Mae hwn yn fersiwn HTML o atodiad i'r cais Rhyddid Gwybodaeth 'University policies on gender-based violence, sexual misconduct, violence, bullying and harassment'.

Part K   Academic Appeals 
Academic Regulations, Policies and Procedures for Students on and Research Programmes                             Academic Year 2019-20    

Academic Appeals 
K1.1  Assessment may take a variety of forms including dissertation, examination, project, 
essay, presentation, practical work or any other exercise which is designed to enable 
Students to demonstrate achievement.  
K1.2  Prior to submit ing an appeal, students should raise issues informally with members 
of the Programme Team or, in the case of postgraduate research students* with their 
supervisory team, and attempt to resolve any concerns. 
K1.3  Where the term “relevant Research Committee” appears in this document, it relates 
to either a College (or other similar body) Research Committee or the University 
Research Committee, as appropriate to the issue involved for postgraduate research 
K1.4  Impartial advice on how best to raise issues is available from the College Student 
Centre, College Student Advisors and the Union of Students.  
K1.5  It is important that students ensure that any circumstance which they feel could 
adversely affect their performance is recorded in accordance with the published 
procedures and within the deadlines set down in those procedures: 
•  Exceptional Extenuating Circumstances 
•  Late Submission 
•  Complaints 
It is unlikely that an appeal on this basis wil  be successful if the student has not 
reported it and followed the appropriate procedures. 
K1.6   Al  information submitted for consideration wil  be treated confidential y.  Relevant 
information wil  be disclosed to the appropriate staff in order to fully investigate the 
K1.7  If an academic appeal is submit ed that would be more appropriately dealt with 
through other University procedures, the University reserves the right to re-direct it 
on to be considered by the relevant department. 
K1.8  Students with an appeal ongoing through the University’s procedure wil  not normally 
be able to attend an awards ceremony until the appeal is resolved.  Any invitation wil  
be deferred until the next ceremony. 
* including PhD and Postgraduate Professional and Practice-based doctoral students in the Independent Studies phase 

Part K   Academic Appeals 
Academic Regulations, Policies and Procedures for Students on and Research Programmes                             Academic Year 2019-20    
K1.9  The University wil  seek to learn from issues raised through the organisational 
learning process. 
Valid Grounds for Appeal  
K2.1  Students can only appeal against an assessment result or a decision of an 
Assessment Board/relevant Research Committee for one or more of the following 
That the student’s performance in an assessment suffered through il ness or 
other compelling circumstances which could not have been reasonably reported 
at the time of the assessment; students who base an appeal on this ground wil  
be expected to show why the circumstances could not have been reported 
That the assessment was not carried out in accordance with the programme 
and/or module regulations and procedures 
•  That the administrative procedures were not correctly followed or that a 
significant mistake was made in the administrative process 
•  Previously reported circumstances which may have significantly affected the 
students’ performance were not considered by one or more of the fol owing: 
a.  The assessor(s) 
b.  The Assessment Board 
c.  Appointed research degree examiners 
d.  The relevant Research Committee 
Students are reminded that such circumstances must be recorded at the time they arise. 
Invalid Grounds for Appeal 
K3.1  Students cannot appeal against academic judgement, see F3.1 and G3.1. 
K3.2  Students cannot make an appeal based on a complaint which was not formally 
recorded at least 5 working days prior to completion of the assessment process, i.e. 
formal release of results, see F8.9 and G9.6.  
           In cases where such a formal complaint has been made, but not satisfactorily 
resolved, the complaint investigation wil  be completed before consideration of the 
appeal. If the circumstances can be shown to have had an effect on the student’s 
* including PhD and Postgraduate Professional and Practice-based doctoral students in the Independent Studies phase 

