Committee. The Secretary shall fix the place and time for the hearing
which shall be at the earliest possible opportunity and shall make them
known to the student, the complainant and the members of the
Committee. The Secretary shall advise the student of the composition
of the Committee and shall invite the student to confirm that no
member has prior involvement in the case or personal knowledge of
the parties. The Secretary shall inform the complainant of the grounds
for the appeal. A student shall be required to inform the Secretary
whether he/she will be accompanied and/or represented, the name of
the person and whether he/she will be acting in a professional legal
capacity. The University may also obtain legal representation if
appropriate.
d) If the student does not appear at the hearing and the Committee is
satisfied that due notice was given, the Committee may proceed in the
absence of the student and shall consider, at the appropriate stage,
any representations made by or on behalf of the student.
e) The record of the evidence, decisions and reasons of the Senate
Disciplinary Panel shall be available to the Committee.
f) The Committee shall give its written decision within 5 working days of
the end of the hearing. The Committee may amend but not increase a
penalty imposed by the Senate Disciplinary Panel or Vice-Chancellor.
2.9 ALTERNATE OFFICERS
The University reserves the right to designate an alternate to any of the
Officers named within this Procedure.
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Procedure for Payment of Tuition Fees and Other Monies
As a student you are required to pay all fees and any other educational monies
owing to the University. The procedures and timescales for payment will be
confirmed to students before enrolment. If payment is not received in accordance
with the required deadlines, the University reserves the right to cancel your
registration as a student forthwith. As such you would no longer have access to the
University, its teaching or facilities.
Payment of Tuition Fees (Section D23) of Cardiff University Financial Procedures
can be found at http://www.cardiff.ac.uk/fince/resources/FinProc2012.pdf and
Procedures in the Event of Non-Payment of Tuition Fee and Non Student Debt
(Section D24) of Cardiff University Financial Procedures can be found at
http://www.cardiff.ac.uk/fince/resources/FinProc2012.pdf
You are advised to read this procedure in conjunction with the Student Discipline
Procedure
Current Undergraduates can find information on
Student Finance for Tuition Fees – Home/EU at the following link
http://www.cardiff.ac.uk/fince/students/undergraduate/index.html
Current Postgraduates can find information on
Student Finance for Tuition Fees – Home/EU at the following link
http://www.cardiff.ac.uk/fince/students/postgraduate/index.html
Code of Practice to Ensure Freedom of Speech
1. INTRODUCTION
Cardiff University (the University) recognises all forms of expression under
the law. The Education (2) Act 1986 requires the University and all
concerned in its government to take such steps as are reasonably
practicable to ensure that freedom of speech within the law is secured for its
members, students and employees and for visiting speakers. The same Act
imposes the duty to issue a Code of Practice to set out the procedures and
conduct required of those organising or attending meetings or other
activities.
Any member or employee of Cardiff University who has intentionally or
recklessly prejudiced freedom of speech or lawful assembly within its
precincts will be subject to disciplinary proceedings.
2. PROCEDURES
2.1 Any meeting or activity to be held or to take place on premises managed by
Cardiff University or Cardiff University's Students' Union, shall be held or
take place only after prior booking through the appropriate agency. For
centrally-controlled rooms this shall be through the University’s Room
Bookings and Timetabling team within the Estates Department, for School-
controlled rooms through the person nominated by the appropriate Head of
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School and for Students' Union premises through the Union’s Chief
Executive
2.2 Any meeting or activity specified in this Code of Practice ('a specified
meeting') shall be held or take place only under the terms, conditions and
procedures set out in this Code.
2.3 Hereinafter, unless the context otherwise requires:
a) A 'specified meeting' means any meeting or activity where any factor
such as the reputation of a speaker or the subject matter makes it likely
that a speaker when entering or leaving the venue may be so impeded
as to imperil safety, or where a speaker may be prevented from
participating in the meeting or activity.
b) The Academic Registrar shall have absolute discretion to decide
whether any meeting or activity is a specified meeting. Where there is
any doubt about the classification of a meeting or activity the person
wishing to hold the meeting or activity shall consult the Academic
Registrar.
