The University of GlamorganPrifysgol Morgannwg

The Academic HandbookVolume 2

Supporting Documentation

September 2011

Table of Contents

SECTION 1: STUDENT RELATED POLICIES, PROCEDURES AND FORMS.........................................................................1

SECTION 1.1: THE STUDENT CHARTER.............................................................................................................................3SECTION 1.2: REGULATIONS GOVERNING STUDENT CONDUCT..............................................................................................7SECTION 1.3: VERIFICATION AND APPEAL PROCEDURES....................................................................................................13SECTION 1.4: STUDENT COMPLAINTS............................................................................................................................30SECTION 1.5: ACADEMIC INTEGRITY..............................................................................................................................41SECTION 1.6: STUDENT INTELLECTUAL PROPERTY RIGHTS POLICY.......................................................................................48SECTION 1.7: LEARNING RESOURCE CENTRE REGULATIONS................................................................................................58SECTION 1.8: ACCREDITED PRIOR LEARNING...................................................................................................................64SECTION 1.9: EXAMINATION PROCEDURES FOR DISABLED STUDENTS...................................................................................90SECTION 1.10: CAREERS EDUCATION, INFORMATION AND GUIDANCE (CEIG) POLICY.............................................................95SECTION 1.11: ADMISSIONS POLICY............................................................................................................................100SECTION 1.12: STUDENT PERSONAL SUPPORT...............................................................................................................106SECTION 1.13: INTERVENTION POLICY FOR STUDENTS CAUSING SIGNIFICANT CONCERN (FITNESS TO STUDY)............................110SECTION 1.14: STUDENT MENTAL HEALTH POLICY........................................................................................................132SECTION 1.15: DISCIPLINARY PROCEDURE FOR HALLS RESIDENTS.....................................................................................157SECTION 1.16: POLICY ON MINIMUM EXPECTATIONS FOR SUPERVISION OF STUDENT DISSERTATIONS/PROJECTS........................164SECTION 1.17: POLICY AND PROCEDURE GOVERNING FITNESS TO PRACTISE.......................................................................166

SECTION 2: RESEARCH RELATED POLICES, PROCEDURES AND FORMS..................................................................1

SECTION 2.1: RESEARCH PROGRAMMES REGULATIONS.......................................................................................................2SECTION 2.2: CODE OF PRACTICE FOR RESEARCH STUDENTS..............................................................................................31SECTION 2.3: GUIDANCE NOTES FOR PHD BY PUBLICATION...............................................................................................64SECTION 2.4: GUIDANCE NOTES FOR PHD BY PORTFOLIO.................................................................................................70SECTION 2.5: CODE OF PRACTICE FOR RESEARCH SUPERVISORS..........................................................................................76SECTION 2.6: CODE OF PRACTICE FOR EXAMINERS OF RESEARCH PROGRAMMES...................................................................98

SECTION 3: EXTERNAL EXAMINER RELATED POLICIES, PROCEDURES AND FORMS................................................1

SECTION 3.1: HANDBOOK FOR EXTERNAL EXAMINERS........................................................................................................3SECTION 3.2: APPOINTMENT OF EXTERNAL EXAMINERS....................................................................................................42SECTION 3.3: EXTERNAL EXAMINER ANNUAL REPORT TEMPLATES......................................................................................58SECTION 3.4: TRAVEL & SUBSISTENCE CLAIMS..............................................................................................................108SECTION 3.5: EXTERNAL EXAMINERS ADDITIONAL VISIT FEES 2011/2012.........................................................................119

SECTION 4: ETHICS.............................................................................................................................................. 1

SECTION 4.1: ETHICAL ISSUES IN TEACHING AND LEARNING - AN INTRODUCTORY GUIDE...........................................................3SECTION 4.2: GENERAL ETHICAL GUIDELINES FOR RESEARCH AND CONSULTANCY..................................................................15

SECTION 5: DATA PROTECTION............................................................................................................................ 1

SECTION 5.1: DATA PROTECTION HANDBOOK...................................................................................................................3

SECTION 6: DIGNITY AT WORK POLICY................................................................................................................. 1

SECTION 7: BEST PRACTICE GUIDELINES.............................................................................................................. 1

SECTION 7.1: REFLECTING ON ACADEMIC PRACTICE SCHEME...............................................................................................3

SECTION 7.2: QAA CODE OF PRACTICE, SECTION 7: PROGRAMME DESIGN, APPROVAL, MONITORING & REVIEW – APPENDICES 2 & 3..............................................................................................................................................................................18SECTION 7.3: GUIDANCE ON DEVELOPING COURSES FOR DISTANCE ONLINE LEARNING...........................................................26SECTION 7.4: A BEST PRACTICE GUIDE ON USING COURSE REPRESENTATIVES EFFECTIVELY......................................................30SECTION 7.5: PROTOCOL ON THE SURVEYING OF STUDENTS..............................................................................................39SECTION 7.6: GUIDANCE ON COMMITTEE SERVICING.......................................................................................................43SECTION 7.7: ELECTIONS TO COMMITTEES: GUIDANCE FOR FACULTIES................................................................................55

SECTION 8: STANDARD PROCEDURES AND FORMS FOR PROGRAMME APPROVAL, VALIDATION, REVIEW AND ANNUAL MONITORING....................................................................................................................................... 1

SECTION 8.1: COURSE PROPOSAL AND COURSE AMENDMENTS APPROVAL PROCESS................................................................3SECTION 8.2: CONTRIBUTING DEANS’ SUPPORT FORM.....................................................................................................26SECTION 8.3: PROGRAMME AND MODULE SPECIFICATIONS...............................................................................................30SECTION 8.4: ANNUAL MONITORING TEMPLATES............................................................................................................36

SECTION 9: INTERNAL SUBJECT REVIEW............................................................................................................... 1

SECTION 9.1: INTERNAL SUBJECT REVIEW HANDBOOK........................................................................................................3SECTION 9.2: CYCLE OF INTERNAL SUBJECT REVIEWS AND PERIODIC REVIEWS.......................................................................35

SECTION 10: DEROGATIONS TO UNIVERSITY REGULATIONS.................................................................................1

SECTION 10.1: FACULTY OF HEALTH, SPORT AND SCIENCE..................................................................................................2SECTION 10.2: FACULTY OF BUSINESS AND SOCIETY.........................................................................................................12SECTION 10.3: FACULTY OF ADVANCED TECHNOLOGY......................................................................................................27SECTION 10.4: VALIDATED PROVISION..........................................................................................................................31SECTION 10.5: ROYAL WELSH COLLEGE OF MUSIC AND DRAMA (RWCMD).......................................................................32

APPENDIX A: UNIVERSITY TERMINOLOGY – GLOSSARY OF ACRONYMS AND TERMS............................................1

Appendix B: Sources of Help and Advice......................................................................................................................1

The Academic HandbookVolume 2

Supporting Documentation

Introduction

The Academic Handbook brings together in compact form the key policies, regulations and procedures which govern the academic affairs of the University. As well as the complete regulations, and the complaints and appeals procedures, you will find basic policy statements on quality and standards, the quality of the student experience, and collaborative and international activities, as agreed by Academic Board. Quality assurance procedures are described in terms of their purpose, key responsibilities and where and how these responsibilities are exercised.

Volume 2 brings together all University of Glamorgan policies and regulations listed in the Recommended Further Reading Section of the Academic Handbook Volume 1. This is to provide both a web based electronic version and a paper copy in one location for ease of reference for users of the Academic Handbook.

Section 1: 0

Section 1: Student Related Policies, Procedures and Forms

1.1 The Student Charter1.2 Regulations Governing Student Conduct1.3 Student Complaints1.4 Academic Offences1.5 Student Regulations on Intellectual Property Rights1.6 Learning Resource Centre Regulations1.7 Accredited Prior Learning

Section 1: 1

Section 1: 2

Section 1.1: The Student Charter

Section 1: 3

THE UNIVERSITY OF GLAMORGANPRIFYSGOL MORGANNWG

Transforming lives through professional, employment-focused higher education and distinctive research and innovation relevant to economic,

social and cultural needs.

This Charter has been developed jointly by the University of Glamorgan and its Students’ Union to enable its students to understand what will be expected of them during their studies, and what they can expect of the University.

The Charter will be reviewed and updated annually in the same spirit of partnership and approved by the Governing Body of the University.

--000--

The University undertakes to:Require its employees and students to treat each other equally and respectfully.

The University undertakes to provide:• High quality learning , teaching and assessment

• Access to activities that will enhance employability and personal development

• Clearly explained access to library and IT facilities

• Support for participation in academic development and course management

including elections and nominations of Course Representatives

• Access to systems for support, advice and guidance

• Access to counselling and advice on health and welfare; accommodation; finance

and careers etc.

• Regular continuing professional development for its staff.

Section 1: 4

Student Charter

In addition the University undertakes to adhere to its commitments to the Welsh

language set out in the Welsh Language Scheme approved by the Welsh Language

Board in June 2010.

The University undertakes to provide students with the following information:

• Notice of changes to timetable, cancelled classes, re-scheduling of content etc. in

as much time as individual circumstances allow

• Clear deadlines and timeframes for assignments and feedback will be provided in

course handbooks.

• A course handbook which details assessment criteria, expectations of the amount

of study time required by courses, professional requirements (if appropriate), mode

of delivery of courses, regulatory information about taught courses and research

awards, academic guidance and support, and the appeals and verification

procedure.

• Course costs , payment options and deadlines, and an indication of necessary

additional costs of study.

Students undertake to:• Attend induction, participate in timetabled classes, attend meetings with tutors etc.

• Obtain agreement from their Faculty, in advance, for any essential absences

• Take responsibility for managing their own learning: actively engaging in their

course; ensuring they spend sufficient regular time in private study, and

participating fully in group learning activities

• Submit assessed work by the stated deadlines, actively participate in feedback

mechanisms, such as Module Evaluation and the National Student Survey (NSS)

• Make prompt payment of charges due to the institution

• Support course representatives and Student Voice Representatives, and

participate in systems which will lead to improvements in the quality of learning

and teaching

Section 1: 5

• Respect the physical environment of the University, including accommodation and

behave respectfully towards neighbours and members of the wider community.

The Students’ Union undertakes to:• Support all students to ensure they receive equal treatment and are aware of their

rights and responsibilities

• Support student participation in quality enhancement activities – especially through

the election, development and training of course representatives and Student

Voice Representatives

• Assist students with academic and welfare problems

• Represent the interests of students at local and national level

• Support active student/community engagement, especially in respect of combating

antisocial behaviour

• Provide a range of athletic and social clubs and societies to enhance personal and

professional development.

[Signature of]Vice-Chancellor [Signature of] SU President

Further Information: You can obtain further information from the Students’ Union. Contact the Vice President for Student Support on suvpss@glam.ac.uk. You may also obtain information on specific elements of this Charter by following the links in the document.Date last reviewed: October 2011

Approved by: Board of Governors on 14 November 2011

Section 1: 6

Section 1.2: Regulations Governing Student Conduct

Penalty range for Regulations Governing Student Conduct: Guidelines for application of penalties

Section 1: 7

Section 1: 8

Please read in conjunction with Volume 1 of the Academic Handbook, Section B6, Regulations Governing Student Conduct.

Penalty range for Regulations Governing Student Conduct: Guidelines for application of penalties

Misconduct Examples of Misconduct Penalty Who can deal with this initially?

a) commit physical assault, serious threatening behaviour or verbal or written abuse to other students, staff or visitors to the University, including via internet websites such as social networking ones;

i. student writes an email about a member of staff or student and emails it to other students/staff or posts it on a social networking site

ii. student physically attacks another student, member of staff or visitor

i. Verbal formal warningii. Suspension (disciplinary)iii. Expulsion

i Dean of faculty to which the student belongs, head of corporate department or a member of Directorate after consultation with the dean of faculty

ii & iii Student Disciplinary Committee only

b) make malicious allegations against other members of the University;

e.g. student makes allegations about a member of staff or student and emails it to other students/staff or posts it on a social networking site

i. Verbal formal warningii. Written formal warning

a)

i & ii Dean of faculty to which the student belongs, head of corporate department or a member of Directorate after consultation with the dean of faculty

c) damage University property or property of other students, staff or visitors;

e.g. breaking a window, damage to computers, deliberate damage to another student’s text books

i. Verbal formal warningsii. Written formal warningsiii. Compensation of up to £1000iv. Fines of up to £1000

i, ii, iii, iv Dean of faculty to which the student belongs, head of corporate department or a member of Directorate after consultation with the dean of faculty

d) misappropriate any University

property, funds or assets or property of other students;

e.g. stealing video cameras from LCSS or another student’s mobile phone

i. Verbal formal warningsii. Written formal warningsiii. Compensation of up to £1000iv. Fines of up to £1000v. Suspension (disciplinary)vi. Expulsion

i, ii, iii, iv Dean of faculty to which the student belongs, head of corporate department or a member of Directorate after consultation with the dean of faculty

Section 1: 9

v &vi Student Disciplinary Committee only

e) act in any way which is likely to cause injury to any other person within the University community, including impairing the safety of premises or equipment and interfering with anything provided in the interests of Health and Safety at Work;

e.g. tampering with fire extinguishers

i. Verbal formal warningsii. Written formal warningsiii. Compensation of up to £1000iv. Fines of up to £1000v. Suspension (disciplinary)vi. Expulsion

i, ii, iii, iv Dean of faculty to which the student belongs, head of corporate department or a member of Directorate after consultation with the dean of faculty

v & vi Student Disciplinary Committee only

f) commit any criminal act whilst upon University premises or engaged in University activities;

e.g. drug taking on campus i. Suspension (disciplinary)ii. Expulsion

i & ii Student Disciplinary Committee only

g) engage in any activity or behaviour which contravenes the University’s Equal Opportunities or Harassment policies

e.g. racially aggravated behaviour i. Verbal formal warningsii. Written formal warningsiii. Compensation of up to £1000iv. Fines of up to £1000v. Suspension (disciplinary)vi. Expulsion

i, ii, iii, iv Dean of faculty to which the student belongs, head of corporate department or a member of Directorate after consultation with the dean of faculty

v & vi Student Disciplinary Committee only

h) behave in any way which unreasonably interferes with the legitimate freedoms of any other student, member of staff, or visitor, or which disrupts or interferes with activities properly carried out by the University

e.g. stalking a member of staff, student or visitor on campus, falsifying or submitting false/fake documents and/or false claims/completion of documents.

i. Suspension (disciplinary)ii. Expulsion

i & ii Student Disciplinary Committee only

Section 1: 10

i) misuse University IT systems or equipment

e.g. looking at pornographic images on the University computers

i. Verbal formal warningsii. Written formal warningsiii. Fines of up to £1000iv. Suspension (disciplinary)v. Expulsion

i, ii, iii Dean of faculty to which the student belongs, head of corporate department or a member of Directorate after consultation with the dean of faculty

iv & v Student Disciplinary Committee only

j) fail to give their name and address to an officer or employee of the University when reasonably requested to do so by such officer or employee in the course of their duties;

e.g. a student is suspected of attacking another student and refuses to give their details so that the misconduct can be followed up

i. Verbal formal warningsii. Written formal warningsiii. Suspension for repeated

offences

i, ii Dean of faculty to which the student belongs, head of corporate department or a member of Directorate after consultation with the dean of faculty

iii Student Disciplinary Committee only

k) fail to comply with a penalty imposed in respect of any previous misconduct under these regulations;

e.g. failing to pay a fine i. Suspension (disciplinary)ii. Expulsion

i & ii Student Disciplinary Committee only

l) purchase or order goods on behalf of the University without due authorisation;

e.g. use University money to purchase equipment without authorisation

i. Verbal formal warningsii. Written formal warningsiii. Compensation of up to £1000iv. Fines of up to £1000v. Suspension (disciplinary)vi. Expulsion

i, ii, iii, iv Dean of faculty to which the student belongs, head of corporate department or a member of Directorate after consultation with the dean of faculty

v & vi Student Disciplinary Committee only

m) use University facilities without prior authorisations;

e.g. use specialist rooms without authorisation

i. Verbal formal warningsii. Written formal warningsiii. Suspension for repeated

i, ii Dean of faculty to which the student belongs, head of corporate department or a

Section 1: 11

offences member of Directorate after consultation with the dean of faculty

iii Student Disciplinary Committee only

n) make excessive noise in or around University halls of residence or other University property.

e.g. play loud music in halls of residence

i. Verbal formal warningsii. Written formal warningsiii. Suspension for repeated

offences

i, ii Dean of faculty to which the student belongs, head of corporate department or a member of Directorate after consultation with the dean of faculty

iii Student Disciplinary Committee only

o) Students must not behave in the community in such a way as may be reasonably deemed to harm the reputation of the University or its relationship with the local community.

e.g. breach of peace and loutish behaviour

i. Verbal formal warningsii. Written formal warningsiii. Compensation of up to £1000iv. Fines of up to £1000v. Suspension (disciplinary)vi. Expulsion

i, ii, iii, iv Dean of faculty to which the student belongs, head of corporate department or a member of Directorate after consultation with the dean of faculty

v & vi Student Disciplinary Committee only

NB each case will be considered on its own merits in determining a final penalty. Factors may include the subject area the student is studying.

Section 1: 12

Section 1.3: Verification and Appeal Procedures

1 Application for Verification Form VFN1 and guidance for completion of the form

2 Appeal form AAP1 and guidance for completion of the form

3 Guidance on Verification and Appeals for Faculty Staff

Section 1: 13

Section 1: 14

Please read in conjunction with Volume 1 of the Academic Handbook: Section B3 Verification and Appeals Procedure.

Form VFN1UNIVERSITY OF GLAMORGAN

PRIFYSGOL MORGANNWGAPPLICATION FOR VERIFICATION OF A DECISION OF AN ASSESSMENT BOARD

VERIFICATION FORMAll sections must be completed

Please note, this form and evidence must be submitted to the Quality Unit within 20 working days of the Progression and Award Assessment Board or Assessment

Infringements Committee meeting.

For assistance on completion of this form, please refer to the guidance notes (at end of form).1. Surname (Family name): 2. Title (e.g Mr/Mrs etc)

3. First names:

4. Enrolment number:

5. Address for correspondence:

6. E-mail address (please state whether you would prefer to be contacted by e-mail or at your address for correspondence):

7. Daytime telephone number:

8. Course title:

9. Module code and title of module(s) affected:

Module code

Module title Module Tutor

Assessment type (e.g. coursework 1,

in class test 2, examination)

Original deadline date of

assessment/ date of exam or in class

test

Did you attempt the

assessment?Y/N

Is your Request for Verification related to the overall outcome for the academic year Is your Request for Verification related to the overall award outcome for your course e.g. First, Upper Second Class Honours or Pass/Merit/Distinction Please enclose a copy of your results letter including the dated covering letter.

Section 1: 15

10. Grounds on which your request for verification is based (please tick the relevant option):

Please verify:

a) That the assessment published was free of computational or administrative error;

b) That the assessments were conducted in accordance with the approved regulations for the programme of study;

c) That the assessment board was either aware of factors reported by the student prior to the board which he/she believes might have adversely affected their performance, or was not aware of factors, for good reason.

NB: In verifications based on these grounds, the student must show good reason why such personal circumstances were not made known to the Assessment Board before its meeting. Where a candidate could have reported exceptional circumstances to the Assessment Board prior to its meeting, those circumstances cannot subsequently be cited as grounds for verification.

11. Please support your request for verification (indicated above) by detailing your case below and continue on additional sheets if necessary. All submissions must have independent supporting evidence e.g. medical certificate. Please note that failure to provide sufficient details and supporting evidence will result in a delay in the processing of and possible rejection of your request.

Section 1: 16

12.

1. Are you currently registered with the University’s Disability and Dyslexia Service (DDS)?

 No (please go to question 2)  Yes

If Yes, does your request for verification relate to:

a)  previously disclosed condition(s); b)  a deterioration of previously disclosed condition(s); c)  a new condition or pregnancy / maternity / paternity; (go to Question 2) d)  circumstances not related to your previously disclosed condition  (go to Question 2)

If you have indicated a) or b) above, it may help your claim if we contact the DDS regarding the nature of any support offered. Please sign below to give your consent to contact the DDS:

Signature: __________________________ Print name: __________________________ Date: ____________

2. If your supporting evidence or information in your statement indicates that you have a disability or long-term medical condition (which can include depression or anxiety) which the DDS are not aware of, your details may be forwarded to Disability Adviser who will, in turn, contact you directly to discuss opportunities for support.

If you do not want your details to be given to the DDS please tick here

Please note: if you do not consent to the DDS being notified, the support that the University is able to provide may be limited. For more information about the DDS support services visit http://dds.glam.ac.uk/

13. Declaration: I declare that the information given above and on the attached sheets is accurate to the best of my knowledge and is supported by the evidence presented with this application.

Signed: ……………………………………. Date: ……………………………

Section 1: 17

Guidance notes for the completion of the form: Request for Verification of a Decision of an Assessment Board.

These guidance notes should be read in conjunction with the Verification and Appeals Procedures.

Please note that your results will be made available following the Progression and Award Assessment Board. You have twenty working days from the date of the Progression and Award Assessment Board to submit your request for verification.

1. Surname, 2. Title, 3. First Names, 4. Student Enrolment Number:

Please ensure that these sections are completed accurately so that we are able to identify you correctly. Your student enrolment number is particularly important as we often have several students enrolled with the same name.

5. Address for correspondence:

Any request for further evidence or response to your application for verification will be sent to this address. This field must be completed, however, if you would like to be contacted by e-mail please include your e-mail address in section 5. You will also receive your outcome letter in the post at the conclusion of the process.

If you are concerned that the address details the University holds for you may not be accurate please contact your Faculty.

6. Email Address

Please include your e-mail address if we are able to contact you via e-mail with any queries which may arise from your verification.

7. Daytime telephone number

Please include your telephone number so that we can contact you if we have any queries regarding your verification.

8. Course Title

Please state the award (course) that you are enrolled on.

This should indicate the level of the course (e.g. HNC, HND, FD,BA, BSc, BEng, MSc) and the exact course title (e.g. Business Studies, Mechanical Engineering).

9. Module(s) Affected

Please state the module code(s) and title(s) of all modules which you would like to request verification for.

Section 1: 18

In addition you should clearly state the actual elements of assessment that you are referring to (e.g. coursework 1 (CW1), exam, in-class test, etc) and the deadline date of submission for each of these elements. A response to your claim may be delayed if this information is not provided.

If your request for verification is related to the overall outcome for the year (i.e. you have been given a repeat year) please use the relevant check box.

If your request for verification is related to the overall award outcome of your course (i.e. First, Upper Second Class Honours, Pass/ Merit/ Distinction) please use the relevant check box.

You should also provide a copy of your results letter including the dated covering letter.

10. Grounds on which request for verification is based:

Please tick the box which most appropriately matches your request for verification.

For example, you may ask for verification:

a) That the assessment published was free of computational or administrative error, e.g. you think that your module grades have not been added up correctly or that a piece of work that you submitted has not been included in your module mark;

b) That the assessments were conducted in accordance with the approved regulations for the programme of study, e.g. you were entitled to additional time in an examination which you believe that you did not have;

c) That the assessment board was either aware of factors reported by the student prior to the board which he/she believes might have adversely affected their performance, or was not aware of factors, for good reason, e.g.you were in hospital during the assessment period and not able to make this known to the assessment board in time.

You must provide evidence of your circumstances and also explain (with supporting evidence wherever possible) why you did not apply for mitigating circumstances at the time that your circumstances occurred.

Please note that questioning academic judgement is not a ground to request verification.

This means that you cannot request verification on the basis of questioning the mark you received unless you think there was an administrative error in the way it was calculated.

11. Please support your request for verification

Please give details of your circumstances and the reason for your verification request. You must provide independent evidence to support your request, i.e. if you are applying on grounds of

Section 1: 19

ill health you must provide official medical evidence; if you are applying on the grounds of bereavement you should provide a copy of the death certificate. Applications without evidence will not be accepted. If you need advice on what evidence to include you should contact your Faculty Advice Shop or the Quality Unit.

12. Disability and Dyslexia Service

Please complete this section of the form regarding the Disability and Dyslexia Service as it will help faculties to fully understand your circumstances. Additionally, it will enable the University to provide any additional support that you may require. Please note that you do not have to complete this section if you do not wish. However, if you do not consent to the DDS being notified, the support the University is able to provide you may be limited.

13. Declaration

You must sign and date and include all relevant evidence with the form.

Please note that failure to fully complete all sections of the form, or to include appropriate independent evidence, will result in the University being unable to consider your request for verification.

Forms can be emailed to:

verandcomp@glam.ac.uk

Any hard copies of forms or evidence should be sent to:

The Quality UnitAcademic RegistryUniversity of Glamorgan1 Llantwit RoadTreforestCF37 1DL

Your form should reach the Quality Unit no later than 20 working days after the date of the award examination board which considered your results.

For informal queries please contact the Quality Unit by calling (01443) 480480 or emailing verandcomp@glam.ac.uk.

Section 1: 20

Please read in conjunction with Volume 1 of the Academic Handbook: Section B3 Verification and Appeals Procedure. Form AAP1

UNIVERSITY OF GLAMORGANPRIFYSGOL MORGANNWG

REQUEST FOR A REVIEW OF A DECISION OF AN ASSESSMENT BOARDAPPEAL FORM

All Sections Must Be Completed13. Surname (Family name) 14. Title (e.g. Mr/Mrs etc)

15. First names

16. Student ID number

17. Address for correspondence:

18. E-mail address (please state whether you would prefer to be contacted by e-mail or at your address for correspondence)

19. Daytime telephone number:

20. Award title

21. Module code and title of module(s) affected

9. Grounds on which appeal is based:

Defects or irregularities in the conduct of the examinations or in written instructions or in advice relating thereto, where there is a prima facie case that such defects, irregularities or advice could have had an adverse effect on the candidate's performance and the verification process has not revealed these defects or irregularities.

Please support your appeal (indicated above) by outlining the details of your case below and continue on additional sheets if necessary. You should also attach any evidence in support of this appeal e.g. e-mail correspondence. Please note that failure to provide sufficient details and supporting evidence will result in a delay in the processing of and possible rejection of your appeal.

22. Declaration: I declare that the information given above and on the attached sheets is accurate to the best of my knowledge.

I also give my consent for the case to be expedited by referral for executive action by the Chair of the Appeal Board if agreed by the Academic Registrar that this is appropriate.

Section 1: 21

Signed: ……………………………………. Date: ……………………………

Equal Opportunities Monitoring

Equal Opportunities

The following questions are designed to allow the University to fulfil its statutory obligations in respect of monitoring its Equal Opportunities and Race Relations Policies, and its statutory obligation to provide data to the Higher Education Statistics Agency (HESA). The information is not used in the outcome decision of your request for verification.

Gender: MALE / FEMALE (Please circle one) Age:………………………………………

Nationality (Country of Birth/Passport) …………………………………………………………………………………………………….

The Disability Discrimination Act 1995 defines disability as “a physical or mental impairment which has a substantial and long-term adverse effect on your ability to carry out normal day-to-day activities.” On this basis do you consider yourself disabled? (Please circle one option below)NO/’YES (If yes please give details) …………………………………………………………………. ………………………………………………………………………………………………………………

What is your ethnic group? (Please tick the appropriate group)

White British White Irish Other white background Please state_________________Mixed - White and Black CaribbeanMixed - White and Black African Mixed - White and Asian Other mixed background Please state __________________ Asian or Asian British - Indian Asian or Asian British - Pakistani Asian or Asian British – Bangladeshi Other Asian background Please state __________________Black or Black British – Caribbean Black or Black British – African Other Black background Please state __________________Chinese Other ethnic group Please state __________________

National Identity(Please tick the appropriate boxes)

Please chose either one or two categories from the following list, and mark your main choice 1. If you view yourself as having more than one National Identity, please mark your second choice 2.

National Identity Choice

BritishEnglishIrishOtherInformation RefusedScottishUnknownWelsh

Section 1: 22

Guidance notes for the completion of the form: Request for the Review of a Decision of an Assessment Board.

These guidance notes should be read in conjunction with the Verification and Appeal Procedures.

Please note that you may only submit an Academic Appeal form once you have submitted a Request for Verification form and been notified of the outcome of this process. The appeal form must be submitted within 15 working days of the date of the request for verification outcome letter.

1. Surname, 2. First Names, 3. Student Enrolment Number:

Please ensure that these sections are completed accurately so that we are able to identify you correctly. The student enrolment number is particularly important as we often have several students enrolled with the same name.

4. Address for correspondence:

Any request for further evidence or response to your application for appeal will be sent to this address. This field must be completed, however, if you would like to be contacted by e-mail please include your e-mail address in section 5. You will also receive your outcome letter in the post at the conclusion of the process.

If you are concerned that the address details the University holds for you may not be accurate please contact your Faculty.

5. Email Address

Please include your e-mail address if we are able to contact you via e-mail with any queries which may arise from your submission.

6. Daytime telephone number

Please include your telephone number so that we can contact you if we have any queries regarding your appeal.

7. Award Title

Please state the award (course) that you are enrolled on.

This should indicate the level of the award (e.g HNC, HND, FD, BA, BSc, BEng, MSc) and the exact award title (e.g. Business Studies, Mechanical Engineering).

8. Module(s) Affected

Section 1: 23

Please state the module code(s) and title(s) of all modules which your appeal relates to.

In addition you should clearly state the actual elements of assessment that you are claiming for e.g CW1, CW2 and/or Exam. Please also indicate the intended date of submission of the work for these elements you are claiming for. A response to your claim may be delayed if this information is not available.

9. Grounds on which appeal is based:

Please give a detailed outline of your circumstances and the reason for your appeal. Please also provide evidence to support your appeal, e.g. copies of e-mail communication which support your case. Applications without evidence may not be accepted. If you need advice on what evidence to include you should contact your Faculty Advice Shop or the Quality Unit.

Please note that questioning academic judgement is not a ground for appeal.

This means that you cannot appeal on the basis of questioning the mark you received unless you think there was an administrative error in the way it was calculated.

10. Declaration

You must sign and date the form or it will be returned to you.

Please note that all fields must be completed.

All forms must be sent to:

The Quality UnitAcademic RegistryUniversity of Glamorgan1 Llantwit RoadTreforestCF37 1DL

Your form should reach the Quality Unit no later than 20 working days after the date of the assessment board which considered your results.

For informal queries please contact the Quality Unit by calling (01443) 480480.

Section 1: 24

Guidance on Verification and Appeals for Faculty Staff

The appeals procedure was reviewed and revised in the summer of 2009 and these changes will take effect from September 2009 (except for re-sit board students).

Verification

Stage one of the appeal process is now a verification stage. Students can request that any of the following be verified:

d) That the assessment published was free of computational or administrative error;

e) That the assessments were conducted in accordance with the approved regulations for the programme of study;

f) That the assessment board was either aware of factors reported by the student prior to the board which he/she believes might have adversely affected their performance, or was not aware of factors, for good reason.

NB: In verifications and appeals based on these grounds, the student must show good reason why such personal circumstances were not made known to the Assessment Board before its meeting. Where a candidate could have reported exceptional circumstances to the Assessment Board prior to its meeting, those circumstances cannot subsequently be cited as grounds for verification and appeal

Requests for verification will continue to come into the Quality Unit and will be sent out to the Chair of the Award and Progression Assessment Board or nominee for consideration.

Any requests based on academic judgement will be sifted out by the Quality Unit.

The Faculty are required to verify the facts in the request for verification and notify the Quality Unit of their decision within 10 working days of receipt.

If the verification request is upheld i.e.

there is evidence of a computation or administrative error and/or; the assessments were not conducted in accordance with the approved

regulations for the programme of study and/or; the assessment board had information concerning exceptional personal

circumstances which it did not take into account or did not have information for good reason which it now considers should be taken into account; (please note that students will need to cite a good reason why they did not report their circumstances to the Board, this is important in establishing consistency across Faculties).

The Faculty should notify the Quality Unit of this decision and what it will mean for the student, e.g. the student’s status will be changed from “Referral” to “First Attempt”.

Section 1: 25

If the verification request is rejected, i.e.

there is no evidence of computational or administrative error and/or; the assessments were conducted in accordance with the approved

regulations for the programme of study and/or; any exceptional personal circumstances reported by the candidate were

considered by the board or that there was no good reason why circumstances had not been reported prior to the board;

The Faculty is required to inform the Quality Unit via a detailed response which outlines the case and the findings and to explain the outcome. In most cases this response will be used in the outcome letter to the student.

The Faculty has 10 working days in which to respond to the Quality Unit on the outcome of the request for verification.

Should you need any further evidence from the student in order to make your decision please contact the Quality Unit within 5 days of receiving the request so that they can request this.

Please ensure that any response given is accurate prior to sending as the outcome letter will be sent to the student on the same day the Faculty response is received by the Quality Unit.

Appeal

The second stage of the process is Academic Appeal.

A student can only appeal on grounds of:

defects or irregularities in the conduct of the examinations or in written instructions or in advice relating thereto, where there is a prima facie case that such defects, irregularities or advice could have had an adverse effect on the candidate's performance and the verification process has not revealed these defects or irregularities;

And may only appeal once a request for verification has been completed. They must appeal within 15 working days of the outcome of the verification.

Appropriate Faculty staff may be asked to comment on the appeal if this is deemed necessary.

An Appeal may be dealt with by Chair’s action if appropriate and the Chair of the Appeal Board may either:

refer the case back to the relevant assessment board for further consideration refer the case to an Appeal Board.

Should the case be referred back to the assessment board, the Faculty will be sent all relevant documentation for consideration and the Faculty is required to reconsider the case and send the decision, with the relevant extract of the minutes to the Academic Registrar within six working weeks of receipt.

Section 1: 26

The Quality Unit will inform the student of the decision of the assessment board.

Appeal Board

If the case goes to Appeal Board then the Quality Unit will arrange this, however, the Faculty will be invited to send a representative to attend the hearing. The hearing will continue in their absence.

The Appeal Board can:

Reject the Appeal refer the case back to the relevant assessment board for further

consideration

Should the case be referred back to the assessment board, the Faculty will be sent all relevant documentation for consideration and the Faculty is required to reconsider the case and send the decision, with the relevant extract of the minutes to the Academic Registrar within six working weeks of the date of the Appeal Board.

The Quality Unit will inform the student of the decision of the assessment board.

Section 1: 27

Section 1: 28

Request for Verification Verification to Faculty for consideration

Faculty’s outcome decision to the Quality

Unit

Verification upheldEnd of process

Verification rejected

Academic Appeal Received

Chair’s ActionAppeal Board

Referred back to Assessment BoardAppeal Rejected

End of ProcessAssessment Board Outcome

End of Process

Section 1: 29

Section 1.4: Student Complaints

Please read in conjunction with Volume 1 of the Academic Handbook: Section B4 Student Complaints Procedure.

STUDENT COMPLAINT FORM – Stage 1STUDENT COMPLAINT FORM – Stage 2STUDENT COMPLAINT FORM – Stage 3

Section 1: 30

PRIFYSGOL MORGANNWG

UNIVERSITY OF GLAMORGANSTUDENT COMPLAINT FORM – Stage 1

All Sections Must Be Completed1. Surname (Family name)

2. First names

3. Student ID number

4. a) Address for correspondence b) Email address:

c) Telephone Number:

5. Award Title

6. Brief summary of the complaint. Please continue on another sheet if necessary.

7. How have the circumstances, about which you wish to complain, affected you?

8. Summary of the steps taken to address your complaint (in the event that you are complaining at stage 2 or 3 please provide information regarding why you are dissatisfied)

9. What reasonable steps would you like to be taken to resolve your complaint?

10. Please provide all the evidence that you have to support your complaint.

11. Declaration: I declare that the information given above and on the attached sheets is accurate to the best of my knowledge.

Signed: ……………………………………. Date: ……………………………NB – Please refer to guidance for assistance in completing this form

Section 1: 31

Guidance notes for the completion Student Complaints Form

These guidance notes should be read in conjunction with the Student Complaints procedure. Please note that you are entitled to complain about Academic matters, student experience, discrimination, malpractice or impropriety. Academic Appeals, harassment and allegations of misconduct are dealt with under separate procedures; please refer to the Academic Handbook for guidance.

1. Surname, 2. First Names, 3. Student Enrolment Number:

Please ensure that these sections are completed accurately so that we are able to identify you correctly. The student enrolment number is particularly important as we often have several students enrolled with the same name.

4. a) Address for correspondence, b) Email address, c) Telephone number:

Any request for further evidence or response to your complaint will be sent to the address provided. Please note on the form which address, postal or email, you would like us to contact you at. If this is not noted we will use your postal address

If you are concerned that the address details the University holds for you may not be accurate please contact your Faculty Office.

5. Award Title

Please state the award (course) that you are enrolled on.

This should indicate the level of the award (HNC, HND, FD,BA, BSc, BEng, MSc) and the exact award title (Business Studies, Mechanical Engineering).

6. Brief summary of the complaint.

Please outline your reasons for complaining giving all relevant details. Continue on a separate sheet if necessary.

7. How have the circumstances, about which you wish to complain, affected you?

Please explain how the circumstances you have described have affected you – e.g. have there been financial repercussions? Has your health been affected? Has your ability to perform in assessments been affected? etc.

8. Summary of the steps taken to address your complaint (in the event that you are complaining at stage 2 or 3 please provide information regarding why you are dissatisfied)

Please explain what steps have been taken to resolve your complaint, e.g. have you met with faculty staff in order to try to resolve the issue.

Section 1: 32

If you are completing the form following a stage 1 or 2 outcome please provide information regarding why you are dissatisfied with the outcome.

9. What reasonable steps would you like to be taken to resolve your complaint?

Please specify any reasonable steps that you feel would be appropriate in order to resolve your complaint.

10. Please provide all the evidence that you have to support your complaint.

Please detail any evidence which you have enclosed to support your complaint here. Applications without appropriate evidence are less likely to have a positive outcome. If you need advice on what evidence to include you should contact your Faculty Advice Shop or the Quality Unit.11. Declaration

You must sign and date the form or it will be returned to you.Please note that all sections of the form must be completed.

All forms must be sent to:

The Quality UnitAcademic RegistryUniversity of Glamorgan1 Llantwit RoadTreforestCF37 1DL

Examples of services your complaint may affect might include Accommodation Services, Learning and Corporate Support Services, Student Services or the Finance Department.

For informal queries please contact the Quality Unit by calling (01443) 480480.

An Equal Opportunities form is available to be completed alongside the Student Complaint Form should you wish to provide this information.

Section 1: 33

PRIFYSGOL MORGANNWG

UNIVERSITY OF GLAMORGANSTUDENT COMPLAINT FORM – Stage 2

All Sections Must Be Completed1. Surname (Family name)

2. First names

3. Student ID number

4. a) Address for correspondence b) Email address:

c) Telephone Number:

5. Award Title

6. Brief summary of the issues you feel have not been addressed at Stage 1 and why you remain dissatisfied.

7. Summary of the steps taken to address your complaint at Stage 1.

8. What reasonable steps would you like to be taken to resolve your complaint?

9. Please provide all the evidence that you have to support your complaint.

10. Declaration: I declare that the information given above and on the attached sheets is accurate to the best of my knowledge.

Signed: ……………………………………. Date: ……………………………NB – Please refer to guidance for assistance in completing this form.

Section 1: 34

Guidance notes for the completion Student Complaints Form

These guidance notes should be read in conjunction with the Student Complaints procedure. Please note that you are entitled to complain about Academic matters, student experience, discrimination, malpractice or impropriety. Academic Appeals, harassment and allegations of misconduct are dealt with under separate procedures; please refer to the Academic Handbook for guidance.

1. Surname, 2. First Names, 3. Student Enrolment Number:

Please ensure that these sections are completed accurately so that we are able to identify you correctly. The student enrolment number is particularly important as we often have several students enrolled with the same name.

4. a) Address for correspondence, b) Email address, c) Telephone number:

Any request for further evidence or response to your complaint will be sent to the address provided. Please note on the form which address, postal or email, you would like us to contact you at. If this is not noted we will use your postal address

If you are concerned that the address details the University holds for you may not be accurate please contact your Faculty Office.

5. Award Title

Please state the award (course) that you are enrolled on.

This should indicate the level of the award (HNC, HND, FD,BA, BSc, BEng, MSc) and the exact award title (Business Studies, Mechanical Engineering).

6. Brief summary of the issues you feel have not been addressed at Stage 1 and why you remain dissatisfied.

Please outline the issues you feel have not been addressed and stage 1 and consequently why you are still dissatisfied. Continue on a separate sheet if necessary.

7. Summary of the steps taken to address your complaint at Stage 1.

Please outline the steps taken at Stage 1 to address your complaint and any resolution proposed.

8. What reasonable steps would you like to be taken to resolve your complaint?

Please specify any reasonable steps that you feel would be appropriate in order to resolve your complaint.

Section 1: 35

9. Please provide all the evidence that you have to support your complaint.

Please detail any evidence which you have enclosed to support your complaint here. Applications without appropriate evidence are less likely to have a positive outcome. If you need advice on what evidence to include you should contact your Faculty Advice Shop or the Quality Unit.

10. Declaration

You must sign and date the form or it will be returned to you.Please note that all sections of the form must be completed.

All forms must be sent to:

The Quality UnitAcademic RegistryUniversity of Glamorgan1 Llantwit RoadTreforestCF37 1DL

Examples of services your complaint may affect might include Accommodation Services, Learning and Corporate Support Services, Student Services or the Finance Department.

For informal queries please contact the Quality Unit by calling (01443) 480480.

An Equal Opportunities form is available to be completed alongside the Student Complaint Form should you wish to provide this information.

Section 1: 36

PRIFYSGOL MORGANNWG

UNIVERSITY OF GLAMORGANSTUDENT COMPLAINT FORM – Stage 3All Sections Must Be Completed1. Surname (Family name)

2. First names

3. Student ID number

4. a) Address for correspondence b) Email address:

c) Telephone Number:

5. Award Title

6. Ground for Complaint

i) the stage 1 and stage 2 procedures have not adequately addressed the complaint and/or

ii) the procedures at those stages to have been flawed

7. Brief summary of the issues you feel have not been addressed at Stage 1 or 2 or why you feel that the procedures were flawed.

8. Summary of the steps taken to address your complaint at Stage 1 and 2.

9. What reasonable steps would you like to be taken to resolve your complaint?

10. Please provide all the evidence that you have to support your complaint.

11. Declaration: I declare that the information given above and on the attached sheets is accurate to the best of my knowledge.

Signed: ……………………………………. Date: ……………………………NB – Please refer to guidance for assistance in completing this form.

Section 1: 37

Guidance notes for the completion Student Complaints Form

These guidance notes should be read in conjunction with the Student Complaints procedure. Please note that you are entitled to complain about Academic matters, student experience, discrimination, malpractice or impropriety. Academic Appeals, harassment and allegations of misconduct are dealt with under separate procedures; please refer to the Academic Handbook for guidance.

1. Surname, 2. First Names, 3. Student Enrolment Number:

Please ensure that these sections are completed accurately so that we are able to identify you correctly. The student enrolment number is particularly important as we often have several students enrolled with the same name.

4. a) Address for correspondence, b) Email address, c) Telephone number:

Any request for further evidence or response to your complaint will be sent to the address provided. Please note on the form which address, postal or email, you would like us to contact you at. If this is not noted we will use your postal address

If you are concerned that the address details the University holds for you may not be accurate please contact your Faculty Office.

5. Award Title

Please state the award (course) that you are enrolled on.