Part K   Academic Appeals 
Academic Regulations, Policies and Procedures for Students on and Research Programmes                             Academic Year 2019-20    
performance any relevant findings may be subsequently taken into account in 
considering the appeal. 
Making an Appeal 
K4.1  There are two routes by which students can make an appeal: 
(i)  University of Derby Awards:  This route is used for all programmes leading to 
an award of the University of Derby including those studied with a col aborative 
partner institution. These programmes are subject to an Assessment Board or, 
in the case of postgraduate research degrees, the appointed PhD examiners or 
examiners of DProf independent studies and relevant Research Committee. 
(ii)  External Awards:  This route is used for a programme of study leading to an 
award of an external body or in partnership with an external body, for example, 
CIPS, CIMA, ACCA, CIM, Diploma in Acoustics and Noise (See A4).  
Appeal Procedure: University of Derby Awards 
K5.1  This procedure relates to appeals against: 
•  Formally-released module results  
•  The decision of an Assessment Board regarding a module or group of modules 
•  A progression decision made by an Assessment Board or Research Committee 
•  In relation to appointed assessors for Confirmation or Registration 
•  A decision made by appointed research degree examiners 
K5.2  Initially the student wil  approach members of the Programme Team, the Module 
Leader or in the case of postgraduate research students, the supervision team to 
seek clarification. 
K5.3  If not resolved the student completes and submits an Academic Appeal Form. This 
should be submitted to the Student Policy and Regulations team within 10 working 
days of the date of formal publication of module results or decisions listed in K5.1 
(Publication is the earliest point of notification on UDO/College Student Centre 
system or written confirmation in the form of a letter from the Assessment Board or 
Research Committee). 
* including PhD and Postgraduate Professional and Practice-based doctoral students in the Independent Studies phase 

Part K   Academic Appeals 
Academic Regulations, Policies and Procedures for Students on and Research Programmes                             Academic Year 2019-20    
K5.4  Within 5 working days of receipt, the form wil  be checked to ensure that it complies       
with the following: 
(i)  It is fully completed (including desired outcome, signature) 
(ii)  Al  relevant evidence is attached 
(iii)  The case is clearly stated and relates to one of the previously listed grounds for 
(iv)  It has been submitted within the 10 working day timescale 
K5.5  The University reserves the right to reject an appeal submission without further 
investigation if it fails to comply with the above. 
K5.6  Receipt of the appeal wil  be acknowledged to the student by the Academic Registrar 
or nominee within 5 working days, who wil  advise the student on whether the appeal 
submission has been accepted and the anticipated timescale for the investigation. 
Students are advised that the anticipated timescale for investigation is 20 working 
Formal Investigation  
K6.1  If the appeal is accepted the form is copied to the Chair of the Assessment Board, 
the programme leader, or Chair of relevant Research Committee or nominee and to 
the Dean/Director with responsibility for the student’s programme. 
K6.2  The Academic Registrar or nominee may collect written evidence from relevant 
members of staff, the Assessment Board or relevant Research Committee and wil  
consult with the Chair of the Board/relevant Research Committee or nominee. 
K6.3  Possible outcomes of the formal investigation: 
Appeal not upheld 
If after the above consultation the Academic Registrar or nominee establishes that 
the appeal is not properly based on one of the acceptable grounds set out in 
paragraph 2 above, they wil  recommend that the appeal be turned down 
Appeal upheld 
If the Academic Registrar or nominee and Chair of the Assessment Board/relevant 
Research Committee or nominee establish that the student does have grounds for 
appeal, a consultation wil  be held with relevant members of the Assessment 
Board/relevant Research Committee, including the External Examiner. The 
consultation wil  agree what action, if any, should be taken to address the appeal 
* including PhD and Postgraduate Professional and Practice-based doctoral students in the Independent Studies phase 

Part K   Academic Appeals 
Academic Regulations, Policies and Procedures for Students on and Research Programmes                             Academic Year 2019-20    
without the need for a Formal Appeals Panel hearing. Any such action may be 
confirmed by Chair’s action and reported to the next meeting of the Assessment 
Board/relevant Research Committee. 
(iii)  Appeal rejected 
If it is decided that the appeal is based on academic judgement (See K3.1) the 
University reserves the right to dismiss it without further investigation. 
K6.4  The Academic Registrar or nominee wil  notify the student of the decision and 
indicate the reasons why, ensuring that issues raised are responded to.  
K6.5  The student wil  be deemed to have accepted this decision unless they reject it by 
informing the Academic Registrar or nominee in writing giving reasons, within 10 
working days of receiving formal notification.  If the student does not respond within 
the timescale the case wil  be closed and the student wil  be issued a letter 
confirming the University’s internal procedure has been completed. 
K6.6  Where the outcome is rejected by the student, they may request that the matter be 
referred to a formal Appeals Panel on the following grounds: 
(i)  Procedures were not followed 
(ii)  Available evidence was not taken into account 
(iii)  The student is submit ing new evidence.  Relevant  evidence not available at 
the time and a compelling reason must be given why this was not  included/not 
made available at the time of the original appeal submission 
K6.7  If after the formal investigation the Chair of the Assessment Board / relevant 
Research Committee is unable to make a decision the matter wil  be referred to an Appeals 
Appeals Panel 
K7.1  The Academic Registrar or nominee wil  convene the Appeals Panel which wil  
(i)  A University academic manager or a relevant Dean/Director or nominee, other 
than the Dean/Director or manager with responsibility for the student’s 
programme, as Chair. 
Two members of academic staff, normally drawn from the membership of 
Academic Board or Academic Development and Quality  Committee (ADQC) 
or Head of Subject or, in the case of a postgraduate research student, at least 
one member of the University Research Committee, but not including any 
* including PhD and Postgraduate Professional and Practice-based doctoral students in the Independent Studies phase 