2.4 Should any person wishing to hold a specified meeting fail to inform the
Academic Registrar that such a meeting is to take place, that person shall
be in breach of this Code. In that case the University may initiate
disciplinary measures, whether or not any disruption or action to prejudice
freedom of speech occurs at the meeting or activity.
2.5 Persons wishing to hold a specified meeting shall notify the Academic
Registrar in writing at least two weeks before the proposed date of that
meeting.
a) When a student, or person acting on behalf of a student organisation,
makes such application to the Academic Registrar s/he shall, at the
same time, also lodge a copy of the application with the President of
the Students' Union.
b) When such application is made by a member of staff or employee who
wishes to invite a speaker from outside Cardiff University to lecture, or
to conduct a seminar or other presentation, within the general
educational programme, he/she must first consult his or her Head of
School, who shall inform the Academic Registrar.
c) When such application is made by a member of staff or employee the
Academic Registrar shall inform the President of the Students' Union if
he/she considers it appropriate.
2.6 Applicants must submit details of the arrangements proposed for stewarding
the specified meeting, the name of the Chair, and the names, status, and
addresses of the stewards.
2.7 No specified meeting shall be advertised or held until permission has been
granted by the Academic Registrar.
2.8 The Academic Registrar shall have absolute discretion to impose such
conditions as he/she may consider appropriate, and shall indicate any
charges to cover any additional costs involved. The costs of any additional
portering, stewarding, cleaning or damage arising from the specified
meeting shall be the responsibility of the applicant. The Academic
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Registrar, in appropriate cases, may consult the President of the Students'
Union about arrangements and in particular about conditions and charges.
2.9 Entry to specified meetings may be restricted either at the request of the
applicant or at the instruction of the Academic Registrar. When control of
entry is required, it may be by ticket, by invitation, by membership, by
University identity card or other identity card, or by any means agreed
between the Academic Registrar and the applicant.
2.10 At specified meetings, the nominated Chair and the applicant shall be
responsible, as far as is reasonably practicable, for ensuring that speakers
comply with the law and with this Code and other applicable Cardiff
University Codes of Practice.
2.11 In the light of changed circumstances, or factors not known at the time of
application, the Academic Registrar may amend the conditions imposed, or
cancel a meeting.
2.12 The Academic Registrar may decide that one or more nominated members
of Cardiff University must be present at a specified meeting. In appropriate
cases this may be done in consultation with the President of the Students'
Union.
2.13 The appointed Chair shall ensure, as far as is reasonably practicable, that
conduct at the specified meeting is within the bounds of commonly
acceptable behaviour. It shall be the responsibility of the Chair to decide
whether the meeting can continue or must be terminated. The Chair shall
take the advice of those persons nominated by the Academic Registrar
under paragraph 2.12, if present.
3. CONDUCT
3.1 It is the duty of every member or employee of Cardiff University to refrain
from any conduct or course of action which prejudices the lawful exercise of
freedom of speech.
3.2 It shall be a disciplinary offence for any member or employee of Cardiff
University to act at a specified meeting in a disruptive or intimidatory manner
for the purpose of preventing a speaker from being heard, or preventing the
discussion or transaction of any other business for which the meeting has
been held. It shall be a disciplinary offence for any member or employee of
Cardiff University to aid or encourage other persons in such actions.
3.3 Additionally, if any such actions by members, employees or other persons
involve alleged offences which could be breaches of the law, Cardiff
University will assist the police in any subsequent criminal proceedings.
3.4 Members or employees of Cardiff University attending a specified meeting
shall be expected to comply with the rulings and requests of the Chair of the
specified meeting or any person so authorised by the Chair. Such requests
may include requests to withdraw from the meeting.
3.5 Without prejudice to the right of peaceful demonstration, members or
employees of Cardiff University shall not obstruct access to or egress from a
specified meeting, and shall not aid or encourage other persons to cause
such obstruction.