This should indicate the level of the award (HNC, HND, FD,BA, BSc, BEng, MSc) and the exact award title (Business Studies, Mechanical Engineering).

6. Ground for Complaint

Please tick the box which most appropriately matches your grounds for complaint.

7. Brief summary of the issues you feel have not been addressed at Stage 1 or 2 or why you feel that the procedures were flawed.

Please outline the issues you feel have not been addressed and stage 1 and 2 or why you feel that the process has been flawed.. Continue on a separate sheet if necessary.

8. Summary of the steps taken to address your complaint at Stage 1.

Please outline the steps taken at Stage 1 to address your complaint and any resolution proposed.

9. What reasonable steps would you like to be taken to resolve your complaint?

Please specify any reasonable steps that you feel would be appropriate in order to resolve your complaint.

Section 1: 38

10. Please provide all the evidence that you have to support your complaint.

Please detail any evidence which you have enclosed to support your complaint here. Any additional evidence which has not been considered at previous stages should be included with the form. However, where new evidence is submitted at this stage there must be good reason why it was not introduced at an earlier stage.

11. Declaration

You must sign and date the form or it will be returned to you.Please note that all sections of the form must be completed.

All forms must be sent to:

The Quality UnitAcademic RegistryUniversity of Glamorgan1 Llantwit RoadTreforestCF37 1DL

Examples of services your complaint may affect might include Accommodation Services, Learning and Corporate Support Services, Student Services or the Finance Department.

For informal queries please contact the Quality Unit by calling (01443) 480480.

An Equal Opportunities form is available to be completed alongside the Student Complaint Form should you wish to provide this information.

Section 1: 39

Section 1: 40

Section 1.5: Academic Integrity

1 Guidelines for application of Penalties for Academic Misconduct

2 Suspect Academic Misconduct Cover Sheet

Section 1: 41

Section 1: 42

Please read in conjunction with Volume 1 of the Academic Handbook, Section B5 Academic Integrity Regulations.

Penalty range for Assessment Infringements: Guidelines for application of penalties

NB The penalties are as contained in the regulations and are the only penalties which the regulations allow.

Penalty Examples of circumstances1 Impact of the penalty1 Attend appropriate workshop at the Education Drop In

CentreFirst offence. First assessment. First year student (Level 3 or 4). Mature student with longer term gap since previous study at any level. Students from another culture who are judged to have committed plagiarism without deliberate intent.

In this case the student’s work is marked. The offence is recorded2.

2 Formal warning or reprimand First offence. First assessment. First year student (Level 3 or 4). Mature student with longer term gap since previous study at any level. Students from another culture who are judged to have committed plagiarism without deliberate intent.

In this case the student’s work is marked. The offence is recorded3.

3 Cancel mark for the element of assessment. Student is allowed to resubmit the work. Second submission of the element of assessment is capped at 40%

First offence. First assessment. First year student (Level 3 or 4) but recently, or immediately, from school or other studies. Elements, but not the majority, of the assessment are plagiarised.

Progression may be affected if the result of this penalty means that the overall module mark falls below 40%.

4 Cancel mark for the element of assessment. Student is allowed to resubmit the work. The grade for the whole module is capped at 40%

First offence if student is at level 5, 6 or 7 who has previous study experience, has had access to plagiarism induction and guidance, Elements, but not the majority, of the assessment are plagiarised. Second offence if student is at level 3 or 4 and has received penalties 1 & 2 previously, elements, but not the majority, of the assessment are plagiarised.

Honours classification may be affected. Postgraduate award grade may be affected. If penalty is issued at second sitting students should resubmit at the next assessment point.

5 Cancel mark for whole module – Student is allowed to resubmit the work – module capped at 40%.

Second offence at level 3 or 4. Elements, but not the majority, of the assessment are plagiarised.

If a mark <40% is achieved during the referral opportunity, the student may need to repeat the module or find a suitable substitute.

6 Cancel mark for whole module – Student is not allowed to resubmit the work. Grade for repeated module not

Second offence at level 3 or 4. Elements, but not the majority, of the assessment are plagiarised.

Possible credit deficit. Progression to next stage may

1 The examples are illustrative. Other circumstances may be taken into account e.g. ill-health or mitigating circumstances. In all cases it is assumed that adequate guidance or induction in place.2 Offences are recorded at all stages and levels of severity. Failing to record offences will not allow the Chair of the Award Board or Assessment Infringement Committee to decide appropriate penalties in future cases.3 Offences are recorded at all stages and levels of severity. Failing to record offences will not allow the Chair of the Award Board or Assessment Infringement Committee to decide appropriate penalties in future cases.

Section 1: 43

capped be affected. Student may need to find suitable substitute module.

7 Cancel mark for whole module – Student is not allowed to repeat or substitute module Second offence with high levels of non-original work

unattributed. Student at level 5, 6 or 7.orThe balance of probability that the work has been purchased.

Credit deficit. Possible graduation implications or retention implications.8 Cancel all module marks for current stage – Student is

allowed repeat year. Repeat grades not capped.

9 Cancel all module marks for current stage – student is not allowed repeat year. Allow student to retain credits already gained.

Third offence (although if three offences relate to a student at levels 3 or 4 and were contemporaneous, they may be treated as one offence)orA second offence where the balance of possibility is that the assessment has been purchased.

Student cannot continue on the same course. Student may be allowed to enrol on a new course. Exit with lower qualification.

10 Fail discontinue - allow student to retain credits already gained.

Evidence of multiple offences, or work stolen or otherwise misappropriated. Students at levels3,4 or 5

Student is expelled from the University. Student can retain any credit gained and use it to enrol at another institution.

11 Fail discontinue – no further study at the University is allowed, all existing credit is revoked.

Evidence of multiple offences, or work stolen or otherwise misappropriated. Student at level 6 or 7.

Student is expelled from the University. Student cannot retain any credit gained or exit with a lower award.

Section 1: 44

UNIVERSITY OF GLAMORGAN

Suspected Academic Misconduct Cover Sheet

Tutors please complete the following information before submitting to the Quality Office

Student Name

Enrolment Number

Module Leader NameModule Title

Module Code Assessment i.e. CW1, CW2 etc.

Location of Study i.e. Hong Kong, Bahrain Direct entry Y/N

The attached work has been examined by the tutor and the appropriate academic judgement has been exercised in reaching the decision that there is a potential case of academic misconduct i.e. plagiarism. Based on the tutor’s examination of the work and the evidence provided, the tutor has good reason to suspect that academic misconduct has taken place. Please select from the statements below which best reflects the rationale for putting forward the alleged academic misconduct for consideration under the Academic Offences Regulations, available online on the following link: http://profile.glam.ac.uk/documents/download/20/

The student has a high percentage of copied material that is not correctly referenced in the submitted report

There is substantial cut and paste from several sites. Although some references are here, I do not consider this to be the student’s own work.

The student has registered high levels of plagiarism via the Turnitin report.

The student has a similarity report from Turnitin that indicates at least an unclear understanding of referencing and not using the original author’s words.

Please note any other details that are not addressed by the statements above and that you feel will help to inform the decisions made by the Academic Misconduct Panel and Head of Learning and Teaching (or nominee):

PTO…Is this the student’s first assignment?

Section 1: 45

Is this resit coursework?

Date alleged unfair practice identified:

Please include: TurnitIn Report Student work Original source

To be completed by the Faculty Administrative Staff

Date received Assessment Period

Course Title

Name of Course Leader Year of Study

Faculty in which module is based

Home, EU, or Overseas student

Name of Secretary to Subject Assessment Board

Name of Secretary to Award and Progression Assessment Board

Previous history of unfair practice (If yes, please attach documentation)

Please

attach

Interview Record

Sheet

Unfair Practice

regs

Summary of

penalties

To be completed by the Faculty Academic Misconduct Panel

Date of Interview:Staff members present:

Student’s rights explained:

YES / NOExplained by:

Nature of offence explained: YES / NO

Explained by:

Any representation – friend/SU: YES / NO

Name(s):

Student’s explanation:

Section 1: 46

Is there a case to answer? Y/NRationale for this decision. Please select one of the following:

Collusion: students to be interviewed to determine any guilt

Plagiarism: student has used other people’s work and submitted it as though it were their own (see source…)

Plagiarism: student has used other students work and submitted it as though it were their own (see source…)

Poor referencing: student has not used quotations or referenced correctly (see source…)

Other (please expand)

Special Notes:

Recommended action or penalty

Signed:Head of Learning and Teaching (or nominee)

Student

Section 1: 47

Section 1.6: Student Intellectual Property Rights Policy

1 Introduction2 Definitions3 Ownership of IP Rights4 Protection and Exploitation of IPR5 Confidentiality6 Procedure where the University asserts

ownership of Student IP7 Plagiarism and Third Party IP8 Dispute ResolutionAppendix A Student Intellectual Property AgreementAppendix B All Rights Release Agreement

Section 1: 48

Section 1: 49

Student Intellectual Property Rights Policy

1. IntroductionThis policy sets out the University of Glamorgan’s Intellectual Property (“IP”) rights policy as it applies to Students of the University.

The University takes the management of IP seriously, and wants to encourage the creation of IP by both Students and Staff (both defined in Clause 2).

What is IP and why is it important?Generally, IP rights are rights granted to creators and owners of works that are the result of their intellectual creativity. They are given some protection by the law, namely to ensure that the creator or owner can control the use and exploitation of their work. Some IP rights (namely patents and trademarks) require registration to gain protection, whilst others (particularly copyright) require no formal registration process and protection arises automatically. The primary piece of legislation in the UK is the Copyright, Designs and Patents Act 1988 (as subsequently amended).

This policy aims to protect the interests of both Students and the University and is to be interpreted in a spirit of reasonableness. Its purpose is to clarify ownership of IP rights, their exploitation and possible revenue sharing.

The University’s Commercial Services Office (“CSO”) manages the protection and commercialisation of University owned IP on a day-to-day basis.

Section 1: 50

Pursuant to Clause 3 below, in the majority of cases Students will own the rights in the IP they create as part of their studies. This includes but is not limited to: undergraduate theses; graduate theses or dissertations; inventions, discoveries, creations and new technologies conceived or first reduced to practice by the Student as a work product (including homework assignments, laboratory experiments, special and independent study projects). The Student licences the University to make certain uses of their IP.

In some circumstances, set out in clause 3.2, the University will request a licence or an assignment of IP Rights from the Student depending on the nature of support, staff collaboration and/or funding provided to the Student.

2. Definitions“Intellectual Property (IP) Rights” includes but is not limited to copyright, performance rights, design rights, patents, trademarks, and moral rights. Further explanation of these legal definitions and terms can be found at the UK’s Intellectual Property Office website www.ipo.gov.uk.

“Research” includes original investigation undertaken in order to gain knowledge and understanding. It excludes routine testing and routine analysis of materials, components and processes such as for the maintenance of national standards, as distinct from the developments of new analytical techniques. It also excludes the development of teaching materials that do not embody original research. “Student(s)” means any person or persons registered as an undergraduate or postgraduate Student of the University or following any University course (whether credit or non-credit bearing).

“Staff” means any person employed and paid a salary by the University. It does not include Employment Agency staff or Student Union-recruited staff.

“Performance Rights” are defined in s.180 of the Copyright, Designs and Patents Act 1988 as a dramatic or musical performance, a reading or recitation of a literary work, a performance of a variety act or any similar presentation. Recordings of lecturers, seminars and presentations may be covered by the definition of ‘Performance’.

3. Ownership of IP Rights3.1 Rights in IP created by Students, e.g. copyright in course assignments,

essays, dissertations and other creative works, will belong to the Student, unless otherwise informed by the University that the provisions of Clause 3.2 apply.

In accepting this policy, Students grant the University a licence to use certain IP and Performance Rights that they own (and to sub-licence as and when necessary) for certain administrative purposes (including, but not limited to University quality control procedures such as plagiarism detection and award validation programmes), and for educational and teaching purposes, on the following terms:3.1.1 it is non-exclusive, world-wide, irrevocable and royalty-free;3.1.2 it is for the full term of life of the IP in question;3.1.3 for use in any format (existing or future);unless otherwise agreed in writing mutually between the Student and the University.

As and when the University would like to use IP rights created by Students for University marketing and promotional purposes, Students will be asked to complete the form attached at Appendix B.

3.2 Rights in IP created by Students who:3.2.1 participate in an educational programme which is funded by the

University or an external sponsor; or3.2.2 generate IP which builds upon existing IP produced by a member of

academic staff; or 3.2.3 generate IP jointly with a member or members of academic staff; or

Section 1: 51

3.2.4 generate IP jointly with an external organisation, e.g. an employer, or any other 3rd party

will belong to the University and/or a 3rd party as applicable. Where IP rights are created as a result of collaboration, the resulting ownership may be sole, joint or several.

In these cases, where IP is of commercial interest, such Students may, at the discretion of the University, be entitled to a share of any financial income from the commercial exploitation of the IP Rights.

Where the University asserts ownership of Student IP Rights Clause 6 will apply.

3.3 Students Who Are Employees of the University

Students who are employed as members of Staff of the University are covered by this policy for IP they create as a Student, and by the University’s employee policies for IP they create as part of their employee duties.

4 Protection and Exploitation of IPRPursuant to Clause 3.2, when the University asserts ownership of the IP Rights, the Faculty, with support from CSO, may pursue protection and commercialisation opportunities for the IP Rights on behalf of the creator(s). Where appropriate, University ownership of IP Rights does not preclude Students from receiving royalties resulting from commercialisation of the work. In fact, in many cases University ownership can facilitate generation of license fees or spinout businesses for the benefit of Students.

5 ConfidentialityThe University policy on Confidentiality can be found in the Academic and Research Regulations, as appropriate.

6 Procedure where the University asserts ownership of Student IPPursuant to Clause 3.2, where the University asserts ownership of Student IP Rights the Student will be asked, prior to the collaboration, to complete the form attached at Appendix A, and should retain a copy. The relevant Dean of Faculty or Lead Academic who counter-signs must retain a copy and also forward copies to CSO, and to the Information Governance team. Further guidance can be obtained from CSO.

7 Plagiarism and Third Party IPThe University subscribes to a plagiarism detection service called “TurnItIn”. Upon enrolment all Students sign and agree to the terms of the Academic Handbook that, in accordance with the provisions of the Data Protection Act 1998 and pursuant to Clause 3.1, the University is entitled to submit written academic works to prevent and detect any plagiarism.

Students should be aware that the incorporation of third party content, even where acknowledged and not in contravention of the University’s plagiarism policy, may severely limit the use that can be made of their work beyond submission for assessment. Guidance on the use of third party content within the provisions of copyright law is available from the LCSS Information Governance team at http://lcss.glam.ac.uk/ig/ip.

Section 1: 52

8 Dispute Resolution If a dispute arises in relation to any matter arising out of this policy then it will be governed by the Student Complaints Procedure as contained in the Academic Handbook or the Code of Practice for Research Students, as appropriate. Students should contact their Faculty Advice Shop for further information.

Members of Staff should contact their Line Manager or Departmental Representative in Human Resources for further information.

APPENDIX AStudent Intellectual Property Agreement

APPENDIX BAll Rights Release Agreement

This policy is effective at 1 August 2011 and as such will apply to all IP Rights created after this date. The policy may be amended by the University from time to time as necessary to reflect legislative changes or to implement good practice within the University.

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APPENDIX AUniversity of Glamorgan

Student Intellectual Property Agreement

This agreement is for use when a Student is enrolled with the University on an Educational Programme funded by a third party sponsor or by the University as defined in section 3.2 of the Student IP Policy. In consideration for the offer of enrolment on the educational programme and to the extent that any Intellectual Property rights (IP) generated by the Student during their engagement with the University (Student IP) is capable of prospective assignment, the Student now assigns that IP to the University; and to the extent any Student IP cannot prospectively be assigned, the Student agrees to assign that IP to the University as and when it is created, at the request of the University.

This agreement is to be completed, signed and retained by the Student and the relevant Dean of Faculty or Lead Academic at the start of any educational project or activity that qualifies. A copy must also be forwarded to the Knowledge Transfer Manager in the Commercial Services Office and to the Rights Officer in the Information Governance team in LCSS.

Set forth below are the rights and responsibilities regarding IP created as a Student at the University.

General Rule Pursuant to Clause 3 of the Student Intellectual Property Rights Policy, in the majority of cases Students will own the IP Rights in the works they create. However, [This Clause describes the special circumstances where the University will require a licence or an assignment of IP Rights from the Student depending on the nature of support and/or funding provided to the student.

Students should understand that an assignment of IP Rights is a binding legal agreement and that they have the right to seek independent legal advice at their own expense prior to signing this Agreement.

Assignment of Rights I agree as a condition of my participation in:

AWARD:

Module Code: Module Title:

Description of work:

to assign to the University all rights that I may acquire in copyright works, inventions, discoveries or rights of patent that are conceived or first actually reduced to practice by me as a result of my participation. I agree to inform the University of any IP Rights that I may develop and to cooperate with the University, at the University’s expense, to obtain a patent or patents upon any invention or discovery conceived or first reduced to practice by me.

Right to Receive Royalties I understand that if I assign my IP Rights to the University, then the University will manage the IP Rights under current University Student IP Policy and will share resulting royalties, if any, with me, subject to any obligations to third parties or sponsors. The University shall be solely responsible for patenting and

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commercialisation of the IP Rights and shall have sole right and responsibility to determine the extent of patent prosecution, maintenance, enforcement and defence relating to the IP Rights. The University is under no obligation to use other than reasonable efforts currently in practice for the future marketing or licensing of the IP Rights.

Cooperation with IP Protection Where necessary, I agree to make myself available to patent attorneys, to sign all papers, take all rightful oaths, and perform all acts that may be necessary, desirable or convenient for fulfilling this assignment and for securing and maintaining IP that the University, its successors, assigns and legal representatives may require. I understand that my responsibilities under this agreement will continue after completion of the project, activity, course and my association with the University.

Internal/External Funding or Sponsor

Please describe as fully as possible details of any funding or sponsorship that has been provided in relation to this work:

Funding Body/Sponsor Name and Address

Type of Funding

Name of Lead Academic

This agreement is effective upon the latest date of signature.

A parent or legal guardian signature is required for Students younger than 18 years of age:

...................................................... ....................................................Parent/Legal Guardian Date

University of Glamorgan Student

Signature: ___________________________ __________________________________

Printed Name: ___________________________ __________________________________

Date: ___________________________ __________________________________

Title: ___________________________

ACKNOWLEDGED:

Lead Academic/Project Supervisor/Dean of Faculty

___________________________________ __________________________________Name Role/Title

__________________________________ __________________________________(Printed Name) Faculty

___________________________________ __________________________________Email Telephone Number

__________________________________ Date

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APPENDIX B

All Rights Release Agreement This Agreement is NOT to be used for research purposes

All Rights Release Agreement entered into between the University of Glamorgan (“the University”) and the undersigned (“You”). The purpose of this Agreement is to ensure that the material or performance described below (“the material”) is used by the University in accordance with your wishes.

You declare that the following material:

Name/Description………………....................……………………………………….……………………………

Performer/Creator Name(s)………………………………………………………………………………….........

is original, and that you as its performer, owner/creator, or co-owner/co-creator own the copyright and performance rights in the material.

You grant the University a worldwide, non-exclusive, royalty-free licence in perpetuity to store and publish the material in whole or in part for educational and marketing purposes, and other University activities.

You agree that: the University has the right to take photographs or record video/audio of you (and/or your

property) for educational and marketing purposes, and other University activities.

the University may edit, adapt or translate the material, and publish it on its website (including its iTunesU website) for educational and marketing purposes, and other University activities.

You authorise the University to copy to the University’s secure servers such copies of the material as is reasonably necessary to facilitate the efficient transmission of the material.

You confirm that your material does not infringe the copyright, other intellectual property or other legal rights of any third party. You confirm that the material will not bring the University into disrepute or be defamatory.

If you agree with the terms set out above please sign the form below and return it to the University. A copy is attached for you to keep. If you are unsure of the meaning of any of the terms set out above, the Rights Officer, Beth Pearce (rights@glam.ac.uk) will be able to explain them to you.

Unless otherwise stated, your name and contact details will be kept confidential.

You the undersigned agree to the terms described aboveSigned……………….………………………………………..

Date…………………………………………………………...

Print name…………………………………………………...

Address......………………………………………………….

.........................................................................................

Email................................................................................

Witnessed on behalf of the University of GlamorganSigned…………………………………………………………

Date……………………………………………………………

Print name…………………………………………………….

Department…………………………………………………..

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If Signatory is under 18:

I represent and warrant that I am the parent or guardian of the minor whose name appears above, that I have read and approve of this Agreement, and consent to its execution by the minor named above:

Signature of Parent/Guardian…………………………….. Address...............................................................................

Print name…………………………………………………... Email..................................................................................

Date………………………………………………………......

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Section 1.7: Learning Resource Centre Regulations

1 Membership2 Loans of Books and Equipment3 Copyright 4 Computer Facilities5 General

Section 1: 58

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Learning Resource Centre Regulations

These regulations apply to both the Treforest and Glyntaff LRCs.

1. Membership

a) All registered students of the University and all members of staff. b) External readers may become members upon payment of an annual

membership fee of £40.00 per year (including VAT at 17.5%), or at a reduced rate of £25.00 per year (including VAT at 17.5%) for members of Glamorgan Graduate Club (including ex-members of University staff). This entitles these readers to borrow a maximum of six items plus two Short Loan items (no overnight loan).

c) Organisations may obtain corporate membership upon payment of an annual fee of £100 (inc VAT at 17.5%). This entitles the organisation to 3 membership tickets, each allowing 6 loans. Schools may obtain membership upon payment of an annual fee of £50 (inc VAT at 17.5%). This entitles the school to 2 membership tickets, each allowing 6 loans. Some material, for example most videotapes, may not be borrowed by external readers or corporate/school members for copyright and licensing reasons. Additional charges are levied for external readers or corporate/school members requiring access to other LRC services, including those provided by Media Services.

2. Loans of Books and Equipment

a) A current University ID card (library card for staff, external and corporate/school members) must be used every time a book or item of equipment is borrowed or renewed in person. A student borrower may only use a University ID card bearing his/her own photograph.

b) The loan entitlement and loan periods are as agreed by the Directorate and stated in the Learning Resources Centre Guide. Media Services equipment loan periods are displayed in Media Services Reception in L210.

c) Fines for overdue books and equipment shall be levied at a rate agreed by the Directorate and posted in the Learning Resources Centre. Non-payment of fines will result in suspension from use of the Learning Resources Centre. Non-return of loans of books or equipment, or damage to books or equipment on loan will be subject to a replacement/repair charge as determined by the Learning Resources Centre. Any student who is in debt to the University may be excluded from any or all University services (e.g. Learning Resources Centre, teaching and assessment) and may be refused permission to re-enrol with the University until the debt is paid. Assessment results may be withheld and certificates will not normally be issued until the debt is paid. The University may take appropriate steps to recover any outstanding debts or recover/replace any University property.

d) Renewals: books and equipment may be renewed for a further period if not required by other readers.

e) Recalls: any books may be recalled if requested by another reader and must be returned to the library within one week from the date of the recall. Non-return of recalled items will lead to suspension of library facilities, and fines will be charged at the approved rate.

f) Reservations: requests for books on loan to another reader would normally be made using the online catalogue (OPAC). The reader requesting the book will be notified when the book has been returned, and it will be retained at the

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Issue Desk for one week. Media equipment reservations, and facilities bookings can be made at Media Services Reception.

g) Inter-library Loans: requests for the loan of books, journals, etc, from other libraries should be made online or via the library. Such loans are subject in each case to the conditions imposed by the library providing the loan. For taught students, there is a charge of £1.00 per item for satisfied requests.

i) It is the responsibility of the user to ensure that all Learning Resources Centre materials are properly issued before removal from the Learning Resources Centre. All users leaving the library in possession of books or papers or equipment must show them on request. Any attempt to remove materials without having them properly issued will lead in the first instance to the reader’s Head of Department being informed, and in the case of students, also the course tutor. A second offence will lead to a suspension of Learning Resources Centre use, and the Head of Department being informed for disciplinary action. A third offence will result in a £50 fine, as well as a further suspension and the Head of Department again being informed.

j) External borrowers including corporate/school members will have all borrowing facilities withdrawn at the first offence. Appeals against the application of Learning Resources Centre sanctions should be addressed to the Assistant Head of LRC, Library Services. Any further appeal on the same case will be dealt with by the Head of the Learning Resources Centre.

3. Copyright

a) Copies of material in any form may only be made if this is permitted by copyright law. Users intending to copy material in whatever form should satisfy themselves that the making of copies will not infringe copyright regulations. Guidance on the current regulations is available in the Learning Resources Centre.

4. Computer Facilities

a) Use of computer-based services provided by the LRC is subject to the University’s ‘Regulations for the use of University computing facilities’.

b) Any username, password or PIN number provided to a user for access to LRC services is for personal use only and must not be disclosed to anyone else.

c) Access to some LRC resources is governed by regulations, which limit use to University of Glamorgan staff and students, and users ceasing to be members of staff or students of the University must discontinue their use of these services.

5. General

a) Learning Resources Centre users should be able to show some form of identification (e.g. University ID card) if asked by Learning Resources Centre staff.

b) Users are required to work quietly in the Learning Resources Centre so as not to disturb others, and to observe the requirement for each study area. Offenders will be asked to leave.

c) Smoking and eating are not permitted in the Learning Resources Centre. Offenders will be asked to leave. However, drinks may be consumed in the building.

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d) In order to avoid disturbing other users, mobile phone calls should be made from designated areas or outside the LRC. Similarly, any calls received within the LRC should be taken outside the building or in a designated area.

e) The use of any personal equipment connected to mains electrical supply (unless previously tested by the University) is not permitted in the Learning Resources Centre under any circumstances.

f) Filming, recording or photography in the Learning Resources Centre requires the permission of the Media Services Manager or his nominee.

g) Any loss or damage to Learning Resources materials or equipment should be reported immediately. This will be charged for at the discretion of the Head of the Learning Resources Centre. Failure to pay for replacement or repair will result in the suspension of Learning Resources Centre facilities.

h) Any disorderly conduct or breach of the regulations will result in the user concerned being asked to leave, and could result in suspension from the use of the Learning Resources Centre and further University disciplinary action.

i) Any damage to or theft of University property including Learning Resources materials or equipment may result in disciplinary action under Section 2.1 of the University’s Regulations Governing Student Conduct.

j) Amendments or additional regulations, approved by Directorate, will be posted on the Learning Resources Centre notice boards and made available on the World Wide Web at: http://www.glam.ac.uk/lrc.

Section 1: 62

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Section 1.8: Accredited Prior Learning

1 Introduction2 Uses of APL3 Credit 4 APL Claims Procedure5 Responsibilities within the APL Procedure6 Support7 Monitoring the Process8 References

Appendix 1: QAA principles for Guidance on the accreditation of prior learning

Appendix 2: Applicant Guide to Accreditation of Prior Learning (APL)

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The Accreditation of Prior Learning (APL)

1. Introduction

The University of Glamorgan supports the QAA Principles for Good Practice in the Accreditation of Prior Learning (APL4) (QAA, 2004). This document addresses these principles and seeks to: Define terminology, scope and boundaries in relation to APL policies, procedures

and practices5. Provide clear, accurate and easily accessible information on the processes for

assessment of APL6. This will aid comparability, consistency and confidence across faculties in the quality of support, assessment and accreditation for students seeking APL.

Provide standard procedures for supporting and assessing APL applications, while recognising that these may vary between faculties and programmes.

Enhance existing University/Faculty APL procedures and ensure continued improvements.

This guide may be used by staff, examiners and other parties interested in APL. An Applicant Guide is also available. Further information on APL is available in the Academic Handbook (B.2.3.7 and B.2.3.8). The Quality Unit, Academic Registry, will provide advice and guidance to staff implementing the guidelines7.

An APL claim may be a combination of certificated and experiential learning. The University has substantial experience in the accreditation of prior certificated learning (APCL8) and encourages students to seek credit for this. Students are regularly admitted and achieve advanced standing on the basis of prior experiential learning, but its accreditation (APEL9) is more complex.

2. Uses of APL

APL can be used to address admissions criteria, or to gain exemptions/advanced standing for part(s) of an academic programme. It also has a range of advantages for the University, as follows: Widening access – APL increases access of non-traditional learners to HE. Student Demand – APL can address the needs of part-time mature learners by

recognising alternative entry requirements and shortening the period in which it is possible to achieve an award.

Economic Drive – APL has the potential to generate income, particularly through an increase in part-time numbers.

4 APL - Generic term referring to the process whereby students are awarded credit on the basis of relevant demonstrated learning that occurred prior to their registration for an award. There are two strands to APL: Accreditation of Prior Certificated Learning (APCL) and Accreditation of Prior Experiential Learning (APEL).5 QAA Principle 56 QAA Principle 67 QAA Principle 48 APCL - The Accreditation of Prior Certificated Learning – The recognition of prior learning gained from formal courses which have been previously assessed or accredited by an education/ training provider. Relevant learning may be given a credit-value and can count towards the completion of a programme of study. This is commonly referred to as Credit Transfer.9 APEL – The Accreditation of Prior Experiential Learning – The process of assessing and credit-rating learning from relevant experiences gained outside the HE education system prior to the point of entry. This experience has not been formally assessed and credit-rated and can be defined as the knowledge and skills acquired through paid or unpaid employment, uncertificated courses attended, self-directed study, leisure or voluntary activities.

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Learning from work – It is increasingly important to link HE provision with academic accreditation of learning from work. APL can enhance the attractiveness of a university to local employers seeking educational opportunities for staff.

Retention – APL can boost the confidence of non-traditional learners by recognising their skills and abilities, thereby enhancing retention.

Government Targets – APL can help to address the government targets for increased participation in HE via the increase in numbers of part-time students.

2.1 AdmissionsApplicants for admission to the University are usually assessed according to their performance in nationally recognised examinations and awards. These are taken as benchmarks with other, often overseas, qualifications being calibrated for equivalence (APCL). Prior experiential learning has traditionally been used to facilitate access and entry to HE for mature students from non-traditional backgrounds, on a basis of their likelihood to succeed10 (APEL). This is an academic judgement taking account of any relevant prior experiential learning. Prior experiential learning can be evidenced in many different ways, including an interview, the submission of a piece of work demonstrating identifiable learning outcomes and the applicant’s reflection on the experience, or the production of documents and other evidential materials relating to a particular experiential activity. Further details of use of APCL and APEL for admission purposes are available in Section B of the Academic Handbook.

2.2 Exemptions/Advanced Standing APCL or APEL can be used to facilitate entry to programmes with either exemptions for specific modules or advanced standing, whereby an applicant is awarded credit for prior learning against a whole level of an academic programme. This credit has equal standing to that awarded to students following the traditional route to an award. Details of exemptions or advanced standing should be noted on the student’s record and clearly identified on the transcript11. A formal APL application for exemption can be made once a conditional or unconditional offer of a place has been received by the prospective student. Claims cannot normally be made prior to a place being offered, although they may be discussed and agreed in principle. When requesting APL for specific credit against the first modules in a programme of study, the application must normally be made in time to allow the award of credit before that module has commenced. Once the full application documenting the claim has been received, applicants should normally receive the decision within 20 working days. The process and outcomes must be transparent, do justice to the claim and safeguard the academic standards of the programme12.

2.2.1 APCLStudents are not normally expected to retake elements for which they have gained appropriate credit elsewhere. A credit transfer scheme is operated as part of a national Credit Accumulation and Transfer (CAT) system, allowing students to claim exemption from a module or access a particular level of study where they have previously relevant certificated learning from an appropriate institution or training provider. The point at which they enter the new programme will depend upon the level of attainment previously reached. Established processes exist for readily assessable and quantifiable qualifications which have traditionally been accepted for

10 Recognition of Prior Learning – RPL11 QAA Principle 312 QAA Principle 1

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exemptions from part(s) of a programme13, as described in the Academic Handbook (Section B). The main criterion for APCL is that the award being presented for accreditation provides comparable learning to that which would have been acquired through completion of the modules for which exemption is being claimed. Consequently credit will only be awarded by matching and mapping such learning against the University’s approved provision. However, for prior learning to be accredited it must be adequate in terms of:

Academic scope, depth and level Practical experience and skills development Other key and transferable skills Currency.

Qualifications used to gain direct entry to a stage should not be used for further claims within the same programme, as this would constitute double counting of credit. Students with non-credit bearing prior qualifications may also gain exemption from elements of a programme provided they can demonstrate adequate knowledge and competence.

2.2.2 APELAPEL is an important tool in widening access to individuals with non-standard qualifications or experience, and supports the University’s strategy to “Widen participation in higher education in Wales”. It is important to remember that credit is awarded for learning gained through experience, and not for the experience itself. Therefore students applying for APEL must specifically address the learning outcomes of the module(s) for which they seeking accreditation in relation to the learning they have gained through their prior experience.

APEL claims are considered at Faculty level and standards are required to be fair, consistent and academically rigorous. Claims for specific credit against university programmes must be at the appropriate HE level, directly relevant to the award sought, and supported by evidence which addresses the required learning outcomes. The University regulations on marking and grading will apply in the assessment of claims.

3. Credit

The distinction between general and specific credit is important when a student wishes to use APEL in relation to a programme of study. General credit may be awarded for activities recognised as being learning that has academic value at an appropriate level. It is assigned at particular levels of study within the University’s CAT structure and may be applicable to more than one programme of study. It is an academic judgement on the value of prior learning, and must be rigorous and fair14. Specific credit is awarded for prior learning in relation to a specific programme of study, provided a student can successfully demonstrate that s/he has acquired the knowledge and learning outcomes that a module, level or area of study is designed to provide. Details of the minimum amount of credit that students must take to qualify for a University of Glamorgan award, and how APL may be used in determining the final degree classification are also available in the Academic Handbook (Section B)15.

Claims for exemption should be made against whole modules or components of a programme. Claims cannot be made against part modules although specific self-

13 E.g. a level 4 certificate from a recognised awarding body being used to replace study of level 4 (HE level 1) of a degree14 QAA Principle 115 QAA Principle 2

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directed study may be suggested to enable a student to ‘top up’ prior learning to the required level and volume in order to claim credit for the whole module.

4. APL claims procedure

An APL claim has five distinct stages. To ensure consistency, and to enable ongoing tracking of claims, all claims should progress through each stage:

Candidate Profiling. Providing evidence. Assessment. Accreditation. Post APL guidance.

4.1. Candidate ProfilingThis is the most important stage. A knowledgeable and effective member of staff must ascertain whether or not the prior learning is appropriate to the programme against which the applicant is seeking accreditation, and whether there is a case for considering exemption from part(s) of that programme. The applicant makes an initial enquiry, seeking background information about

APCL or APEL from the programme leader, module leader, APL coordinator (if any), admissions tutor or any other person authorised to act as an adviser regarding APL claims.

In the case of APCL the candidate contacts contact the adviser to discuss the accredited learning for which they are seeking credit, and suitable programmes of study.

In the case of APEL the candidate contacts the adviser to discuss:o The experiential learning for which they are seeking credit o Suitable programmes of studyo How experiential learning may be appropriately evidencedo The nature and range of evidence appropriate to support APL

claims16 o The form in which evidence is to be presented and the

assessment strategyo The completion of the relevant application forms.

APL applications based on certificated learning alone are submitted on form APL1(a) and those based on experiential learning alone are submitted on form APL1(b). Combined claims require the completion of both forms.

4.2. Providing Evidence

4.2.1 APCLIn the case of APCL the evidence is normally the certificate or transcript, with a descriptor of the accreditation if appropriate. The procedure tends to be very straightforward.

4.2.2. APELThe evidence may take a variety of forms and should be determined by the Faculty according to the requirements of the discipline/ programme17. Presentation of evidence must be carefully considered. A portfolio approach is

often desirable, in which all evidence submitted is collated and cross-referenced

16 QAA Principle 917 QAA Principle 7

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to the relevant module(s’) learning outcomes. It should also contain background, contextual information and a commentary or reflective summary.

Evidence must be documented, accurate and provable. It may include direct (reports, published articles, consultancy reports, drawings,

spreadsheets, in-company projects and presentations, log books etc.) and indirect evidence (testimony and witness statements e.g. from an employer or client.) Indirect evidence is important for purposes of corroboration but there must be sufficient direct evidence to attribute the learning to the student.

Alternatives to the portfolio include a practical demonstration, formal interview, diagnostic tests, and completion of past examination questions, a paper and /or completion of the normal coursework for the module(s) in question.

4.3. Assessment

4.3.1 APCLIn the case of APCL the certificated learning is either deemed to be acceptable or is not judged appropriate. The specific academic credit to be approved should be determined, and the graded performance transferred if appropriate. The Exam Board will notify the applicant of the decision.

4.3.2 APELIn the case of APEL the evidence provided is assessed to determine whether or not credit should be awarded. The role of assessor is normally undertaken by a member of staff within the Faculty, typically the Programme Leader or a subject specialist18. All assessment decisions are subject to the same degree of validation and quality assurance as other aspects of the University of Glamorgan’s provision. The roles of adviser and assessor must normally be carried out by two different members of staff, unless the adviser is also the recognised subject specialist in the discipline(s) being assessed. In this case staff will be reminded of their professional integrity with regard to distinguishing assessment from support.

Credit is only awarded for demonstrated learning that can be assessed academically. It cannot be awarded on the basis of experience alone. It is only awarded on the basis of evidence which is: Relevant - whether the evidence is valid in this context Sufficient - whether adequate evidence has been provided to meet the learning

outcomes of the module(s) being claimed Authentic - the work is shown to be that of the applicant Current - it must be sufficiently recent to represent the applicant’s current

knowledge and capability Of a suitable level – an academic judgement must be made regarding the level of

achievement. The assessor will annotate the evidence, clearly showing any shortfall and suggesting ways in which it might be remedied. The credit awarded must be formally recorded on an APL proforma, as detailed in the Academic Handbook.

The assessment report will make one of the following judgements, which will be notified to the applicant by the exam board: The level and volume of learning achieved is sufficient for specific credit to be

awarded or for admission to a programme. The evidence is incomplete. In this case the student may resubmit in accordance

with University regulations. The level and volume of learning achieved is NOT appropriate.

18 QAA Principle 11

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The criteria used in judging APL claims will be made explicit to applicants, academic staff, stakeholders, assessors and examiners19.

4.4. AccreditationAll APL assessment decisions must be verified at Subject Assessment Boards, as with traditional programmes of study. The programme leader/module leader/APL coordinator will: Verify that the decision has been recorded appropriately and is consistent with

APL regulations Formally record the decision, and ensure it is entered into the student’s record

and transcript Ensure that the APL application form and a copy of the letter notifying the

applicant of the result are placed in the Subject Assessment Board records.Appeals regarding the outcome of the APL process will be handled in accordance with the normal University procedures.

4.5. Post APL GuidanceIt is essential to offer guidance and support, especially to unsuccessful APL applicants. In such cases the Programme Leader/module leader/APL coordinator should: Explain the reason(s) for the assessment decision. Review the claim in terms of the evidential requirements for validity, currency,

sufficiency and authenticity. Consider with the applicant the possibility of resubmission and, where

appropriate, offer advice and guidance for improving the claim. Offer referral for more general academic guidance where resubmission seems

advisable.

5. Responsibilities within the APL Process

The institution and individual members of staff have academic responsibility with regard to APL. The University of Glamorgan undertakes to develop appropriate training and support of all staff involved in the APL process20. The student, advisor and assessor all play key roles within the APL procedure, and each has distinct responsibilities21.

5.1 The responsibilities of the student The student is responsible for preparing and submitting the application. S/he must: Contact the APL adviser and obtain relevant paperwork Identify skills and knowledge, and map learning against the requirements of the

module/programme (mainly APEL) Collect and collate evidence to support their claim (evidence of accreditation in

the case of APCL) Submit the claim to the adviser within specified timescales Pay any required fees within specified timescales.

5.2 The responsibilities of the APL adviser The adviser should be a member of staff competent to advise applicants of making claims, and takes on the role of supporting applicants and providing feedback on decisions22 and should be a member of staff competent to advise the student on 19 QAA Principle 820 QAA Principle 1321 QAA Principle 1222 QAA Principle 15

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making a claim. The adviser may be the programme leader, module leader, APL coordinator (if any), admissions tutor or other authorised person.The Adviser should provide the student with the relevant guidance notes and provide advice on: The nature of APL and limits on credit that can be claimed University procedure, fees required, relevant timescales23 and any possible

academic/professional ramifications of exemption The learning outcomes for the modules or parts of the programme with which

their outlined prior learning is most likely to align Information on the process of gathering and presenting evidence, the structure

and content of a draft claim, and the process of reflecting upon and demonstrating learning when making a claim

The assessment process Any implications which a possible change of status (e.g. from full-time to part-

time) might have on their financial status24.

The Adviser must also: Receive and progress claims Administer student feedback Maintain records during the APL process, including any agreement reached with

the student on additional work to be undertaken to facilitate a claim for credit for a full module.

On completion of the process the Adviser will place records relating to the claim on the student’s record.

5.3 The Responsibilities of the AssessorThe Assessor should be a member of staff with the competence and responsibility to exercise academic judgement in assessing APL claims. Each claim must be assessed individually. The Assessor: Identifies the assessment criteria based on learning outcomes Assesses the evidence against these criteria Recommends, records and reports the outcome of the assessment

process within required timescales.

6. Support Students may be supported through the provision of written material, individual meetings, group sessions and/or distance support. Students will be provided with a University Guide to APL. This may be supplemented with faculty- or programme-specific materials. Faculties should make examples of previously successful submissions available to applicants to provide them with an understanding of the requirements and address concerns regarding the structure of APEL claims, most specifically portfolios.

Individual support is tailored to the student’s needs and highly relevant to the individual claim, and may also allow a deeper exploration of the student’s learning to occur. It may be delivered through meetings, telephone calls and/or on-line. Support may also be provided to groups of students. In this situation the Adviser will make adequate provision of individual advice as appropriate. Group support may include highly structured methods focussed on specific tasks (often supplementing a workbook), on-line discussion groups and more loosely structured opportunities for peer-group support. The latter two options enable students to exchange ideas

23 QAA Principle 1424 E.g. part-time students may forfeit eligibility for student loans and other forms of financial support

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regarding the types of evidence that can be used in a claim, whilst the evidence itself remains highly individual.

7. Monitoring the process

The assessment of APEL is monitored through the normal institutional quality assurance procedures25. APL policies and procedures are monitored and reviewed through the normal quality frameworks, co-ordinated by the Quality Unit, Academic Registry26.

8. References

QAA. September 2004. QAA Principles for Guidance on the Accreditation of Prior Learning. http://www.qaa.ac.uk/academicinfrastructure/apl/APL.pdf.

University of Glamorgan 2009. Academic Handbook. Section B. Regulations for Academic Awards. http://www.glam.ac.uk/academic.

25 QAA Principle 1026 QAA Principle 16

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Appendix 1: QAA principles for Guidance on the accreditation of prior learning Principle 1:Decisions regarding the accreditation of prior learning are a matter of academic judgement. The decision-making process and outcomes should be transparent and demonstrably rigorous and fair.

Principle 2:Where limits are imposed on the proportion of learning that can be recognised through the accreditation process, these limits should be explicitly stated. The implications for progression, the award of any interim qualification and the classification or grading of a final qualification should be clear and transparent.

Principle 3:Prior experiential and/or certificated learning that has been accredited by an HE provider should be clearly identified on students' transcripts.