Part K   Academic Appeals 
Academic Regulations, Policies and Procedures for Students on and Research Programmes                             Academic Year 2019-20    
member of staff involved with the student’s programme or research degree 
(iii)  A student representative, normally Officer Trustees of the Union of Students. 
(iv)  The Academic Registrar or nominee wil  act as Secretary to the Panel. 
K7.2  The Academic Registrar or nominee wil  notify the student, at least 10 working days 
in advance, of the time, date and place of the panel hearing, and the names and 
titles of the panel members. This timescale can be reduced by mutual agreement. 
K7.3  It is the student’s responsibility to prepare and present their case.   
(i)  The student is entitled to bring a friend. This person should be a member of the 
University or a Union of Students’ representative. The friend may make 
representations on the student’s behalf with permission of the Chair of the 
(ii)  Where the appeal is brought by a student under the age of 18, they may be 
accompanied by a parent or guardian. 
(iii)  Details of anyone accompanying the student must be notified to the Appeals 
Panel 5 working days in advance of the hearing.  
(iv)  Any additional evidence must be provided 5 working days in advance of the 
hearing, with evidence of why this could not have been submitted with the 
original appeal form. 
K7.4  The student is entitled to call witnesses, but must notify the Academic Registrar or 
nominee 5 working days in advance of the panel hearing if they intend to do so, 
stating the relevance to the case and their relationship. It is the responsibility of the 
student to liaise directly with the witness.  Alternatively, a written witness statement 
can be submit ed 5 working days in advance of the panel. 
K7.5  The student is entitled to see in advance of the hearing all relevant evidence, except 
provisional assessment marks or grades, but must keep all such information 
confidential. They are entitled to be present throughout the hearing except for the 
private meetings of the panel. 
K7.6  The panel may also cal  witnesses or may seek information prior to the meeting, 
which wil  be disclosed to the student 5 working days in advance. 
K7.7  Members of the panel may question the student and witnesses. The student may 
also question witnesses.  Al  questions wil  be raised through the Chair of the panel.  
Al  witnesses wil  leave the meeting after giving their evidence. 
* including PhD and Postgraduate Professional and Practice-based doctoral students in the Independent Studies phase 

Part K   Academic Appeals 
Academic Regulations, Policies and Procedures for Students on and Research Programmes                             Academic Year 2019-20    
K7.8  When all the evidence has been heard, including the student’s closing statement, the 
student and their friend or parent/guardian wil  leave the meeting and the panel wil  
consider its decision in private.  
K7.9  Based upon the evidence the Appeals Panel wil  either: 
(i)  Determine whether to uphold the decision of the Assessment Board/relevant 
Research Committee or published result 
(ii)  Require the Assessment Board/relevant Research Committee to annul its 
decision or rescind the published result.  
K7.10  In a case concerned with the examination of doctoral research degrees the Panel 
does not have the authority to set aside the recommendation of the examiners or 
recommend the award of a research degree, but may: 
(i)  Invite the examiners to reconsider their recommendation in the light of the new 
(ii)  Appoint new examiners to undertake a full re-examination (this wil  not be 
deemed a second attempt) 
The recommendations of any new examiners are accepted as final. 
K7.11 The panel’s decision wil  normally be communicated to the student immediately after 
the meeting and subsequently confirmed in writing by the Chair. The report of the 
panel hearing, once approved by the Chair of the panel, wil  be submitted in 
confidence to the members of the panel, the Chair of the Assessment Board/relevant 
Research Committee, and to the Chairs of Academic Board, Academic Development 
and Quality Committee (ADQC) and, where appropriate, to the Chair of the 
University Research Committee. 
K7.12 The decision of the appeals panel is final. (See K8) 
K7.13 If the Assessment Board/relevant Research Committee is required to annul its 
decision or rescind the published result, then it must agree appropriate arrangements 
for the student to complete any outstanding assessment requirements as quickly as 
practicable and notify the student accordingly.   
           Such arrangements may be agreed by a full meeting of the Assessment 
Board/relevant Research Committee, convened especially for the purpose, or by an 
agreed sub-set of the Board/relevant Research Committee which must include the 
Chair or nominee, programme leader and External Examiner/Chair or nominee of the 
Relevant Research Commit ee. 
* including PhD and Postgraduate Professional and Practice-based doctoral students in the Independent Studies phase 