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4. STUDENTS' UNION PREMISES
4.1 By Section 43(8) of the Education (No 2) Act 1986, any reference to the
premises of Cardiff University shall be taken to include a reference to the
Students' Union premises.
Data Protection Policy
1 THE SCOPE AND PURPOSE OF THE POLICY
This policy applies to the processing of Personal Data by members of
Cardiff University or on behalf of Cardiff University.
The purpose of the Data Protection Policy is to clarify the requirements of
the Data Protection Act 1998 in the context of Cardiff University, to clarify
the associated internal allocation of responsibilities and duties and to set out
the structure within which they will be discharged.
2 RELATIONSHIP WITH EXISTING POLICIES
This policy should be read in conjunction with the:
University Information Charging Policy
and is consistent with other University policies, specifically:
Public Access to Information Policy
Confidentiality Policy
Records Management Policy
Photographic Identification Code of Practice
3 POLICY STATEMENT
Cardiff University shall at all times act in a manner consistent with the
obligations of a Data Controller under the provisions of the Data Protection
Act 1998, ensuring that any compulsory registrations with, or notifications to,
regulatory bodies are up to date and that individuals’ rights under the Act
are respected.
All members of the University who handle or have access to Personal Data
under the control of, or on behalf of, the University shall comply with the
relevant provisions of the Data Protection Act 1998 in relation to processing
of personal data.
4 THE DATA PROTECTION ACT
4.1 KEY DEFINITIONS
Personal Data
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Any recorded information about a living individual who can be identified from
that data or from that data and other available data. This includes, inter alia,
information held in paper records, electronic records, digital files, video and
audio recordings, photographic images.
Processing of Personal Data
Processing is the undertaking of any operation involving Personal Data
(including to collect, access, handle, copy, anonymise, analyse, disclose or
delete) as well as simply retaining personal data.
4.2 RIGHTS
Cardiff University shall respect individuals’ rights listed in the Act including
the right not to receive direct marketing (s11) and the right to object to
processing (s10). Cardiff University shall respond to individuals’ requests
for copies of their own personal data made in accordance with section 7 of
the Act – subject access provisions.
4.3 OBLIGATIONS
Cardiff University shall only process personal data as a Data Controller in
accordance with the terms of its Notification to the Information
Commissioner. The details of the registration are available here:
http://www.ico.org.uk/for_organisations/data_protection.aspx
Cardiff University and all its members shall process personal data in
accordance with the lawful grounds specified in Schedules 2 and 3 as
relevant, and the eight Data Protection Principles.
The Data Protection Principles state that personal data shall be:
.1 fairly and lawfully processed;
.2 processed for specified purposes;
.3 adequate, relevant and not excessive;
.4 accurate and up to date;
.5 not kept longer than necessary;
.6 processed in accordance with the data subjects' rights;
.7 appropriately secured and protected from unauthorised access, loss or
disclosure;
.8 not transferred to countries outside the European Economic Area
without further assessment of security and adequate protection.
4.4 UNAUTHORISED PROCESSING OF PERSONAL DATA
.1 Members of the University may only ‘process’ personal data that is
under the control of, or on behalf of, the University when there are
lawful grounds to do so and where that member is so authorised by the
University to process that personal data.
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.2 Unauthorised processing of personal data by members of the
University includes accessing personal data records for private interest
and/or gain, even where access to the record system itself has been
granted to the same member for business purposes.
.3 Unauthorised processing of personal data also includes disclosure of
personal data (including verbal disclosures) to a third party where it is
known that the third party is not entitled to receive that data.
.4 Where members are unsure as to any of the provisions of the Act or
this policy they shall seek advice from their line manager and/or the
University’s Data Protection Officer.
.5 Unauthorised processing of personal data is a potential disciplinary
matter which may be considered under the relevant disciplinary code
and serious breaches of the Act may constitute ‘good cause’ for
dismissal and/or constitute a criminal offence.
5 RESPONSIBILITIES AND COMPLIANCE
5.1 The University as a corporate body is the Data Controller. The senior officer
responsible for the University's compliance with the Data Protection Act is
the Academic Registrar.