Principle 4:Higher education providers should provide clear and accessible information for applicants, academic staff, examiners and stakeholders about its policies, procedures and practices for the accreditation of prior learning.

Principle 5:The terminology, scope and boundaries used by an HE provider in its policies, procedures and practices for the accreditation of prior learning should be explicitly defined in information and guidance materials.

Principle 6:Information and guidance materials outlining the process(es) for the assessment of claims for the accreditation of prior experiential and/or previously certificated learning should be clear, accurate and easily accessible.

Principle 7:Higher education providers should consider the range and form(s) of assessment appropriate to consider claims for the recognition of learning.

Principle 8:The criteria to be used in judging a claim for the accreditation of prior learning should be made explicit to applicants, academic staff, stakeholders and assessors and examiners.

Principle 9:Applicants should be fully informed of the nature and range of evidence considered appropriate to support a claim for the accreditation of prior learning.

Principle 10:The assessment of learning derived from experience should be open to internal and external scrutiny and monitoring within institutional quality assurance procedures.

Principle 11:The locus of authority and responsibilities for making and verifying decisions about the accreditation of prior learning should be clearly specified.

Principle 12:All staff associated with the accreditation of prior learning should have their roles clearly and explicitly defined. Full details of all roles and responsibilities should be available to all associated staff and applicants.

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Principle 13:Appropriate arrangements should be developed for the training and support of all staff associated with the support, guidance and assessment of claims for the accreditation of prior learning.

Principle 14:Clear guidance should be given to applicants about when a claim for the accreditation of prior learning may be submitted, the timescale for considering the claim and the outcome.

Principle 15:Appropriate arrangements should be in place to support applicants submitting claims for the accreditation of prior learning and to provide feedback on decisions.

Principle 16:Arrangements for the regular monitoring and review of policies and procedures for the accreditation of prior learning should be clearly established. These arrangements should be set within established institutional frameworks for quality assurance, management and enhancement.

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Appendix 2: APPLICANT GUIDE TO ACCREDITATION OF PRIOR LEARNING (APL)

This guide is designed to help you in the process of applying for the accreditation of prior learning (APL). It will help you to decide whether or not to apply for APL. You will have an adviser to help guide you through the process. The adviser will normally be the programme leader, module leader, APL coordinator (if any), admissions tutor or other authorised person. The guide aims to make the process as transparent as possible, and to answer many of the questions you may have.

What is the Accreditation of Prior Learning (APL)?The Accreditation of Prior Learning (APL) is the process of recognising learning gained before starting your programme at the University of Glamorgan. Relevant prior learning can be used for admission and exemptions, provided that it relates to the programme you want to study at the University of Glamorgan and is at the relevant higher education level. There are two types of APL: Accreditation of Prior Certificated Learning (APCL) and Accreditation of Prior Experiential Learning (APEL). An APL claim may be a combination of both types of learning.

Prior Certificated Learning is previous learning for which you have gained some form of qualification or certificate, for example a university module, higher national certificate or diploma (HNC or HND). When this learning is directly relevant to your programme of study you can sometimes be awarded credit, as you are not normally expected to retake parts of a programme if you have gained similar credit elsewhere, provided the learning is deemed to be appropriate.

Prior Experiential Learning is learning based upon experience and includes that gained from work, voluntary activities and hobbies. Credit is given for the learning gained through the experience - not for the experience itself. The University aims to ensure that APEL is fair, consistent and academically rigorous, which means that all applications across the university must meet certain standards in terms of the learning achieved. Claims for credit against specific modules must be at the appropriate HE level, directly relevant to the award, and supported by evidence which addresses the learning outcomes of that module. The learning outcomes for each module are available on the module database (http://www.comp.glam.ac.uk/modb2/).

What are the benefits of APL?APL can enable you to:

Gain entry to a programme when you do not have the normal entry requirements but can demonstrate that you have the knowledge, skills and understanding necessary to commence the programme and are thus likely to succeed if granted admission.

Gain exemptions from certain modules, or to enter with advanced standing (gain credit for a whole level of the programme). You must demonstrate that you already have equivalent knowledge, skills and understanding to that required by the particular modules or levels within a programme.

What is credit and how much can I gain through APL?Credit is a means of quantifying learning. Each module is allocated a number of credits, which are awarded at particular levels. These levels generally correspond to different years of study and relate to the complexity of study. You must normally achieve at least 50% of the credit needed at the final level of your programme through accredited modules in order to gain a University of Glamorgan Award.

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You may be awarded general credit for activities that have academic value at an appropriate level. It is assigned at particular levels of study and may be applicable to more than one programme of study. Specific credit is awarded for prior learning in relation to a particular programme of study, provided you can successfully demonstrate that you have acquired the knowledge and learning outcomes that a module, level or area of study is designed to provide. Where a grade is awarded for APL, this can be used in determining your degree classification. Where no specific grade is awarded the degree classification will be calculated on the remaining modules taken at the University. More details can be found in the Academic Handbook. APL will be identified on your transcript.

Can I claim exemption for parts of modules? Claims cannot be made against part modules – you must claim for whole modules. However, if you already possess much of the knowledge and learning outcomes for a particular module, you may be able to do additional work to enable you to top up your prior learning to the required level and volume in order to claim credit for that module.

When can I apply for APL?You can usually only apply formally for APL for exemption or advanced standing once you have been given a conditional or unconditional offer of a place, although it can be discussed and agreed in principle beforehand. If you are requesting APL for specific credit against the first modules in a programme of study, you must make the application in time to allow the award of credit before that module has commenced so that you are not disadvantaged if your application is unsuccessful. Once the full application documenting the claim has been received, you should normally receive a decision within 20 working days.

How much does it cost?There is no fee for making an APCL claim. You will be charged for making an APEL claim to cover the cost of staff time spent in supporting and assessing your claim. This is equivalent to the fee charged for studying that module.

Will a successful APL claim affect my status at the University? If you are eligible for grant support from a Local Education Authority it is advisable to check with them in advance whether a successful APL application will affect your eligibility. If a successful application would change your status from full-time to part-time then you should also check whether this would affect your status in relation to grants received or to your student loan. If a professional qualification is associated with your award you should ask your APL adviser whether a successful application will affect you getting this qualification upon completion of your award.

What will I have to do to make an APL claim?An APL claim has five stages. 1. Candidate Profiling. 2. Providing evidence. 3. Assessment. 4. Accreditation. 5. Post APL guidance.

1. Candidate ProfilingA member of staff will establish whether or not your prior learning is appropriate to the programme against which you are seeking accreditation, and whether there is a case for considering exemption from part(s) of that programme. You must make an initial enquiry of the programme leader, module leader, APL coordinator (if any), admissions tutor or any other person authorised to act as an adviser regarding APL

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claims. If you are not sure where to go then you should ask the faculty office for contact details.

You will need to discuss the following:APCL APELCertificated learning for which you are seeking credit

Experiential learning for which you are seeking credit

Suitable programmes of study if you haven’t already decided.

Suitable programmes of study if you haven’t already decided

The criteria used to decide whether or not you should be awarded credit

How experiential learning may be proved

The completion of the relevant application forms.

The nature and range of evidence that you could use to support your application How you should present evidenceThe criteria used to decide whether or not you should be awarded creditThe completion of the relevant application forms.

If you are making an APL application based on certificated learning alone you must complete form APL1(a). If you are making an application those based on experiential learning alone you must complete form APL1(b). If you are making a combined claim you must complete both forms. The forms are appended to this document.

2. Providing EvidenceAPCLIn the case of APCL the evidence is normally the certificate or transcript, with a descriptor of the accreditation if appropriate.

APELThe evidence needed will depend on the module(s) for which you are claiming exemption. It must be documented, accurate and provable. You will generally need to prepare a portfolio which contains all your evidence of learning and cross-references it to the relevant learning outcomes. Further details on producing a portfolio are given later in this document. You may also be interviewed to provide supplementary information or discuss your portfolio. Alternatives to the portfolio include a practical demonstration, formal interview, diagnostic tests, completion of past examination questions, a paper and/or completion of the normal coursework for the module(s) in question.

3. AssessmentAPCLIn the case of APCL the certificated learning is either deemed to be acceptable or is not judged appropriate. The Exam Board will notify you of the decision.

APELThe roles of adviser and assessor are normally carried out by two different members of staff, unless the adviser is also the recognised subject specialist in the discipline(s) being assessed. In this case staff will be reminded of their professional integrity and the necessity of distinguishing assessment from support. The assessor is usually a member of staff who is familiar with the relevant programme of study, typically the Programme Leader or a subject specialist.

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The assessment is made according to strict academic standards and your learning is expected to be of similar quality to that of students following the usual study route. The assessment report will make one of the following decisions, which will be notified to you by the Exam Board:1. The level and volume of learning achieved is sufficient for specific credit to be

awarded or for admission to a programme.2. The evidence is incomplete. In this case you may re-submit the claim in

accordance with university regulations. 3. The level and volume of learning achieved is not appropriate.The assessor will annotate the evidence, clearly showing any shortfall, and suggesting ways in which it might be remedied. Once the APL process is complete, your application will be returned to you. You must retain the originals of all APL related documentation until you have completed your study at the University.

4. AccreditationThe programme leader/APL coordinator will ensure that the decision has been recorded correctly on your records and is consistent with University APL regulations and advise you in writing of the decision.

5. Post APL GuidanceGuidance and support is available to you following the APL process if you have any questions or if your application was not successful. The Programme Leader/APL coordinator will: Explain the reason(s) for the assessment decision Review the claim and evidence Discuss the possibility of resubmission if your application was unsuccessful and,

where appropriate, offer advice and guidance for improving your claim Offer referral for more general academic guidance where resubmission seems

advisable.Appeals regarding the APL process will be referred to the Chair of the Examination Board.

Responsibilities within the APL ProcessThe institution and individual members of staff have academic responsibility with regard to APL. Training is available for all staff involved in the APL process. The student, advisor and assessor all play key roles within the APL procedure, as follows.

Your responsibilities You are responsible for preparing and submitting the application. You must: Contact the APL adviser and obtain any paperwork needed Identify your skills and knowledge, and map your learning against the

requirements of the module/programme (mainly APEL) Collect and collate evidence to support your claim (evidence of accreditation in

the case of APCL) Submit the claim to your adviser within specified timescales Pay any required fees within specified timescales.

The responsibilities of the adviser The adviser will support you, receive and progress the claim. S/he will provide information on

The learning outcomes for the modules or parts of the programme with which your prior learning is most likely to align

The process of gathering and presenting evidence (mainly APEL) The structure and content of the claim

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The process of reflecting upon and demonstrating learning when making a claim.

S/he will answer any questions you may have regarding the APL process and will maintain records during the APL process, including any agreement reached with you on additional work to be undertaken to enable you to claim credit for a full module (The University of Liverpool, 2003).

The Responsibilities of the AssessorThe assessor is a member of staff who must pass academic judgement on APL claims. S/he identifies the assessment criteria based on the learning outcomes of the modules for which you are seeking credit. S/he then assesses your evidence to see whether or not it meets these criteria, and recommends, records and reports the outcome of the assessment within required timescales.

What support will I get? You will be supported through the provision of written material, individual meetings, group sessions and/or distance support. Your faculty should be able to direct you to examples of previously successful submissions to provide you with an understanding of the requirements, content and layout. You may get individual support from your APL adviser through meetings, telephone calls and/or on-line. You may also be given group support through structured methods focused on specific tasks (often supplementing a workbook), on-line discussion groups and/or more loosely structured peer-group support.

What is a portfolio and how should I complete it? A portfolio is the most usual way of presenting evidence to support a claim for the Accreditation of Prior Experiential Learning (APEL). It is usually a folder containing statements about your learning together with documentation or other material which acts as evidence supporting your claim. Evidence formats may differ and may, in addition to written documentation, take the form of electronic material, log books, diaries and/or video or audio tapes. It is important to remember in building your portfolio that it is the learning that arises from your experience which provides the basis for its award, not the experience itself. Additionally, credit is only awarded for demonstrated learning that can be assessed academically. It is therefore essential to include a substantial element of analysis and reflection to demonstrate clearly the separation of learning from experience.

Normally a portfolio includes: A statement of the claim for credit, which must identify as precisely as possible

the credit which is being claimed A CV and background information – this puts the claim into context and assists

the assessor in making a judgement A commentary or reflective summary identifying the learning gained from each

experience A list of the evidence cross-referenced to each learning outcome for the

module(s) for which you are seeking credit Full evidence in appendices as appropriate A relevant bibliography as appropriate

You should include the originals of your evidence in the portfolio. The evidence and the associated commentary or reflection that you present should be: Relevant – it must relate to the module or programme for which you want to gain

credit

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Sufficient – you must provide adequate evidence to show that you have already achieved the learning outcomes of the module(s) being claimed and is at the appropriate HE level.

Authentic – you must be able to show that the work is yours Current - it must be sufficiently recent to represent your current knowledge and

capability

Evidence of experiential learning may be direct or indirect. There must be enough direct evidence to attribute the learning to you. Direct evidence may include: Reports e.g. from work based projects Published articles or consultancy reports Drawings Spreadsheets Log books Assignments from prior courses which do not carry academic credit In-company projects and presentations Reflective diaries Professional or personal development portfolios compiled for professional bodies

or for other awards.Examples of indirect evidence include Testimony and witness statements e.g. from an employer or client Certificates of achievement / attendance from previous non-academic-credit-

bearing courses

It may be appropriate for assessment to take the form of, for example, an interview or the observation of your performance. If this is the case, the record of the assessment process will form part of your portfolio. If you feel that these forms of assessment are appropriate in your case, discuss the matter with your Adviser.

ResourcesQAA. September 2004. QAA Principles for Guidance on the Accreditation of Prior Learning. http://www.qaa.ac.uk/academicinfrastructure/apl/APL.pdf.

University of Glamorgan 2009. Academic Handbook. Section B. Regulations for Academic Awards. http://www.glam.ac.uk/academic.

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APPLICATION FOR ACADEMIC CREDIT

Form APL1 – Certificated Learning

Name:

Student Code:

Address:

Daytime Telephone Number:

Email:

Please specify the programme of study against which you wish to make an APCL claim

Stage/ Phase or

yearModule Tutor Module Code

Specific Credit Claimed

Credit Approved(for academic use

only)

Level Number of

Credits

Yes(initial)

No(initial)

Please list below the qualifications, or modules, you are submitting in support of your claim for prior learning. Please include original certificates with your application.

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SECTION A – To be completed by the applicant (Please complete in block capitals)

SECTION B – (APCL Claim - To be completed by the applicant (Please complete in block capitals)

SECTION C – EVIDENCE – To be completed by the applicant

Validating Authority or Awarding Body

Programme Title/Modules

Year/Stage/Completed

Year Passed

Signature of applicant:…………………………… Date:…………………………

Please submit this form with supporting evidence to the Programme Leader or APL Coordinator.

Student interviewed Yes No Date

Experiential Learning – Form APL2 “Experiential Learning” has also been completed and is attached to this claim

Yes No To follow Not applicable

Academic comments i.e. Reasons for approval/ rejection

Academic Assessor’s Name (Print) ……………………………………………….

Academic Assessor’s Signature …………………………………………………..Date:

Please return to the Programme leader or the APL Coordinator for authorisation

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Section D – Assessment (to be completed by academic assessor)

SECTION E – authorisation – to be completed by the programme leader

Programme Leader’s Name (Print) ……………………………………..ORAPL Coordinator’s Name (Print) ……………………………………….

Programme Leader’s Signature ………………………………………… Date: OR Apl Coordinator’s Signature …………………………………………. Date:

Please return this form to the APL Coordinator who will notify the applicant of the outcome and record any credits on the student’s record.

Date received Signature ………………………………

Date recorded in APL Log Signature ……………………………………..

Ammount of approved credit awarded…………………………………………

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SECTION F – To be completed by assessment board administrator

APPLICATION FOR ACADEMIC CREDIT

Form – APL2 – Experiential Learning

Name:

Student Code:

Address:

Daytime Telephone Number:

Email:

Please specify the programme of study against which you wish to make an APEL claim

Programme:

Programme Code:

Module information:

If you wish to obtain credit for specific modules please indicate the module titles and specific learning outcomes, where possible.

Module Title Learning Outcomes

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SECTION A – To be completed by the applicant (Please complete in block capitals)

SECTION B - to be completed by a student making a claim for prior experiential learning.

Section C – Experience

Briefly state below the areas of experience on which you intend to base your claim for experiential learning.

Remember that credit is awarded for knowledge and skills gained through experiences, not simply for the experience itself. For example as a manager you may be able to achieve the best results from your team but you must be able to analyse, reflect and evaluate the knowledge which informs your management decisions in order to gain accreditation for that learning.

If you wish to add additional information, please do so on a separate sheet.

Give a brief outline of your employment/work experience to date.

Please identify the evidence that you can produce to support your claim (i.e., reports, minutes of meetings, witness testimonies etc).

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Student interviewed Yes No Date

Certificated learning – Form APL1 has also been completed and is attached to this claim

Yes No To follow Not applicable

Academic comments i.e. Reasons for approval/ rejection

Credit Approved(for academic use only)

Amount Level

Academic Assessor’s Name (Print) ……………………………………………….

Academic Assessor’s Signature …………………………………………… Date:

Please return to the Programme leader or the APL Coordinator for authorisation

ART Authorisation) – to be completed by the Programme Leader of APL Coordinato

Programme Leader’s Name (Print) ……………………………………..ORAPL Coordinator’s Name (Print) ……………………………………….

Programme Leader’s Signature ………………………………………… Date: OR Apl Coordinator’s Signature …………………………………………. Date:

Please return this form to the APL Coordinator who will notify the applicant of the outcome and record any credits on the student’s record.

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Section D – Assessment (to be completed by academic assessor)

Section E – authorisation – to be completed by the programme leader

Date received Signature …………………………

Date recorded in APL Log Signature ………………………….

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Section F – To be completed by assessment board administrator

Section 1.9: Examination Procedures for Disabled Students

1 Operational Procedures2 Central Examination Room Provision3 Typical Examination Provisions4 Using Amanuensis and Readers5 Assessments outside the formal examination

period

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Examination Procedures for Disabled StudentsStudying at the University of Glamorgan

1 Operational Procedures

Formal written examinations

1.1 Ideally, alternative forms of assessment should be identified where appropriate at module construction, in anticipation of disabled students undertaking modules.

1.2 The Disability & Dyslexia Service (DDS) will generate a list of all modules to be assessed and the assessment type (e.g. multiple choice questions) in the forthcoming session at the end of December each year.

1.4 Disabled students registered with the Disability & Dyslexia Service will be contacted in early January, inviting them to:

Meet to discuss their examination requirements with a Disability Adviser and agree specific support which will be recorded on an Individual Support Plan (ISP); OR

Make changes to previously agreed (documented on ISP) examination support or the modules for which they are expected to have examinations.

1.5 Disabled students are required to present themselves/submit required documentation to the DDS at the earliest opportunity and no later than three months prior to the beginning of the relevant examination session. This applies to all examination sessions across the university regardless of when they are scheduled to take place.

However, if a student does not have their impairment confirmed until after the deadline date (3 months prior to the start of the exam session), consideration will be given to the nature of provision required and the reasonableness of making arrangements at late notice.

1.6 If it is not feasible to accommodate a student’s requirements after the specified deadline the student will be advised to complete their examination as standard and suggest that their case is considered through the mitigating circumstances route. In these circumstances, only applications supported by the DDS should be approved.

1.8 The University reserves the right to refuse or negotiate alternative provisions with an individual whose request is supported by an independent recommendation, while having regard for the best interest of the student, legal obligations and the reasonableness of implementation.

1.9 Following the specified deadline, all agreed requirements will be passed to the examination officer in Academic Registry with a view to in generating the examination timetable.

1.10 The examination officer, Academic Registry will prepare the exam timetable incorporating specific disability requirements and indicating those students who will be accommodated in the central disability examination rooms (see 2, below) and those sessions which require faculty co-ordination. This will be

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sent to Faculty Disability co-ordinators and the DDS, usually 2 months prior to the start of the examination session.

1.11 The examination timetable will be posted on Glamlife for access by students.

1.12 Scribe, reader and invigilation allocations will be made in collaboration between the DDS and the exam officer, Academic Registry from the pool of central invigilators.

1.14 Examination papers to be produced in Braille or large font should be hand delivered in electronic format to the Disability Technology Service in LCSS and adhering to the Information Access Service guidelines. It is the responsibility of the author of the paper to ensure that the transcribed version is checked and taken to Academic Registry. Refer also to REPP (2003)9.

2. Central Examination Room Provision

2.1 Academic Registry will attempt to accommodate disabled students with only 25% extra time in centrally provided rooms. Students with dyslexia will normally receive 25% extra time when requested and supported by appropriate documentation. Where there is a recommendation of more than 25% extra time the university will consider the reasonableness given in each individual case.

2.2 Students with different impairments (e.g. Hearing impairment etc) who are eligible for 25% extra time may be accommodated in the central rooms but a recommendation as to the appropriateness will be included on the information compiled by the Disability Adviser when agreeing the individual support plan (ISP).

3. Typical examination provisions

3.1 Students should normally be advised by a Disability Adviser that the University can accommodate the following requirements where supported by independent recommendations from an appropriate party. Each provision should be explained in detail with consequences for choosing the provision. The importance of a student taking responsibility of any subsequent changes to circumstances should be emphasised and included on the examination contract. This information is available to all students on Glamlife and provided to disabled students as part of the disabled student handbook.

Extra timeSeparate room (with other disabled students or alone)Use of a computer (with or without specific software)Use of other equipment e.g. spell checker, specific chair. The agreement for

this equipment to be used must form part of the contractConsideration for spelling & grammar Rest/mobility periods normally to the maximum of 10 minutes each hourUse of a scribeUse of a reader (to read questions as written only)Modified papers (terminology, appropriate format)Alternative form of assessment (viva, coursework substitute)

4 Using Amanuensis and Readers

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4.1 Amanuenses will receive appropriate training and guidance notes are issued to staff and students.

4.2 Amanuenses/readers may have previously worked with a student or may have knowledge in the subject area being examined.

4.3 Students should be offered an opportunity to meet with an amanuensis or reader for an hour prior to an examination.

4.4 Amanuenses/readers are not responsible for the invigilation of an examination or to act as a second invigilator or provide any interpretation of the examination questions or language used. Refer to REPP (2003)8

4.5 Examination papers written by an amanuensis should be identified as such in order that spelling and grammar are not taken into consideration when marking.

5 Assessments outside the formal examination period

5.1 In-Class TestsIt remains the responsibility of individual tutors to inform students prior to such assessments. It remains the responsibility of the student to request appropriate provisions via the Disability & Dyslexia Service who will negotiate with the faculty to make the necessary and appropriate arrangements. If this is deemed unreasonable, alternative methods of assessment should be considered in discussion with student and the Disability & Dyslexia Service.

5.2 Re-sit Examination PeriodThe above operation procedures will apply. Students are to be informed in the letter in January that it is their responsibility to make the necessary arrangements for resit examinations if required by mid July.

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Section 1.10: Careers Education, Information and Guidance (CEIG) Policy

1 Appendix 1: Partnership Responsibilities2 Appendix 2: CEIG Framework

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The Policy will be revised during 2010/11.

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Appendix 1 – Partnership Responsibilities

Careers Service resources are available to faculties, students and graduates, employers and other recruiters – www.glam.ac.uk/careers

Services to faculties include:

- allocating a careers adviser as a liaison officer for each faculty;- developing and promoting the range of services and facilities available to

students through paper and web based information;- collecting and dissemination of First Destination Statistics in accordance with the

arrangements set out by the Higher Education Statistics Agency;- consultation on the inclusion of careers education in the curriculum, including

where agreed, the provision of careers talks to students;- supporting the provision of employer-related activities including working with

alumni as appropriate;- developing a series of staff development activities in partnership with HR and

CELT. Services to Students and Graduates include:

- providing paper and web –based information on careers, employment and further study;

- develop self-assessment packages including web based provision;- offering individual impartial advice and guidance from careers advisers and other

staff within a framework of confidentiality;- promoting employment and placement opportunities; self-employment and

business start-up information and support;- supporting and training in relation to the job hunting process;- providing specialised support for students disadvantaged in the labour market;- workshops, events and programmes including activities supported by employers

which are extra-curricular;

The entitlement to support for University of Glamorgan graduates/diplomates continues for as long as the service is appropriate, although it is acknowledged that some clients may require the services of other local agencies. Entitlement to support for graduates and diplomates of other HEIs is currently dependent upon non-core funding, but the minimal level of support will be in keeping with the Mutual Aid agreement of AGCAS services.

Services to Employers:

- Advertising job vacancies, work experience and other opportunities;- Liaison between employers and academic staff;- Arranging presentations; recruitment sessions and other events.

The Careers Service will work in a flexible way with employers to enhance opportunities applicable to our students/graduates.

Academic Faculties, supported by the Careers Service, will :

- develop the theme of employability as part of the strategic planning process;

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- work in partnership with a nominated Careers Adviser who will attend and contribute to Learning , Teaching & Student Experience Committees within each faculty;

- explicitly identify and clearly promote how CEIG is delivered in partnership with the Careers Service , including supporting free standing career programmes and events;

- negotiate with the Careers Service on an annual basis their involvement in delivery of course–related CEIG activities ;

- make CEIG outcomes available to students through supporting information such as award handbooks;

- ensure that all staff involved with CEIG provision, including academic staff have the skills and knowledge appropriate to the role they are undertaking;

- underpin the provision and development of the curriculum by making reference to appropriate Labour Market Information including for example the Graduate Destination Survey ( DLHE HESA Return ) ;

- highlight to students appropriate employability skills which are defined within the QAA Subject Benchmarks;

- promote, deliver and develop opportunities related to work experience (broadly defined);

- provide students with the opportunity to take part in career planning and related activities which are embedded within the curriculum;

Students are expected to:

- make appropriate use of the resources and facilities provided by the University;- take responsibility for managing their own career development;- reflect and review their progression;

The University will:

- endorse CEIG through the development of employability as a strand within the Learning , Teaching & Assessment Strategy including delivery within faculties;

- ensure that CEIG provision is embedded into the appropriate University quality assurance procedures as well as meet standards that are set externally;

- ensure that current and comprehensive information on CEIG provision is available to students in a range of centrally produced documentation and through web based information.

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Appendix 2 – CEIG Framework

This framework is for guidance and relates to the potential learning outcomes in relation to careers planning. It has been informed by research conducted by AGCAS at a national level within the sector. This framework should underpin the holistic delivery of CEIG and facilitate the sharing of good practice. The Careers Service, faculties and other partners should use aspects of the framework as appropriate to inform the development of a wide range of services and learning experiences which help enhance career planning skills.

Potential Outcomes 1Self Awareness of Personal Knowledge, Skills and AttributesStudents should be able to :a) Identify and assess values, skills, interests and personal attributes through academic study, work experience and other extra curricular activities.b) Research career ideas, explore future opportunities, and be aware of supportive resources to assist them in reaching their career aim.c) Make informed and effective career discussions based on self-awareness of personal attributes and motivations. With the ability to identify and evaluate individual job preferences and compare these to the requirements needed for specific occupations.d) Identify career-related priorities and constraints, and evaluate how these may impact upon career options and progression.

Potential Outcomes 2Knowledge of the Graduate Job market and post Graduate OpportunitiesStudents should be aware of :a) Be aware of the range of graduate progression routes and options available including ; employment, training, further study and self- employment/enterprise.b) Be aware of current graduate labour market trends, and relate this labour market information to the careers planning process.c) Be occupationally aware and know how to access information on : - careers ,occupational sectors, employers/organisations, and job functions using resources and support available.d) Be aware of employment- based opportunities and know where to look to find recruitment and vacancy information on graduate employment, training, work experience and voluntary work.e) Identify and evaluate employability skills required, to secure and perform effectively within the workplace or required for a specific career.

Potential Outcomes 3Competence to Perform in the Recruitment and Selection ProcessStudents should be able to :a) Be aware of a range of job hunting strategies – including creative job search techniques, and know where to look to find suitable vacancy information.b) Know how to ‘market’ relevant skills, personal qualities, experiences and academic competencies in the recruitment and selection process and be able to provide evidence of those attributes in a CV , application form.c) Understand employers’ recruitment and selection methods and be knowledgeable of assessment-based tests, and interview techniques.d) Be aware of enterprise and self – employment opportunities and know where to look to identify and access business start up and support resources.

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Section 1.11: Admissions Policy

1 Admissions Principles2 Institutional Context3 Responsibility for Admission4 Application Process5 Communications to applicants including

feedback and complaints6 Admissions staff7 Procedures8 Student Charter

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Admissions Policy

1 Admissions Principles

Applications are welcomed from applicants who have the capacity to participate and the interest and motivation to succeed in higher education. The decision to admit a student will be taken on individual merit, demonstrated through the application process to include:

Personal statements Appropriate references Academic potential Assessment of prior achievement, whether by reference to academic or

vocational qualifications, or prior experience described more broadly Ability to benefit from participation

1.1TransparencyAdmissions processes should be transparent to potential applicants. The provision of criteria for entry, the processes involved and the application of these processes are available to all applicants, both Home/EU and International. Relevant information is provided by the constituent members of the Glamorgan Group or partner college for UCAS Entry Profiles.

Feedback from successful and unsuccessful applicants is welcomed, and is monitored to continuously improve the admissions process.

1.2 Basis of SelectionThe selection process includes the consideration of application forms as outlined above. Interviews are held for many courses, including those where it is a requirement of a professional body which accredits particular courses.

The processes used in selection are underpinned by the following principles:

The process is based on fairness and merit, seeking to minimise barriers and provide appropriate support. All applicants however must meet the minimum entrance requirements as specified in The Regulations for Academic Awards section B.2.3.4.2.

We recognise that talent and potential may not always be reflected in examination results, and therefore we use a wide range of methods to assess this including interviews, auditions, presentations and assessments, and we welcome applications showing alternative evidence of skills and competences where appropriate.

We take into account the diverse range of qualifications available and welcome applications from those with non-traditional qualifications. We will help applicants determine whether their qualifications are recognised as equivalent to those required for entry using nationally and internationally recognised sources e.g. UCAS and NARIC.

Students whose first language is not English or Welsh will be required to obtain a qualification acceptable to the University which indicates their ability to study through the medium of English or Welsh (where appropriate) and successfully complete their chosen course. Guidance can be obtained by

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referring to the web site and/or prospectus of the appropriate Glamorgan Group constituent member or partner college.

1.3 Reliability and validityWe seek to use valid and reliable selection methods in order to select and admit students who would benefit from and be able to complete our courses. Methods of assessment are designed to allow candidates to demonstrate their capabilities and potential. Some selection procedures and requirements are designed to ensure compliance with external regulations and professional requirements.

1.4 Minimising barriersCandidates with a wide range of qualifications and experiences are welcomed by the Glamorgan Group or partner colleges. Entry requirements are detailed for each course in the respective Glamorgan Group or partner college prospectus, website and on the UCAS/CUKAS website for full-time undergraduate courses.

2 Institutional Context

This Policy relates to applications to all taught University higher education programmes on campus at Trefforest, Glyntaff, Cardiff, the Royal Welsh College of Music and Drama and Merthyr Tydfil College. Collectively these are referred to as the Glamorgan Group. The Policy is applied in accordance with and alongside other University policies in the operation of admissions, and has been written to comply with relevant legislation, and with reference to the Quality Assurance Agency (QAA) Code of Practice on Recruitment and Admissions.

The Policy also relates to all relevant University of Glamorgan undergraduate programmes taught at partner colleges.

Reference to postgraduate and taught and research programmes is made below.

3 Responsibility for Admission

Trained admissions staff co-ordinate admission to all taught programmes as defined above. Each Faculty, constituent of the Glamorgan Group or partner college is responsible for setting its admissions criteria for each course in conjunction with University admissions staff as required. An annual review of admissions criteria is carried out with each Faculty prior to the start of the admissions cycle.

The Policy is ratified by the University’s Quality Assurance (QAC) Committee while day-to-day implementation is the responsibility of the Enquiries & Admissions Unit in consultation with Faculties and relevant Corporate Departments. Consultation on the Policy, and suggested amendments, will be undertaken by the Admissions Forum and presented to QAC for consideration, amendment and/or ratification. Consideration will be given to other University guidelines and associated policies. Compliance with other relevant legislation including the Human Rights Act, Disability Discrimination Act, Sex Discrimination Act, Rehabilitation of Offenders Act, the Race Relations Act and the Welsh Language Act will be actively monitored.

The University of Glamorgan is committed to equal opportunities in its admissions and this is underpinned by the University of Glamorgan’s “Single Equality Scheme” (details available on request)

An applicant who has a relevant criminal conviction is required to state this on the application form. ‘Relevant’ is defined as offences against the person, whether of a

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violent or sexual nature, or offences involving supplying controlled drugs or substances where the conviction concerns commercial drug dealing or trafficking. Convictions that are spent (as defined by the Rehabilitation of Offenders Act 1974) are not considered to be relevant and the applicant should not reveal them. All such applications are assessed on an individual basis.

However, certain courses27, for example teaching, health or social-work related subjects require an applicant to provide full disclosure of all offences at the point of application. These courses also necessitate an applicant to undertake a CRB check and register with the Independent Safeguarding Authority (ISA). University policy therefore is in accord with both the requirements of the ISA and CRB (details of this policy are available on request).

4 Application Process

All applicants to taught University higher education programmes on campus at Trefforest, Glyntaff, Cardiff and Merthyr Tydfil College must submit a fully completed Application Form, as defined in 4.1 and 4.2, supported by references and proof of qualifications prior to enrolment.

Any applicant or enrolled student who fails to meet this requirement will not be offered a place or will be withdrawn from the University.

Applicants are required to sign a declaration that the information submitted as part of their application is correct to the best of their knowledge. If it transpires that any information submitted during the application process is incomplete or inaccurate the University reserves the right to take any appropriate action which may include rejection or withdrawal at the point of application or at any point after enrolment regardless of the duration of the course already studied.

4.1 Undergraduate Courses All full-time undergraduate applications must be made through the Universities and Colleges Admissions Service (UCAS), or Conservatoires UK Admissions Service (CUKAS) for music undergraduate courses at RWCMD. Part-time undergraduate and all postgraduate taught course applications should be made using the appropriate application form for the institution being applied to i.e. University of Glamorgan’s on line application form, or the appropriate application form for Merthyr Tydfil College, RWCMD or a partner college unless otherwise stipulated.

4.2 Postgraduate Research and Taught DegreesThe Glamorgan Group operates a full range of academic programmes including postgraduate research degrees e.g. MPhil and PhD provision and postgraduate taught courses. All applications should be made directly to the relevant constituent of the Glamorgan Group or partner college.

Postgraduate Research applications are considered under Faculty Research Applications Panel guidelines as directed by the University’s Research Regulations.

4.3 Accredited Prior Learning & TransfersFor students wishing to be considered for entry other than to Level 1, the Glamorgan Group or partner college is able, in many instances and taking into consideration the

27 Applicants are encouraged to contact the University if they have any queries regarding which courses require a full disclosure.

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requirements of relevant professional bodies, to accredit prior learning in accordance with its published regulations (Academic Handbook Volume 1: 2010-2011, Section B, B.2.3). Students who wish to transfer from another institution are provided with advice on the transfer of any credit they may have been awarded elsewhere. Credit can also be given to relevant work or life experience under these regulations and advice can be obtained from institution admissions staff.

4.4 International AdmissionsApplications for admission from international students are considered in exactly the same way as Home/EU applications except where additional requirements are placed upon the institution by Government/legislative bodies. These include the requirements of the Points Based System (Tier 4) as defined by the UK Border Agency.

4.5 Enquiries & AdviceWhere an applicant’s qualifications do not provide a suitable match for a particular course of study, advice may be given on alternative programmes either at the University or at a partner institution or courses of action that may be taken.

Enquiries can be made to admissions staff within the Glamorgan Group or partner college who will be able to answer queries or refer them to the other staff in Faculties/Departments. Enquirers are encouraged to attend Open Days offering the opportunity to meet with academic staff and familiarise themselves with the relevant constituent of the Glamorgan Group or partner college. Applicants may be required to attend applicant/interview events as part of the selection process.

Applicants with specific learning or other needs are advised, to seek further advice from the appropriate Student Services Department within the Glamorgan Group or partner college.

5 Communications to applicants including feedback and complaints

All written communication will be sent by the appointed admissions staff at each constituent member of the Glamorgan Group or partner college. In the case of unsuccessful applicants, feedback, advice and guidance will be provided in consultation with academic staff as requested. All requests for feedback must be made in writing to the constituent member of the Glamorgan Group or partner college. No communications will be entered into with anyone other than the applicant, or without the applicant’s consent.

If an applicant wishes to complain about the way their application has been handled or is unhappy with the process followed, they should refer to the published Complaints Procedure for guidance. This is available from the admissions staff at the relevant constituent member of the Glamorgan Group or partner college

6 Admissions staff

All Admissions staff undertake continuous training and development ensuring they are aware of University, national, and international developments in relation to admissions to higher education. Close liaison between admissions staff and those in the Faculties/departments ensures consistency and transparency of the admissions process. Guidance is available in the form of annual briefings at key periods in the admissions cycle, and training is available in relation to their particular processes and procedures.

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7 Procedures

This Policy should be considered alongside published admissions and related procedures, with specific reference to the University’s Academic Handbook, that are produced and regularly reviewed by appropriate staff at the constituent members of the Glamorgan Group and partner colleges.

8 Student Charter

This policy has been developed with consideration for the principles and edicts of the University of Glamorgan’s Student Charter which is accessible to all applicants and students.

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Section 1.12: Student Personal Support

1 Principles of Provision2 Definition3 Personal Support at Glamorgan4 Minimum Expectations5 Responsibilities of Students6 Responsibilities of Faculties7 Support for faculties

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Provision of Student Personal Support within Faculties at the University of Glamorgan

This paper provides a position statement concerning the minimum requirements of student personal support at Faculty level within the University. In so doing, it recognises the variety of role nomenclature currently used to describe such support across the University. The relationship between Faculty staff (including Faculty Advice Centres), Student Services, and the Students’ Union Sabbatical Officers is acknowledged but is outside of the scope of this paper.

1 Principles of Provision

There is a range of provision for personal support and guidance located on the University campuses, in partner colleges and at RWCMD. Whilst the model may vary, the level of personal guidance and support is consistent with the standards of the minimum expectations.

The principles are:

1.1 Personal support and guidance is available to all students.

1.2 Faculties are required to implement a personal guidance system best suited to the interests of their students and which meet the minimum requirements (Section 4).

1.3 Deans of Faculty should be satisfied that staff offering personal student support are sufficiently accessible and suitably qualified and/or experienced.

1.4 Details of the personal guidance system being operated within a Faculty/Scheme will be monitored by FQAC through Annual Monitoring procedures.

2 Definition

The term student personal support is used in this paper to define the provision of advice, guidance and support to students on personal matters impacting their studies that are within the experience and expertise of Faculties.

3 Personal Support at Glamorgan

The provision of Faculty-based personal support at Glamorgan is complemented by a comprehensive structure for student advice, welfare, counselling and other sources of student support provided by Student Services, Faculty Advice Centres and the Students’ Union.

3.1 Faculties are free to implement systems of personal support best suited to the needs and interests of their students, but must ensure that their arrangements meet the minimum expectations. Terms used to describe existing provision of

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student personal support varies by Faculty, and is often encompassed within the following roles:

a. Personal Tutorsb. Pastoral (Mitigating Circumstances) Tutorsc. Department Tutorsd. Award Leaderse. Programme/Scheme Leadersf. Year Tutors

3.2 The University recognizes that student problems are often complex and that academic and personal issues may be intertwined with one frequently impacting on the other. Consequently, the provision of personal guidance and support for academic guidance may be combined.

4 Minimum Expectations

To ensure a consistent standard of practice across the University, and to guarantee a minimum entitlement for students, the following requirements have been established:

4.1 Each Faculty will provide students with a clear statement of personal support systems in place and how they access those support systems.

4.2 Individuals responsible for providing personal support to students are expected to provide such support as they feel able, within the boundaries of such a role.

4.3 These individuals should understand and interface with the referral mechanisms to access other support services, or seek guidance from their Faculty Advice Centre. Appropriate and timely referral decisions should be made jointly with the student concerned wherever possible.

4.4 Members of staff providing personal support should keep matters discussed confidential unless the student has authorised disclosure of such information, or where exceptional circumstances necessitate the breaking of confidentiality, such as if the student is in danger of harming themselves or others. Individuals are encouraged to discuss confidentiality issues with their Faculty Advice Centre or Student Services staff as appropriate.

4.5 In accordance with the University’s Welsh Language Scheme (para 4.6) in those departments and fields with Welsh speaking members of staff, arrangements will be made for Welsh speaking students who wish it, to have access to a Welsh-speaking pastoral tutor wherever possible.

5 Responsibilities of Students

Students should:

5.1 Inform their nominated personal support provider (as described in their Faculty statement of provision) or their Faculty Advice Centre of any special circumstances which may affect their studies

5.2 Be responsible for acting on the advice provided.

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6 Responsibilities of Faculties

The Dean or nominee should ensure:

6.1 Arrangements for the provision of student personal support are clearly outlined and displayed as appropriate.

6.2 The appropriate availability of staff involved in the provision is assured and clearly set out in the Faculty statement of provision.

6.3 Staff involved in the provision of personal support to students receive appropriate training to ensure safe and effective practice. Training should include that made available via the Staff Development Programme such as listening and helping skills, making appropriate referrals, and awareness-raising seminars concerning physical and mental impairment.

6.4 Student personal support systems are evaluated through Annual Monitoring.

7 Support for Faculties

7.1 The University’s Student Services Handbook is available on Inform as a source of further information.

7.2 Further advice on the disclosure of information, and the Data Protection Act is available from LCSS. Further guidance on confidentiality is available from Faculty Advice Centres or Student Services.

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Section 1.13: Intervention Policy for Students Causing Significant Concern (Fitness to Study)

1 Introduction2 Data protection issues3 Confidentiality4 Policy guidelines5 Emerging and ongoing concern6 Disruptive behaviour or behaviour otherwise

giving cause for serious concern7 Level 3 of the Intervention Policy8 Student unable to attend9 Appeal10 Return to study11 Key referral contacts12 Other useful documents

Appendix 1 EmergenciesAppendix 2 Referral FormsAppendix 3 Return to Study Forms & related letters

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INTERVENTION POLICY FOR STUDENTS CAUSING SIGNIFICANT CONCERN (FITNESS TO STUDY)

1. Introduction1.1 There is a growing awareness among professional bodies and groups working in the field of student support of the need for higher education institutions to respond appropriately to situations where visible signs of illness, mental health difficulties, psychological, personality or emotional disorders may have a profoundly disruptive impact on the functioning of individual students and on the wellbeing of others around them.

1.2 The University is committed to maintaining students’ wellbeing and to promoting positive attitudes towards students with impairments and wherever possible making arrangements to ensure that they are not placed at a disadvantage. This Policy outlines the procedure and support available to both staff and students when a student becomes unwell and/or presents a risk to self and/or others.

1.3 The University has a responsibility to respond appropriately to situations where there are substantial concerns relating to a student’s mental and/or physical functioning and where these impact upon the individual and/or other members of the University community.