Part K   Academic Appeals 
Academic Regulations, Policies and Procedures for Students on and Research Programmes                             Academic Year 2019-20    
Completion of the University’s Internal Procedures 
K8.1  The student wil  be issued with a Completion of Procedures (COP) letter 
automatically after the completion of the internal processes if the appeal is not 
upheld. If the appeal is upheld or partly upheld, then the student wil  be advised they 
can ask for a COP Letter if they remain dissatisfied, and this wil  be issued 
automatically if the student then requests one.  
K8.2  Following the Appeals Panel, the University wil  confirm that the internal procedure 
has been completed. 
K8.3  In the event that the appellant rejects the findings of the Appeal Procedure, they may 
request an independent review of the process by the Office of the Independent 
Adjudicator (OIA) provided it is eligible under their rules.  In such circumstances, the 
student should submit a Scheme Application Form to the OIA.  Scheme Application 
Forms are available from the OIA website: 
Appeal Procedure: External Awards  
K9.1  Appeals relating to the formal internal publication of results: Internal Review:  
(i)  The student makes an appeal by completing a Student’s Results Query Form, 
clearly identifying the reason on which the appeal is based (by reference to K2 
above) and hands it to the College Student Centre within 10 working days of 
receiving the result in writing. 
 The query wil  be referred to the appropriate programme leader for 
investigation, or to the Head of the Subject if the programme leader is involved 
in the circumstances leading to the appeal. 
K9.2  Where the outcome of the investigation is clear e.g. an administrative error, the 
programme leader wil  recommend appropriate remedial action to the Dean/Director 
or nominee responsible for the student’s programme for approval and immediate 
implementation. This action wil  be notified to the student in writing. 
K9.3  Where investigation does not immediately resolve the appeal the programme leader 
wil  request a review process on the following basis: 
(i)  Competence-based programmes through the Internal Verifier 
(ii)  Al  other programmes through the course co-ordinator.  
K9.4  The programme leader wil  notify the student in writing of the outcome of the review. 
This wil  be copied to the student’s file and to the Student Policy and Regulations 
* including PhD and Postgraduate Professional and Practice-based doctoral students in the Independent Studies phase 

Part K   Academic Appeals 
Academic Regulations, Policies and Procedures for Students on and Research Programmes                             Academic Year 2019-20    
K9.5  If the student is dissatisfied with the outcomes of the review, they may proceed to the 
next stage of appeal. 
K9.6  Appeals relating to the outcome of internal review: 
(i)  The student submits a Formal Appeal Form to the Academic Registrar or 
nominee setting out clearly and identifying the reasons for appeal as stipulated 
in paragraph 2 above and including relevant supporting evidence. The student 
must submit such an appeal within 10 working days of having been informed in 
writing of the programme leader outcome of the internal review. 
(ii)  Receipt of the appeal wil  be acknowledged to the student by the Academic 
Registrar or nominee, who wil  advise them on the anticipated timescale for the 
(iii)  The appeal is copied to the relevant Dean/Director responsible for the student’s 
(iv)  The Academic Registrar or nominee may collect written evidence from the 
relevant members of staff and the internal verifier/moderator and wil  consult 
with the relevant Dean/Director responsible for the student’s programme. 
(v)  If, after the above consultation, the Academic Registrar or nominee establishes 
that the appeal is not properly based on one of the acceptable grounds set out 
in paragraph 2 above, they wil  recommend to a member of the Executive or 
nominee that the appeal is turned down. 
(vi)  The Academic Registrar or their nominee will notify the student of the decision, 
indicating the reasons why. 
(vii)  If the Academic Registrar or their nominee and the relevant Dean/Director or 
nominee establish that the student does have grounds for appeal then the 
Dean/Director or nominee wil  consult the relevant teaching team in the College 
to agree what action should be taken to correct the matters referred to in the 
(viii)  The relevant Dean/Director or nominee wil  notify the outcome to the Academic 
Registrar or nominee who wil  inform the student in writing of the action to be 
taken to resolve the appeal. 
(ix)  The student is deemed to have accepted this resolution unless they reject it in 
writing within 10 working days of receiving written confirmation of the decision 
and indicates their intention to appeal to the Awarding Body. 
* including PhD and Postgraduate Professional and Practice-based doctoral students in the Independent Studies phase