5.2 The Academic Registrar shall nominate a Data Protection Officer to be
responsible for advising on compliance with the Act, for ensuring that the
University’s notification to the Information Commissioner is current and fit for
purpose, for managing the institutional response to subject access requests
in liaison with the School/Directorate(s) ordinarily responsible for the data
and for developing specific guidance notes on data protection issues for
members of the University.
5.3 Within each School or Directorate responsibility for proper handling of all
personal data shall lie with the Head of School/Director who shall nominate
an Information Management Contact for that School/Directorate or Division.
The School/Directorate(s) ordinarily responsible for the data shall collate
data required for subject access requests as advised by the Data Protection
Officer. The execution of subject access procedures shall be conducted in
accordance with the University Information Charging Policy.
5.4 The University shall take such steps as appropriate (including training
programmes) to ensure that data subjects are aware of both their rights and
obligations and the University's rights and obligations under the Act, and to
make all staff and students aware of the Act and the implications of
processing personal data.
5.5 Staff shall exercise personal responsibility in the secure handling of
personal data and shall not knowingly or recklessly expose personal data to
unauthorised access, disclosure or loss. Where members are unsure as to
appropriate security measures they shall seek advice from their line
manager and/or Information Services and/or the University’s Data Protection
Officer.
5.6 Any infringement of the Data Protection Act 1998 by staff or students may
expose the University and/or the individual to legal action, claims for
substantial damages and fines from the Information Commissioner. Any
infringement of the Act will be treated seriously by the University and may
be considered under disciplinary procedures.
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5.7 BREACHES OF THE DATA PROTECTION POLICY
All alleged breaches of the data protection policy shall be notified to the
University’s Data Protection Officer (based in the Governance and
Compliance Division) in the first instance. Where there has been an
unauthorised disclosure of personal data the Data Protection Officer shall
advise on any remedial action.
5.8 Serious alleged breaches shall also be referred to the Academic Registrar
who shall consider whether the matter should be reported to the Information
Commissioner.
Education Act 1994: Code of Practice
1. INTRODUCTION
1.1 The Education Act 1994 Part II: Students' Unions requires that the
governing body, i.e. Council, shall prepare and issue, and when necessary
revise, a code of practice as to the manner in which the requirements of the
Act are to be carried into effect in relation to any students' union for students
at Cardiff University, setting out in relation to each of the requirements
details of the arrangements made to secure its observance.
1.2 The Act requires Council to take such steps as are reasonably practicable to
secure that any students' union for students at Cardiff University operates in
a fair and democratic manner and is accountable for its finances. It
identifies specific matters which the Council is required to put into effect,
including the right of any student not to be a member of the Students' Union.
1.3 The constitution, functions and privileges of the Students' Union are
governed by Ordinance 13, as approved by Council, and within the
framework of this Ordinance the Students' Union has the power to manage
its own affairs and funds. The detailed Constitution Book and Laws of the
Students' Union are not included in the Ordinance but will be subject to
periodic review by Council.
1.4 A copy of the Education Act Code of Practice is available from the Academic
Registrar.
The Students' Union as an Educational Charity
The Statutes of the University make provision for there to be a Students' Union which
shall exist for the benefit of the students. The Students' Union has the power to
manage its own affairs and funds and, like the University, it has the status of an
educational charity. During Session 2010/11, the Students Union established itself
as a company limited by guarantee and registered as a charity with the Charity
Commission. Having charitable status means that all the funding or resources
provided through the University must be used for charitable educational purposes.
On this basis, the Union's funds, facilities and other resources must not be used for
any purposes other than for the benefit of its members as students at the University
and particularly not in support of any particular political, religious or other cause.
The funds and resources of the Students' Union must be used exclusively for broadly
educational purposes, which may include the social and general well-being of its
members as students at the University.
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Membership of the Students' Union
You are advised that, in accordance with Section 22(2) (c) of the Education Act
1994, you have the right not to be a member of the Union. Any student wishing to
exercise that right should so notify the Academic Registrar, in writing by the end of
the second week of the first term/semester, or within 14 days of becoming a
registered student.