1.4 It is important to establish that the cause of such concerns may relate to the manifestation of a diagnosed illness or with behaviours deemed to be consistent with illness or disability. It is also important where an illness is involved, that decisions are based on evidence and assumptions about an illness are avoided. Such assumptions may give rise to instances of direct unlawful discrimination on the grounds of a student’s disability. The University is committed to combating disability discrimination and promoting equality..

1.5 Concerns relating to institutional, educational and social domains may be evaluated as follows:-

i. Where aptitude to study is deemed by the University to be neither manageable nor achievable in relation to specific tasks and/or activities;

ii. Where behaviours are disruptive to the self and/or others, i.e. students and staff, and represent risk to the self and/or others.

When such concerns are present, the University recognises that the student may benefit from the University's direct intervention and support and that in some circumstances the University will have a duty under the Disability Discrimination Act 1995 to make reasonable adjustments to avoid any disadvantage that the student may suffer.

1.6 This policy is intended to provide a framework to support the student experiencing difficulties and to ensure a consistent and sensitive approach to managing situations which become problematic and require onward referral.

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1.7 This policy is not intended to deal with emergency situations. However, it is good practice to adopt an anticipatory duty to the management of problematic situations so that the University’s duty of care is exercised with consistency and sensitivity. Details for dealing with emergencies can be found in Appendix 1 and on Inform – How to respond to Emergencies involving students experiencing mental health crises. 28

1.8 This policy is intended to manage and support rather than punish student behaviour that causes significant concern. The University may invoke its general and/or other regulations and disciplinary procedures, in those cases where behaviour which causes concern is in contravention of Regulations Governing the Conduct of Students and where a person’s condition or disability appears to be unconnected with the alleged conduct or where the circumstances indicate that, even though related to a disability, support measures are inappropriate or futile, given the seriousness of the alleged conduct or the obstacles towards progress or otherwise where a student fails to respond to supportive measures. 29

2. Data Protection Issues2.1 All University staff are governed by the requirements of the Data Protection Act 1998. Under this act, all data relating to a person’s physical or mental health is regarded as sensitive, personal data. The University's policy on Data Protection 30

contains guidance on the use of sensitive information e.g. details about a student's mental health or other condition. In general, all personal data of a sensitive nature given to a member of staff by a student should be treated as confidential and should only be disclosed with the student’s consent. Sensitive data, for the purpose of this policy, is deemed to be information given in confidence concerning, for example, a student’s ill-health or disability, including mental health illness. Queries should be discussed with the Information Governance Team/ Information Compliance Manager in LCSS.

3. Confidentiality

3.1 In all cases where, in the member of staff’s judgement, it would be in the student’s best interests to disclose sensitive information (e.g. so that appropriate support may be provided) the student’s informed consent should be obtained where possible. It will be necessary to inform the student why there might be a need to disclose sensitive information, who will have access to this information, and the likely consequences of giving or withholding consent (e.g. additional support strategies such as reasonable adjustments including additional examination arrangements). Once consent has been obtained, it is the responsibility of the person passing on the information to ensure it is done on the terms agreed with the student.

28 How to Respond to Emergencies Involving Students Experiencing Mental Health Criseshttp://inform.glam.ac.uk/media/files/documents/2008-11-03/how_to_respond_to_students_experiencing_mental_health_crises.doc

29 Regulations governing student conduct http://profile.glam.ac.uk/media/files/documents/2008-06-30/RegsGoverningStudentConduct.doc

30 University of Glamorgan Data Protection Policyhttp://profile.glam.ac.uk/policy/data/

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3.2 If the student chooses not to provide their consent this decision should be respected. In this scenario, the implications of non-disclosure in terms of additional support should be made clear. However, there exist rare occasions when the student’s consent is withheld, or it is impracticable to try to obtain it, when confidentiality may be broken. These include:

When the student is at risk of serious harm (where the student’s health has deteriorated to the extent of threatening his/her personal safety )

When the student’s behaviour is adversely affecting the legal rights and safety of others

When a member of staff is being placed in a position in which his/her professional integrity is compromised

When disclosure is required by law (the member of staff would be liable to civil or criminal procedure if the information were not disclosed e.g. if a crime had been committed).

3.3 Staff should consult with Deputy/Director of Student Services Department if they believe there is a need to break the commitment to confidentiality. Initial discussion should not identify the student until the grounds for breaking confidentiality have been established and agreed upon.

4. Policy guidelines

4.1 The purpose of these guidelines is to support students and staff in managing behaviour/situations that cause significant concern:

i. to identify the appropriate response by academic and support service staff in the circumstances set out in paragraph 1.5 where it is not considered appropriate to apply disciplinary procedures, in particular, because the student's behaviour should be managed rather than punished;

ii. to enable staff to fully consider the relevant adjustments that may be made by the University to limit or avoid any disadvantage being suffered by the student by reason of mental and/or physical impairment and to help the staff properly identify the limits to the support which they can provide and the appropriateness of referring the student on to other agencies;

iii. to provide a co-ordinated approach to the management of a situation where it is apparent that a student's mental and/or physical functioning may prevent him/her from gaining benefit from the educational and social provision at a particular time, or is adversely affecting the student experience of others, or has extended beyond the general and specialist support that exists within the University;

iv. to ensure that all decisions are supported by appropriate evidence, including medical evidence and after input from the affected parties and the student in particular, who will be consulted before any decision is taken;

v. to ensure appropriate support for students affected by, or involved in, the interaction with other students in the aforementioned circumstances;

vi. to signpost areas of support for staff and to ensure the student is appraised of all avenues for support and in particular the Disability and Dyslexia Service;

vii. to consider requiring the student to defer temporarily and the justification for such an action. Compulsory deferment should not be seen or used as a punishment.

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4.2 These guidelines are intended to enable a supportive, non-judgemental, evidence-based, consistent and sensitive approach to managing situations that require an appropriate level of intervention.

5. Emerging and on-going concern5.1 In situations where a student's behaviour or wellbeing causes concern but does not present an immediate crisis, initial support may be provided 'locally', i.e. through the Faculty Advice Centre and whatever pastoral support arrangements that pertain to the Faculty or, if the behaviour is exhibited in University owned or managed accommodation, through the Resident Tutor Service. However, it should be made clear to the student where there are concerns relating to their mental and/or physical health, and the impact upon the individual and/or other members of the University community, that such concerns exceed the usual pastoral role and need to be referred onto specialist support.

5.2 Where it is suspected that a student's behaviour may be related to an ongoing or emerging mental health problem, it is important to consult the University’s Counselling & Mental Health Advisory Services. Any concerns can be discussed anonymously in the first instance. In cases of emergency, the procedure outlined in appendix 1 (and also on Inform: “How to respond to Emergencies involving students experiencing mental health crises”) must be followed to avoid any unnecessary delay.

5.3 The student should be encouraged to access the Counselling and/or Mental Health Advisory Services, the Disability& Dyslexia Service and/or the University Health Service. If the student agrees, a Referral form (see Appendix 2 and also obtainable on Inform, “How to refer students causing significant concern”) 31 can be completed and an appointment made with the relevant service. The student should be given the referral form and asked to bring it with them to the referral appointment, signed by staff and student. Staff who are concerned about a student and use the referral form will be given feedback about whether the student attended their appointment. This should be made clear to the student when filling in the form. Alternatively or additionally, the student should be encouraged to get help through their GP. This marks Level 1 of the Intervention Policy.

5.4 If the student accesses the Counselling and /or Mental Health Advisory Services and /or the University Health Service/ Disability and Dyslexia Service, discussion will take place with the student about what support can be offered within the University, or if appropriate, what specialist support the student can be referred to outside the University. Following this, a decision will be made with the student about engaging with the appropriate support service(s). Where a Referral form has been filled in by a member of staff from the faculty/Resident Tutor Service, feedback will be given as in 5.3 above.

5.5 In conjunction with Student Services staff, all Faculty / Resident Tutor Service staff have an obligation to ensure that reasonable adjustments to assist a student have been properly considered. Reasonable adjustments often involve day to day changes to a student’s course of study and staff will have to consider what changes are and are not reasonable. To help staff consider these issues a Needs Assessment

31 How to ... refer students causing significant concernhttp://inform.glam.ac.uk/HowTo/Refer/

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should if possible be carried out by the Disability and Dyslexia Service, if one does not exist or circumstances suggest a new one is necessary. For further information about Needs Assessments and about possible adjustments please refer to the Disability and Dyslexia Service Handbook 32 or speak to your Faculty Disability and Dyslexia Co-ordinator. Possible reasonable adjustments should not be discounted simply because they cause disruption or involve cost since the Student’s needs may outweigh these concerns. Guidance should be sought when weighing up whether or not an adjustment is a reasonable one for the University / Faculty to make.

5.6. Examples of “reasonable adjustments”:

recording equipment for those who find it difficult to concentrate during lectures or seminars because of a psychiatric condition ;

making adjustments that reduce contact between an individual and crowds of people, where they have a disability that is exacerbated by crowds of people; and

providing lecture notes for those who are not well enough to attend lectures or tutorials because of a disability.

5.6 Where it is suspected that a student's behaviour may be related to an ongoing or emerging mental health problem or disability and the student has indicated that they will not access appropriate help, staff can discuss their concern as above, and if appropriate complete a Referral Refusal form (see Appendix 2 and as above in 5.3) 33 On the basis of the information provided outlining the concerns, the relevant service will discuss with the Deputy /Director of Student Services what action should be taken.

6. Disruptive behaviour or behaviour otherwise giving cause for serious concern

6.1 If there is no improvement in the situation, or if the student refuses to access support and/or continues to exhibit behaviour that is causing significant concern, the Deputy Director of Student Services should be informed immediately.

6.2 The Deputy Director of Student Services will review any available evidence and invite the student to meet with the Deputy Director and the relevant member of staff and explain the concerns and allow the student an opportunity to respond and provide any relevant background information. After considering the student’s view and where appropriate, the Deputy Director of Student Services will set out the University’s expectations and outline a time-scale for change in behaviour and propose any necessary steps to address underlying issues, which may includes actions for the member of staff (in accordance with section 5). Where necessary a decision will be deferred to allow for evidence to be gathered. In appropriate cases this may involve a referral for a medical examination or witness statements of any particular events. The student may be accompanied by a Student Union Trustee or other appropriate individual and will be given written advance warning of the meeting and the subject. The possible outcome if there is no change in behaviour, which would be the convening of a case conference, will also be explained. This meeting marks Level 2 of the intervention policy.

32 Download a copy of the DDS handbook http://dds.glam.ac.uk/media/files/documents/2008-09-02/DDS_handbook.pdf33 Download a referral refusal formhttp://inform.glam.ac.uk/HowTo/Refer/

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6.3 Unresolved significant concerns about an individual’s engagement with their study or unresolved significant concerns regarding their health or behaviour will prompt the convening of a case conference to discuss the most appropriate course of action. This marks Level 3 of the Intervention Policy – see below.

6.4 Where other individuals apart from the student are disrupted by the student’s behaviour or the ongoing situation, the Counselling & Mental Health Advisory Services and the Disability & Dyslexia Service will offer support to those students and colleagues in addition to their ongoing support to the student. The Deputy Director of Student Services will keep a central record of all referrals, action and developments in the case and relevant colleagues will be updated on a ‘need to know’ basis by the Deputy Director of Student Services.

7. Level 3 of the Intervention Policy

7.1 This consists of a case conference to consider why resolution has not been achieved and whether or not a deferment of studies is appropriate to help address the difficulties being experienced.

7.2 A case conference will be convened and chaired by the Deputy Director of Student Services and will consist of key staff from the Faculty and Support Services. A note-taker will make a record of the meeting. The student may be accompanied by a Student Union Trustee or other appropriate individual. In advance of the case conference copies of all relevant pieces of evidence will be provided to the student or the person supporting them, and where appropriate documents may be anonymised. The student will be consulted about an appropriate time for the conference but if this time is not possible they will be given at least 7 days written notice.

7.3 The case conference may consider various options, including disciplinary action, recommending additional support strategies and temporary deferment of studies. A decision may also be made on whether the student's nominated emergency contact should be informed. Such decision - making needs to be guided by the University’s Duty of Care policy.

7.4 In cases where it becomes apparent that an individual student’s present support needs are beyond the containment of the University for the time being, a recommendation will be made by the Chair that the student should be required to defer temporarily from their studies at the University for a specific period, subject to review on a specified date. The exclusion and the review period will be determined by reference to medical opinion on possible recovery, treatment or rest times. The student must be given an opportunity to be heard before a decision is taken, their supporter may also speak for them. The Chair will give appropriate weight to any prejudice or distress the student may suffer by reason of being required to defer their studies. The Chair will balance such concerns with the University’s duty to students in general and the possibility of achieving any progress by other means with the student in question. In reaching a decision about the case the Chair must be satisfied that the conference has obtained and reviewed all possible relevant medical guidance about the student’s condition to ensure that no reasonable alternative exists and that no reasonable adjustments would affect the position. Where there is doubt on these points the case conference will be adjourned to allow for further investigation.

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7.5 The agreed course of action will be communicated to the student by the Deputy Director of Student Services in a meeting taking place within 5 working days of the case conference at which time the student may again bring a nominated person of their choice. The outcome and recommendations will also be forwarded to the student in writing following the meeting.

7.6 The student will be informed of the ‘Return to Study’ procedure and process (Section 10).

7.7 It will be made clear to the student by the Deputy Director of Student Services that this procedure is quite separate from the University's Disciplinary Procedures. It will also be made clear why the University is recommending this course of action.

7.9 In implementing the deferment of studies, the student will be assisted by their Faculty Advice Centre and Student Services to ensure that their absence is appropriately managed, documented and notified to Academic Registry and the relevant external agencies.

7.10 The Deputy Director of Student Services will hold a de-briefing meeting(s) for relevant staff within 14 working days of communicating the recommendations to the student concerned. A brief record of the meeting will be made and circulated to all present and to other partners on a ‘need to know’ basis. The recording of information is underlined by the concept of ‘latent duty’, where it can be necessary to have evidence of what action has been taken in respect of supporting a student when a disability has been declared.

8. Student unable to attend

8.1 In the event that the student feels unable to attend the meeting as arranged, the University will make every reasonable effort to enable the meeting to take place, for example by moving the meeting to a time or location with which the student feels comfortable.

8.2 Alternatively, the student may ask the Case Conference to consider the case in their absence on the basis of written reports which may include a written statement from the student or his/her representative.

8.3 If, despite the University's best endeavours, the student feels unable to attend a Case Conference, the meeting may take place in their absence with the outcome communicated to the student as in 7.5.

9. Appeal

9.1 If the student is not satisfied with the outcome of the case conference, (s)he should appeal in writing within 14 working days of receipt of a letter to the Director of Student Services. The letter should outline the reasons for appeal and be supported by relevant professional evidence. The effect of the appeal will not be to suspend the deferment, unless exceptional circumstances apply (such as the risk that the student would suffer particular prejudice in relation to their studies, given the timing of events).

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9.2 The Director of Student Services or nominee will convene and chair a meeting within 25 working days of notification of appeal to consider the grounds for appeal. If practicable all involved up to the stage of the appeal should attend the appeal meeting, unless this would represent a professional conflict of interest or produce a prolonged delay in arranging the meeting. The chair will be responsible for recording the meeting.

9.3 The Director of Student Services will inform the student of the result and the reasons for the result of the appeal within 7 working days of the appeal meeting.

9.4 If the student is not satisfied with the outcome of the appeal, the student can move to Stage 2 of the University Student Complaints Procedure. 34.

10. Return to Study

10.1 Upon the review date set the Student will be contacted by Faculty to arrange a review meeting with Faculty and Student Services to consider whether it is appropriate for the student to return to their studies at the end of the deferment period. Unless the student advises that they do not wish to return a meeting will be arranged and the student will be referred for medical assessment. This is in order to ascertain fitness to study and ensure appropriate support mechanisms are in place.

10.2 Student Services, working in partnership with relevant others, will conduct a review of the documentary evidence of the student’s mental and/or physical wellbeing and contextualise such evidence within the demands of the course.

10.3 If necessary a further deferment will be arranged, where this appears to still be justified by the evidence. In considering the duration of any deferment and the most appropriate time for the student to return to study, due account will be taken of any altered structure of the programme of study and of the ability of the Faculty to support the student.

10.4 Student Services will be available to provide assistance with drawing up a ‘Return to Study Plan’ in consultation with the student and key Faculty staff. This will address the specific study-related support needs of the student in returning to education; the support which is reasonably required in the short term; involvement of and liaison with Academic Registry and relevant external agencies; any longer term support or adjustments that are reasonably required and any conditions that might or will apply to provision.

10.5 The Return to Study Plan should incorporate a risk management plan that takes account of the experiences that led to the student initially suspending from their course and any other information that is known to be relevant. Any return to study will be subject to the student’s co-operation with this process and full adherence to any agreements made.

10.6 Other members of staff within Student Services and the Faculty will be available to provide advice and support to facilitate the student's transition back onto the course, particularly in relation to any action that might be required under the Disability Discrimination Act Part 4.

34 Student Complaints procedure http://profile.glam.ac.uk/documents/download/31/

Section 1: 120

10.7 When return to study is not deemed to be an option, and the student does not accept this decision, the student should follow the existing University appeals/complaints policy and procedures.

11. Key referral contacts

Key referral contacts within the University are as follows:

Deputy Director of Student Services

Senior Counsellor

Mental Health Advisers

University Health Service Manager

University Medical Officer

Manager of Disability & Dyslexia Service

Senior Disability Adviser

Manager of Residential Tutors Service

Heads of Faculty Advice Centres

Award Tutor for the relevant Programme of Study

Information Governance Team / Information Compliance Manager in LCSS

12.Other useful documents

Disability Equality Scheme

Disability support handbook

APPENDIX 1

Emergencies

APPENDIX 2

Referral Forms

APPENDIX 3

Return to Study Forms & related letters

Section 1: 121

APPENDIX 1

How to Respond to Emergencies Involving Students Experiencing Mental Health Crises

This procedure is for dealing with students who might be experiencing a mental health crisis that requires immediate attention.

Examples of emergency requiring immediate action are:

a student who discloses that they have taken a large overdose. This is a severe, self-inflicted injury that needs medical attention.

a student whose behaviour is putting them or others at serious, immediate risk. The student may or may not understand the risk involved.

a student who expresses the view that life is not worth living is at risk. Some students might take a small overdose as a “cry for help” (para suicide).

Action 1. If the student will accept help

Call the University emergency number 2100 and ask for an ambulance, giving as much information as you have about the situation for passing on to the emergency services. Stay with the student and if the student has taken an overdose, record details of what has been taken in case the student is not conscious by the time the ambulance arrives.

Action 2. If the student will not accept help

If the student is violent or refuses to co-operate, do not put yourself at risk, but seek assistance from other staff, then follow Action 1 above giving information about any violence or non-compliance. The emergency services may then also contact the police, who have powers to remove the person to a place of safety where a doctor and social worker can properly asses them.

Record the incident and inform your line manager. Decide what needs to happen next. This might include:

getting support for yourself from colleagues or staff counsellor

identifying what support might be needed for the student – contact the Counselling & Advisory service at Student Services.

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APPENDIX 2

STUDENT SERVICESINTER-SERVICE AND ADVICE CENTRE REFERRAL

PROFORMA

Student name: Address: Telephone number: Date of Birth: Date of Referral: Referral to: Referral made by:

Relevant background information:

Reason for referral at this time:

It is agreed that it is appropriate for this referral to be made at this time.

Signed....................................................(referring member of staff)

......................................(student)

N.B. THE STUDENT MUST BRING THIS FORM WITH THEM TO THEIR APPOINTMENT

STUDENT SERVICES

INTER- SERVICE AND ADVICE CENTRE REFERRAL REFUSAL PROFORMA

I have been seen by

Section 1: 123

--------------------------------------------------------------------------On: / /200

It has been explained to me that whilst the University staff will try their best to assist me, my refusal to be referred to -------------------------------------------------------- might mean that the University is restricted in providing additional support and therefore in its’ ability to meet my requirements adequately.

I understand that the consequences of my refusal may be that I could be disadvantaged in my studies.

I also understand that staff might need to extend confidentiality in the following circumstances:1. When I am putting myself at some risk of serious harm;2. When my behaviour is adversely affecting the legal rights of others;3. When staff are being placed in a position where their professional integrity is compromised;4. When disclosure is required by law

Signed:

Staff signature:

Date:

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APPENDIX 3 RETURN TO STUDY CHECKLIST FOR STUDENT

TASK WHEN COMPLETED Student informs Faculty of their wish to return to study

At least 2 months in advance of proposed return date

Student receives request for medical evidence of fitness to return.

Within 15 working days of advising of intention to return.

Student takes/sends letter to relevant professional person and requests evidence of fitness to return to studies

Within 5 working days of above request

Student is contacted by Faculty to inform them that they have received required medical evidence

Within 5 working days of receipt of medical evidence

Student receives notification of decision of university.If student considered fit to return at this time, student attends meeting to discuss ‘Return to Study Plan’

Before planned return

Student carries out ‘Return to study Plan’ with Faculty and Student services staff.

Before planned return and during first stages of return to study (period to be identified in ‘Return to Study Plan’)

If student not considered fit to return at this time, student may obtain advice from Student Services about their options and right to complain.

Section 1: 125

RETURN TO STUDY CHECKLIST FOR STAFF

TASK WHO? WHEN DATE SIGNEDStudent informed of outcome of case conference.

Deputy Director Student Services

Within 5 working days of case conference decision about deferring studies

Student sent copy of this checklist and informed of need to supply medical evidence before their return (letter 1).

Deputy Director Student Services

Within 5 working days of case conference decision about deferring studies

De-briefing meeting(s) for relevant staff. A brief record of the meeting will be made and circulated to all present and to other partners on a ‘need to know’ basis

Convened by Deputy Director Student Services, attended by all relevant staff

Within 14 days of communicating the recommendations to the student concerned.

Student’s absence is appropriately managed, documented and notified to the relevant external agencies.

Faculty Advice Centre & Student Services

Within 21 days of communicating the recommendations to the student concerned.

Student informs Faculty of their wish to return to study

Student At least 2 months in advance of proposed return date

Faculty advises relevant person from Student Services (DDS, MHA, Health centre) of student’s wish to return

Faculty staff member

Within 5 working days being advised of intention to return

Student provided with request for medical evidence of fitness to

Student services staff member

Within 5 working days of request from Faculty

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return (letter 2)Review of the documentary evidence of the student’s mental and/or physical wellbeing, contextualised within the demands of the course

Student Services, working in partnership with relevant others

Within 5 working days of receipt of appropriate medical evidence

Due account will be taken of the altered structure of the programme of study and of the ability of Student Services to support the student

Student Services, working in partnership with relevant others

Within 5 working days of receipt of appropriate medical evidence

Outcome may be:1) Drawing up a ‘Return to

Study Plan’ in consultation with the student and key faculty staff, or.

Faculty staff in partnership with Student Services staff and student

Within 10 working days of receipt of appropriate medical evidence

2) Return to study is not deemed to be an option, and this is communicated to the student in person if possible, and in writing

Key member of Faculty staff

Within 10 working days of receipt of appropriate medical evidence

If (2) is the outcome and the student does not accept this decision, the student should be advised to follow the existing complaints policy and procedures of the university.

Key member of Faculty staff

Within 5 working days of student informing staff member that they do not accept decision

If (1) is the outcome; obtain advice and support to facilitate the

Faculty staff in partnership with

During period of planning return to study

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student's transition back onto the course, particularly in relation to any action that might be required under the Disability Discrimination Act Part 4

Student Services staff and student

Follow the Return to study Plan Faculty staff in partnership with Student and Student services staff

During period preceding return to study and for period after return (to be identified in Return to Study Plan)

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PRIVATE AND CONFIDENTIAL

Date

Dear

I’m sorry that you have not been able to complete your studies this year. This letter is just to let you know that when you are feeling well enough to plan your return we will need a letter from your medical practitioner or other professional confirming your fitness to resume your studies.

Can I assure you that this request is entirely consistent with our normal practices with any of our students who become unwell for an extended period of time. We believe that we are not behaving responsibly unless we have medical confirmation of fitness to return and can plan to support your study with whatever recommendations are made by your consultant.

When you begin to plan your return could you please contact me initially and I will send out the relevant paperwork for you to pass on to your consultant?

I hope you will be feeling better soon.

Best Wishes

Appropriate personStudent ServicesUniversity of Glamorgan,PontypriddSouth WalesCF37 1DLTel: 01443 482080Fax: 01443 482084Email:

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PRIVATE AND CONFIDENTIAL

Address

Date

Dear

I am pleased to hear that you are feeling better and would like to resume your studies. In order for us to help you to return, I would be grateful if you would ask your consultant/GP/CPN/other professional to provide a letter confirming that you are well enough to return to University and cope with your studies, given your chosen course. You will need to show them this letter and the completed enclosed APPLICATION FOR REPORTS - STUDENT CONSENT FORM.

Can I assure you that this request is entirely consistent with our normal practices with any of our students who become unwell for an extended period of time. We believe that we are not behaving responsibly unless we have medical confirmation of fitness to return and can plan to support your study with whatever recommendations are made by your consultant.

This information should be sent to (complete as appropriate) at the address below in order that we can set up a meeting as soon as possible to discuss any support that you will require.

Any information you provide is treated as confidential within the confidentiality code of the Department (enclosed). However it is often important for information regarding your support requirements to be passed to appropriate people to enable necessary provision to be made. I would therefore be grateful if you would complete and return the enclosed Data Protection form to authorise this as soon as possible.

I also enclose another copy of the Fitness to Return Checklist for Students, and the Medical consent forms which should be completed and returned.

Yours sincerely

130

Relevant staff memberStudent ServicesUniversity of Glamorgan,PontypriddSouth WalesCF37 1DLTel: 01443 482080Fax: 01443 482084Email:

Please take/send a copy of this letter to your consultant when requesting the statement

Enclosed: Course details from prospectus, Confidentiality code, Medical consent forms, Data Protection Form Fitness to Return Checklist for Students

131

UNIVERSITY OF GLAMORGANSTUDENT SERVICES DEPARTMENT

STUDENT CONSENT FORM

I have been informed of the Confidentiality Code of the Department of Student Services and hereby give my consent for the University’s Medical Officer to speak to my GP on the telephone:

GP Name:

Surgery Address:

Postcode:

Telephone number:

I understand that this consent form will be copied/faxed to the above and shall

have the validity of the original.

Name:

Address:

Postcode:

Signature:

Section 1: 132

UNIVERSITY OF GLAMORGANSTUDENT SERVICES DEPARTMENT

APPLICATION FOR REPORTS - STUDENT CONSENT FORM

1) I have been informed of the Confidentiality Code of the Department of Student Services and of my statutory rights under the Access to Medical Reports Act 1988 and hereby give my consent for:…………………………………………….. to apply for reports from the following

GP: Name Consultant: Name

Address Address

Phone Phone

Social Name Other: Name

Worker: Address Address

Phone Phone

I understand that this consent form will be copied/faxed to the above and shall

have the validity of the original.

2) I do / I do not* wish to see the reports before despatch

Signed Dated

* Please delete as appropriate

Section 1: 133

Section 1.14: Student Mental Health Policy

1 Introduction2 Aims and objectives – Statement and purpose of policy3 Context and legal framework4 Definitions and terminology5 What is ‘Mental health and emotional wellbeing?6 Roles and Responsibilities

- The role and responsibilities of the Institution- The roles and responsibilities of staff- The roles and responsibilities of student

7 Identification of and Support for Students with a disclosed mental health issue: Pre-admission and selection

8 Identification of and Support for Students with a disclosed mental health issue: Admission and Induction

9 Identification of and Support for Students with a disclosed mental health issue: post entry

10 Confidentiality and Disclosure11 Complaints and disciplinary issues12 Monitoring and Reviewing

Appendix 1: Useful LinksAppendix 2: Guidelines for Staff: Students with Mental Health

IssuesAppendix 3: Practical guidelines for staff supporting students

Section 1: 134

with possible mental health problemsAppendix 4: How to respond to Emergencies Involving Students

Experiencing Mental Health Crises

Section 1: 135

University of GlamorganStudent Mental Health Policy

1. Introduction1.1 It is now widely estimated that one in every four adults will experience some

difficulties with their mental health at some stage in their life35. Like physical health, mental health is something that everybody has. Just as with physical health, a person’s mental health can range from good to poor.

1.2 Going to University can be an exciting experience but sometimes it can be difficult. Students may experience homesickness, be worried about money, find the pressure of study too much, or be worried about fitting in. At times, these feelings can become overwhelming and impact on people’s mental health and wellbeing.

1.3 These experiences are very common and usually subside as students begin to settle more into University life. For some, however, these experiences can affect how well students function in any part of life, and can have a direct impact on feeling able to achieve their academic potential.

1.4 National studies have demonstrated that students are a vulnerable group in terms of mental health difficulties, and therefore it is recognised that appropriate support services, guidelines and policies need to be in place to meet the needs of all students36.

2. Aims and Objectives2.1 To formalise a consistent non-discriminatory and supportive approach to

mental and emotional wellbeing within the University of Glamorgan.2.2 To create an accessible framework for working with mental and emotional

wellbeing needs within the University of Glamorgan. 2.3 To identify roles and responsibilities within the University of Glamorgan in

meeting the needs identified for students with mental and emotional wellbeing issues.

2.4 To provide signposting to appropriate practical guidance for staff and students on mental health and wellbeing.

2.5 This policy supplements all other University policies and appropriate links are given throughout. Where a student’s mental health may be seen as a contributory factor in connection with matters addressed under any other University procedure, additional guidance is provided by this policy.

N.B. this policy is offered in addition to the provision of staff awareness training which is available from the Mental Wellbeing Advisers. Should you wish to arrange for staff training, please contact:Lynne Fisher, Senior Mental Wellbeing AdviserTel: 01443482080Email: MWS@glam.ac.uk

3. Context and legal framework35 http://www.mind.org.uk/help/research_and_policy/statistics_1_how_common_is_mental_distress 36 See AUCC Annual Survey 2002 which reports

One in ten students seeking university counselling is already suicidal The number of students seeking help from therapists is rising The emotional problem students experience are growing more severe

Section 1: 136

3.1 This policy is set within the context of legislation and good practice guidance which outline definitions and terminologies, duty of care, liability of negligence, and implications on roles and responsibilities.

Disability Discrimination Act 1995

Special Educational Needs and Disability Act (2001)  http://www.opsi.gov.uk/acts/acts2001/ukpga_20010010_en_1

Data Protection Act (1998) http://www.opsi.gov.uk/Acts/Acts1998/ukpga_19980029_en_1

AMOSSHE (2000)Good practice guide entitled ‘Responding to Student Mental Health Issues: Duty of Care Responsibilities for Students in Higher Education’ www.amosshe.org.uk

Equality Act 2010 (when it comes into force, it will replace the Disability Discrimination Act and other legislation relating to discrimination)

4. Definitions and terminology

4.1 The University of Glamorgan has an obligation to exercise a level of care towards an individual, as reasonable in all the circumstances, to avoid injury to the person. This includes employees of the University of Glamorgan, current students, potential students and visitors. This obligation is called a ‘Duty of care’. At times it is recognised that there will be conflicts in the University of Glamorgan’s obligation to provide duty of care e.g. when behaviour caused by mental distress causes concern for other students or staff members. Where these issues affect members of staff, they should be discussed with a direct line manager or the Deputy Director of student services. For further information on this including liability of negligence please refer to www.amosshe.org.uk

4.2 ‘Disability’ is defined as a mental or physical impairment which has an adverse effect on a person’s ability to carry out normal day-to-day activities, where the adverse effect is substantial and long-term (meaning it has lasted for 12 months, or is likely to last for more than 12 months or for the rest of their life) (see Disability Discrimination Act 1995 and, when it comes into force, the Equality Act 2010)

4.3 The University of Glamorgan has specific legal responsibilities towards students whose mental health and wellbeing falls within the definition of disability under the Disability Discrimination legislation. The legislation outlines areas of discrimination which are unlawful including:

“Direct discrimination” - where the student is treated less favourably on grounds of their disability. Direct discrimination includes “associative discrimination,” which is a new concept emerging as a result of EU legislation and legal decisions by the European Court of Justice and the domestic Employment Appeal Tribunal37. Associative discrimination might,38 therefore,

37 In the ECJ’s decision in Coleman v Attridge Law (A Firm) (C-303/06) [2008] All E.R. (EC) 1105, it was declared that the UK’s Disability Discrimination Act 1995could be interpreted to apply to associative discrimination in line with Directive 2000/78. It was subsequently decided by the ECJ that a UK employment tribunal therefore had jurisdiction to hear a claim by Coleman that she had suffered discrimination on the grounds of her son's disability, notwithstanding the fact that she was not herself disabled (EBR Attridge Law LLP (formerly Attridge Law) v Coleman (October 2009). This case has yet to be finally determined by the UK’s Supreme Court.

Section 1: 137

occur to a student who does not have a recognised disability but cares for someone with such a disability.

“Indirect discrimination” - indirect discrimination occurs when a policy or action which applies in the same way for all students has an effect which particularly disadvantages students with a disability (unless the person applying the policy can justify it). Indirect discrimination can also occur when a policy would put a student at a disadvantage if it were applied. This means, for example, that where a person is deterred from doing something, such as applying for a course, because a policy which would be applied would result in his or her disadvantage, this may also be indirect discrimination.

“Disability related discrimination” - where a student is treated less favourably for a reason related to their disability e.g. because of the consequences of their disability rather than the disability per se.

Failure to make reasonable adjustments - where such adjustments may ameliorate the effect of the disability on the ability to participate.

Victimisation - where unfavourable action is taken in consequence of an allegation that a student has been discriminated against.

5. What is ‘Mental health and emotional wellbeing’?

5.1 “Mental health is the emotional resilience which enables us to enjoy life and survive pain, disappointment and sadness. It is a positive sense of well-being and an underlying belief in our own and others’ ‘dignity and worth’”

(H.D.A., formerly H.E.A.)

5.2 For the purposes of this policy, the term ‘mental health difficulties’ refers to: long term mental illnesses or psychiatric conditions - which may be classified

as a disability under the DDA39. emerging mental health problems which may develop into conditions which

require ongoing support or intervention temporary debilitating mental health conditions or reactions which impact on a

student’s ability to fulfil their academic potential.

5.3 There is a range of conditions which come under the umbrella term ‘mental health difficulties’, including anxiety, depression, eating disorders, bipolar disorder, schizophrenia, obsessive compulsive disorder, and many more, as diagnosed by a relevant medical practitioner.

N.B Please visit http://counselling.glam.ac.uk/factsheets/ for further information booklets which give straightforward practical information on a range of mental health issues and contain resource lists for seeking further help.

38 The Coleman case concerns the employer/employee relationship, but is likely to be applied to the university/student relationship at some point and it would, therefore, be wise to anticipate such a development and assume its applicability.39 The DDA defines a disability as a “physical or mental impairment which has a substantial and

long-term adverse effect on [a person’s] ability to carry out normal day-to-day activities”.

Section 1: 138

6. Roles and Responsibilities

The role and responsibilities of the Institution6.11 Having regard for the Disability Discrimination Act 1995, (and the

Equality Act 2010 when that Act replaces the 1995 DDA) the University of Glamorgan aims to provide the widest possible access to those who wish to benefit from its educational activities and to remove any barriers which already exist to students with identified mental health issues, bearing in mind the constraints imposed by the campus and certain University buildings.

6.12 Once accepted on to one of its schemes, the University will aim to ensure that students with identified mental health issues are provided with the resources and facilities necessary to take a full part in the educational and social life of the campus as far as possible comparable to that of non-disabled students.

6.13 The University of Glamorgan will endeavour to ensure that its policies and provision in relation to disability exemplify the best possible practice and that it continues to develop and improve what is available.

6.14 The University of Glamorgan encourages students to disclose their needs at the earliest opportunity, both pre-and post-entry and to engage with appropriate services. The reason for requesting such information is to ensure the appropriate information, assessment and support is made available to the student. Without disclosure, there can be no offer of specific support. Therefore, students should be made aware in writing of the importance of disclosing a disability (whether their own or that of someone for whom they care, if their caring responsibilities are likely to impact upon their study) at the application stage , and a written statement to this effect should appear in all relevant literature, on the student intranet, University website etc.

6.15 When a disclosure is made, the University of Glamorgan will offer support services to students with mental health difficulties. For examples of support available please see information on Student Services40, chaplaincy41, and individual faculty advice shops. Liaison with services in the local community is also a responsibility and this includes the Community Mental Health Teams. It is not, however, the responsibility of the University of Glamorgan to replicate services that already exist in the community.

6.16 The University of Glamorgan has a responsibility to provide information on the nature and parameters of the support offered, and by whom the support is offered, through appropriate literature and contact with staff.

6.17 The University of Glamorgan has a responsibility to make clear the roles and responsibilities of staff engaged in contact work with students with mental health difficulties in the context of the duty of care that is owed to students and the staff themselves. This includes making explicit the

40 http://glamlife.glam.ac.uk/pages/3017-student-services

41 http://glamlife.glam.ac.uk/pages/3045-chaplaincy

Section 1: 139

boundaries of personal and professional involvement to avoid both staff themselves and students being at risk through inappropriate referral or action.

6.18 Training, staff development and support in relation to mental and emotional wellbeing is offered through the Mental Wellbeing Advisers to all relevant staff to enable them to undertake their roles and responsibilities in providing support to students with mental health difficulties efficiently and effectively.

For information on support services offered by the Counselling and Mental Wellbeing Services please see http://counselling.glam.ac.uk/ or http://mentalwellbeing.glam.ac.uk/

The roles and responsibilities of staff

6.21 Students with mental health difficulties should be responded to in a non-stigmatising, well informed and empowering manner.

6.22 All staff should take the opportunities provided through training, written information, and discussion to be informed lay people regarding mental health.

6.23 Staff should be clear about their duty of care responsibilities in relation to mental health difficulties. Staff should be familiar with the section on duty of care in this guide. Any areas of concern should be discussed with the line manager, head of department/faculty or Deputy Director of Student Services. Details on how to refer can be found on the counselling and advisory pages http://studentservices.glam.ac.uk/howtorefer/

6.24 When developing or reviewing departmental procedures and policies the needs of students with mental health difficulties (and of students caring for those with mental health difficulties) should be considered. Publications should encourage students to declare their support needs at the earliest opportunity.

6.25 Staff should be as informed as possible, and opportunities of supporting students taken wherever possible. However it is crucial that everybody recognise their own personal and professional limitations when offering support. Part of being informed and responsive is about knowing when and where to refer on. Specialist help or advice should be sought as appropriate. If in doubt, contact a Mental Wellbeing Adviser, Student Counsellor, Health Centre Nursing Staff or Deputy Director of Student Services.42 Knowing when and to whom to refer may help avoid those cases where a student becomes overly dependent on a member of staff to the point where the staff member is forced into acting in a rejecting manner. Appropriate training in Mental Health Awareness and the Role of the Mental Wellbeing Adviser should be made available as part of Disability induction training.

6.26 The University’s Student Services department offers a range of services, offering information, advice and support to students. 43

42 A complete staff guide to student services is available for download from http://inform.glam.ac.uk/media/files/documents/2009-02-19/Staff_Guide_to_Student_Services_08-09.doc

43 To get an overview, you may find the Student Services Directory helpful http://pages.glam.ac.uk/pages/3017

Section 1: 140

6.27 Whenever staff are concerned about a student’s mental health and action is taken, all decisions and actions taken should be recorded. Ensure that when recording any personal information that it is done in line with the University of Glamorgan’s policy on Data Protection44.

The roles and responsibilities of the student

6.31 Students are encouraged to disclose any disability (including mental health difficulties – whether their own or those of someone for whom they have caring responsibilities) to the University of Glamorgan at the earliest opportunity to help us to make the reasonable adjustments to meet their needs and to enhance their learning experience. This information will be dealt with in accordance with the Student Services Confidentiality Code45.

6.32 Students are encouraged to take an active role in, and responsibility for communicating their needs and seeking support within the University of Glamorgan at the earliest opportunity.

6.33 Students will be encouraged to take care of their own mental health and to seek help and support early when they start to feel mentally vulnerable.

6.34 Students should be helped to be aware of when their behaviour, arising out of their mental health difficulty, impacts negatively on those fellow students and staff with whom they are in contact. This may be encouraged through liaison with the Mental Health Adviser.

6.35 Students with mental health difficulties need to consider how, if they refuse to accept a recommended treatment, this may impact both on their own well-being and that of those with whom they are in contact.

6.36 If a student does not want any information shared within the University of Glamorgan or wider, the support which can be provided may be restricted and subsequently have an effect on academic achievement. However, the request will be respected within the application of the confidentiality code and the student will be advised of the implications.

6.37 Students supporting fellow students should know what their personal limitations are, and when and where to refer to for further help. Staff who become aware of such students should refer them to the Mental Health Adviser.46

6.38 All students have their own part to play in working towards a non-stigmatising community.

7. Identification of and Support for Students with a disclosed mental health issue: Pre-admission and selection

7.1 It is the intention of the University of Glamorgan to ensure that applications received declaring mental health issues are processed in line with the Single Equality Scheme and academic suitability. The likely interaction between impairment or illness and previous academic performance or intended course of study is borne in mind when considering applications. To this end it is essential that all those responsible for admissions be satisfied that the requirements for reasonable adjustments can be met.

44 http://www.glam.ac.uk/profile/442

45 Student Services Confidentiality Code http://glamlife.glam.ac.uk/pages/3017-student-services

46 How to ... refer students causing significant concernhttp://studentservices.glam.ac.uk/howtorefer/

Section 1: 141

7.2 We encourage prospective students to visit us before making an application in order to get some impression of whether this will be a suitable place to study.

7.3 Within the constraints of our campus locations and the possible need for inter site travel (for which assistance is available in appropriate cases), the University of Glamorgan will aim to ensure that, once accepted on to one of our schemes, students will be provided with the resources and facilities to take a full part in the educational and social life of the campus as far as possible comparable to that of non-disabled students.

7.4 Prior to enrolment; great care should be taken to encourage applicants to provide us with all the necessary information, to enable University of Glamorgan to provide appropriate support during their studies.

7.5 Assistance is given to students to apply for Disabled Students Allowances (DSAs) and other kinds of financial support. The University of Glamorgan believes that the provision demonstrates best possible practice47.

7.6 Once a prospective student has applied to the University of Glamorgan, and has declared on the application form that they have a specific need arising from an impairment or medical condition, and are considered to be suited academically for the chosen area of study, they will be contacted personally by an adviser, and invited to discuss requirements in greater depth. Often this can be done by letter or telephone, but in some cases applicants will be invited / recommended to attend the University to do this in more detail, including meeting with members of the faculty.

7.7 The purpose of this meeting is to enable the prospective student to assess whether the University of Glamorgan is able to meet all of their needs; it is also intended to help them decide whether or not to accept a place at the University if offered. The University of Glamorgan will assist with the costs of such attendance if that is necessary.

7.8 If we are unfortunately unable to offer a place on a course, then the application is referred to a designated member of the Directorate in order to ensure that the declaration that they have a specific need arising from impairment or medical condition has not influenced this decision. The University seeks to ensure that all applications are dealt with in accordance with our Single Equality Scheme, the Disability Discrimination Act (1995), and, in compliance with the requirements of the Data Protection Act 1998; all information is treated as confidential.

7.9 In addition to providing an opportunity to consider accommodation and other support arrangements, one of the important areas considered in this advisory meeting addresses any specific arrangements that will need to be made for teaching, assessment and examinations. This will lead, where appropriate, to an Individual Support Plan and the student.

7.10 These arrangements take into account the best practices learned from active involvement with local and national groups such as SKILL, MIND, and Mental Health Foundation, members of whom contribute regularly to staff

47 PROSPECTIVE STUDENT HANDBOOK

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development programmes for teaching and support staff and for student support workers. This enables the service to maintain a comprehensive network of non medical helper support as well as assisting students to select and employ their own non-medical helpers if they need them.

7.11 We monitor and evaluate our support services internally through our annual monitoring of academic programmes, through the Equality & Diversity Committee which meets regularly and includes student representatives. In addition, our provisions are reviewed externally through Funding Council Quality Assessment procedures. All external reports to date have been complimentary of the University’s provision for disabled students.

8. Identification of and Support for Students with a disclosed mental health issue: Admission and Induction

8.1 The University of Glamorgan acknowledges that it is important that specific requirements due to disability, including mental health, are identified as early as possible, so that necessary arrangements may be made to facilitate an inclusive environment. Students are asked to give their written consent to the sharing of confidential information with relevant University staff. Early identification is arranged in the following ways:

i. At application, students self-identify through the UCAS and University application forms.

ii. On acceptance of an offer of a place on a scheme at the University, students requiring assistance with accommodation return a form to Accommodation Services48 which includes information relating to specific residential requirements.

iii. On presentation at the health centre, students are asked to complete a medical registration card, which includes information concerning illness, and other specific needs. This information is held in confidence by the Health Centre Staff at the Health Centre. Treatment procedures and any other specific requirements will be discussed on registration.

iv. Students who are resident in University Halls of Residence are required to complete registration cards for accommodation staff on which they are invited to provide information concerning disability or any other specific needs;

v. Students joining the Sports and Recreation Membership Scheme are required to complete an application form on which they are invited to provide information concerning impairment or chronic illness.

vi. Direct contact with a Disability Adviser and Faculty Disability Co-ordinator.

Information obtained in (ii), (iii), (iv), (v), (vi) and (vii) above is treated in the strictest confidence by the person receiving it. In appropriate cases, the student will be offered an interview, and may be recommended to inform other appropriate officers of the nature of the necessary reasonable adjustments.

48 http://www.glam.ac.uk/accommodation

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9. Identification of and Support for Students with a disclosed mental health issue: post entry

9.1 Many students will not have declared any mental health needs at application or prior to entry. Particularly because of the continuing problems over stigma and mental health in society, this is very commonly the case.

9.2 The first time that a possible mental health difficulty or history of previous mental ill-health is identified is often in a chance conversation after entry or in the wake of a particular ‘crisis’ or time of stress (e.g. at examination time). There are also often cases when fellow students detect a problem, which they bring to the attention of other members of the University community. 49

9.3 In all such cases a protocol needs to be followed by any staff member who becomes aware of any difficulties (see mental health protocol). 50

9.4 Should a student feel that they could benefit from specialist support contact should be made with Student Services at C Block on: 01443 482080 to arrange an appointment with a Mental Wellbeing Adviser.

9.5 Details on services available to meet the needs of students with mental health and wellbeing issues are available to view on Glamlife.51

9.6 The Disability and Dyslexia handbook is available to download 52.The purpose of this handbook is to provide students with necessary information to access available support. When a student meets with a Mental Wellbeing Adviser, they will be guided to the sections which are relevant to them at the time. Over time their circumstances and therefore the support may change.

10. Confidentiality and Disclosure

10.1. It is important that students with mental health difficulties (whether their own or those of anyone for whom they have caring responsibilities) can feel assured that any information they provide will be treated as confidential and that it will not harm their academic standing. Doctors, nurses, counsellors and chaplains are all required to observe confidentiality in accordance with their professional codes and as with the mental health advisers, within the limits of the Student Services Confidentiality Code.

10.2. The University has a clear and transparent mechanism for communicating information to those who need to know about a student’s disability, based upon obtaining the student’s written consent to disclosure. Some students, however, will choose to withhold their consent and it is always important to respect a student’s right to confidentiality. However, confidentiality can become an issue if staff or students have real concerns about a student’s well-being. Student Services has a Code of Practice on Confidentiality which provides guidance on what action to take in circumstances where the commitment to confidentiality should be extended.53

10.3. Those students who know themselves to be vulnerable to having mental health difficulties should seriously consider making this known as it

49 How to Respond to Emergencies Involving Students Experiencing Mental Health Criseshttp://inform.glam.ac.uk/media/files/documents/2008-11-03/how_to_respond_to_students_experiencing_mental_health_crises.doc

50 Guidelines for Staff on Mental Health Awareness 51 Support available http://dds.glam.ac.uk/52 Download a copy of the DDS handbook http://dds.glam.ac.uk/media/files/documents/2008-09-02/DDS_handbook.pdf53 For further information on Confidentiality Code and Data Protection please see: http://mentalwellbeing.glam.ac.uk/confidentiality/

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then increases the chances of the University being able to respond appropriately and with understanding. The consequences of not disclosing may well result in insufficient support and possibly inappropriate responses.

10.4. All personal data kept must be recorded and stored in line with the University of Glamorgan’s Data Protection Policy. 54

11. Complaints and disciplinary issues

11.1. All students are subject to rules and disciplinary procedures and hence this includes students with mental health difficulties. The University of Glamorgan acknowledges that there is a danger that disciplinary procedures may be used inappropriately to deal with students whose behaviour may not fit the ‘norm’, or where constant re-offending is due to obvious mental ill-health. In such circumstances consideration of support needs will first be needed before further action and an alternative to the normal disciplinary route may be necessary. Please see Intervention Policy for Students Causing Significant Concern (fitness to study).

11.2. The institution will have a responsibility to deal with such students to ensure that they do not qualify to practise in a profession when they are deemed not fit to do so. For information on the University of Glamorgan’s Policy and Procedure Governing Fitness to Practise.55

11.3. The University of Glamorgan seeks to resolve as quickly and fairly as possible any complaint a student may have, as an individual, about services provided by the University or treatment by any staff member, student or visitor.56

11.4. The purpose of the complaints procedure is to provide an opportunity for such students to resolve the problems or concerns they have. Where concerns relate to academic programmes, students should raise them through these procedures so that they can be resolved before the assessment stage.

11.5. Allegations of harassment by a student or member of staff fall under Dignity at Work Policy. Students believing they are being harassed in any way should first seek the advice of their faculty harassment adviser. The Students’ Union or Student Services can also help.

12. Monitoring and Reviewing12.1 The Equality and Diversity Committee Structure reports to Directorate

and is responsible for monitoring the implementation of this Policy.12.2 The FQAC ensures that the faculty considers and reports on their

provision for student welfare as part of the annual course monitoring process.

12.3 The policy will be reviewed on an annual basis to aim to maintain accuracy.

54 For further advice on this please liaise with the University’s Data Protection Officer is Matthew Phillips, Information Compliance Manager or by going to http://lcss.glam.ac.uk/ig/dp/55 http://hesasstudents.glam.ac.uk/media/files/documents/2008-09-18/handbook.pdf56 For more information on regulations and procedures please see http://glamlife.glam.ac.uk/pages/3026-regulations-and-procedures

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Appendix 1

Useful Links

Counsellinghttp://counselling.glam.ac.uk/what_is_counselling/ Emergency Procedures in the case of Fire, Accidents, illnesses and medical emergencies – this is covered in the Contingency Management Plan Document under appendix 4http://inform.glam.ac.uk/media/files/documents/2008-12-15/ContingencyManagementPlanApp_4.doc

Mental Health Protocol: Guidelines for Staff on Mental Health Awareness http://studentservices.glam.ac.uk/counselling/

Health Service http://health.glam.ac.uk/

Information on mental healthhttp://counselling.glam.ac.uk/factsheets/

Mental Wellbeing Advisershttp://mentalwellbeing.glam.ac.uk

Out of hours supporthttp://mentalwellbeing.glam.ac.uk/outofhours/ Protocol for Responding to the Death of a Student – this is covered in the Contingency Management Plan Document under appendix 18http://inform.glam.ac.uk/media/files/documents/2010-02-17/Death_of_a_Student_2009-10-_APPDX_18.pdf

Protocol for Responding to Reports of Missing Students – this is covered ion the Contingency Management Plan Document under appendix 20http://inform.glam.ac.uk/media/files/documents/2010-02-17/Missing_Student_Protocol_2009-10_-_APPDX_20.pdf

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Appendix 2

GUIDELINES FOR STAFF – STUDENTS WITH MENTAL HEALTH ISSUES

Produced by Student Services DepartmentAugust 2010

Introduction

The University has a duty of care towards students and these Guidelines have been written to enable staff to help meet these obligations. We recommend that they are read in conjunction with the University of Glamorgan Mental Health Policy.The guidelines are designed to help staff clarify the nature of a student’s difficulties and to take appropriate action or make effective referrals.

staff who are aware of a student in distress should make them aware of the help available and encourage them to use it;

Staff who aware of a student in extreme distress or danger should summon the appropriate help.

Research has indicated that a higher percentage of students have poorer psychological and physical health than non-students of the same age and sex. Mental health difficulties such as anxiety and depression are increasing among students and other difficulties such as eating disorders or self-harm can be severely debilitating, leading to withdrawal from studies if effective support is not accessed.

Brief Guidelines for staff regarding students with mental health difficulties

1. Does the student’s behaviour or appearance trouble you?

2. Is there a change in the student’s behaviour or appearance?

3. Talk to the student, there might be reasons other than mental health difficulties. If so, consider referral to one of the University’s student support services.

4. If the student does not appear to have mental health difficulties, will they agree to be helped by a referral to a support service? (see below)

a) YES

Give the student the information on support services shown in this booklet, for them to make an appointment

If they are not able to make the appointment, gain their explicit consent to make an appointment for them. Complete a referral form which you can download on http://inform.glam.ac.uk/HowTo/Refer/ Write the details of the appointment down for them.

b) NO

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If there is a risk of suicide or serious harm to the student or someone else you may reveal the student’s identity and share what they have told you with University Health Centre Nursing Staff or Counselling & Advisory Centre Manager or in extreme situations dial 2100 for emergency services.

If the situation is not urgent, talk the issue through with a Mental Wellbeing Adviser, University Counsellor, Deputy Director of Student Services or University Health Centre Nursing Staff, without revealing the student’s identity in order to gain support and to try to create a way forward. Consider carefully whether you can offer useful support to the student and if you can, what you can realistically offer.

If you have some concerns and the student does not wish to be referred, you can complete a referral refusal form which you can download from http://inform.glam.ac.uk/HowTo/Refer/

5. Keep a secure record of any action you have taken

Identifying difficulties

As a member of staff you might be worried about a student’s behaviour or appearance, or just be unsure about whether you have cause for concern. There are occasions where a student might approach you to talk about distressing personal matters. Each contact with a student can be used to build up a picture on which to base your decision about further action.

If you do not have regular contact with the student you might wish to pass your concerns on to staff who are in more regular contact, or inform your manager.

If you do have regular contact with the student and are concerned about their attendance, academic standards, general demeanour or behaviour, then it will be appropriate to offer support or refer to others who can help.

Consider the following signs of possible distress:

BehaviourChange in pattern of attendanceDelays in submitting workLack of concentration/pre-occupationDoing too much work, perhaps ineffectivelyAggression/over-reaction to situationsDisruptive behaviour/very loud voice/fast talking pace

MoodMarked or sudden change of moodTension, anxiety, lack of interest, miserable, lonelyPoor concentrationLittle or no emotion in response to bad newsLoss of energy, motivation, and possibly sleep

What is the student telling you?The student might think their thoughts are uncharacteristically slow or fast, or that they are different somehow, or that their environment has changed. Ask questions at the time or later to clarify their story, particularly if it seems contradictory to what others have told you or what you have observed.

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ListenIt is important to listen long enough and actively enough to help the student clarify their problem. It is important to suspend judgement, avoid interrupting and to focus on the concerns of the student.

Other information

Are the student’s friends, housemates or other staff telling you something about the student that indicates a difficulty? If you have only received information from others, ask the student in question if they are experiencing any difficulties, or explain your concerns in a sensitive manner as a way of opening up conversation.

If the situation does not appear to be urgent, see the student again and enquire in a natural, casual way about how they are. You might need to ask other people if they have noticed a problem, including academic performance. Also consider consulting:

Student’s Academic /Personal tutor Faculty Advice Shop University Health Centre Mental Wellbeing Adviser Student Counselling Service Senior Resident Tutor Disability Adviser Chaplaincy Student Support Services

If the situation is urgent, decide on the most appropriate referral immediately

Deciding on further action

Early enquiries and appropriate referral means that personal problems can be tackled and possibly resolved. Having established sufficient information, your action will depend on the urgency of the situation.

Risk of serious harm to the student or others must be treated as urgent. Confidentiality and privacy can be protected only where individuals are not threatening or causing serious harm to themselves or others.

SUGGESTED RESPONSES TO PSYCHOLOGICAL CRISES

Severe situations

For example – student has taken an overdose.

(a) If the student will accept help

This is a severe self-inflicted injury that needs medical attention. Call the University emergency number 2100 (call 999 from the ATRiuM) and ask for an ambulance. Record details of what has been taken in case the student is not conscious by the time the ambulance arrives.

Ask the student for permission to contact them later, to see how they are and ensure that any such follow up plans are carried out.

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(b) If the student will not accept help

If a student is violent or refuses to co-operate, the ambulance service will normally involve the police, so give information about any violence or non-compliance to the telephone operator. The police have powers to remove the person to a place of safety where a doctor and Approved Mental Health Practitioner can properly asses them.

In particular, a student who has expressed the view that life is not worth living is at risk. Some students might take a small overdose as a “cry for help” (parasuicide). However, this is high risk behaviour.

Less severe psychological emergencies

Example: Student is having hallucinations but is not putting self or others at risk.

Office hours Contact

The University Health Centre who can arrange a medical assessment if the student is willing.

Out of Hours ServiceContact

NHS Direct Wales on 0845 46 47www.nhsdirect.wales.nhs.uk

Or The Student’s GP Practice. A recorded message will give the out of hours

service number for the area (currently 08456010110 for RCT residents and 02920 444500 for Cardiff Residents)

Or If the Student is a Halls resident contact the Accommodation Lodge on 01443

482845 who will be able to contact the relevant member of resident staff.

Example: Student in extreme panic over exams and very tearful

Good listening in the first instance will be helpful. Give the student time to explain their fears and circumstances but try not to judge or dismiss these fears.

If the student is willing and able to talk about their situation, refer them to the appropriate part of student support services – e.g. Student Mental Wellbeing Advisers, Student Health Service or the Student Counselling Service. It is usually best for the student to make their own appointment, however if they are too distressed but obviously willing to attend, an appointment can be made for them. You may prefer to complete a referral form at http://inform.glam.ac.uk/HowTo/Refer/There are counselling appointments available every day during term time for urgent situations. These appointments can be booked on the day from 8.45 am.

Ask the student for permission to contact them again or make arrangements to see them, to find out how they are. This information is not normally given by the Health Centre or Counselling and Mental Wellbeing services. The Counselling and Mental Wellbeing services are able to share if the student has attended a first appointment on request of the referrer and agreement by the student.

Non urgent situations

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Example: student has difficulty functioning academically or socially and seems isolated.

Follow these guidelines on gaining information. Establish what type of help the student needs and refer to Student Services, Academic Tutor, Advice Shop or Health Centre.

If the student will not accept help there might be little you can do unless a crisis develops. You can talk the situation over with a mental wellbeing adviser, a counsellor or Health Centre Staff who might be able to help you find a way forward. For further advice and information please see http://inform.glam.ac.uk/HowTo/Refer/

Following any of the above situations inform your Head of Department or manager, keeping a note of your interactions with the student, including any action taken. Any records should be securely kept. Use the guidelines in this booklet on confidentiality and sharing information.

MAKING A REFERRAL

1) Difficulties with mental healthRefer only to the Student Mental Wellbeing Advisers, Student Health Service, Student Counselling Service or the Emergency Services using the information below.

2) Other difficultiesRefer to support services listed in this booklet.

Making a referral for mental health reasons

Students with mental health difficulties should be encouraged to seek the help of their GP and/or a student mental wellbeing adviser or a student counsellor.

Procedure for using the University Mental Wellbeing Service

The Service is provided free of charge for all students of the University and is open during the following times:

Trefforest Mon – Thurs 8.30am – 5.00pmFri 8.30am – 4.30pm

Cardiff ATRiuM Mon 1pm – 5.00pmWeds 1pm – 5.00pm

The student will be offered an assessment session with the first available mental wellbeing adviser. Mental wellbeing adviser appointments usually last about 50 minutes and if regular support and advice is required this will be discussed with the student. Early referral is important so that the student’s situation can be assessed and any immediate needs responded to promptly.

To book an appointment students in Trefforest can call into Reception in Student Services (C Block) or telephone on 01443 482080. Students in Cardiff can call into the Advice Shop Reception or telephone on 01443 668541. Students are more likely to keep their appointment if they make it, rather than agreeing to an appointment made by a member of staff. However, if the student is unable to contact the Service, appointments can be made by tutors.

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For further information and leaflets about the Mental Wellbeing Service can be obtained from Student Services or via http://mentalwellbeing.glam.ac.uk

Procedure for using the University Counselling Service

The Service is provided free of charge for all students of the University and is open during the following times:

Trefforest Mon – Thurs 8.30am – 5.00pmFri 8.30am – 4.30pm

Cardiff ATRiuM Tues – Thurs 8.30am – 5.00pmFri 8.30am – 4.30pm

The student will be offered an assessment session with the first available counsellor. Counselling appointments usually last about 50 minutes and if regular counselling is required this will be discussed with the student. The Service is in heavy demand and clients might have to wait for regular appointments after their assessment session. Early referral is therefore important so that the student’s situation can be assessed and any immediate needs responded to promptly.

For urgent situations the Service offers daily appointments each working day during term time in Trefforest Campus, and Tuesday to Friday in Cardiff Campus. These appointments can only be booked on the day.

To book an appointment students in Trefforest can call into Reception in Student Services (C Block) or telephone on 01443 482080. Students in Cardiff can call into the Advice Shop Reception or telephone on 01443 668541. Students are more likely to keep their appointment if they make it, rather than agreeing to an appointment made by a member of staff. However, if the student is unable to contact the Service, appointments can be made by tutors.

Further information and leaflets about the Counselling Service and counselling process can be obtained from Student Services or via http://counselling.glam.ac.uk/

Procedure for using University Health Centre

The University Health Centre is part of the Student Services department and provides health information and can arrange referrals to specialists. GP surgeries are held at the Health Centre in T Block several times a week. Nurses offer advice and information and are available for consultation in the Health Centre or on the telephone without an appointment. Opening hours are:

Mon – Thurs 9.00am – 5.00pmFri 9.00am – 4.30pm

Members of staff are welcome to speak to Health Centre Staff to discuss their concerns about a student. The Student Services confidentiality code is in operation and the Health Centre does not give information about students in normal circumstances. All students living on campus and locally in Trefforest are advised to register with the University Health Centre and a local doctor if they have moved away from home. Details are available from the University Health Centre. Nursing staff can arrange/advise on getting a medical assessment.

Students living in Cardiff can register with the ATRiuM Health Clinic at the Health Centre or by collecting a registration pack from the CCI Advice Shop in the ATRiuM.

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Other local GP practices in Cardiff can be found at: http://www.wales.nhs.uk/sites3/localservices.cfm?orgid=262&type=gp

GUIDELINES FOR SHARING INFORMATION

Protocol

1 Consent should always be sought from the individual before information is shared. Anyone who provides information must not be deceived or misled as to who is requesting the information and the purpose(s) to which the information will be put.

2 Sharing information without consent should only be done in the vital interests of the student or the person who is the subject of such information (the data subject).

3 Only the minimum essential personal data should be shared as is necessary for a given function to be carried out.

4 Only those individuals who need access to personal data should have access to it, and only to the specific information they need.

5 Everyone with access to personal information should be aware of their responsibilities and obligations to respect confidentiality. These are defined in the Data Protection Act.

6 The reasons why information is being shared must be recorded, along with the outcome of the disclosure. Retention of information should be justified and not kept longer than is necessary for that purpose.

HELPING STUDENTS TO ACCESS APPROPRIATE SUPPORT

Academic problemFaculty Advice Shop Academic tutor Education Drop in Centre (LRC)

Accommodation Accommodation Office Resident Tutors

Alcohol /drug misuseStudent Counselling ServiceMental Wellbeing ServiceStudent’s GPUniversity Health CentreTEDS - Taff Ely Drug & Alcohol Support based in Student Union

Anxiety/Panic AttacksStudent Counselling and Mental Wellbeing ServicesStudent’s GPUniversity Health Centre

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BereavementStudent Counselling and Mental Wellbeing ServicesChaplaincy

DepressionStudent Counselling and Mental Wellbeing ServicesStudent’s GPUniversity Health Centre

Disability or DyslexiaDisability & Dyslexia Service Faculty Co-ordinators

Eating DistressStudent Counselling and Mental Wellbeing ServicesStudent’s GPUniversity Health Centre

Financial problemStudent Finance AdvisersStudent Union

GrievanceStudent Services

Harassment (Sexual or Racial)Student Counselling and Mental Wellbeing ServicesDignity at Work Officers (list from HR or Student Services)Student Union

Health problemUniversity Health CentreStudent’s GP

Immigration problemInternational Student Adviser

Relationship problemStudent Counselling and Mental Wellbeing Advisory ServiceChaplaincy

Religion and BeliefChaplaincy – includes representatives of all world major faiths to help

Self HarmStudent Counselling and Mental Health ServicesUniversity Health CentreStudent’s GP

Service Contact Details

Accommodation Services

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The Lodge,Glamorgan Court Hall of ResidenceTel: 01443 482041Email: accom@glam.ac.uk

Chaplaincy20 Llantwit RoadTel: 01443 644060Email: chaplaincy@glam.ac.uk

Education Drop- In CentreTrefforest campus:Ground Floor, Learning Resources CentreTel: 01443 482990Glyntaff campus: GT 102Tel: 01443 483836Cardiff Campus: LRCTel: 01443 668674 Email: dropin@glam.ac.uk

Health CentreT Block, Trefforest CampusTel: 01443 482081Email: health@glam.ac.uk

Out of Hours Medical supportContact

NHS Direct Wales on 0845 46 47www.nhsdirect.wales.nhs.uk

NHS Direct Wales also provides: Advice on health conditions Local healthcare services in the area, such as dentists, doctors and

Pharmacy opening hours Details of support and self help organisations

Or The Student’s GP Practice. A recorded message will give the out of hours

service number for the area (currently 08456010110 for RCT residents and 02920 444500 for Cardiff Residents)

Student Services:Careers; Counselling and Mental Wellbeing Services; Disability & Dyslexia Service; Finance; International Officer. C Block, Trefforest campus. Tel 01443 482080 Email: stuserv@glam.ac.uk

Local Support Services

Cruse Bereavement CareMerthyr and RCT branch 01685 876020Cardiff and the Vale 029 2022 6166

MIND (National Association for Mental Health)Information line 0845 766 0163

Rape & Sexual Abuse Crisis Line

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02920 373181

RELATE (formerly Marriage Guidance Council)Call 0300 100 1234 to find your nearest RELATE

Samaritans 08457909090

Taff Ely Drug & Alcohol Service (TEDS)01685 880090

Wales Domestic Abuse Helpline0808 80 10 800

Victim Support0845 30 30 900

DEFINITIONS OF MENTAL HEALTH PROBLEMS

A mental health problem can be defined as psychological distress/disturbance which interferes with the individual’s ability to function normally. It can be of short or chronic duration and range from mild to severe in the effect it has on both the student’s day to day life and academic performance.

Mental health problems in studentsThe majority of mental health problems encountered in students are mild to moderate in severity. Severe psychiatric illness such as schizophrenia and manic depression occur less frequently.

Students might already have experienced mental health problems when they arrive at University, although many of these will not declare this on application forms because of concern about being negatively judged. A significant number of students develop mental health problems whilst at University, perhaps precipitated by the stress of leaving home, relationship problems, study difficulties and using alcohol and other drugs.

DepressionDepression causes chronic low mood and a sense of worthlessness, with difficulties sleeping and concentrating. Depression can vary in severity from mild to, at its most severe, life threatening. Any mention of suicide must be taken seriously.

AnxietyAnxiety occurs when a person feels threatened, and when they believe they will not be able to cope with the threat. Symptoms include headaches, muscle aches, dizziness and worrisome, repetitive thoughts. There is also difficulty in concentrating and in chronic situations physical exhaustion and general ill health.

Panic attacksThese can often occur at stressful times. Symptoms include palpitations and over-breathing, pins and needles and muscle spasm. The attacks are very distressing but will not cause any immediate harm.

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Eating distressMore common in females than males, these problems are extremely distressing and sufferers often go to great lengths to hide the problem. Anorexia presents as the extreme limiting of food calorie intake, often combined with excessive exercise. Bulimia is a pattern of self-induced vomiting, often following a binge of food.

Self injury This is quite common and usually involves cutting (or sometimes burning) the body. People sometimes do this to block out difficult emotions for a short time, or to externalise emotional pain. This is unlikely to be intended as a suicide method, and harm inflicted is usually not severe. However, using dirty implements, or cutting too deep by mistake can cause more serious harm.

PsychosisIllnesses such as schizophrenia and hypo-mania are uncommon but more severe. They include a loss of insight into mental state and can require urgent medical attention. With treatment people with a psychotic illness can lead normal lives. When ill they might exhibit bizarre behaviour: dis-inhibition, hearing voices or paranoid delusions. They might deny that they need help as they lack the insight to realise that they are ill. Psychotic illness can be precipitated by ‘hard’ or ‘soft’ drug use.

University of Glamorgan Mental Health Policy

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Appendix 3

Practical guidelines for staff supporting students with possible mental health problems

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How do you know there is a problem?

the student told you? other students or staff have voiced their concerns? you've noticed significant changes in a student's appearance - excessive weight loss/gain?

- decline in personal hygiene? you've smelt alcohol or cannabis on the student on a regular basis? you've noticed changes in the mood of the student? - withdrawn, miserable, hyperactive, sad you've noticed recent changes in the student's behaviour? the student’s academic performance has changed dramatically? the student been experiencing these problems for a significant amount of time?

Yes to any of above?

Be proactive. Try to talk to the student and be prepared to listen. The situation may only require listening

Remember time constraints – be honest with the student and yourself about how much time you have

If you feel there is a problem

Student will not accept help Student wants to talk about their problems

Respect the right of the student if they do not want to discuss their problems or seek help

You are still concerned about the student

Speak to your head of dept/college, Mental Wellbeing Adviser or Deputy Director of

Student Services and ask for advice

Try not to give the student advice that isn't part of your role/jobYou do not need to solve the

problem

Listen and try to help the student identify what sort of help they need e.g.

- study- alcohol- drugs- depression- abortion/pregnancy- sexual health

Offer an open invitation to come back and talk to you

Have a look on Glamlife/Inform – there are many services available on and off campus

Sometimes it is difficult to identify a source of help, in

such cases refer the student to somewhere that is acceptable

to them

It can be stressful helping a student, remember to look after yourself and seek

support and help from others

Appendix 4

How to Respond to Emergencies Involving Students Experiencing Mental Health Crises

This procedure is for dealing with students who might be experiencing a mental health crisis that requires immediate attention.

Examples of emergency requiring immediate action are:

a student who discloses that they have taken a large overdose. This is a severe, self-inflicted injury that needs medical attention.

a student whose behaviour is putting them or others at serious, immediate risk. The student may or may not understand the risk involved.

a student who expresses the view that life is not worth living is at risk. Some students might take a small overdose as a “cry for help” (para suicide).

Action 1. If the student will accept help

Call the University emergency number 2100 and ask for an ambulance, giving as much information as you have about the situation for passing on to the emergency services. Stay with the student and if the student has taken an overdose, record details of what has been taken in case the student is not conscious by the time the ambulance arrives.

Action 2. If the student will not accept help

If the student is violent or refuses to co-operate, do not put yourself at risk, but seek assistance from other staff, then follow Action 1 above giving information about any violence or non-compliance. The emergency services may then also contact the police, who have powers to remove the person to a place of safety where a doctor and social worker can properly asses them.

Record the incident and inform your line manager. Decide what needs to happen next. This might include:

getting support for yourself from colleagues, staff counsellor; identifying what support might be needed for the student – contact the

Counselling & Mental Wellbeing Services at Student Services.

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Section 1.15: Disciplinary Procedure for Halls Residents

1 Introduction2 Informal Cautions3 Formal Warnings4 Additional Measures5 University Regulations6 Rights of Appeal7 Sources of Advice8 Office of the Independent Adjudicator

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Disciplinary Procedure for Halls Residents

1. Introduction

This policy applies to residents living in halls of residence in the Treforest Campus. This policy is in effect for the 2011/12 academic year.

As a resident, you are responsible for acquainting yourself with the general University Regulations and the document: http://academicregistry.glam.ac.uk/media/files/documents/2010-12-14/Regulations_Governing_Student_Conduct_1011.doc

Disciplinary action may be taken against any resident who is found to be disregarding the Regulations and Conditions of Occupancy, and/or whose conduct has been the cause of problems within the Halls

community, or whose conduct on campus has a negative impact on the reputation of

the University.

The action taken under the Disciplinary Procedure for Halls Residents will depend on the nature of the incident, and will be determined as below. In addition, a notification of the incident may be sent to your Dean who may deal with the behaviour under the University Regulations Governing Student Conduct. These include provision for fines, compensation, suspension and expulsion from the University.

Disciplinary actions will also be taken against any resident whose guest(s) or visitor(s) are involved in an incident / misconduct. Residents are held fully responsible and accountable for the actions of their visitors and guests. The level of disciplinary action taken against a hosting resident will normally match the level of action that would have been taken against the guest, if the guest were a resident, unless the host has taken demonstrable steps to curb the behaviour of his/her guest.

2. Informal Cautions

Residents whose conduct involves a minor element of anti-social or nuisance behaviour may receive an informal oral caution from Resident Tutors in the first instance, if a formal investigation and disciplinary process is not deemed to be in the best interest of the Halls community. At the point where an informal caution is issued, residents should be informed of the Disciplinary Procedure for Halls Residents, and made aware that further misconduct could lead to a formal warning being issued.

3. Formal Warnings

The formal disciplinary procedure is initiated when an incident is reported and/or recorded by staff, residents and Halls users, and it warrants more than an informal caution.

Formal warnings are issued after an investigation and interview(s) have been conducted, as appropriate. They are not usually issued while an investigation is ongoing. If the investigation finds residents’ statements in conflict or

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contradiction with each other or other witness reports, the Resident Tutors team will use the balance of probability as guiding principle in the application of any disciplinary action short of exclusion.

The investigation would normally be conducted by the relevant Resident and/or Senior Resident Tutors and completed within ten working days of its commencement. The University reserves the right to extend timescales in complex investigations. Records of the investigations and warnings are kept by the Resident Tutor Service.

(i) Oral Warning

Residents will be issued with oral warnings for incidents that fall into the following categories:

Incidents which are deemed a general nuisance to other residents, staff or other users of the Halls such as, but not limited to, loud music, noise, late gatherings, non-compliance with an agreed cleaning rota etc., where the behaviour is found to be the result of lack of consideration.

Incidents where students refuse to cooperate with reasonable requests by staff such as, but not limited to, request for proof of identification, room number, names of their guests as well as failure to respond to meeting requests etc.

An incident where the guest or visitor of a resident has been involved in misconduct, where the resident has taken demonstrable steps to stop the problematic behaviour while it was ongoing, and/or contacted a member of staff to seek assistance in curbing the behaviour.

Any incident which would normally warrant a Written Warning, but where the resident has been able to demonstrate extenuating circumstances and where the resident has fully cooperated with the investigation by the Resident Tutors team, and where the Resident Tutors Team believe it to be in the best interest of the halls community that the level of warning be mitigated.

Oral warnings can be issued by any member of the Resident Tutors team or by the Senior Accommodation Services Manager. There is no appeals process for oral warnings.

(ii) Written Warning

Residents will be issued with a written warning for incidents that fall into the following categories:

Any incident which would normally warrant an oral warning, where the resident has already been issued with an oral warning for prior misconduct.

Incidents which are deemed a general nuisance to other residents, staff or other users of the Halls, where the behaviour is found to be malicious or mischievous in intent.

Incidents or behaviours which are in breach of the Health and Safety codes of the Halls Regulations and Conditions of Occupancy such as wedging fire doors open, use of candles and naked flames, tampering with fire fighting equipment and fire extinguishers.

Incidents which involve conduct that is found to be malicious and/or offensive.

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Incidents which involve the deliberate and not accidental destruction of property.

Incidents which have the potential to damage the reputation of the University or the student community.

Incidents which constitute trespassing and/or unauthorised entry Any incident or behaviour that is found to compromise the safety and

security of Halls and their occupants, such as, but not limited to, enabling unauthorized persons to access halls buildings

Any incident which would normally warrant a Final Written Warning, but where the resident has been able to demonstrate extenuating circumstances and where the resident has fully cooperated with the investigation by the Resident Tutors team, and where the Resident Tutors Team believe it to be in the best interest of the halls community that the level of warning be mitigated.

Following the completion of an investigation and interview(s) written warnings are issued by any Senior Resident Tutor, after consultation with other Senior Resident Tutors and the Manager of the Resident Tutors Service. Normally written warnings are delivered by hand to the resident’s room in Halls in person and left under their door in their absence. Residents can appeal against written warnings by following the procedure outlined below (under “Rights of Appeal”).

(iii) Final Written Warning

Residents will be issued with a final written warning for incidents that fall into the following categories:

Any incident which would normally warrant an oral or written warning, where the resident has already been issued with a written warning for prior misconduct.

Incidents that involve verbal attacks on students, staff, or members of the local community.

Incidents or behaviours which constitute harassment of a student, member of staff, or other users of the Halls.

Incidents which bring the University or the student community into disrepute.

Any incident which would normally warrant exclusion from Halls, but where the resident has been able to demonstrate extenuating circumstances and where the resident has fully cooperated with the investigation by the Resident Tutors team, and where the Resident Tutors Team believe it to be in the best interest of the halls community that the level of warning be mitigated.

Following completion of an investigation and interview(s), the Resident Tutors Service Manager can issue final written warnings, after consultation with other Senior Resident Tutors and relevant staff. Normally written warnings are delivered by hand to the resident’s room in Halls in person and left under their door in their absence. Residents can appeal against final written warnings by following the procedure outlined below (under “Rights of Appeal”).

(iv) Exclusion from Halls / termination of occupancy

Residents will be excluded from Halls for incidents that fall into the following categories:

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Any incident which would normally warrant an oral, written or final written warning, where the resident has already been issued with a final written warning for prior misconduct.

Any incident which is deemed to expose residents, staff, other users of the Halls or members of the community to potentially serious danger such as, but not limited to, malicious break glass fire alarm activation, causing fire through negligence.

Any incident or behaviour that suggests the continued presence of the resident in halls poses a danger or serious threat to the wellbeing of other residents and the wider halls community. This includes, but is not limited to, the consumption, storage or trade of illegal substances, physical assault, theft, and other serious misconduct. The University will assist the police with any investigation.

Any incident, misconduct or harassment found to be motivated by hostility or prejudice based upon the victim’s disability, race, nationality, religion or belief, sexual orientation, gender, transgender or age.

Terminations of occupancy can be issued after discussion between the Resident Tutors Service Manager and other relevant parties. This action will be taken by the Director of Student Services upon the recommendation of the Resident Tutors Services Manager. Residents who are excluded from Halls are not allowed to return to any of the Halls of Residence except with the written permission of either the Resident Tutors Services Manager or Senior Accommodation Services Manager. Residents can appeal against their exclusion from Halls by following the procedure outlined below (under “Rights of Appeal”).

The University reserves the right to terminate the occupancy of any resident on disciplinary grounds without refund of the Hall Fees or bond by giving notice to that effect.

Appeals that are accepted by the Head of Quality Unit are heard by the Halls Appeals Committee comprising a nominated member of the Directorate, a nominated Head of Department/Faculty, and the Students’ Union President or their representatives

The Halls Appeal Committee who reviews the decision to exclude from Halls will either uphold, commute or invalidate the decision. Where a decision to exclude residents from Halls of Residence under disciplinary action (iv) above has been upheld, a date by which to vacate Halls is specified. If residents engage in further breaches of the Disciplinary Procedure for Halls Residents during this time, they will be asked by the Resident Tutors Services Manager and/or Senior Accommodation Services Manager to vacate within 24 hours of that further breach.

4. Additional measures

4.1 Restricted access to specific premises

If an individual has been identified as a participant in one or more incidents in one specific building or flat, and this is not his/her home building or flat, the Resident Tutors team, after discussion between Senior Resident Tutors and the Manager of the Resident Tutors Service, may impose an order banning the resident from visiting the specific building or flat in question. A breach of

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that ban would be treated as an additional disciplinary offence leading to further formal warnings.

4.2 Temporary relocation

If an accusation is made against a resident that is of a serious nature, the Manager of the Resident Tutors Service may, after a risk assessment and consultation with Senior Resident Tutors and/or the Director or Deputy Director of Student Services, request the immediate, temporary relocation of a resident to a different flat, while a full investigation is carried out. This is to protect the safety of the flatmates and/or the accuser(s), and to reduce the risk of intimidation or further abuse. The investigation would have to be completed within ten working days, with a decision as to whether the resident can return to his/her original room being made within that time. The temporary relocation of the resident is not a disciplinary measure, but a protective measure designed to ensure the safety and wellbeing of the accused and other residents in Halls. It is not an implication of guilt or prejudice, and wholly a reflection of the seriousness of an allegation, rather than its credibility.

5. University Regulations

In addition to these regulations the University Regulations Governing Student Conduct may be applied.

These include provision for fines, compensation, suspension and expulsion.

6. Rights of Appeal

a) Oral Warning and temporary relocation

There is no right to appeal against measures taken under the oral warning and temporary relocation above.

b) Written and final written warnings

A resident who wishes to request a review of disciplinary actions under (ii) and (iii) above must lodge an appeal within five working days of the notification of the disciplinary decision stating the grounds on which they are appealing. The appeal must be submitted to the Director of Student Services on a standard appeal form HAP, which may be obtained from the Resident Tutors Service Manager, enclosing all relevant documentary evidence. The Director of Student Services who reviews the disciplinary actions taken will either upheld, commute or invalidate them. The outcome of this review process is final and is not subject to any further appeals.

c) Exclusion from Halls/Termination of occupancy

A resident who wishes to request a review of a disciplinary decision under (iv) must lodge an appeal within five working days of the notification of the disciplinary decision stating the grounds on which they are appealing. The appeal must be submitted to the Head of the Quality Unit on a standard appeal form HAP, which may be obtained from the Resident Tutors Service Manager, enclosing all relevant documentary evidence. Failure to provide sufficient details and supporting evidence will result in rejection of the appeal. The request of appeal may be based on one of the following grounds:

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1. Evidence which for good reason was not divulged at the time disciplinary action was taken. The “good reason” must be stated in the letter of appeal.

2. Evidence that the decision to exclude was not made in accordance with the Disciplinary Procedure for Halls Residents.

7. Sources of Advice

Before lodging an appeal it is advised that a resident consults with the Students’ Union, and/or Student Services.

8. Office of the Independent Adjudicator

A student whose appeal against exclusion from Halls is unsuccessful may, following issue of a Completion of Procedures letter, lodge a complaint with the Office of the Independent Adjudicator (OIA). Details of the OIA and the relevant information in relation to the Scheme can be accessed at www.oiahe.org.uk. Further information and advice can also be obtained from the Quality Unit of the Academic Registry. Students would remain excluded from Halls while the OIA investigates their complaint.

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Section 1.16: Policy on Minimum Expectations for Supervision of student

dissertations/projects

1 Introduction2 Minimum Expectations

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Policy on Minimum Expectations for Supervision of student dissertations/projects

Introduction

The purpose of this document is to provide minimum expectations for supervisory support students can expect from faculties/college. It aims to minimise the risk of student dissatisfaction with the supervision process by setting out clear expectations for both staff and students.

Minimum Expectations

1. Supervisors in each faculty should hold a minimum of three formal face-to face meetings for full-time undergraduate and postgraduate students. The amount of supervisory support for part-time students would be similar but it is expected to be supported by other means of communication, i.e. emails, given the additional needs of students who are not regularly on campus. Normally the same supervisor would be expected to be present for all of these meetings.

2. Where face to face meetings are not possible, supervisors should consider the use of communication technologies i.e. email, online discussions/meetings or video conferencing with students. In such circumstances the students are expected to keep a formal record of the meeting, including reference to the format of the meeting. (see 5 below)

3. Departments wishing to provide additional supervision are encouraged to do so. It is advised that those departments requiring additional meetings should make these requirements known to the student via the course handbook.

4. Departments must ensure that cover is provided to students in cases of staff absence, including holidays or sickness. Departments should ensure that students are informed of cover arrangements during the vacation periods.

5. A record, agreed between the Supervisor and the student will be kept, including dates, action agreed and deadlines set. The student will be responsible for maintaining this record and shall submit it with the dissertation.

6. A record should be kept of students who fail to attend meetings and such records shall be available to Exam Boards/Appeals Committees.

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Section 1.17: Policy and Procedure Governing Fitness to Practise

Appendix 1: Flowchart showing processes to be followed in connection with roles

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Student referred to Head of Department by Programme Manager (HeSAS) or relevant Award Leader on grounds of conduct or health.

Case considered by Investigating Officer nominated by Head of Department. Head of Department then decides course of action. Student may be suspended from practice if considered unsafe.ec

University disciplinary committee who may seek advice from CFtP

Disciplinary action taken at faculty level.

Head of Department direct

referral.

University Assessments Infringements Committee who may seek advice from CFtP.

Committee on Fitness to Practise

Appeal against termination of studies is made via the University Appeal process which may:a) refer case back to committee on CFtP for reconsideration in the light of new findingsb) confirm the recommendation

Assessment infringement identified & referred to Award Board chair.

Considered by Award Board chair:Case to answer:

Not admitted - refer to HoD Serious case admitted - refer to sub

committee of Award Board Less serious case admitted - refer direct

to Award Board

Sub-committee of Award Board.Potential fail/discontinue. Can also seek advice from CFtP committee.

Potential penalty of fail and warning but student to progress

Penalty recommended to Award Board

The view is taken by the Award Board that there is misconduct of a nature requiring consideration under the University’s Conduct and Discipline procedures.

The Award Board’s assessment is that there are CFtP issues arising from the student’s health or conduct.

The view is taken by the Award Board that there are CFtP issues involved in the student’s performance sufficient to warrant exclusion.

CFtP Advice Sought

Student fails Formal Assessment

Subject Assessment board

Award Board confirms progress / non-progression status.

The Award Board assessment is that the failure to satisfy the Examiners does not call into question the student’s CFtP.

Appeal against decision of Board and /or termination of studies is made in Appeals process which may:a) overturn the recommendation & substitute another decisionb) refer the case back to the Faculty for recommendation in the light of the Appeal process findingsc) confirm the recommendation

Award Board Committee

Appendix 1: Flowchart showing processes to be followed in connection with roles

Award Board confirms progress / non-progression status.

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Section 2: Research Related Polices, Procedures and Forms

2.1 Research Programmes Regulations2.2 Code of Practice for Research Students2.3 Guidance Notes for PhD by Publication2.4 Guidance Note for PhD by Portfolio2.5 Code of Practice for Research Supervisors2.6 Code of Practice for Examiners of Research

Programmes

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Section 2.1: Research Programmes Regulations

1 Principles 2 Research Programmes Quality Assurance3 Application and Qualifications for Registration4 Initial Registration5 The Registration period6 Supervision7 Transfer of registration from MPhil to Ph.D8 Examinations – General9 Examination Procedures10 The Candidate’s Responsibilities in the Examination

Process11 Examiners 12 First Examination13 Re-examination14 The Submission15 Review of an Examination Decision

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1 Principles

1.1 The University of Glamorgan may award the following: Research Diploma (RDip) Masters by Research (MRes) Master of Philosophy (MPhil) Doctor of Philosophy (PhD), Doctor of Business Administration (DBA) Doctor of Business Administration Public Services Management (DBA PSM) Doctorate in Public Leadership (DPL) Doctorate in Health or Doctorate in Social Care (DHealth or DSocial Care).

1.2 Programmes of research may be proposed in any field of study subject to the requirement that the proposed programme is capable of leading to scholarly research and to its presentation for assessment by appropriate examiners. The submission for examination will normally be in the form of a written thesis. However, the submission may alternatively take the form of published materials, combined projects or theses, or combinations of these according to the regulations applying to the route to the MPhil or PhD for which the candidate is registered (refer to paragraph 1.3 and 1.4). All proposed research programmes shall be considered for research degree registration on their academic merits and without reference to the concerns or interests of any associated funding body.

1.3 The Doctor of Philosophy (PhD) shall be awarded to a candidate who, having critically investigated and evaluated an approved topic resulting in an independent and original contribution to knowledge, and having demonstrated an understanding of appropriate research methods and their application to the chosen field, has presented and defended a thesis (or alternative form of submission) by oral examination to the satisfaction of the examiners. The presentation of the submitted work must be of a satisfactory literary standard.

Candidates for the degree of PhD shall follow an approved programme leading to one of the following forms of submission:a PhD by Thesis

A programme of approved supervised research leading to the submission of a thesis (this is the traditional route to PhD)

b PhD by publicationThe submission for examination of an approved body of published work, accompanied by an overview. The submission should demonstrate the originality of the contribution to the field and significant authorship by the candidate. Registration for submission by this route is appropriate for candidates who have already completed, or reached an advanced stage of submission of, the published work. The submission should demonstrate an independent and original contribution to knowledge at least equivalent to that normally demonstrated by the submission of a thesis. PhD by Publication is restricted to past and present members of staff, alumni and applicants who have very strong links with the University of Glamorgan.

c PhD by PortfolioThe submission for examination of an approved portfolio of material relating to a maximum of three projects accompanied by a critical overview which demonstrates the originality of the contribution to the field. The projects may be work related and derived from empirical or conceptual investigation. The overview must also demonstrate the relationship between the projects. The submission should demonstrate an independent and original contribution to knowledge at least equivalent to that normally demonstrated by the submission of a thesis.

1.4 The Professional Doctorate e.g.(Doctor of Business Administration (DBA), Doctor of Business Administration Public Services Management (DBA PSM) Doctorate in Public Leadership (DPL), Doctorate in Health or Doctorate in Social Care (DHealth or DSocial Care) shall be awarded to a candidate who has successfully followed an approved programme requiring completion of taught

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elements at advanced level and supervised, independent research of clear value, relevance and application to a defined area of professional practice, concluded by the submission of a thesis to be examined by oral examination at Doctoral level.

1.5 The Master of Philosophy (MPhil) shall be awarded to a candidate who has critically investigated and evaluated an approved topic. The candidate will have demonstrated an understanding of appropriate research methods and their application to the chosen field and will have presented and defended a thesis (or alternative form of submission) by oral examination to the satisfaction of the examiners. The presentation of the submitted work must be of a satisfactory literary standard.

Candidates for the degree of MPhil shall follow an approved programme leading to one of the following forms of submission:a MPhil by Thesis

A programme of approved supervised research leading to the submission of a thesis (this is the traditional route to MPhil)

b MPhil by PortfolioIf the project is work related, the submission may consist of a portfolio of material relating to a maximum of three projects accompanied by an overview, which must demonstrate the relationship between the projects.

1.6 Masters by Research (MA or MSc by Research)The Masters by Research may be awarded to a candidate who has demonstrated an understanding of research methods appropriate to the chosen field by completing an advanced programme of supervised research and has presented and defended a thesis by oral examination to the satisfaction of the examiners. The programme of related studies will be more focused and related, targeting particular research methods that the candidate needs and/or wants to understand which are not embraced by the research project itself.

1.7 The Research Diploma (RDip) shall be awarded to a candidate who has critically investigated and evaluated an approved topic. The candidate will have demonstrated an understanding of appropriate research methods and their application to the chosen field and will have presented and defended a thesis by oral examination to the satisfaction of the examiners. The scope and depth of the investigation will be significantly less than that required for the award of MPhil. The requirements for text length are set out in regulation 13.6. The presentation of the submitted work must be of a satisfactory literary standard.

1.7 The University encourages co-operation with industrial, commercial, professional or research establishments for the purposes of research leading to research degree awards. Such co-operation is intended: to encourage outward-looking and relevant research, to extend the candidate's own experience and perspectives of the work, to provide a wider range of experience and expertise to assist in the development of the project, to be mutually beneficial, and (where appropriate) to enable the candidate to become a member of a research community.

Co-operation may be formalised with one or more bodies external to the University. For the purpose of the research degree regulations these shall be referred to as Collaborating Establishments. Formal collaboration shall normally involve the candidate's use of facilities and other resources, including supervision and advice, which are provided jointly by the University and the Collaborating Establishment.

In such cases a formal letter from the Collaborating Establishment confirming the agreed arrangements should be submitted with the application, except where collaboration is an integral part of the project (as for instance with Research Council CASE awards). The name(s) of the Collaborating Establishment(s) shall appear on the candidate's thesis and degree certificate.

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1.8 All applicants for research degrees must submit an application form acompanied by a research proposal to the Faculty’s Research Application Panel (RAP). Registration will only take place following approval at the Faculty’s Research Application Panel (RAP) of the following criteria:

a the suitability of the candidate to undertake research;b the programme of research; andc the supervision arrangements and research facilities.

2 Research Programmes Quality Assurance

All faculties undertake the quality assurance of research programmes through a Faculty Research Programmes Committee (FRPC). The FRPC notes the registration and ensures ethical issues have been considered (unless the faculty has an ethics committee) and undertakes transfer, extension/suspension and changes thereto of research students. The Research Programmes Sub Group (RPSG) will discharge, on behalf of the Quality Assurance Committee the responsibilities for the quality and standards of its research degrees. The procedures for registration are detailed in the Research Students’ Handbook.

2.1 Research Programmes Sub Group (RPSG)

The Research Programmes Sub Group’s (RPSG) terms of reference:

To consider examination arrangements, including the approval of examiners

To periodically review examiners’ reports

To consider the recommendations of examiners for the conferment of research awards

To audit the process of annual monitoring of research degree students and FRPCs

To identify and disseminate good practice in the delivery of research degrees.

To make recommendations to the Quality Assurance Committee as appropriate

To undertake such matters as required by the Quality Assurance Committee

2.2 Faculty Research Programmes Committee (FRPC)

Faculties will undertake the responsibility for the quality assurance of research programmes and operate under the same quality assurance structure and in accordance with the University’s approved quality assurance procedures, as agreed by Academic Board and published in the University’s research handbooks.

The Faculty Research Programmes Committee (FRPC) will be chaired by a senior member of staff from another Faculty and approved by the Chair of Quality Assurance Committee (QAC).

The terms of reference for the Faculty Research Programmes Committee (FRPC) will be:

1. To note the registrations of students for research programmes in the faculty and to transfer students from MPhil to PhD.

2. To monitor the progress of research students in the faculty.3. To ensure that appropriate ethical approval is secured for each research programme unless the

faculty has an ethics committee.4. To undertake any other task delegated to it by Quality Assurance Committee.

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5. To report to Quality Assurance Committee.

The Faculty Research Programmes Committee (FRPC) will be responsible and accountable for the delegated powers for the faculty and will be expected to ensure that all quality assurance activities are carried out with the required level of independence.

The Faculty Research Programmes Committee (FRPC) will be required to conform to the University’s Research Programmes Regulations and to follow the practices and procedures set out in the Research Programmes Handbooks.

* Faculty Ethics Champion

Each faculty (except the Faculty of Further Education and Collaborative Activities – because the awards and modules that will be delivered in collaborative settings) will be the responsibility of the five faculties and their FQACs and FRPCs) will appoint a Faculty Ethics Champion from amongst its staff (but not from the Faculty Executive). The Champion will have the following responsibilities:

To be a member of the University Ethics Sub Group and their faculty’s Faculty Quality Assurance Committee (FQAC) and Faculty Research Programmes Committee (FRPC)

To advise the Dean of Faculty of any matters relating to the implementation of the University’s Ethics Policy requiring his or her attention

To advise staff in the faculty of the University’s Ethics Policy To arrange and deliver staff development activities to ensure the effective implementation of the

University’s Ethics Policy

3 Application and qualifications for registration

3.1 A person may apply to register, by completing the appropriate form (see Annex 3), for the award of:

a Research Diplomab Masters by Researchc Master of Philosophy

i by thesisii by portfolio

d Master of Philosophy with possibility of transfer to Doctor of Philosophy:i by thesisii by portfolio

e Doctor of Philosophy:i by thesisii by publicationiii by portfolio

f Professional Doctoratesi Doctor of Business Administrationii Doctor of Business Administration Public Services Managementiii Doctorate in Public Leadership iv Doctorate in Health or Social Care

3.2 In approving an application for enrolment and registration, the Faculty’s Research Applications Panel (RAP) shall satisfy itself that:

a the candidate is suitably qualified and/or experienced; including a sufficient level of English language competence a minimum IELTS score of 6.5

b that the proposed research fits within the research focus of the Faculty and/or the University’s Research Strategy,

c potential for contribution to knowledge where appropriateSection 2: 6

d that the Faculty is able to provide suitable research supervision,e the University is able to provide appropriate facilities for the conduct of scholarly research in the

area of the research programme.f that the form of submission is appropriate to the candidateg that the applicant has been made aware of the University’s Ethical Guidelines

3.3 An applicant for registration for the award of Research Diploma shall normally hold one of the following:a a degree or honours degree of a University in the UKb a qualification which is regarded by the Faculty’s Research Application Panel (RAP) as

equivalent

3.4 An applicant for registration for the degree of Masters by Research shall normally hold one of the following:

a first or second class honours degree of a university in the UK b an equivalent qualification from a recognised overseas universityc appropriate, relevant qualification or relevant experience which is regarded by the Faculty’s

Research Application Panel (RAP) as equivalent.

3.5 An applicant for registration for the degree of MPhil or MPhil with possibility of transfer to PhD shall normally hold one of the following:

a a degree normally 2(i) classification or equivalent in a relevant subjectb or a Research Diploma of the University c or a qualification which is regarded by the Faculty’s Research Application Panel (RAP) as

equivalent.

3.6 An applicant for registration for the Doctor of Business Administration (DBA) or Doctor of Business Administration in Public Services Management (DBA PSM) or Doctorate in Public Leadership (DPL) shall normally hold one of the following:

a Master of Business Administration b Masters Degree in the Social Sciences

c plus significant management experience. Access to one or more organisations for the purpose of conducting research.

3.7 An applicant for registration for the Doctorate in Health or Social Care shall normally hold the following:

a Masters (Level Seven) degree or equivalent qualificationb together with a sufficient amount and level of professional experience appropriate to the

research being undertaken.

3.8 An applicant holding qualifications other than those in paragraphs 3.3 to 3.7 shall be considered on her/his merits and in relation to the nature and scope of the programme of work proposed.

In considering an applicant in this category, the Faculty’s Research Application Panel (RAP) shall look for evidence of the candidate's ability and background knowledge in relation to the proposed research. Professional experience, publications, written reports or other appropriate evidence of accomplishment shall be taken into consideration.

The Faculty’s Research Application Panel (RAP) may require an applicant to pass an externally assessed qualifying examination at final year honours degree level before registration is approved. An applicant wishing to be considered under this regulation shall include in the application for

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registration the names of two suitable persons whom the University may consult concerning the candidate's academic attainment and suitability for research.

3.9 Direct registration for the degree of PhD may be permitted for an applicant who holds a relevant Master's degree with a significant research component or equivalent, provided that the Master's degree is in a discipline which is appropriate to the proposed research and that the Master's degree included training in research and the execution of a research project.

The Faculty’s Research Application Panel (RAP) may also register for PhD direct a candidate who, although lacking a Master's degree, has a good honours degree (or equivalent) in an appropriate discipline and has had appropriate research or professional experience at postgraduate level which has resulted in published work, written reports or other appropriate evidence of accomplishment.

A candidate with a Masters degree wishing to register directly for the award of PhD will be required to provide the following information with the application to register:

a An outline of the title and content of the candidate's Master's degree with special reference to the training in research received. Where possible a copy of the Master's degree abstract shall be provided.

b The name and address of an independent academic referee who may be contacted to comment on the candidate's performance on the Master's degree.

c The names and addresses of three independent specialists, one of whom may be asked to comment on the application. At least one of the specialists shall be external to the University. A member of the Faculty’s Research Application Panel (RAP) may act as a specialist if they have experience in the relevant area.

A candidate without a Masters degree wishing to register directly for PhD by any route will also be required to provide the information in 3.5 above.

Applications for PhD by Publication are restricted to past and present members of staff, alumni and applicants who have very strong links with the University.

3.10 An applicant whose work forms part of a larger group project may register for a research degree or diploma. In such cases each individually registered project shall in itself be distinguishable for the purposes of assessment and be appropriate for the award being sought. The application shall indicate clearly each individual contribution and its relationship to the group project.

3.11 Where a research degree or diploma project is part of a piece of funded research, the Faculty’s Research Application Panel (RAP) shall establish to its satisfaction that the terms on which the research is funded do not detract from the fulfilment of the objectives and requirements of the candidate's research award.

3.12 The Faculty’s Research Application Panel (RAP) may approve an application from a person proposing to work outside the University, provided that:

a there is satisfactory evidence as to the facilities available for the research both in the University and at the candidate's location; and

b the arrangements proposed for supervision enable frequent and substantial contact between the candidate and the supervisor(s) including adequate face-to-face contact with the supervisor(s). Normally the candidate should spend not less than an average of six weeks per year at the University.OR

c The faculty may approve an application from a person proposing to complete their research programme wholly or substantially outside the UK provide that:

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i there is satisfactory evidence as to the facilities available for the research both in the University and abroad;

ii arrangements proposed for supervision enable frequent and substantial contact between the applicant and the supervisor/s based in the UK, e.g. by telephone and e-mail and adequate face-to-face contact.

3.13 Registration may be backdated by up to six months from the date of receipt of the application by the University. Longer periods of backdating may be permitted exceptionally at the discretion of the Faculty’s Research Application Panel57.

3.14 Where a candidate has previously undertaken research as a registered candidate for a research degree the Faculty’s Research Application Panel *. may approve a shorter than usual registration period which takes account of all or part of the time already spent by the candidate on such research.

4 Initial registration

4.1 A candidate shall follow a programme of related studies such as the Postgraduate Certificate Research (PGCR) where this is necessary for the attainment of competence in research methods and of knowledge related to the subject of the thesis. This programme shall be intended to provide the candidate with one or more of the following:a the skills and knowledge necessary for the pursuit of the proposed research;b a body of knowledge normally associated with a degree in the field of study of the proposed

research; andc breadth of knowledge in the related subjects.

Where the programme of related studies, such as the Postgraduate Certificate Research (PGCR), includes an approved programme of studies leading to another award and a candidate is registered for that programme and fulfils all its requirements, she/he may be recommended for that award in addition to the degree of PhD, MPhil, Masters by Research or Research Diploma.

NB: All candidates will be encouraged to undertake the Postgraduate Certificate Research (PGCR).

4.2 A candidate may undertake a programme of research in which the candidate's own creative work forms, as a point of origin or reference, a significant part of the intellectual enquiry. Such creative work may be in any field (for instance, fine art, design, engineering and technology, architecture, creative writing, musical composition, film, dance and performance), but shall have been undertaken as part of the registered research programme. In such cases, the presentation and submission may be partly in other than written form.

The creative work shall be clearly presented in relation to the argument of a written thesis and set in its relevant theoretical, historical, critical or design context. The thesis itself shall conform to the usual scholarly requirements and be of an appropriate length (see paragraph 14.6).

The final submission shall be accompanied by some permanent record (for instance, video, photographic record, musical score, or diagrammatic representation) of the creative work, where practicable, bound with the thesis.

The application for registration shall set out the form of the candidate's intended submission and of the proposed methods of assessment.

57 Registration may not normally be backdated before the original date of enrolment, except in the case of candidates transferring their registration from another university.

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4.3 A candidate may undertake a programme of research in which the principal focus is the preparation of a scholarly edition of a text or texts, musical or choreographic work, or other original artefacts.

The final submission shall include a copy of the edited text(s) or collection of artefact(s), appropriate textual and explanatory annotations, and a substantial introduction and critical commentary which set the text in the relevant historical, theoretical or critical context. The thesis itself shall conform to the usual scholarly requirements and be of an appropriate length (see paragraph (14.6).

4.4 Except where permission has been given for the submission and the oral examination to be in another language, the Research Programmes Sub Group shall satisfy itself that the candidate has sufficient command of the English or Welsh language to complete satisfactorily the programme of work and to prepare and defend a submission in English or Welsh. Permission to present a submission in another language shall normally be sought at the time of application for registration. Permission to present a submission in a language other than English or Welsh shall normally only be given if the subject matter of the submission involves language and related studies.

The Research Programmes Sub Group may permit a candidate to present a submission in Welsh provided that it is satisfied that adequate supervision in Welsh can be arranged and that examiners who are capable of examining the submission in Welsh are likely to be available.

4.5 A candidate intending to register for a research programme is required to enrol as a student of the University and pay the appropriate fees. Enrolment should take place as soon as registration of the research programme has been approved.

4.6 A candidate may register on a full-time or a part-time basis. A full-time candidate shall normally devote on average at least 35 hours per week to the research; a part-time candidate on average at least 12 hours per week.

4.7 The Faculty’s Research Application Panel may permit a candidate to register for another course of study concurrently with the research programme registration, provided that either the research degree registration or the other course of study is by part-time study and that, in the opinion of the Faculty’s Research Application Panel, the dual registration will not detract from the research. No submission for a research degree can include work that has been previously submitted for another award.

4.8 Where a candidate, the University, or the collaborating establishment wishes the submission, or some part of it, to remain confidential for a period of time after completion of the work, application for approval shall normally be made to the Research Programmes Sub Group at the time of registration. In cases where the need for confidentiality emerges at a subsequent stage, a special application for the submission to remain confidential after submission shall be made immediately to the Research Programmes Sub Group the period approved shall normally not exceed two years from the date of the oral examination

4 The registration period

The minimum and maximum periods of registration shall be as follows:

Minimum Maximum Research Diplomafull-time 9 months 18 monthspart-time 15 months 24 monthsMasters by Researchfull time 12 months 18 monthspart time 24 months 36 months

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MPhil by thesis, integrated programme or portfolio58

full-time 18 months* 36 monthspart-time 30 months* 48 monthsPhD by thesis, or portfolio [via transfer from MPhil registration and including that period of MPhil registration]full-time 33 months 60 monthspart-time 45 months 72 monthsPhD by thesis [direct]59

full-time 24 months 60 monthspart-time 36 months 72 monthsPhD by publication part-time 12 months 24 monthsPhD by portfolio60

part-time 12 months 60 monthsDoctor Business Administration (DBA)Doctorate in Public Leadership (DPL)

Doctor Business Administration Public Services Management(DBA PSM)part time 36 months 48 monthsDoctorate in Health (DHealth) or Doctoratein Social Care (DSocial Care) part time 48 months 60 months

5.2 A full-time candidate (except those registered for PhD shall normally reach the standard for MPhil within two years of registration and for PhD within three years.

5.3 Where there is evidence that the research is proceeding exceptionally well, the Faculty’s Research Application Panel may approve a shorter minimum period of registration. An application for such shortening should be submitted at the same time as the application for approval of examination arrangements.

5.4 Where a candidate changes from full-time to part-time study or vice versa, the minimum and maximum registration periods shall be calculated pro rata. Notification of such a change shall be made in writing to Secretary of Faculty’s Research Application Panel.

5.5 A candidate seeking a change to a registered research programme shall apply in writing to the Faculty’s Research Programmes Committee.

5.6 The progress of research students towards successful completion within approved time periods will be reviewed regularly.

The Director of Studies is expected to manage the supervisory process such that at least one supervisor(s) is in contact with their research student as appropriate and at least once per month. A formal record of each meeting will be made and provided to (all) the supervisor(s) and student.

In addition, once per year each student and the Director of Studies, acting on behalf of all supervisors where relevant, should complete a separate statement of progress.

58 The minimum periods may be reduced for Portfolio candidates who have already completed a significant part of the work.59 The minimum period for a PhD candidate, whether registered for PhD direct or by the MPhil/PhD Route, engaged in a programme of research which also includes formally assessed postgraduate study shall be 33 months for a full-time student and 45 months for a part-time student (see paragraph 4.4).60 The minimum period is appropriate to candidates who have already completed a significant part of the work.

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5.7 Also each Faculty will hold a Progress Board to review each student’s progress, using the supervision reports, the annual statement of progress and such other material as is available, e.g. transfer reports.

The Progress Board will determine the acceptability of progress, using one of the following grades:

A Excellent progress, with no problems and completion anticipated on time:B Satisfactory progress, some issues exist, but completion anticipated on time:C Some progress being made, but there is a serious question as to whether the thesis will be

completed satisfactorily on time;D Progress unsatisfactory.

In the event of a student’s progress being determined as C or D, the Progress Board shall make such recommendations as it deems sensible, including change of supervision and/or withdrawing the student. Any changes of supervisor will be made with the agreement of the student.

The Progress Board will also ensure that appropriate training and development needs have been met.

5.8 Where the candidate is prevented, by ill health or other cause, from making progress with the research, the registration may be suspended by the FRPC, normally for not more than 12 months at a time for full-time candidates or 18 months for part-time candidates.

5.9 A candidate shall submit the thesis, or other material, to the Secretary of the Research Programmes Sub Group before the expiry of the maximum period of registration.

The Faculty’s Research Programmes Committee (FRPC) may extend a MPhil or PhD candidate's period of registration, normally for not more than 12 months at a time, or 18 months for part-time candidates. For the Research Diploma candidate’s approval may be sought to extend the period of registration, normally for not more than 6 months at a time, or 9 months for part-time candidates. A candidate seeking such an extension shall apply on the appropriate form (see Annex 3).

5.10 Where a candidate has discontinued the research, the withdrawal of registration shall be notified, in writing, to the Secretary of the Faculty’s Research Programmes Committee (FRPC).

5.11 A candidate shall pay such fees as may be determined from time to time by the University.

6 Supervision

6.1 A research candidate will have one main supervisor (Director of Studies) who will be part of a supervisory team consisting of at least two and not more than three supervisors.

6.2 A supervision team for a Research Diploma candidate shall normally have relevant research experience61.

6.3 Supervisors must normally be research active and have expertise in the relevant discipline of the research. The supervision team for research degree programmes shall have either

a) normally a combined experience of supervising not fewer than two candidates to successful completion at the level of the award for which the candidate is to be registered or

b) a research and publications record in the area of the proposed research programme

61 Supervision experience of taught masters’ dissertations or final level undergraduate dissertations may be sufficient, subject to the study of research methods being included.

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6.4 One supervisor will be the Director of Studies (first supervisor) and a nominated supervisor will have responsibility to supervise the candidate on a regular and frequent basis. The responsibilities of the nominated supervisor will be to ensure, within the procedures of the University and relevant Faculty that

a) the candidate undertakes the Postgraduate Certificate Research (PGCR) or an appropriate programme of related studies

b) any necessary facilities are indicated to his/her Dean of Faculty and on agreement for these resources, provided by the appropriate department

c) the candidate receives any necessary guidance in following her/his research programme d) all duties associated with enrolment/registration, monitoring and examination processes are

dealt withe) the candidate has a defined programme of development and adheres to it

6.5 a) A candidate shall normally be enrolled/registered in the same Faculty as the Director of Studies.

b) the Director of Studies shall be responsible to the Dean of Faculty in the first instance for the duties outlined in 6.4 above.

c) only members of staff of the University can be a Director of Studies and only in exceptional circumstances can supervisors be based in other Institutions.

6.6 In addition to the supervisors, an adviser may be proposed to contribute some specialised knowledge or a link with an external organisation.

6.7 A candidate for a research award shall be ineligible to act as Director of Studies for another research award candidate but may act as a supervisor or adviser providing the candidate is registered at another institution..

6.8 A proposal for a change in supervision arrangements shall be made to the Faculty Research Programmes Committee (FRPC) on the appropriate form (see Annex 2).

6.9 All new supervisors must undertake a training course for research supervisors and all other supervisors are encouraged to attend. An inexperienced supervisor may be added to the supervision team and will be mentored by other members of the team.

6.10 The Director of Studies is expected to manage the supervisory process such that at least one supervisor(s) is in contact with their research student as appropriate and at least once per month. A formal record of each meeting will be made and will include objectives and targets for the next meeting. The record of each meeting will be provided to the supervisor(s) and student.

6.11 The records of the meetings will be submitted to the Progress Board if required.

7 Transfer of registration

7.1 A candidate registered initially for a Research Diploma who wishes to transfer to MPhil or MPhil with possibility of transfer to PhD shall apply on the appropriate form (see Annex 3) to the Faculty Research Programmes Committee (FRPC) when she/he has made sufficient progress on the work to provide evidence of its development.

A candidate registered initially for MPhil with possibility of transfer to PhD who wishes to transfer to PhD shall normally apply to the Faculty Research Programmes Committee (FRPC) after about 9-15 months of full-time study or the part-time equivalent.

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7.2 In support of the application, a candidate applying to transfer to PhD shall prepare for the Faculty Research Programmes Committee (FRPC) a full progress report on the work undertaken.

The progress report should normally be 3,000 to 6,000 words in length and include:

a) a brief review and discussion of the work already undertaken; andb) a statement of the intended further work, including details of the original contribution to

knowledge, which is likely to emerge.

7.3 Before approving transfer from MPhil to PhD the Faculty Research Programmes Committee (FRPC) must be satisfied that the candidate has made sufficient progress and that the proposed programme provides a suitable basis for work at PhD standard which the candidate is capable of pursuing to completion. In order to arrive at its decision the candidate or the supervision team will provide the Faculty Research Programmes Committee (FRPC) with the names and addresses of three independent specialists one of whom may be asked to comment on the application and the transfer report.

7.4 An oral assessment (viva voce) will be used by the Faculty Research Programmes Committee (FRPC) as part of the assessment of the case for transfer to PhD. The oral assessment (viva voce) will be conducted by the independent specialist (internal or external) who will be considering the transfer report and observed by the Director of Studies or supervisor.

The outcome of the oral assessment (viva voce) will be included with the transfer report to be considered by the Faculty Research Programmes Committee (FRPC).

The transfer process will have one of the following outcomes:

a. Proceed to PhDb. Note to proceed and submit for MPhilc. Make amendments to the report and resubmit for assessment

The independent specialist cannot then be appointed as an internal or external examiner.

7.4 A candidate registered for the degree of MPhil only may apply to transfer the registration to PhD. In such cases the candidate's full transfer report shall be submitted to the Faculty Research Programmes Committee (FRPC) along with the application for transfer and the names and addresses of three independent specialists.

7.5 A candidate who is registered direct for the degree of PhD by thesis or portfolio and who is unable to complete the approved programme of work may, at any time prior to the submission of the thesis for examination, apply to the Faculty Research Programmes Committee (FRPC) for the registration to change to that for MPhil. A candidate who registered for MPhil and has transferred registration to PhD may revert to that of MPhil under the same circumstances. Similarly, a candidate who registered for the degree of MPhil or MPhil with possibility of transfer, and is unable to complete the programme of work, may apply to change registration to that of Research Diploma.

8 Examinations - general

In this section the term 'Thesis' refers either to the thesis or to an alternative form of submission.

8.1 The examination for the Research Diploma, Master by Research, MPhil, Professional Doctorate and PhD shall have two stages: firstly the submission and preliminary assessment of the thesis and secondly its defence by oral or approved alternative (see paragraph 8.3) examination.

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8.2 A candidate whose programme of work includes formally assessed course work in a programme of work leading to the degree of PhD, MPhil or Master by Research or Professional Doctorate shall not be permitted to proceed to a further stage of the examination for the degree until the course work examiners are satisfied with the candidate's performance. The result of the assessment shall be communicated to the examiners of the thesis.

8.3 A candidate shall normally be examined orally on the programme of work and on the field of study in which the programme lies. Where for reasons of sickness, disability or comparable valid cause the Research Programmes Sub Group is satisfied that a candidate would be under serious disadvantage if required to undergo an oral examination, an alternative form of examination may be approved. Such approval shall not be given on the grounds that the candidate's knowledge of the language in which the thesis is presented is inadequate.

8.4 The oral examination shall normally be held in the UK. In special cases the Research Programmes Sub Group may give approval for the examination to take place abroad.

8.5 Persons other than the candidate or examiners, e.g. supervisors, advisors, Chair or members of the Research Programmes Sub Group, may, with the consent of the candidate, attend the oral examination but may be asked to withdraw prior to the deliberations of the examiners on the outcome of the examination.

8.6 The Research Programmes Sub Group shall make a decision on the reports and recommendation(s) of the examiners in respect of the candidate. The power to confer the degree shall rest with the Academic Board of the University.

8.7 The award of Research Diploma and the degrees of Master by Research, MPhil PhD or Professional Doctorate may be awarded posthumously on the basis of a thesis completed by a candidate who is ready for submission for examination. In such cases the Research Programmes Sub Group shall seek evidence that the candidate would have been likely to have been successful had the oral examination taken place.

8.8 Where evidence of cheating or plagiarism in the preparation of the thesis or other irregularities in the conduct of the examination come to light subsequent to the recommendation of the examiners, the Research Programmes Sub Group shall consider the matter, if necessary in consultation with the examiners, and take appropriate action.

8.9 The Research Programmes Sub Group shall ensure that all examinations are conducted and the recommendations of the examiners are presented wholly in accordance with the University's regulations. In any instance where the Research Programmes Sub Group is made aware of a failure to comply with all the procedures of the examination process, it may declare the examination null and void and appoint new examiners.

9 Examination procedures

In this section the term 'Thesis' refers either to the thesis or to an alternative form of submission

9.1 The Director of Studies shall submit on the appropriate form (see Annex 3) the arrangements for the candidate's examination to the Research Programmes Sub Group.62 The examination may not take place until the examination arrangements have been approved. In special circumstances the Research Programmes Sub Group may act directly to appoint examiners and arrange the examination of a candidate.

62 For a Research Diploma candidate this should be done about two months before the expected date of the examination. For all other candidates, about four months before the examination.

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9.1.1 The Director of Studies will also include the name of a proposed Chair for the oral examination on the form for the application of examiners which is submitted to the Research Programmes Sub Group for approval.

9.2 The Director of Studies shall make known to the candidate the procedure to be followed for the submission of the thesis (including the number of copies to be submitted for examination) and any conditions to be satisfied before the candidate may be considered eligible for examination.

9.3 The Director of Studies is required to notify the candidate, all supervisors, examiners, and the Secretary of the Research Programmes Sub Group of the date, time and place of the oral examination. This should be done not less than seven days in advance of the examination.

9.4 The Secretary of the Research Programmes Sub Group shall send a copy of the thesis to each examiner, together with the examiner's preliminary report form (see Annex 3) and the University's regulations, and shall ensure that the examiners are properly briefed as to their duties.

9.5 The Secretary of the Research Programmes Sub Group shall ensure that all the examiners have completed and returned the preliminary reports before the oral examination takes place

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10 The candidate's responsibilities in the examination process

In this section the term 'Thesis' refers to either to the thesis or to an alternative form of submission

10.1 The candidate shall ensure that the thesis is submitted to the Secretary of the Research Programmes Sub Group before the expiry of the registration period.

10.2 The submission of the thesis for examination shall be at the sole discretion of the candidate. While a candidate would be unwise to submit the thesis for examination against the advice of the supervisors, it is her/his right to do so. Equally, candidates should not assume that a supervisor's agreement to the submission of a thesis guarantees the award.

10.3 The candidate shall satisfy any conditions of eligibility for examination required by the Research Programmes Sub Group.

10.4 The candidate shall take no part in the arrangement of the examination and shall have no formal contact with the external examiner(s) between the appointment of the examiners and the oral examination.

10.5 The candidate shall confirm, through the submission of a declaration form (see Annex 3), that the thesis has not been submitted for a comparable academic award. The candidate shall not be precluded from incorporating in the thesis, covering a wider field, work which has already been submitted for a degree or comparable award, provided that it is indicated, on the declaration form and also in the thesis, which work has been so incorporated.

10.6 The candidate shall ensure that the thesis format is in accordance with the requirements of the University's regulations (see section 14). Except in the case of PhD by publication, the thesis may be submitted for examination either in a permanently bound form or in a temporarily bound form which is sufficiently secure to ensure that pages cannot be added or removed.63 The thesis shall be presented in a permanent binding of the approved type (see paragraph 14.11 for details) before the degree may be awarded. A thesis submitted in a temporarily bound form shall be in its final form in all respects save the binding. In such cases the candidate shall confirm that the contents of the permanently bound thesis are identical with the version submitted for examination, except where amendments have been made to meet the requirements of the examiners.

11 Examiners

11.1 A candidate shall be examined by at least two and normally not more than three examiners (except where paragraph 12.7, 13.2, or 13.8 apply), of whom at least one shall be an external examiner.

11.2 An external examiner shall be independent both of the University and of the Collaborating Establishment and shall not have acted previously as the candidate's supervisor or adviser.

An external examiner shall normally not be either a supervisor of another candidate, a close collaborator of one of the supervisors or an external examiner on a taught course at the University.

Former members of staff of the University shall normally not be approved as external examiners until three years after the termination of their employment with the University.

The Research Programmes Sub Group does not normally appoint as an examiner a specialist who has previously commented at the registration or transfer stage unless a specific case is made.

63 For instance, perfect-binding which is a method of binding single pages by gluing them together on the spine of the document.

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The Research Programmes Sub Group shall ensure that the same external examiner is not approved so frequently that her/his familiarity with the department might prejudice objective judgement: normally an external examiner shall not be approved more than twice within a five year period.

11.3 An internal examiner shall be defined as an examiner who is:

a) a member of staff of the University who is independent of the project;

b) a member of staff of the candidate's Collaborating Establishment.

11.4 Where two external examiners are proposed, only one internal examiner may be proposed.

11.5 Where the candidate and the internal examiner are both on the staff of the same establishment (whether the University or collaborating establishment), a second external examiner will be appointed. A candidate who is on a fixed short-term employment contract (for instance, a research assistant) shall be exempt from the requirements of this regulation.

11.6 Examiners shall be experienced in research in the general area of the candidate's research programme and normally be a specialist in the topic(s) to be examined.

11.7 Normally, examiners will have substantial examining experience at the level of the award being considered (i.e. examined 3 or more research programmes at the level of the examination)

11.8 No candidate studying for a research award shall act as an examiner.

11.9 The University shall determine and pay the fees and expenses of the examiners.

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12 First examination

In this section the term 'Thesis' refers to either to the thesis or to an alternative form of submission.

For research degrees it is one of the duties of the examination team to determine that the work presented is the candidate’s own. Should there be any suspicion of unfair practice, then the examiners will seek to explore these issues during the viva voce examination.

Should a case of unfair practice be demonstrated, then the submission will be deemed not to have met the standards for the awarding of the degree and the examiners will utilise the range of available outcomes as listed in the Research Degree Regulations, using their academic judgement according to the extent and seriousness of the infringement.

12.1 Each examiner shall read and examine the thesis and submit, on the appropriate form, an independent preliminary report to the Secretary of the Research Programmes Sub Group before any oral or alternative form of examination is held. In completing the preliminary report, each examiner shall consider whether the thesis provisionally satisfies the requirements of the award (see paragraphs 1.3,1.4,1.5,1.6 and 1.7) and where possible make an appropriate provisional recommendation subject to the outcome of any oral examination.

12.1.1 The University will appoint an independent person to chair the oral examination, normally the Dean of Faculty or nominee, to ensure the assessment process is rigorous, fair, reliable and consistent.

The Chair must be independent of the student’s programme of study and should normally be a senior academic who has substantial experience of examining research degrees at or above the level of the examination to be chaired, i.e. MPhil for MPhil and PhD for PhD oral examinations.

The Chair must have a clear understanding of the university’s regulations and procedures.

The examiners will have the responsibility of making any academic decisions about the candidate.

12.2 Where the examiners are of the opinion that the thesis is so unsatisfactory that no useful purpose would be served by conducting an oral examination, they may recommend that the Research Programmes Sub Group dispense with the oral examination and refer the thesis for further work. In such cases the examiners shall provide the Research Programmes Sub Group with written guidance for the candidate concerning the deficiencies of the thesis. The examiners shall not recommend that a candidate fail outright (see sub-paragraph 12.5d) without holding an oral examination or other alternative examination (see paragraph 8.3). In the case of a PhD by publication the examiners may recommend that further or alternative publications are necessary before the oral examination takes place.

12.3 Following the oral examination the examiners shall, where they are in agreement, submit; on the appropriate form (see Annex 3), a joint report and recommendation relating to the award to the Secretary of the Research Programmes Sub Group. The preliminary reports and joint recommendation of the examiners shall together provide sufficiently detailed comments on the scope and quality of the work to enable the Research Programmes Sub Group to satisfy itself that the recommendation chosen in paragraph 12.5 is correct.

Where the examiners are not in agreement, separate reports and recommendations shall be submitted. The recommendations shall be made on the appropriate form.

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12.4 The examiners may request a further examination in addition to the oral examination. In such cases the approval of the Research Programmes Sub Group shall be sought without delay. Where such an examination is arranged following an oral examination, it shall normally be held within two calendar months of the oral examination unless the Research Programmes Sub Group permits otherwise. Any such examination shall be deemed to be part of the candidate's first examination.

12.5 Following the completion of the examination the examiners may recommend64 that:

a) the candidate is awarded the degree (or diploma);

b) the candidate is awarded the degree (or diploma) subject to amendments and corrections being made to the thesis within a period of up to six months (see paragraph 12.6);

c) the candidate is permitted to re-submit for the degree (or Diploma) and be re-examined, with or without an oral examination (see section 13);

d) the candidate be not awarded the degree (or Diploma) and be not permitted to be re-examined (see paragraphs 12.2 and 12.9); or,

e) in the case of a PhD examination, the candidate is awarded the degree of MPhil subject to the presentation of the thesis amended to the satisfaction of the examiners.

f) in the case of a MPhil examination, the candidate is awarded the University Research Diploma subject to the presentation of the thesis amended to the satisfaction of the examiners.

12.6 Where the examiners are satisfied that the candidate has in general reached the standard required for the award, but consider that the candidate's thesis requires some amendments and corrections not so substantial as to call for the submission of a revised thesis, and recommend that the award be conferred subject to the candidate amending the thesis to the satisfaction of the internal and/or the external examiner(s) (see sub-paragraph 12.5b), they shall indicate to the candidate in writing what amendments and corrections are required.

1.7 Where the examiners' final recommendations are not unanimous, the ResearchProgrammes Sub Group may:

a) accept a majority recommendation (provided that the majority recommendation includes at least one external examiner);

b) accept the recommendation of the external examiner; or

c) require the appointment of an additional external examiner.

12.8 Where an additional external examiner is appointed under sub-paragraph 12.7c, she/he shall prepare an independent preliminary report on the basis of the thesis and, if considered necessary, may conduct a further oral examination. That examiner should not be informed of the recommendations of the other examiners. On receipt of the report from the additional examiner the Research Programmes Sub Group shall complete the examination as set out in paragraph 8.6.

12.9 Where the Research Programmes Sub Group decides that the award be not conferred, the examiners shall prepare an agreed statement of the deficiencies of the thesis and the reason for their recommendation, which shall be forwarded to the candidate by the Secretary to Research Programmes Sub Group.

64 Examiners may indicate informally their recommendation on the result of the examination to the candidate but they shall make it clear that the decision rests with the Research Programmes Sub Group.

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13 Re-examination

In this section the term 'Thesis' refers to either to the thesis or to an alternative form of submission.

13.1 One re-examination may be permitted by the Research Programmes Sub Group, subject to the following requirements:

a) a candidate who fails to satisfy the examiners at the first examination, including where appropriate the oral or approved alternative examination (see paragraph 8.3) or any further examination required under paragraph 11.8 may, on the recommendation of the examiners and with the approval of the Research Programmes Sub Group, be permitted to revise the thesis and be re-examined;

b) the examiners shall provide the candidate, through the Research Programmes Sub Group, with written guidance on the deficiencies of the first submission; and

c) a candidate for a research programme shall submit for re-examination within twelve months from the date of the oral examination; The Research Programmes Sub Group may, where there are good reasons, approve an extension of this period.

a candidate for the Research Diploma shall submit for re-examination within the period of six months from the date of the oral examination.. The Research Programmes Sub Group may, where there are good reasons, approve an extension of this period.

13.2 The Research Programmes Sub Group may require that an additional external examiner be appointed for the re-examination.

13.3 There are five forms of re-examination and if there is a re-examination with a further oral examination then paragraph 12.1.1.will apply.

a) where the candidate's performance in the first oral or approved alternative examination (see paragraph 8.3) or further examination (see paragraph 12.4) was satisfactory but the thesis was unsatisfactory and the examiners on re-examination certify that the thesis as revised is satisfactory, the Research Programmes Sub Group may exempt the candidate from further examination, oral or otherwise;

b) where the candidate's performance in the first oral or approved alternative examination (see paragraph 8.3) or further examination (see paragraph 12.4) was unsatisfactory and the thesis was also unsatisfactory, any re-examination shall include a re-examination of the thesis and an oral or approved alternative examination (see paragraph 8.3 and 13.11);

c) where on the first examination the candidate's thesis was so unsatisfactory that the Research Programmes Sub Group dispensed with the oral examination (see paragraph 12.2), any re-examination shall include a re-examination of the thesis and an oral or approved alternative examination (see paragraph 8.3);

d) where on the first examination the candidate's thesis was satisfactory but the performance in the oral and/or other examination(s) was not satisfactory the candidate shall be re-examined in the oral and/or other examination(s), subject to the time limits prescribed in sub-paragraph 13.1c, without being requested to revise and re-submit the thesis;

e) where on the first examination the thesis was satisfactory but the candidate's performance in relation to the other requirements for the award was not satisfactory, the examiners may propose instead a different form of re-examination to test the candidate's abilities; such examination may take place only with the approval of the Research Programmes Sub Group.

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13.4 In the case of a re-examination under sub-paragraphs 13.3a, b or c, each examiner shall read and examine the thesis and submit, on the appropriate form, an independent preliminary report on it to the Secretary of the Research Programmes Sub Group before any oral or alternative form of examination is held. In completing the preliminary report, each examiner shall consider whether the thesis provisionally satisfies the requirements of the award (see paragraphs 1.3, 1.4 and 1.5) and where possible make an appropriate provisional recommendation subject to the outcome of any oral examination.

13.5 Following the completion of the re-examination, the examiners shall, where they are in agreement, submit, on the appropriate form, a joint report and recommendation relating to the award of the degree to the Secretary to the Research Programmes Sub Group. The preliminary reports and joint recommendation of the examiners shall together provide sufficiently detailed comments on the scope and quality of the work to enable the Research Programmes Sub Group to satisfy itself that the recommendation chosen in paragraph 13.6 is correct.

Where the examiners are not in agreement, separate reports and recommendations shall be submitted. The recommendations shall be made on the appropriate form.

13.6 Following the completion of the re-examination the examiners may recommend65 that:

a) the candidate be awarded the degree, Professional Doctorate or Diploma;

b) the candidate is awarded the degree, Professional Doctorate or Diploma subject to amendments being made to the thesis (see paragraph 13.7);

c) the candidate be not awarded the degree, Professional Doctorate or Diploma and be not permitted to be re-examined (see paragraphs 13.11 and 13.12); or

d) in the case of a PhD examination, the candidate be awarded the degree of MPhil subject to the presentation of the thesis amended to the satisfaction of the examiners; or

e) in the case of a MPhil examination, the candidate is awarded the University Research Diploma subject to the presentation of the thesis amended to the satisfaction of the examiners.

13.7 Where the examiners are satisfied that the candidate has in general reached the standard required for the award, but consider that the candidate's thesis requires some amendments and corrections not so substantial as to call for the submission of a revised thesis, and recommend that the award be conferred subject to the candidate amending the thesis to the satisfaction of the internal and/or the external examiner(s) (see sub-paragraph 13.6b), they shall indicate to the candidate in writing what amendments and corrections are required.

13.8 Where the examiners' recommendations are not unanimous, the Research Programmes Sub Group may:

a) accept a majority recommendation (provided that the majority recommendation includes at least one external examiner);

b) accept the recommendation of the external examiner; or

c) require the appointment of an additional external examiner.

65 Examiners may indicate informally their recommendation on the result of the re-examination to the candidate but they shall make it clear that the decision rests with the Research Programmes Sub Group.

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13.9 Where an additional external examiner is appointed under sub-paragraph 13.8c, she/he shall prepare an independent preliminary report on the basis of the thesis and, if considered necessary, may conduct a further oral examination. That examiner should not be informed of the recommendations of the other examiners. On receipt of the report from the additional examiner the Research Programmes Sub Group shall complete the re-examination as set out in paragraph 8.6.

13.10 A further examination in addition to the oral examination may be requested by the examiners. In such cases the approval of the Research Programmes Sub Group shall be sought without delay. Where such an examination is arranged following an oral examination, it shall normally be held within two calendar months of the oral examination unless the Research Programmes Sub Group permits otherwise.

13.11 In the case of a re-examination under sub-paragraph 13.3b, where the examiners are of the opinion that the thesis is so unsatisfactory that no useful purpose would be served by conducting an oral examination, they may recommend that the Research Programmes Sub Group dispense with the oral examination and not confer the award under sub-paragraph 13.6c (see also paragraph 13.12).

13.12 Where the Research Programmes Sub Group decides that the award cannot be made, the examiners shall prepare an agreed statement of the deficiencies of the thesis and the reason for their recommendation, which shall be forwarded to the candidate by the Secretary to the Research Programmes Sub Group.

14 The submission

14.1 Except with the specific permission of the Research Programmes Sub Group the submission shall be presented in English or Welsh (see paragraph 4.5). Where a submission is presented in Welsh, a summary in English of 1,000 words shall be included in the submission.

14.2 There shall be an abstract of approximately 300 words bound into the submission which shall provide a synopsis of the submission stating the nature and scope of the work undertaken and of the contribution made to the knowledge of the subject treated. Three loose copies of the abstract shall be included with the submission. The loose copies of the abstract shall have the name of the author, the award for which the work is submitted, and the title of the submission as a heading.

14.3 The submission shall include a statement of the candidate's research objectives and shall acknowledge published or other sources of material consulted (including an appropriate bibliography) and any assistance received.

14.4 Where a candidate's research programme is part of a collaborative group project, the submission shall indicate clearly the candidate's individual contribution and the extent of the collaboration.

14.5 The candidate shall be free to publish material in advance of the submission but reference shall be made in the submission to any such work. Copies of published material should either be bound in with the submission or placed in an adequately secured pocket at the end.

14.6 The text of the thesis submitted for Research Diploma, Masters by Research MPhil and PhD (by thesis) should normally not exceed the following length (excluding ancillary data):

For awards in Science, Engineering, Art and DesignPhD - 40,000 wordsMPhil - 20,000 wordsMasters by Research - 25,000 wordsResearch Diploma - 10,000 words

For awards in Arts, Social Sciences and EducationSection 2: 23

PhD - 80,000 wordsMPhil - 40,000 wordsMasters by Research - 25,000 words

Research Diploma - 20,000 words

Doctorate in Health or Social Care -50,000 wordsDoctor of Business Administration -80,000 wordsDoctor of Business Administration inPublic Services Management (DBA PSM) -80,000 wordsDoctorate in Public Leadership (DPL) -80,000 words

Where the submission is accompanied by material in other than written form or the research involves creative writing or the preparation of a scholarly edition, the written thesis should normally be within the range:

for a PhD 30,000 - 40,000 wordsfor an MPhil 15,000 - 20,000 wordsMasters by Research 10,000 -15,000 wordsfor a Research Diploma 8,000 - 10,000 words

Submissions for the Award of MPhil or PhD by Portfolio and PhD by Publication

Materials submitted for the award of MPhil or PhD by portfolio or PhD by publication shall be in a form approved by the Research Programmes Sub Group at the time of the original registration. Normally these should demonstrate equivalence with the guidelines on word-length above.

The critical overview submitted with materials for MPhil/PhD by portfolio and PhD by publication should normally be in the region of 10,000 words.

14.7 Following the award of the degree (except for Masters by Research and Research Diploma) the candidate will supply all necessary hard copies of the thesis or submission and one electronic copy of the thesis submitted on a CD-ROM.

The Secretary of the Research Programmes Sub Group shall:

a) lodge one hardbound copy of the submission in each of:- the library of the University;- the National Library of Wales;

The Secretary of the Research Programmes Sub Group shall:

b) deposit one electronic copy of the submission to the University’s Research Repository

The electronic copy of the thesis must be identical to the final version of the printed copy and submitted as one file on the CD-ROM.

14.8 Where the Research Programmes Sub Group has agreed that the confidential nature of the candidate's work is such as to preclude the submission being made freely available in the library of the University, the National Library of Wales, Collaborating Establishment (if any) and, in the case of a PhD, the British Library, the submission shall, immediately on completion of the programme of work, be retained by the University on restricted access and, for a time not exceeding the approved period (see paragraph 14.9), shall only be made available to those who were directly involved in the project.

The Research Programmes Sub Group shall normally only approve an application for confidentiality in order to enable a patent application to be lodged or to protect commercially or politically sensitive

Section 2: 24

material. A submission shall not be restricted in this way in order to protect research leads. While the normal maximum period of confidentiality is two years, in exceptional circumstances the Research Programmes Sub Group may approve a longer period. Where a shorter period would be adequate the Research Programmes Sub Group shall not automatically grant confidentiality for two years.

14.9 The copies of the submission presented for examination shall remain the property of the University but the copyright in the submission shall be vested in the candidate.

14.10 The following requirements shall be adhered to in the format of the thesis element of the submission and a candidate may follow either.

a) theses shall normally be in A4 format. The Research Programmes Sub Group may give permission for a submission to be presented in another format where it is satisfied that the contents of the submission can be better expressed in that format. A candidate using a format larger than A4 should note that the production of microfiche copies and full-size enlargements may not be feasible;

b) copies of the thesis shall be presented in a permanent and legible form either in typescript or print; where copies are produced by photocopying processes, these shall be of a permanent nature; where word processor and printing devices are used, the printer shall be capable of producing text of a satisfactory quality; the size of character used in the main text, including displayed matter and notes, shall not be less than 2.0mm for capitals and 1.5mm for x-height (that is, the height of lower-case x).

c) the thesis shall be printed on the recto side of the page only; the paper shall be white and within the range 70 g/m2 to 100 g/m2;

d) the margin at the left-hand binding edge of the page shall not be less than 40mm; other margins shall not be less than 15mm;

e) double or one-and-a-half spacing shall be used in the typescript except for indented quotations or footnotes where single spacing may be used;

f) pages shall be numbered consecutively through the main text including photographs and/or diagrams included as whole pages;

g) the title page shall give the following information:

i the full title of the submission;ii the full name of the author;iii that the award is conferred by the University of Glamorgan/Prifysgol Morgannwg;iv the award for which the submission is presented in partial fulfilment of its requirements;v the Collaborating Establishment(s), if any; andvi the month and year of submission.

14.11 The University library copy shall be bound as follows:

a) the binding shall be of a fixed type so that leaves cannot be removed or replaced; the front and rear boards shall have sufficient rigidity to support the weight of the work when standing upright; and

b) in at least 24pt type the outside front board shall bear the title of the submission, the name and initials of the candidate, the qualification, and the year of submission; the same information (excluding the title of the submission) shall be shown on the spine of the work, reading downwards.

Section 2: 25

Section 2: 26

AN EVALUATION OF WORKING WOMEN'S FAMILY ROLES IN MANCHESTER'S TEXTILE INDUSTRY IN THE 19TH CENTURY

LIZZIE GASKELL

A submission presented in partial fulfilment of therequirements of the University of Glamorgan/Prifysgol Morgannwg

for the degree of Doctor of Philosophy

This research programme was carried outin collaboration with the Engels' Historical Society

October 1997

Section 2: 27

15 Review of an examination decision

15.1 A candidate may in the circumstances set out below request a review of an examination decision, whether at the first examination or re-examination.

15.2 A request for a review may only be made following a decision of the Research Programmes Sub Group on the recommendation of the examiners. Given the existence of procedures for complaint and grievance during the study period66, alleged inadequacy of supervisory or other arrangements during the period of study shall not constitute grounds for requesting a review of the examination decision.

15.3 A request for a review may only be made on the following grounds:

a) that there were circumstances affecting the candidate's performance of which the examiners were not aware at the oral examination; and/or

b) that there is evidence of procedural irregularity in the conduct of the examination (including administrative error) of such a nature as to cause doubt as to whether the result might have been different had there not been such irregularity; and/or

c) that there is evidence of unfair or improper assessment on the part of one or more of the examiners; a candidate may not otherwise challenge the academic judgement of the examiners.

15.4 A candidate shall give notice, in a letter to the Academic Registrar, within 20 working days from the date of notification of the result that she/he wishes to request a review and shall submit the case for review within a further 20 working days from the date of giving notice.

15.5 The request for a review shall first be considered by the Academic Registrar who shall determine whether there is a prima facie case for a review. If it is considered that the request is clearly frivolous, vexatious or outside the permitted grounds, she/he shall discuss the request with the Secretary and the Chair of the Research Programmes Sub Group. If it is agreed that there is no prima facie case, the recommendation shall be submitted to the Chair of the Academic Board for decision. The Chair of the Academic Board may support the recommendation or require further investigation or action on the review. There shall be no appeal against the decision of the Chair of the Academic Board.

15.6 If it is considered that there is a prima facie case for a review the Academic Registrar shall gather such evidence as considered appropriate and likely to assist a panel in reviewing the case. This may include seeking written or oral testimony from the examiners, from other persons present at the oral examination, from supervisors or other members of the academic staff, or further evidence or statements by way of elucidation from the candidate.

15.7 The request for a review shall be considered by a panel, constituted by the Research Programmes Sub Group, from persons having experience of supervising and examining research degrees and who have had no previous involvement in the case. No student or research degree candidate shall be a member of a research degree review panel.

15.8 Following consideration of the case the review panel shall recommend that the Research Programmes Sub Group either:

a) invite the examiners to reconsider their decision; or

b) appoint new examiners; or

66 For details of the complaints procedure, refer to the University’s Code of Practice for Research StudentsSection 2: 28

c) confirm the original decision of the examiners.

There shall be no appeal against the decision of the review panel.

15.9 A review panel shall not be constituted as an examination board and shall not have the authority to set aside the decision of the Research Programmes Sub Group and thereby to recommend the award of the degree.

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Annex 1: List of the University's research forms

R1 - Application to register for a research award of the University (by thesis)

R2 - Application to register for a MPhil or PhD by Portfolio

R3 - Application to register for a PhD by Publication

R5 - Application for changes in registration details, including extension of registration period, suspension of registration period, change in arrangements for supervision and notification of withdrawal

R6 - Application for transfer of registration from Master of Philosophy to Doctor of Philosophy or Research Diploma to Master of Philosophy

R7 - Application for the appointment of examiners

R8 - Preliminary report and recommendation of an examiner on a candidate for the degree of Doctor of Philosophy/Professional Doctorate/Master of Philosophy/Masters by Research/Research Diploma

R9 - Recommendation of the examiners on a candidate for the degree of Doctor of Philosophy/Professional Doctorate/Master of Philosophy/ Masters by Research/Research Diploma

R10 - Signing off Thesis Form

R11 - Certificate of Research

Decl - Candidate's declaration form

ThesisDepos - Thesis Deposit Agreement form

---oOo---

Ref: http://office.research.glam.ac.uk/forms/ September 2009

Section 2: 30

Section 2.2: Code of Practice for Research Students

1 Introduction2 The devolved model of Research Quality Assurance - Faculty Research Programmes Committee3 Your Role as a Researcher in Glamorgan4 Admissions, Registration and Enrolment 5 Transfer of Registration6 Changes in Registration7 Examinations – general8 Complaints 9 Intellectual Property Rights10 Data Protection Issues for Researchers 11 Ethical Principles and Guidelines for Research

Appendices1 Faculty Heads of Research and Research Administrators2 Recommended reading3 The Submission4 Example of a detailed timetable for doing a PhD – Dirk Frans

Section 2: 31

Preface

This code of practice provides a range of general guidance to assist you during your time as a research student at the University of Glamorgan. It outlines good practice and indicates the procedures involved (and your specific involvement in these procedures) in the various stages for students pursuing a research degree at the University.

The Code of Practice should be read in conjunction with the University of Glamorgan Research Programmes Regulations.

Should you require any advice or clarification on any part of the procedures outlined in this code of practice, please contact:

June Walsh, Secretary of the Research Programmes Sub Group, Research Office, 8 Forest Grove, telephone 01443 482881 or email : jcwalsh@glam.ac.uk

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Introduction

Research training is based within higher education institutions in order that the practical and intellectual skills needed by society are acquired by students within a community of committed academic and support staff.

Research students contribute to the research ethos of the University through supervised work which carries forward projects which advance knowledge and, in some cases, lead to commercial exploitation by taking intellectual property or products to market. An important measure of the value of any university is the success achieved by students in research and research related careers within industry, commerce, government or academia.

Research Degree and Diploma work should be an enjoyable stimulating experience. The University works to ensure the best possible opportunities for all students.

Research Unit Leaders, Readers and Heads of Research, who oversee the development of Faculty research activities, will be pleased to advise on the opportunities for research study and funding in their subject area.

2. The devolved model of Research Quality Assurance

All Faculties have undertaken the quality assurance of research programmes and have a Faculty Research Programmes Committee (FRPC). The FRPC undertakes the registration, transfer, extension/suspension and changes thereto of research students, including the registration for Masters by Research, MPhil by Portfolio, PhD by Portfolio, PhD by Publication and Professional Doctorates. The Research Programmes Sub Group (RPSG) will discharge, on behalf of Quality Assurance Committee, the responsibilities for the quality and standards of its research programmes.

2.1 Research Programmes Sub Group (RPSG) terms of reference are:

To consider examination arrangements, including the approval of examiners To periodically review examiners’ reports To consider the recommendations of examiners for the conferment of research awards To audit the process of annual monitoring of research degree students and FRPCs To identify and disseminate good practice in the delivery of research programmes. To make recommendations to the Quality Assurance Committee as appropriate To undertake such matters as required by Quality Assurance Committee

2.2 Faculty Research Programmes Committee (FRPC)

Faculties will undertake the responsibility for the quality assurance of research programmes and operate under the same quality assurance structure and operate in accordance with the University’s approved quality assurance procedures, as agreed by Quality Assurance Committee.

The Faculty Research Programmes Committee (FRPC) terms of reference are: To note the registration of students for research programmes in the faculty and to transfer students

from MPhil/PhD to PhD. To monitor the progress of research students in the faculty To ensure that appropriate ethical approval is secured for each research programme To undertake any other task delegated to it by Quality Assurance CommitteeThe Faculty Research Programmes Committee (FRPC) will be chaired by a senior member of staff from another Faculty and will be nominated by the Chair of Quality Assurance. Committee. The membership of the FRPC will comprise people with experience of designing, delivering and assuring research degree programmes The FRPC will be responsible and accountable for the delegated

Section 2: 33

powers for the Faculty and will be expected to ensure that all quality assurance activities are carried out with the required level of independence. The FRPC will be required to conform to the University’s Research Programmes Regulations and to follow the practices and procedures set out in the Research Programmes Codes of Practice.

3. Your role as a researcher in the UniversityAs a researcher in the University you will fall into one of three categories:

Research Assistant: you are appointed as a member of staff on a fixed term contract. The salaries of some of these posts are paid for by the University but a significant number are funded by grants from external bodies. As a research assistant, you are appointed to assist the research work of the supervisor but are encouraged to register for and gain a higher degree. There is not normally expected to be a conflict between these two objectives, though this could happen particularly with externally funded projects.

Full time research students: you will be undertaking research training and working for a higher degree, but in the process you may assist supervisors in developing their research interest. Normally, you will work within the area of the interest of the supervisors. It is hoped that you will complete and write up your work within two years for MPhil and three years for PhD.

Part time research students: as a part time research student, you may be working on a project connected with your work or on a project in an area of particular interest to you. It is, of course, recognised that you will take somewhat longer to complete than full time students normally four years for MPhil and six years for PhD.

Admission and Enrolment

The responsibility for the admission of research students to the University rests with the Research Applications Panel within your Faculty. If the Faculty is able to provide the necessary support, guidance and expertise in your required research area, you will receive a letter of acceptance and will need to agree a mutual starting date with your Director of Studies.You are required to enrol formally as a student immediately on commencement of study and pay the appropriate fees. This legitimises your research work within the University and covers you for insurance purposes. You are required to enrol as a student even if you are employed by the University, either as a member of staff or as a research assistant. Enrolment can be effected at any time of the year; thereafter re-enrolment will take place each September. Returning students are required to complete an abbreviated version of the enrolment form. Enrolment forms are available in your Faculty or from the Academic Registry and your Director of Studies/Supervisor will assist you in this process. There is, at times, some confusion between the terms enrolment and registration; enrolment is when an applicant is officially recognised as a student of the University and entitled to use its facilities, and registration is the formal approval by the FRPC of your research programme.

Special Needs

The University operates a policy for students with disabilities and other special needs. We are able to cater for a variety of special needs and we will be pleased to discuss your particular requirements. You will need to inform your proposed Director of Studies of any special requirements, and further information and assistance can be obtained from Student Services in the University.

Tuition Fees

Section 2: 34

The University tuition fee is payable annually at the same time as enrolment is effected and cheques should be made payable to the University of Glamorgan. The cost of tuition for University staff (including research assistants) will normally be borne by the University. If you are in receipt of a sponsorship by your employee etc. the University will invoice the sponsor for the relative amount.

If you do not complete within the specified time you may be eligible to pay a ‘writing-up’ fee if you continue to make a significant use of University resources. Details of the current rate of tuition fees are available from the Finance Department or the Research Office.

Programme of related studies

When you have enrolled you can discuss with your Director of Studies whether you will benefit from a programme of related studies. This generally means a short programme of study designed to equip you with special or additional skills which are related to your project, but not part of it, for example IT training in specialist software packages, additional level 3 (honours) or master's level modules in specialist topics, or research methodology training. The University’s Human Resources Department (HR) publishes a Training and Development Newsletter termly which provides details of courses, and will be available either via your supervisor or from HR. Other courses or conferences may take place outside the University. Most students will find they require one or more of these types of training and your Director of Studies will advise you.

All research students will be encouraged to study for the PGCert Research which you can take during the time you are enrolled on your research programme. The PGCert Research consists of a 20 credit University wide generic module and 40 credits of discipline specific modules from existing modules within the faculty.

Progress Files and Personal Development Planning in your Programme

IntroductionAs a post-graduate you will have some previous experience of studying in the Higher Education system. However, studying as a post-graduate is very different to the undergraduate experience. Many students find it difficult to adapt to this new way of learning. Personal Development Planning (PDP) through use of your Progress File will help you to make the transition more smoothly. It will help you to do as well as you possibly can in your studies, and increase your employability.

Rationale for Progress FilesProgress Files have been introduced to improve the quality of learning by making the outcomes of learning in higher education clearer. This is done to help you to understand what is expected of you and what you can expect in return. PDP is a continuous process of appraisal, reflection and planning. It will help you to recognise the skills that you already have, and those which you want to improve. It will raise your awareness of the variety of opportunities for skills’ development, and help you to articulate and apply the skills you have acquired. It will therefore help you to reflect on your learning and achievements and plan your personal, educational and career development. This will help you to do as well as you possibly can while at University. It thus aims to improve your ability to understand what and how you are learning, and review, plan and take charge of your own learning. This means you will be able to plan and direct your learning and understand how you are learning. It should also help you to relate your learning to a wider context, plan personal goals, and evaluate your progress, which will in turn improve your study and career management skills.

PDP will also give you guidance in documenting and describing your personal and professional development. Many employers use systems of Continuous Professional Development and annual appraisal, and using a Progress File is excellent preparation for this. Therefore using a Progress File to help you with Personal Development Planning at University should help you throughout your working life. Employers are increasingly looking for graduates who are able to demonstrate awareness and evidence of their skills and attributes, rather than just information on the academic subjects studied. Therefore using a Progress File will make you more employable by helping you to

Section 2: 35

develop the skills and experience that are essential in an increasingly competitive graduate job market. Study at the University of Glamorgan will provide you with a wide range of opportunities to develop academically and personally through your course, extra-curricular activities, and participating in the PDP process.

The PDP in your Programme will not currently be formally assessed but you must keep a portfolio of all courses, seminars, conferences etc. you have attended, both as an individual or as part of a group.

An electronic Progress File is available to supplement and support the PDP within your programme, including a section developed specifically for post-graduates. This has been designed with reference to the Research Council Joint Skills statement (http://www.nerc.ac.uk/funding/forms/student_training.pdf), to ensure that you are provided with opportunities to develop skills identified as important for post-graduates to possess. Your supervisor will help you talk through the process and identify areas which you would like to improve. It will be your responsibility to take advantage of the training available to develop your skills.

What does a Progress File consist of?The Progress File system consists of three elements:a) A mechanism of Personal Development Planning. This will help you to assess your skills and

improve on them. In the University of Glamorgan an electronic Progress File is available to supplement and support the personal development planning contained within your course.

b) You will need to inform your Director of Studies/Supervisor and the Research Office of all training courses you have attended The Research Office will then provide you with an annual transcript with a detailed record of your learning and achievement

c) Your own record of learning and achievements which can be used to develop Curriculum Vitae or write application forms for employment or further study. The electronic Progress File contains documents which will help you to develop this record.

Maintaining Your Personal Development Record It is up to you to keep your Personal Development Record up to date. You should do this as you go along, rather than trying to remember details of your achievements or skills gained some time after the event. You should discuss your skills and training needs with your supervisor as soon as possible once you commence your post-graduate studies.

You should be proud of all your achievements, academic and otherwise. These include achievements before entering University in addition to those gained as a student. You can record these in the electronic Progress File provided to you by the University of Glamorgan. In addition to information on exam results, academic prizes and awards, it includes details of positions of responsibility held prior to entry to University, extra-curricular interests and activities, Duke of Edinburgh Award, etc., as you will have gained many skills through these experiences. You should also record University assignment results, degree examinations and any other work that marks your progress and achievement through your course as you go along, as this information will also act as evidence of your skills.

You may integrate skills gained through extra-curricula experiences into your own personal development planning process by considering the skills gained through these experiences when carrying out your initial skills assessment (in the ‘Skills’ section of your Progress File). It is important to note where you gained each skill when carrying out the skills assessment. This will help you to compile a CV and to complete application forms for employment or further study. You might find it useful to keep a record of any externally accredited qualifications (e.g. Driving Licence, European Computer Driving Licence etc.) within your Progress File as these may be of interest to your future employer. You should also keep your annual transcripts.

Section 2: 36

HelpYou can get help in improving any skills that you think would be useful to you from your electronic Progress File, which contains links to many resources for helping you to develop a wide range of abilities, including reading, writing, ICT, numeracy, personal/soft skills, study skills and drawing skills. The Education Drop-in Centre provides one-to-one tuition, workshops, seminars, and a wide range of other support in academic skills. The Careers Centre is available to help you realise your career ambitions, assist you with your CV and applications, and also provides careers-related workshops throughout the year. Your Tutor and your lecturers will be able to provide you with information appropriate to your programme, support for your progress and personal development, and will help you identify appropriate sources for any help you may need. Other forms of support (counselling, financial advice etc.) are available from Student Services.

Accreditation of Prior LearningIf you gained qualifications or experience before coming to University you may be able to get exemptions from elements of your course which duplicate your knowledge and competence. However, you will need to satisfy specific requirements of your programme. Experiential learning is identified through your reflection on the knowledge and skills you have gained and a clear statement of you have learned. You must provide evidence to support this. The evidence must be sufficient, authentic, current and valid. Academic staff will help you to prepare your claim and are responsible for assessing these claims. If you think that you have qualifications or experiential learning which may be eligible for accreditation, please contact your Director of Studies/Supervisor.

Accessing your on-line Progress FileAll registered students have access to an electronic Progress File. You can access it through Blackboard, a web-based system used by the University to host educational materials. It contains materials to help you assess your current level of skills, in addition to information on careers and issues such as plagiarism. It will act as a resource for improving your skills, monitoring your progress and helping you with your personal development planning. The Centre for Excellence in Learning and Teaching (CELT) has further information on the scheme http://celt.glam.ac.uk/Support-Resources/personal-development-planning

All students with University of Glamorgan enrolment numbers can enrol on the online Progress File, as can all staff. To access it you need to log on to Blackboard http://blackboard.glam.ac.uk If you have not logged on before you will need to go to http://ssaa.glam.ac.uk/ to activate your account and choose a password.

ResourcesQuality Assurance Agency for Higher Education (QAA) Guidelines for HE Progress files:http://www.qaa.ac.uk/academicinfrastructure/progressFiles/guidelines/progfile2001.pdf

Teaching undertaken by full time Research Students/Assistants

The University encourages full time research students and assistants to undertake some teaching duties in view of the benefit which they will derive from it. It can provide an opportunity for you to gain valuable experience for future careers in teaching or research, to apply and develop your research studies to the teaching situation, and as a means of supplementing your income. The maximum permitted for full time researchers is 6 hours per week, including not more than 2 hours/week of classes which require preparation. Research students are paid for undertaking these duties but research assistants are required to do this as part of their normal duties. However, in some cases, the terms of external grants preclude research assistants from teaching.

Your Director of Studies

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Every student will have a Director of Studies who will be the principal supervisor; your Director of Studies will have administrative and pastoral responsibility for you and will be responsible for the day to day guidance of your research programme. In addition, you may have one or more additional supervisors (second supervisor(s)) who will provide support to your Director of Studies, and provide you with support in specialist areas and particularly in your Director of Studies’ absence. A supervisor will have specialist knowledge relevant to the project and/or experience associated with the regulatory processes. Your Director of Studies will be responsible for ensuring that your needs as a research student are taken into account in the allocation of departmental resources and for ensuring that the various procedures are undertaken at the appropriate time.

Your Director of Studies will aim to strike a balance between providing direction and encouraging independence of thought so that you retain ownership of the project throughout. S/he will give advice on an appropriate structure for your thesis and will provide detailed comments and guidance. As you progress with your project, the Director of Studies' involvement will shift from direction to encouraging your responsible autonomy for the project.

Your Director of Studies will ensure:

all necessary enrolment, monitoring and examination processes are dealt with; you undertake an appropriate programme of related studies (if necessary) or the PGCert

Research; any necessary facilities are provided by the appropriate department; you receive any necessary guidance in following your research programme.

It is also the Director of Studies responsibility to ensure:

s/he provides adequate time for supervision and encouragement that you fully comprehend the complexity of the proposed task that you focus the work in the intended direction that you have access to primary research materials that you and the University are aware of any ethical, legal or political problems associated with

the work; and that the final thesis is your own work.

A supervisor’s responsibilities may include the following:

providing satisfactory guidance and advice being responsible for monitoring the progress of your research programme establishing and maintaining regular contact with you and ensuring his/her accessibility when

advice is needed by whatever means is most suitable given your location and mode of study having input into the assessment of your development needs providing timely, constructive and effective feedback on your work, including overall progress

within the programme ensuring that you are aware of the need to exercise probity and conduct your research

according to ethical principles and be aware of the implications of research misconduct ensuring that you are aware of institutional-level sources of advice, including ethics, careers

guidance, health and safety legislation and equal opportunities policy; providing effective pastoral support and/or referring you to other sources of such support,

including student advisers, Faculty staff and others within the student's academic community;

helping you to interact with others working in the field of research, for example, encouraging you to attend relevant conferences, supporting you in seeking funding for such events; and where appropriate to submit conference papers and articles to refereed journals;

Section 2: 38

maintaining the necessary supervisory expertise, including the appropriate skills, to perform the entire role satisfactorily, supported by relevant continuing professional development opportunities.

Supervisors need to be sensitive to the diverse needs of individual students, including international students and the associated support that may be required in different circumstances.

Guidance should be given on the minimum frequency of contact advisable between students and supervisors.

Contact Between Student and Supervision Team

You will be expected to maintain regular and frequent contact with your Director of Studies. It is recommended to Directors of Studies that meetings be timetabled (although this should not limit the opportunity for contact if you require help on a particular issue). The frequency of meetings will vary according to the subject matter, length and complexity of the project, and on your individual needs.

In the early stages it is recognised that you may require more intensive counselling and support, and at this stage we require that the Director of Studies and yourself develop a clear plan of work, including a realistic estimate of the content and scope of the project and the time it will take. The plan of work will need to be reviewed regularly as the work progresses, but will form the basis of the critical path of the project. The written framework should include the aims and objectives of the project, the proposed methodology together with bibliographical support or other evidence relating to previous work on the topic.

Getting started

The University through RPSG and FRPC place considerable emphasis on the need to ensure that research degree programmes are well planned from the outset and that students receive regular supervision of a high quality.

The choice of subject, aims, design and conduct of your research should be discussed by you and your supervisory team. You will need to establish clearly your plan of work in terms of what you expect the progression of the studies to be and also the time which you expect to take. You will need to define a precise title. The aims are important as you may find later in your research that you have to keep going back to the aims to remind yourself of what you started out to do.

You may find it useful, at the early stage, to talk to people who are experienced in your field of research (not only to your supervisors) and ask them to criticise your plan of work and its timescale.

Timetable of the Project

Time is the factor which often appears to be the student's worst enemy. You should bear in mind the need to focus clearly on the objectives of the research. It is important to be aware that the start of a project is nearly always much slower than expected, and although contextual knowledge is important, spending overlong on background material, the literature survey, or complex data analysis using computing techniques (unless this is in itself the objective of the research) can result eventually in non-completion.

The most important task is to set yourself a timetable of work per week showing the number of hours which you intend to devote to your research study. It would seem that for a part time degree about twelve hours a week minimum should be put aside for study, and full time students are expected to work for at least thirty five hours a week.

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You will have the help of your supervisors at regular meetings, but it is your responsibility to press your supervisors for help. They may not always appreciate that help is needed; however you have a right to see them and they are expected to make time to see you. Regular assessment of your progress is desirable; you should:

ensure that data collection is appropriate and systematic maintain records of work completed ensure that the plan of work is kept under review.

Equally at the final stage of a research degree, the presentation of the thesis invariably takes longer than you may anticipate and you should aim to prepare draft chapters at an early stage, even if these subsequently need revision. For students without previous literary training, the opportunity to consult standard references can be invaluable.

Research student’s responsibilitiesStudents should be aware of their responsibilities at the beginning of the programme and the following responsibilities would normally be included:

taking responsibility for your own personal and professional development maintaining regular contact with supervisors preparing adequately for meetings with supervisors setting and keeping to timetables and deadlines, including planning and

submitting work as and when required and generally maintaining satisfactory progress with the programme of research

making supervisors aware of any specific needs or circumstances likely to affect their work attending any development opportunities (research-related and other) that have been identified

when agreeing their development needs with your supervisors being familiar with institutional regulations and policies that affect them, including the regulations

for their qualification, health and safety, intellectual property and ethical research guidelines

The induction programme will be delivered by the Faculty and the information provided may include:

general information about the University and its postgraduate portfolio in the relevant subject(s)

the institution's registration, enrolment, appeals and complaints procedures assessment requirements and research programmes regulations the names and contact details of the student's supervisor(s) and information about how

supervisory arrangements work the University's research ethics and codes and those of relevant professional bodies and

discipline groups, including consideration of issues concerning authorship and intellectual property

the University's expectations of the independence and responsibilities of the student student support and welfare services such as counselling and advice centres a summary of the facilities that will be made available to the student, including the learning

support infrastructure relevant health and safety and other legislative information a brief outline of the proposed research programme, together with the normal length of study

and the facilities that will be made available to the student; reference to the challenges that will typically face research students during the course of their

studies and where guidance may be sought in the event of difficulties any opportunity for the student representative body to introduce themselves, including specific

postgraduate representation; social activity, including that provided specifically for postgraduates opportunities for postgraduates to be represented by the student body details about opportunities and requirements for skills development

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Documentation involved in research programme work

It is important to produce documents associated with research degree work to a high standard. The quality of documentation has to measure up to standards set by the wider research community. There are different traditions within different subjects and it is unrealistic to expect total consistency in the judgements of different documents. It is better to aim for the highest quality using selected examples within the records of the department and University as a guide, your Director of Studies will assist you in accessing these. Often the key to a good document is clear, simple diagrams and tables which are rethought and redrafted many times to illustrate the essence of the arguments. When this is achieved the text falls neatly into place. These documents should evolve continuously over the period of the project.

The final thesis (or transfer report where applicable) can be produced by a variety of information technology modes. You are strongly advised to liaise with your Director of Studies to ensure that you have easy access from an early stage to the most appropriate methods of handling text, graphics and calculations.

You should aim to present part of the work in journals and at meetings. If the project is sound, diligent work by you, alongside your supervisor, in the early stages should ensure success. You should progressively play a higher role in your research, e.g., presentation of papers at meetings and possibly sole authorship of a publication, if the supervisor feels you have reached this stage. There is a great value in exposing early work in a project to expert criticism at as a high a level as possible by early publication.

4. Admission, Registration and Enrolment for a UniversityResearch Programme

The Faculty Research Applications Panel (RAP) will consider and approve all research programme applications which must be accompanied by a research proposal. The RAP will consider the application against criteria and will ensure that the Faculty is able to provide suitable research supervision

If the application is successful the candidate will need to submit the research proposal on the registration form to the Faculty’s FRPC who will note the registration and ensure ethical issues have been considered and approved if required. Acceptance of a research student implies that the resources required to undertake the research will be available either within the Faculty or from other sources.

Completing the registration form

You should make sure that you consult the University's Research Programmes Regulations before completing the registration form.

There are four routes available to you:

Research Diploma, Masters by Research, MPhil, MPhil with transfer possibility to PhD, and PhD by Thesis, Professional Doctorate.

Use registration form R1.

This is the traditional route for students following a research programme where you will complete an approved research project leading to the submission of a thesis.

MPhil by Portfolio or PhD by Portfolio

Use registration form R2.Section 2: 41

This route can be used for students who have largely completed the work (say, as a result of work-based projects). Students will submit for examination an approved portfolio of material relating to a maximum of three projects accompanied by a critical overview which demonstrates the originality of the contribution to the field. The projects may be work related and derived from empirical or conceptual investigation. The critical overview must also demonstrate the relationship between the projects, and the submission should demonstrate an independent and original contribution to knowledge at least equivalent to that normally demonstrated by the submission of a traditional thesis.

PhD by Publication

Use registration form R3.

The PhD by publication requires students to submit for examination an approved body of published work, accompanied by a critical overview. The submission should demonstrate the originality of the contribution to the field and significant authorship by the student. Registration for submission by this route is appropriate for students who have already completed, or reached an advanced stage of submission of, the published work.

What constitutes a published work?

A work will be regarded as published only if it is traceable through ordinary catalogues, abstracts or citation indices and copies are available to the general public. Work that is ‘in press’ cannot be submitted, neither are proofs of works not yet accepted for publication. Reports to Government Departments, local or industrial organisations and the like cannot be submitted, unless they have been published and are available generally.

Applications from students proposing to work outside the UK

Applications from students proposing to work outside the UK may be considered provided the following conditions are fulfilled:

(i) there is satisfactory evidence as to the facilities available for the research abroad;

(ii) the arrangement proposed for supervision enable frequent and substantial contact between the candidate and the supervisor(s) based in the UK, including adequate face-to-face contact with the supervisor(s). The candidate should spend normally not less than an average of 6 weeks per year at the University.

Consideration by the Faculty Research Programmes Committee (FRPC)

When the registration is noted by the FRPC, a formal letter is sent containing the approved title of the project, supervisors, effective date of registration etc. to candidates and supervisors. You are welcome to contact the Secretary of FRPC meeting to find out at any time to seek advice on, or explanations of FRPC decisions

5. Transfer of Registration

Applying to Transfer Use registration form R6

Students registered for a Research Diploma may wish to transfer to MPhil or MPhil with possibility to transfer to PhD. Students should apply to the FRPC to approve transfer as soon as they have made sufficient progress on the project. In the case of transfer to PhD students will have to provide

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evidence of potential PhD direction and development. The Committee will normally expect this to be after some 9-15 months of full-time study or 12-18 months part-time study. Students registered for MPhil only may apply to transfer to PhD if sufficient progress has been made to provide evidence of the development to PhD.

Progress Report

In support of your application to transfer, you will prepare a full progress report on the work undertaken for submission to the FRPC, along with Form R6 and the name of three specialists (to be provided by your Director of Studies).

Your progress report should normally be 3,000 to 6,000 words in length i.e. about 15 pages maximum plus diagrams. You should aim for no more than a total of 6000 good words! Your report should include a brief review and discussion of the work already undertaken, and a statement of the intended further work, including details of the original contribution to knowledge which is likely to emerge. Full details can be found in the University’s Research Programmes and Diploma Regulations.

The readers of your transfer report will be trying to satisfy themselves that you are making good progress towards your Ph.D. Remember that a doctorate degree is, ‘awarded to a candidate who having critically investigated and evaluated an approved topic resulting in an independent and original contribution to knowledge and having demonstrated an understanding of appropriate research methods appropriate to the chosen field, has presented and defended a thesis (or alternative form of submission), by oral examination, to the satisfaction of the examiners’. The words in bold type are the difference between a MPhil and a PhD.

Whilst there is no one correct way to write a transfer report the objectives must be borne in mind, and the following suggested layout may be of some help.

Summary This should contain a clear and concise statement of the problem being investigated, an explanation of the research methods being used, a brief but specific summary of the essential results obtained so far and what you will be considering in the future. The length should be about 500 words.

Introduction This should lead the reader from what they might already be expected to know towards your particular subject. Make quite clear what your project is about. Be brief.

Section 1 Critically review existing relevant literature; show what is lacking with the present state of knowledge. (I.e. that is demonstrate how your work critically investigates the topic)

Section 2 Introduce your project and show how it should help to meet the deficiencies of other work. (i.e. that is demonstrate how you evaluate your approved topic)

Section 3 Show what has been done so far on your project. Be concrete and factual. i.e. demonstrate your independent contribution to knowledge and understanding of research methods appropriate to the chosen field.

Section 4 This must explain what you intend to do in the remaining time. It is here that the

distinction between MPhil and PhD must be demonstrated. A PhD must involve original work and this section must show how it will. (i.e. your continuing understanding of research methods appropriate to the chosen field), and especially how your work will be original.

Section 5 Conclusions - be concise, preferably list them.

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References One might reasonably expect for a 6000 word report about 30 key references. Only quote relevant references, be selective. References should be listed in accordance with BS1629 – copy available from the Research Unit in the Registry.

If in doubt always ask for advice from your Director of Studies and supervisor(s); candidates that have already had their transfer reports approved may be happy to show you what they have done. Remember to get your report to the Secretary of FRPC well before the deadline so that the referee does not feel pressurised, you want them on your side! Pay attention to the final presentation of the report it must be spell-checked and proof-read and should look ‘professional’

Consideration by the Faculty Research Programmes Committee

Your progress report, form R6 and the names of the three specialists should be submitted to the Secretary of FRPC at least four weeks before the meeting at which it is to be considered. A member of the FRPC with expertise in the area of the research project will be asked to comment on the proposed transfer, and to nominate one of the specialists to consider the transfer. The FRPC member may, however, consider it more appropriate to seek the opinion of an alternative specialist. The Committee will seek guidance from the specialist’s report. You will be notified of the Committee's decision regarding your transfer by the Secretary of FRPC.

The FRPC will normally use an oral assessment (viva voce) as part of the assessment of the case for transfer to Ph.D. The oral assessment (viva voce) will be conducted by the independent specialist and observed by the Director of Studies. The independent specialist cannot then be appointed as an internal or external examiner.

6. Changes in approved registration arrangements

Use registration Form R5. You should ensure, in consultation with your Director of Studies, that the Secretary of FRPC is notified of any changes in your approved registration arrangements where applicable, on the appropriate form R5.

Change in Approved Programme

If your project undergoes a material change, for example, if the expected collaborating establishment proves unable to provide data, perhaps ethical approval from a health body is not forthcoming and so on, and then the project clearly needs a major revision. It is this type of change that needs approval by the Committee. Other smaller matters do not need approval, for example, early results or the discovery of new sources may necessitate a change of focus, and such changes are probably to be expected.

Change in Mode of Study

Any change in your mode of study, i.e. full or part time, should be notified to the Secretary of FRPC in writing.

Extension of the Registration Period

An application for the extension of your registration must be submitted to the Secretary of FRPC (Form R5). An application to extend your registration (see reg. 5.8) must be submitted before your registration expires. A request to shorten your minimum registration period will need to be submitted, in writing, at the same time as approval of examination arrangements.

Suspension of the Registration Period

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If you need to suspend your research, Form R5 should be completed and forwarded to the Secretary of FRPC; when you resume your registration you will need to notify the Secretary of FRPC in writing.

Withdrawal of Registration

You will need to notify the Secretary of FRPC by completing Form R5 if you decide to withdraw from the programme at any stage.

7. Examinations

Approval of Examination Arrangements

Form R7

Examination arrangements must be approved by the University's Research Programmes Sub Group. In order for there to be sufficient time to resolve any queries raised by the RPSG and for, following approval, the arrangements for the examination itself to be made, it is necessary for the application for approval of examination arrangements to be submitted to the Secretary of RPSG at least two months before the expected date of completion of the thesis; this should be done about one month prior to completion for Research Diploma candidates.

Your Director of Studies is responsible for submitting the application for approval of examiners.

Although it is the responsibility of your Director of Studies and your supervision team to propose the examiners, it is expected that you will have been consulted and your views noted.

Your Director of Studies should ensure that there has not been significant contact between yourself and your proposed examiners, for example, working within the same organisation. It is appreciated that in some highly specialist areas the external examiner and yourself may have had some contact, for instance, given papers at the same conference, but this will not preclude the appointment of an individual as an examiner, but it is expected that you and the examiner will be wholly independent of each other. If there is any more significant contact or involvement between yourself and the proposed examiner, you will have to report this to your Director of Studies.

Following approval of your examination arrangements your Director of Studies will notify you of the procedure to be followed for the submission of the thesis (including the number of copies to be submitted for examination) and any conditions to be satisfied before you may be considered eligible for examination. S/he will also liaise with you and the examiners to arrange the time and place of the examination.

You must take no part in the arrangements for your examination and must have no contact with the external examiner(s) between the time they are appointed and the date of your examination, or discuss your thesis/project/examination with the internal examiner(s).

It is, however, unreasonable to expect that you will avoid meeting someone appointed as an internal examiner (particularly if you are a full time student), but it is envisaged that both students and internal examiners will use their discretion as to what is an appropriate topic for discussion.

Submission of the Thesis/Portfolio/Publications: (see Appendix IV for details of the submission)

Students are encouraged to seek the views of all their supervisors prior to submitting their thesis. Your Director of Studies will need to ‘sign off’ your thesis to indicate his/her approval (Form R10) for submission to your examiners. This can be done by either including a formal statement (R11

Section 2: 45

Certificate of Research67) bound in your thesis, or by attaching the appropriate form (available from the Research Office).

The Research Programmes Sub Group would not recommend that you submit against the advice of your supervisors. You do, nonetheless, have the right to submit at any time within the registration period, with or without the support of your supervisors. However, this is not considered advisable and you are encouraged to discuss and agree with your supervisors how and when to submit.

When the submission is ready for examination, you must submit to the Secretary of RPSG sufficient bound copies for all the examiners involved along with the declaration on Form Decl. It is recommended your theses submitted for examination are bound in ‘perfect binding’, not in the more formal, rigid binding required for completed, examined theses; theses that are ring bound will not be acceptable. Full instructions on the requirements for your submission are to be found in the University’s Research Programmes Regulations.

The Examination

Normally you will have an oral (viva voce) examination with the examiners, which will cover both the thesis content and the field of study in which the programme of work was undertaken. Where you may be under serious disadvantage if required to undergo an oral examination, as a result of sickness or similar problems, the Research Programmes Sub Group may approve another form of examination.

Preparing for the examination

The oral examination is the culmination of your research studies and you must pass it to be awarded a research degree. You need to prepare carefully, but not frantically. You should re-read your thesis, in particular noting any minor errors or typographical errors which have occurred. It is better to be able to say that you have done this when confronted by a list by the examiners. You should be prepared to defend the thesis in detail, and in relation to the wider debates on which it bears.

You may find it useful to have a mock viva, either organised by a sympathetic colleague who has been through the process, or your supervisor. You need to be able to show that you are fully in command of the arguments of the thesis. But remember, you are likely to be the ‘world’s expert’ on your subject, and as long as you are sure of your arguments, and can defend them fully, there should be no problems.

Conduct of the examination

Normally, there will be two examiners one internal and one external but a member of staff will have two externals and one internal. Your Director of Studies or Second Supervisor cannot be an examiner; one or both may, with the consent of the candidate, be present at the oral, and may take part in the discussion with the candidate, but must withdraw before the examiners deliberate on the outcome.

An Independent Chair will be appointed to conduct the examination. A Chair will be independent of the student’s programme of study and have a clear understanding of the University’s regulations and procedures. The Chair will not make any contributions to the academic examination or evaluation of the thesis.

Examinations vary, but the aim of the viva is to provide you with an opportunity to defend your work. The ideal atmosphere is one that is fair and supportive but also intellectually rigorous. Examiners do

67 Certificate of Research: this is to certify that, except where specific reference is made, the work described in this thesis is the result of the candidate. Neither this thesis, nor any part of it, has been presented, or is currently submitted, in candidature for any degree at any other University. (This should be signed by your DoS, yourself and dated).

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not want to destroy you or your work, but they do want to make sure that it meets the proper standards.

Vivas also vary in length and may last several hours. Again, this is not necessarily a sign of anything. It may be that the examiners want to tease out a particular problem or simply that they are particularly interested in the discussion.

At the end you will be asked to withdraw while the examiners confer. Normally, they will then inform you of their decision, and if any amendments to your thesis are required, they will in due course provide you with a written list. Please remember that the examiners are at this stage making a recommendation of an award. Your degree is confirmed as quickly as possible afterwards following formal approval by the University.

The examiners may recommend that:

1. the candidate be awarded the degree (or diploma);

2. the candidate be awarded the degree (or diploma) subject to amendments68 and corrections being made to the submission to the satisfaction of the internal and/or external examiner(s);

3. the candidate be permitted to re-submit for the degree (or diploma) and be re-examined, with or without an oral examination;

4. the candidate be not awarded the degree (or diploma) and be not permitted to be re-examined;

In the case of PhD candidates only:

5. the candidate be granted the degree of MPhil subject to the presentation of the submission amended to the satisfaction of the examiners. For candidates of a PhD by publication, and MPhil is only awarded in exceptional circumstances.

In the case of MPhil candidates only:

6. the candidate be awarded the University Research Diploma subject to the presentation of the submission amended to the satisfaction of the examiners.

Where revisions to your thesis are required before the degree is awarded, the thesis will be returned to you. The examiners will be asked to indicate in writing the amendments or corrections you are required to make. The corrected thesis should then be sent to the examiner/s who will inform the RPSG Secretary that the revisions have been undertaken.

Where examiners recommend that the degree be not awarded and no re-examination be permitted, or for candidates recommended to resubmit within twelve months, the examiners will be asked to prepare an agreed statement of the deficiencies of the thesis and the reason for their decision which will be passed to candidates.

Appeals Against Examination Decisions

A candidate may, in the circumstances outlined in Section 15 of the University's Research Programmes Regulations, request a review of an examination decision, whether at the first examination or re-examination.

68 Please note that minor amendments e.g. corrections, grammatical or typographical errors are normally completed within 28 days and other amendments within a time period specified by examiners up to a maximum of 6 months

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8. Complaints Procedure

The Informal Procedure

You may raise any complaints informally with your Director of Studies, Dean of Faculty or with the Chair/Secretary of RPSG/FRPC. In most cases it should be possible to resolve the issue amicably in this way without recourse to the formal complaints procedure. The formal procedure set out below will normally only be used either where the complaint is so serious as to make it inappropriate to deal with informally or where the informal approach has not proved satisfactory to the student.

Please refer to the Student Complaints Procedure which can be found at:

http://office.research.glam.ac.uk/forms/

Possible Issues for a Formal Complaint by a Candidate

The following are examples of issues which may give rise to complaint:

(a) inadequate supervision;

(b) non-availability of equipment or resources necessary for the project;

(c) staff or student relationships e.g., abusive or racist behaviour, sexual harassment;

(d) action likely to impair the safety of the candidate;

(e) a decision of the RPSG or FRPC (see below).

Complaints from students must be made before the final thesis examination and cannot constitute grounds for appeal against the outcome of the examination.

Complaints against Decisions of the Research Programmes Sub Group/Faculty Research Programmes Committee

(a) A student who has a complaint against a decision of the RPSG/FRPC/RAP (e.g., not to register, approve examination arrangements, extend registration, etc) should submit details of the complaint in writing to the Chair of the RPSG/FRPC asking for a review of the decision.

(b) The Chair of the RPSG/FRPC will pass the details of the complaint to an appropriate adviser outside of the Committee (and possibly the University) who has not previously been involved with the candidate or project but who will be familiar with the research degree procedures. The adviser will be asked to provide a written report. On receipt of the report RPSG/FRPC will review the case.

(c) If a student is not satisfied with the decision of RPSG/FRPC following the review carried out in (b) above, she/he should submit details of the complaint in writing to the Chair of Quality Assurance Committee who would follow the same procedure as in (b) above but with a different and independent adviser.

9. Intellectual Property Rights: Regulations for Students

The regulations set out below deal with the issue of Intellectual Property Rights, which is the ownership of any copyright, design rights, invention, discovery or improvement produced by a student or students in the course of their studies. They aim to protect the interests of both the student and the University and are to be interpreted in a spirit of reasonableness.

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In the majority of cases, the University will not wish to retain the Intellectual Property Rights and will assign these rights back to the student concerned pursuant to paragraph 6 below. In addition much of the time the University will agree to publication by the student and generally each Dean of Faculty will routinely issue the necessary consents. Naturally if the University does decide to retain and exploit certain Intellectual Property Rights then the students(s) concerned will be entitled to a share of any profits made pursuant to Paragraph 5. These regulations have been agreed with representatives of the Students Union.

1. Confidentiality

Any student assisting the University or its trading company, their staff and/or researchers on any project or research undertaken for a third party or undertaken with a view to commercial exploitation, shall treat as confidential all information of whatever nature (including, without limitation, information relating to the subject matter and the University’s financial and commercial plans) disclosed to her/him by the University, its trading company, their staff and/or researchers. Except insofar as a student may be expressly authorised by the University so to do, s/he shall not during the period of study or at any time thereafter disclose to any person any such information nor shall it be used for any purpose other than for carrying out studies at the University.

2. Copyright and Design

The copyright, design right, registered design and similar protection in all drawings, plans, designs, project/course work, documents and other materials in whatever form recorded or stored and all models, prototypes and other equipment and apparatus produced by a student in the course of her/his studies shall belong to the University. The student shall immediately upon request by the University deliver up to the University all such materials and equipment and apparatus and all copies thereof made or acquired by her/him. If the above rights are commercially exploited by the University then the student concerned shall be entitled to receive a share of the royalties pursuant to paragraph 5. Moreover if the University does not wish to protect or exploit these rights the student has the option to reacquire them pursuant to paragraph 6.

3. Disclosure of Inventions

A student shall at once disclose the University all inventions, discoveries and improvements made by her/him relating to or arising from a course of study so that it may be established whether such invention, discovery or improvement falls within paragraph 4.

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4. Inventions Belonging to the University

Any inventions, discoveries or improvements disclosed to the University by a student in accordance with paragraph 3 shall, without payment, be the sole property of the University if they were made by the student in the course of her/his studies/project work. The student shall at the request and expense of the University do all such acts and execute all such documents as is necessary or desirable to vest such inventions, discoveries and/or improvements in the University and to assist the University in acquiring patent protection in respect thereof.

5. Royalty Sharing

In consideration of the student agreeing to these regulations the University agrees that if the University commercially exploits any inventions, discoveries and/or improvements referred to in the paragraphs 2 and 4, s/he shall be entitled to receive an agreed proportion of the net receipts arising from exploitation after deduction of all the University’s costs and expenses attributable to the development, protection and exploitation of such copyright, design rights, inventions, discoveries or improvements. The proportion s/he shall be entitled to receive will be note less than one third of the net receipts if the copyright, design rights, invention, discovery and/or improvement was made by that student. If made by her/him in conjunction with other students and/or staff, the share of net receipts shall be divided between all the contributors in such proportions as may be agreed. If the student and the University are unable to agree the royalty sharing arrangement hereunder, either party may refer the matter for final determination by an arbitrator agreed between the parties or failing such agreement appointed by the President of the Law Society or his nominee. The costs of such arbitration shall be borne by the parities equally. The arbitrator shall determine the just and equitable royalty payable hereunder, taking into account the parties’ respective contributions (whether technical, financial or otherwise) to the invention, discovery and/or improvement, its commercial potential and the financial and commercial risks and/or further development work undertaken by the University

6. Inventions Belonging to the Student

The student has the option to reacquire the rights free of charge if the University notifies that it does not wish to protect and/or exploit any copyright, design rights, inventions, discoveries or improvements referred to in paragraphs 2 and 4.

7. Publications

During a student’s course and thereafter, s/he must not incorporate any information referred to in paragraph 1 or any material or equipment and apparatus referred to in paragraph 2 or any inventions, discoveries or improvements referred to in paragraph 3 but excluding paragraph 6 in any article, press statement, book or other publication or any research or project work for a higher qualification without the prior written consent of the University, such consent not being unreasonably withheld. Much of the time the University will agree to publication by the student and generally each Dean of Faculty will routinely issue the necessary consents. Proper credit shall be given in all relevant publications to all students/staff inventors.

8. No Waiver

Subject to the provisions of paragraph 6, the student must further accept that any failure by us to exercise our rights hereunder shall not be a waiver of those or any other rights unless expressly stated as such in writing by us.

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10. Data Protection Issues for Researchers

Notification

Any researcher who wishes to process personal data as part of their research must check that their work is covered under the Data Protection Act 1998 prior to any processing being carried out. The researcher must check purpose 6 (Research) in the University’s public register, see http://www.esd.informationcommissioner.gov.uk/esd/search.asp and enter Z6472800

If the register does not cover the proposed research, then researchers must complete a census form obtainable from Matthew Phillips, Learning and Corporate Support Services (LCSS) before research begins.

Completed forms should be returned to Matthew Phillips, Learning and Corporate Support Services (LCSS)

N.B. This applies to data held in any form, including paper, tapes, video, CCTV, and microfiche as well as data held on computer systems.

Essentially, the information you will be asked to provide in the census is as follows: The purpose of processing personal data   Types of data subject    Description of Personal Data to be held   Conditions for meeting the requirements of Schedule 2 and Schedule

3   Sources  of Personal Data    Details on who will have access to the data and to whom the data will

be disclosed  

Details on the security systems for preventing unauthorised access or loss of data

      Compliance with the Eight Principles

In addition to the above, researchers are asked to submit details on how their         project will ensure compliance with the eight principles, viz:

1.      Personal data shall be processed fairly and lawfully. 2.      Personal data shall be obtained only for one or more specified and lawful purposes, and shall not be further processed in any manner incompatible with that purpose or those purposes3. Personal data shall be adequate, relevant and not excessive in relation to the purpose or purposes for which they are processed.4.      Personal data shall be accurate and, where necessary, kept up to date. 5.      Personal data processed for any purpose or purposes shall not be kept for longer than is necessary for that purpose or those purposes.6.      Personal data shall be processed in accordance with the rights of data subjects under this Act.7.      Appropriate technical and organisational measures shall be taken against unauthorised or unlawful processing of personal data and against accidental loss or destruction of, or damage to, personal data. 8 Personal data shall not be transferred to a country or territory outside

the European Economic Area unless that country or territory ensures an adequate level of protection for the rights and freedoms of data subjects in relation to the processing of personal data.

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Reference for the Data Protection Principles: http://www.hmso.gov.uk/acts/acts1998/80029--l.htm#sch1

11. Ethical Principles and Guidelines for Research

The University has set up a two tier structure for ethical issues with responsibility shared between the University Ethics Sub Group (UESG) - a committee of Quality Assurance Committee - and a Faculty Research Programmes Committee (FRPC) which will consider all research proposals.

Leaflets and forms available from the Research Office or the websitehttp://office.research.glam.ac.uk/forms/

General Ethical ConcernsEthics is a complex subject, but in professional contexts its four central concerns are:

to treat people fairly to respect the autonomy of individuals to act with integrity to seek the best results - by avoiding or minimising harm and by using resources as

beneficially as possible

Mnemonic: f a i r

Section 2: 52

Appendix I

Faculty Heads of Research

Prof. Mike Wilson Cardiff School of Creative & Cultural Industries

Prof. Maggie Kirk Faculty of Health, Sport and Science

Prof Ron Wiltshire Faculty of Advanced Technology

Prof. Steve Hill Glamorgan Business School

Mr Tim John Faculty of Humanities and Social Sciences(Head of Post Grad. Learning & Teaching)

Faculty Research Administrators

Catherine Fifer Cardiff School of Creative & Cultural Industries

Karen Roberts Faculty of Health, Sport and Science

Jenny Andrews Faculty of Advanced Technology

Vicky Jones Glamorgan Business School

Alison Crudgington Faculty of Humanities and Social Sciences

Section 2: 53

Appendix II

Recommended Reading

Estelle M Phillips and D S Pugh, How to get a PhD (Open University Press)

Penny Tinkler and Carolyn Jackson The Doctoral Examination Process (Open University Press) Rowenna Murray, How to write a thesis (Open University Press)

Rowenna Murray, How to survive your Viva (Open University Press)

Diana Leonard, A Woman’s Guide to Doctoral Studies, (Open University Press)

David Scott, Andrew Brown, Ingrid Lunt, Lucy Thorne Professioanal Doctorates, (Open University Press)

University of Glamorgan, Research Programmes and Diploma Regulations,

EPSRC and ESRC, Post Graduate Research : A Guide to Good Practice in Engineering and Physical Sciences

The Royal Society of Chemistry (RSC): The Chemistry PhD. the Enhancement of its Quality, April 1995

Section 2: 54

Appendix III

The submission

Except with the specific permission of the Research Programmes Sub Group the submission shall be presented in English or Welsh (see paragraph 4.5). Where a submission is presented in Welsh, a summary in English of 1,000 words shall be included in the submission.

There shall be an abstract of approximately 300 words bound into the submission which shall provide a synopsis of the submission stating the nature and scope of the work undertaken and of the contribution made to the knowledge of the subject treated. Three loose copies of the abstract shall be included with the submission. The loose copies of the abstract shall have the name of the author, the award for which the work is submitted, and the title of the submission as a heading.

The submission shall include a statement of the candidate's research objectives and shall acknowledge published or other sources of material consulted (including an appropriate bibliography) and any assistance received.

Where a candidate's research programme is part of a collaborative group project, the submission shall indicate clearly the candidate's individual contribution and the extent of the collaboration.

The candidate shall be free to publish material in advance of the submission but reference shall be made in the submission to any such work. Copies of published material should either be bound in with the submission or placed in an adequately secured pocket at the end.

The text of the thesis submitted for Research Diploma, MPhil and PhD (by thesis or integrated programme) should normally not exceed the following length (excluding ancillary data):

For awards in Science, Engineering, Art and DesignPh.D 40,000 wordsMPhil 20,000 wordsMasters by Research 10,000 - 25,000 wordsResearch Diploma 10,000 words

For awards in Arts, Social Sciences and EducationPh.D 80,000 wordsMPhil 40,000 wordsMasters by Research 10,000 - 25,000 wordsResearch Diploma 20,000 words

Doctorate in Health or Social Care 50,000 wordsDoctor of Business Administration 80,000 wordsDoctor of Business Administration inPublic Services Management (DBA PSM) 80,000 wordsDoctorate in Public Leadership (DPL) 80,000 words

Where the submission is accompanied by material in other than written form or the research involves creative writing or the preparation of a scholarly edition, the written thesis should normally be within the range:

for a Ph.D 30,000 - 40,000 words for an MPhil 15,000 - 20000 words for a Masters by Research 10,000 - 15,000 words for a Research Diploma 8,000 - 10,000 words

Submissions for the Award of MPhil or PhD by Portfolio and PhD by Publication

Materials submitted for the award of MPhil or PhD by portfolio or PhD by publication shall be in a form approved by the Research Programmes Committee at the time of the original registration. Normally these should demonstrate equivalence with the guidelines on word-length above.

Section 2: 55

The publications or portfolio of research outputs or projects must be accompanied by a critical overview of normally up to 10,000 words

Following the award of the degree (except Masters by Research and Research Diploma) the candidate will supply the Secretary of the Research Programmes Sub Group all necessary hard bound copies of the thesis plus an additional copy of the thesis in an electronic format to the Research Office and the copies will then be lodged in:

- the library of the University;- the National Library of Wales;- the University’s Research Repository

Where the Research Programmes Sub Group has agreed that the confidential nature of the candidate's work is such as to preclude the submission being made freely available in the library of the University, the National Library of Wales, Collaborating Establishment (if any) and, in the case of a PhD, the British Library, the submission shall, immediately on completion of the programme of work, be retained by the University on restricted access and, for a time not exceeding the approved period (see paragraph 4.9), shall only be made available to those who were directly involved in the project.

The Research Programmes Sub Group shall normally only approve an application for confidentiality in order to enable a patent application to be lodged or to protect commercially or politically sensitive material. A submission shall not be restricted in this way in order to protect research leads. While the normal maximum period of confidentiality is two years, in exceptional circumstances the Research Programmes Sub Group may approve a longer period. Where a shorter period would be adequate the Research Programmes Sub Group shall not automatically grant confidentiality for two years.

The copies of the submission presented for examination shall remain the property of the University but the copyright in the submission shall be vested in the candidate.

The following requirements shall be adhered to in the format of the thesis element of the submission. Where a candidate desires fuller guidance, reference may be made to the British Standards Institution specification BS 4821 (1990). Where the University's regulations differ from BS 4821 in points of detail, a candidate may follow either.

Theses shall normally be in A4 format. The Research Programmes Sub Group may give permission for a submission to be presented in another format where it is satisfied that the contents of the submission can be better expressed in that format. A candidate using a format larger than A4 should note that the production of microfiche copies and full-size enlargements may not be feasible;

copies of the thesis shall be presented in a permanent and legible form either in typescript or print; where copies are produced by photocopying processes, these shall be of a permanent nature; where word processor and printing devices are used, the printer shall be capable of producing text of a satisfactory quality; the size of character used in the main text, including displayed matter and notes, shall not be less than 2.0mm for capitals and 1.5mm for x-height (that is, the height of lower-case x)

the thesis shall be printed on the recto side of the page only; the paper shall be white and within the range 70 g/m2 to 100 g/m2;

the margin at the left-hand binding edge of the page shall not be less than 40mm; other margins shall not be less than 15mm;

double or one-and-a-half spacing shall be used in the typescript except for indented quotations or footnotes where single spacing may be used;

pages shall be numbered consecutively through the main text including photographs and/or diagrams included as whole pages;

Section 2: 56

the title page shall give the following information: (See bottom of page) the full title of the submission; the full name of the author that the award is conferred by the University of Glamorgan/Prifysgol Morgannwg the award for which the submission is presented in partial fulfilment of its requirements; the Collaborating Establishment(s), if any; and the month and year of submission.

The University library copy shall be bound as follows:

the binding shall be of a fixed type so that leaves cannot be removed or replaced; the front and rear boards shall have sufficient rigidity to support the weight of the work when standing upright; and

in at least 24pt type the outside front board shall bear the title of the submission, the name and initials of the candidate, the qualification, and the year of submission; the same information (excluding the title of the submission) shall be shown on the spine of the work, reading downwards.

Where the submission is accompanied by material in other than written form or the research involves creative writing or the preparation of a scholarly edition, the written thesis should normally be within the range:

for a PhD 30,000 - 40,000 wordsfor an MPhil 15,000 - 20,000 wordsMasters by Research 10,000 -15,000 wordsor a Research Diploma 8,000 - 10,000 words

Submissions for the Award of MPhil or PhD by Portfolio and PhD by Publication

Materials submitted for the award of MPhil or PhD by portfolio or PhD by publication shall be in a form approved by the Research Programmes Sub Group at the time of the original registration. Normally these should demonstrate equivalence with the guidelines on word-length above.

The critical overview submitted with materials for MPhil/PhD by portfolio and PhD by publication should normally be in the region of 10,000 words.

Following the award of the degree (except for Masters by Research and Research Diploma) the candidate will supply all necessary hard copies of the thesis or submission and an additional copy of the thesis in electronic form. The Secretary of the Research Programmes Sub Group shall: lodge one hardbound copy of the submission in each of:

- the library of the University;- the National Library of Wales;- the library of any Collaborating Establishment.

Where the Research Programmes Sub Group has agreed that the confidential nature of the candidate's work is such as to preclude the submission being made freely available in the library of the University, the National Library of Wales, Collaborating Establishment (if any) and, in the case of a PhD, the British Library, the submission shall, immediately on completion of the programme of work, be retained by the University on restricted access and, for a time not exceeding the approved period (see paragraph 4.9), shall only be made available to those who were directly involved in the project.

The Research Programmes Sub Group shall normally only approve an application for confidentiality in order to enable a patent application to be lodged or to protect commercially or politically sensitive material. A submission shall not be restricted in this way in order to protect research leads. While the normal maximum period of confidentiality is two years, in exceptional circumstances the Research Programmes

Section 2: 57

Sub Group may approve a longer period. Where a shorter period would be adequate the Research Programmes Sub Group shall not automatically grant confidentiality for two years.

The copies of the submission presented for examination shall remain the property of the University but the copyright in the submission shall be vested in the candidate.

The following requirements shall be adhered to in the format of the thesis element of the submission and a candidate may follow either.

theses shall normally be in A4 format. The Research Programmes Sub Group may give permission for a submission to be presented in another format where it is satisfied that the contents of the submission can be better expressed in that format. A candidate using a format larger than A4 should note that the production of microfiche copies and full-size enlargements may not be feasible;

copies of the thesis shall be presented in a permanent and legible form either in typescript or print; where copies are produced by photocopying processes, these shall be of a permanent nature; where word processor and printing devices are used, the printer shall be capable of producing text of a satisfactory quality; the size of character used in the main text, including displayed matter and notes, shall not be less than 2.0mm for capitals and 1.5mm for x-height (that is, the height of lower-case x)

the thesis shall be printed on the recto side of the page only; the paper shall be white and within the range 70 g/m2 to 100 g/m2;

the margin at the left-hand binding edge of the page shall not be less than 40mm; other margins shall not be less than 15mm;

double or one-and-a-half spacing shall be used in the typescript except for indented quotations or footnotes where single spacing may be used;

pages shall be numbered consecutively through the main text including photographs and/or diagrams included as whole pages;

the title page shall give the following information: (See bottom of page) the full title of the submission; the full name of the author that the award is conferred by the University of Glamorgan/Prifysgol Morgannwg the award for which the submission is presented in partial fulfilment of its requirements; the Collaborating Establishment(s), if any; and the month and year of submission.

The University library copy shall be bound as follows:

the binding shall be of a fixed type so that leaves cannot be removed or replaced; the front and rear boards shall have sufficient rigidity to support the weight of the work when standing upright; and

in at least 24pt type the outside front board shall bear the title of the submission, the name and initials of the candidate, the qualification, and the year of submission; the same information (excluding the title of the submission) shall be shown on the spine of the work, reading downwards.

-------------------------------------------------------------------------------------------------------------

AN EVALUATION OF WORKING WOMEN'S FAMILY ROLES IN MANCHESTER'STEXTILE INDUSTRY IN THE 19TH CENTURY

Section 2: 58

LIZZIE GASKELL

A submission presented in partial fulfilment of therequirements of the University of Glamorgan/Prifysgol Morgannwg

for the degree of Doctor of Philosophy

This research programme was carried outin collaboration with the Engels' Historical Society

October 1997

Section 2: 59

Dirk R. Frans, PhD student Leeds University

DETAILED TIMETABLE FOR DOING PHD(Revised draft, in principle agreed with supervisor)

Background

In the postgraduate training session on starting a research degree by Dr. John Wakeford (30/10/2000) it was suggested that, for planning purposes, a minimum of 500 effective working days are needed to do a PhD. However, unless carefully planned, more time will be needed. I my particular case careful planning is even more necessary because I am self-financing the PhD and want to keep the loss of income by not working to a minimum69. Leeds University assumes that a part time PhD will normally take 5 years, but allows 1 year for “overflow”. However, with special permission, 4 years will be allowed to complete the part time PhD. For planning purposes I am assuming that I can do the part time PhD in only 4 years and 350 working days, that is from September 2000 - August 2004. The main reasons for assuming that I can do the PhD in less time needed are:

1. On two of the four PhD outcomes (research/work environment and personal effectiveness) I am ahead of most research students70;

2. For the last decade I have been working in water resource management, and plan to do so in future as well. This will allow time spent on “work” to be relevant to the PhD and reduce the need for PhD-only related time.

Detailed work planI will be doing the PhD part time, most likely alongside a part time (75%) job in Bangladesh. Depending on the requirements of the job time allocation may be shifted between quarters. Every attempt will be made however to stick to the overall framework. I plan to be at Leeds 4 weeks a year.

Work plan in working days per quarterYear 2000 2001 2002 2003 2004 T.Activity / Quarter 4t

h1s

t2n

d3r

d4t

h1s

t2n

d3r

d4t

h1s

t2n

d3r

d4t

h1s

t2n

d3r

d

%

Training courses 20

5 5 5 10

Literature review 35

5 5 5 1 1 1 1 1 1 1 1 1 1 17

Theor. FW/method. 5 5 5 5 1 1 1 1 1 1 1 1 1 1 9Pilot case study 5 1

05 6

Upgrading papers 10

3

Field work (incl. pl.) 5 10

20

20

20

20

10

30

Analysis 5 5 5 5 5 5 5 10

Writing up 5 5 5 5 5 5 5 5 5 5 14

Viva 5 1Total working days 6

020

20

30

22

22

25

32

35

22

12

12

12

7 7 12

35

0/100

N.B. Assuming upgrading in September 2001 and viva in December 2004.N.B. A “working day” may be done in two evenings and I plan to do 25% of the study that way.

Dirk R. Frans, PhD student Leeds University

69 Assuming that I do the PhD in 4 years and that I spend on average 1.5 months a year at Leeds, all “direct costs” including tickets and field work come to appr. £ 23,000. The “indirect cost”, that is loss of income is roughly £ 290 per working day. All in all 500 working days, 5 year of study and cost of fieldwork, printing etc. would add up to £ 168,000. I hope to do about 25% of the study in spare time (no loss of income). With that and doing the PhD in 350 days, the total cost would be around £ 100,000. It should be noted however that other ways of calculating the cost of doing a PhD are also possible. For budget purposes I have opted for the maximum-cost calculation so as to engender a sense of urgency.70 See my Learning Timetable PhD Outcomes, dated 3 October 2000.

Section 2: 60

Appendix IV

Section 2: 61

LEARNING TIMETABLE PHD OUTCOMES(Draft as basically agreed with supervisor)

The darker the shading the more work in that quarterRESEARCH – to be able to

Present ability (out of 100% goal)Main learning focus during 6 month periods

00 2001 2002 2003 04+ identify original topic for research and/or original problem to be tackled 60 set research in context of previous knowledge and current priorities/opportunities 40 design/execute collection of information and/or investigation using appropriate

methodologies40

identify and access appropriate library- or archive-based information 40 demonstrate practical and analytical skills 70 collect, record and manage information and/or findings 70 analyse information and/or findings 70 critically evaluate one’s findings and those of others 70 develop theoretical concepts 40 recognise and demonstrate originality and independent thinking 70PRESENTATION AND COMMUNICATION – to be able to use appropriate media to present and defend outcomes of research 70 present research outcomes in the form of a thesis and defend them at viva 60 support the learning of others 80

RESEARCH/WORKING ENVIRONMENT-to be able to understand relevant ethical and legal issues 90 understand relevant health and safety issues 90

Section 2: 62

RESEARCH – to be able toPresent ability (out of 100% goal)

Main learning focus during 6 month periods00 2001 2002 2003 04+

demonstrate responsible working practices 90 demonstrate an awareness of the sources of funding which are appropriate to the

area of research80

justify one’s research to both the public and funding agencies 80 demonstrate an insight into the skills needed when interacting with business 80PERSONAL EFFECTIVENESS-to be able to plan and organise a programme of research to submit one’s thesis in time 90 understand and manage relationships whether with supervisors, team members or

others80

managing own learning so as to meet the specified outcomes for the PhD programme

90

use information technology packages and techniques to carry our relevant tasks 70 manage one’s own career progression 90OTHERS-to be able to identify classical text/writers in the area of stakeholder management of natural

resources30

make a broad inventory of possibly relevant articles, reports, documents, books, websites, etc

20

scan documents and write them to a CD 50 use acrobat reader, work with LAN 50

Section 2: 63

Section 2.3: Guidance Notes for PhD by Publication

1 Introduction2 Criteria for Award 3 Admission4 Critical Overview5 Registration6 Submission7 Examination and Award

Section 2: 64

Section 2: 65

PLEASE NOTE

Applications for the PhD by Publication are restricted to past and present members of staff, alumni and applicants who have very strong links with the University of Glamorgan.

1. Introduction

The essence of a doctorate at the University of Glamorgan is the demonstration of an independent and original contribution to knowledge.

The criteria below apply to all forms of doctorate at the University of Glamorgan whether via the traditional PhD route or alternative forms of submission by publication or portfolio.

2. Criteria for Award

To be awarded a PhD by Publication, candidates must submit a number of published academic outputs, together with an overview and critical analysis, demonstrating evidence of an original and significant contribution to knowledge within the discipline.

The work submitted should be focused, coherent and comparable in quality to a conventional PhD thesis. It must be sufficiently extensive so as to provide convincing evidence that the research constitutes a substantial contribution to knowledge or scholarship at least equivalent to that normally demonstrated by the submission of a thesis.

3. Admission

NB Candidates are only accepted subject to suitable supervision being available

Candidates for the PhD by Publication must have: an Honours Degree normally classified at 2 (i) or above or equivalent, or a Higher Degree, or a relevant professional qualification or experience.

The application form must be accompanied by a list of the publications to be submitted. These may include:

refereed articles or research papers which are in the public domain, and/or book chapters, and/or a research book or books, and/or edited works.

The publications may be sole authored or co-authored, sole authored publications will carry more weight.

Statements must be included from any co-authors indicating the applicant’s contribution to the work, expressed as a percentage

Section 2: 66

As a general guide, there should normally be a minimum of six papers in refereed journals.

Book chapters are welcome, but where the submission consists of book chapters and refereed articles, the latter should dominate. Books and book chapters must be clearly research based.

Conference papers normally would not be acceptable; hence a submission dominated by conference papers would not be acceptable.

4. Critical overview

The publications must be accompanied by a critical overview. This should consist of normally up to 10.000 words and include:

a summary of each publication submitted; an outline of their interrelationship, including a synthesis of the work as

demonstrated by the publications as a coherent study; a comment on the standing of any journals and the reception of the publications as

indicated by citations and reviews. a summary of the aims, objectives, methodology, results and conclusions covered by

the submitted work; a critical reflection of the research methodology and methods: a critical review of the significant and original contribution the work makes to the

academic field in question; and a demonstration of the original and independent contribution to knowledge and a

rationale to prove at least equivalence to that normally demonstrated by the submission of a thesis,

5. Registration

Before registering for this route it is important that potential students should ensure through discussion with their planned supervisor(s) that the publications intended for submission have the potential to form the basis for the degree of PhD.

Registration form R3 and R3a should be completed and submitted to the Faculty’s FRPC (Faculty Research Programmes Committee) for approval, and should demonstrate that: the title is clear, succinct and describes the nature of the body of the research, ethical approval has been obtained where relevant, appropriate supervision arrangements are in place, a rationale for the submission is present, the registration period requirements will be met, part time minimum 12 months and

maximum 24 months, the names of three independent specialists are provided, one of whom may be asked

to comment on the application. At least one of the specialists should be external to the University,

the period during which research was undertaken is appropriate, the publications must have been produced over a minimum of 2 years,

Section 2: 67

full title of publications, author(s), volume, page nos. and publisher, are included. This should include:

whether refereed, the ISSN/ISBN number, the number of pages, the year of publication, and the applicant’s contribution and supporting statements from co-authors are

required.

In the case of PhDs by publication, the heart of the application is the set of publications. If examiners are not satisfied with these, the candidate has little opportunity to revise and resubmit within a short period. Hence FRPCs are reminded of the importance of the prima facie case and are strongly encouraged if in any doubt to take external advice.

6. Submission

The following must be included in the submission: an abstract - about 300 words – a clear succinct summary of the theme of the

research and contribution to knowledge as evidenced by the submitted published work,

the publications, the list of publications submitted should follow a standard bibliographical referencing

method, either BS or Harvard in an Appendix. a Certificate of Research, certifying that the work described is the result of the

candidate and has not been presented, or is currently submitted, in candidature for any degree at any other University.

the critical overview

7. Examination and Award

The appointed examiners will submit a preliminary report indicating whether the oral examination should go ahead. The grounds for the award are the submission of a portfolio of published works judged satisfactory by the examiners and a satisfactory performance in defence of the submitted work at an oral examination.

The examiners must be satisfied at the oral examination that the candidate has carried out a critical investigation and evaluation of an appropriate topic which has led to a significant, independent and original contribution to knowledge in the chosen field.

The submitted portfolio of published work must add up to a substantial and coherent body of work which would have taken a diligent student the equivalent of at least three years of full time study to accomplish.

It should indicate how the publications form a coherent body of work and the applicant’s contribution to the work.

Following the oral examination the examiners will complete a joint examiners’ form and recommend one of the following:

Section 2: 68

that the candidate be awarded the degree of PhD, that the candidate be granted the degree of PhD subject to amendments and

corrections being made to the submission; within a time period specified by the examiners up to a maximum of 6 months

that the candidate be permitted to resubmit for the degree of PhD within 12 months, or fail.

Students may appeal against the decision of the examiners, but not on academic grounds.

Section 2: 69

Section 2.4: Guidance Notes for PhD by Portfolio

1 Introduction2 Criteria for Award 3 Admission4 Research Outputs or Projects4 Critical Overview5 Registration6 Submission7 Examination and Award8 MPhil by Portfolio

Section 2: 70

Section 2: 71

1. Introduction

The essence of a doctorate at the University of Glamorgan is the demonstration of an independent and original contribution to knowledge.

The criteria below apply to all forms of doctorate at the University of Glamorgan whether via the traditional PhD route or alternative forms of submission by publication or portfolio.

2. Criteria for Award

The PhD by Portfolio is intended for those engaged in professional practice and whose practice allows them to demonstrate:

a critical understanding of appropriate research methods and their application, the ability to undertake successfully doctoral level research, the ability to write a critical and reflective overview that demonstrates that the above

includes an independent and original contribution to knowledge or scholarship at least equivalent to that normally demonstrated by the submission of a thesis.

To be awarded a PhD by portfolio, candidates must submit: the output of at last three projects based in their practice that demonstrates the above with a critical overview.

3. Admission

Candidates for the PhD by Portfolio must have:

an Honours Degree normally classified at 2 (i) or above or equivalent, or a Higher Degree, or a relevant professional qualification or experience.

As a general guide, applications are normally required to include details of 3 research projects, including their aims and to demonstrate an understanding of appropriate research methods and their application. Details of any outputs, where appropriate, should also be included.

4. Research outputs or projects

The research outputs may take various forms, such as artefacts, videos, etc, which are reflective of the discipline in which they are engaged but they must reflect valid doctoral research.

Applicants may have been involved in researching, implementing and evaluating substantial new initiatives as part of their work and will have had a major input in producing evaluation reports. Publications may be included but where they are unattributed (i.e. official reports, company publications etc) they must be accompanied by a statement at a senior management level that confirms the nature of the contribution of the applicant.

Section 2: 72

The research outputs or projects submitted should be focused, coherent and comparable in quality to a conventional PhD thesis. They must be sufficiently extensive so as to provide convincing evidence that the research constitutes a substantial contribution to knowledge or scholarship.

5. Critical overview

The portfolio of research outputs or projects must be accompanied by a critical overview of normally up to 10,000 words and include:

a summary of the aims, objectives, methodology, results and conclusions of each research output or project submitted;

an outline of the interrelationship between outputs/projects including a synthesis of the work as demonstrated by the research outputs or projects as a coherent study,

a comment on the standing of outputs or projects and their reception as indicated by citations and reviews,

a critical reflection of the research methodology and methods: a critical review of the significant and original contribution the work makes to the

academic field in question; and a demonstration that the original and independent contribution to knowledge is at

least equivalent to that normally demonstrated by the submission of a thesis.

6. Registration

Before registering for this route it is important that potential students should ensure through discussion with their planned supervisor(s) that the portfolio intended for submission will have the potential to form the basis for the degree of PhD.

Students may register for this route if they have completed one or two research outputs or projects and wish to undertake additional work in order to complete your portfolio.

Registration form R2 should be completed and submitted to the Faculty’s FRPC (Faculty Research Programmes Committee) for approval and should demonstrate that:

the title is clear, succinct and describes the nature of the body of the research, ethical approval has been obtained, appropriate supervision arrangements are in place, the submission contains a rationale, the registration period requirements will be met i.e. part time minimum 12 months

and maximum 60 months, names of three independent specialists are provided, one of whom may be asked to

comment on the application. At least one of the specialists should be external to the University,

the period during which research was undertaken - the outputs must have been produced over a minimum of 2 years is declared,

a statement is supplied from any co-contributor as to the nature of the applicant’s contribution. Where an output is unattributed, some statement by an appropriate senior manager as to the nature of the contribution of the applicant.

Section 2: 73

Note that where relevant the output portfolio should be approved at the application stage. It is then the task of the candidate to ensure that the critical overview demonstrates how the output portfolio sums to an independent and original contribution to knowledge at least equivalent to that normally demonstrated by the submission of a thesis.

The role of the FRPC in approving the registration is to assess the potential for a PhD by Portfolio.

7. Submission

The following must be included in the submission:

an abstract – about 300 words – a clear succinct summary of the theme of the research and the contribution to knowledge as evidenced by the submitted output portfolio,

a Certificate of Research, certifying that the work described is the result of the candidate and has not been presented, or is currently submitted, in candidature for any degree at any other University,

three research outputs or projects, and the critical overview

8. Examination and Award

The appointed Examiners will submit a preliminary report indicating whether the oral examination should go ahead.

The grounds for the award are the submission of a portfolio of projects or outputs judged satisfactorily by the examiners and a satisfactory performance at an oral examination.

The examiners must be satisfied at the oral examination that the candidate has carried out a critical investigation and evaluation of an appropriate topic which has led to a significant, independent and original contribution to knowledge contained within the research outputs or projects.

The submitted portfolio of projects or outputs must add up to a substantial and coherent body of work which would have taken a diligent student the equivalent of at least three years of full time study to accomplish.

The portfolio of projects or outputs will form a coherent body of work.

Following the oral examination the examiners will complete a joint examiners’ form and recommend one of the following:

that the candidate be awarded the degree of PhD, that the candidate be granted the degree of PhD subject to amendments and

corrections being made to the submission; within a time period specified by the examiners up to a maximum of 6 months,

Section 2: 74

that the candidate be permitted to resubmit for the degree of PhD within 12 months, or fail.

Students may appeal against the decision of the examiners, but not on academic grounds.

9. MPhil by Portfolio

The MPhil by Portfolio follows the general guidelines for PhD by portfolio except that:

The MPhil by Portfolio route involves the submission of two or three projects which have a common theme.

The portfolio of research outputs or projects must be accompanied by a critical overview of normally between 5,000 to 7,000 words, which demonstrate the relationship between the projects.

The projects will be at least equivalent to the work normally presented in an MPhil by Thesis.

The projects will be work related.

The route may be appropriate if some or all of the projects have been (or may need to be) written in a different form to that required for MPhil by Thesis.

Section 2: 75

Section 2.5: Code of Practice for Research Supervisors

1 Introduction 2 Research Awards Quality Assurance3 Research Programmes Sub Group (RPSG)4 Faculty Research Programmes Committee (FRPC)5 Responsibilities for Research Degree work by

Supervisors6 Supervising a Research Student7 Transfer of Registration8 Changes in Approved Registration Arrangements9 Examinations 10 Complaints Procedure

Appendix I - Recommended Reading

Section 2: 76

Section 2: 77

1. Introduction

“There is nothing that pleases a professor more than to discover that one of their students has become a better professor than they themselves” J S Fulton, Founding Vice-Chancellor of the University of Sussex

Research training is based within higher education institutions in order that the practical and intellectual skills needed by society are acquired by students within a community of committed academic and support staff.

It is well recognised in most disciplines that the single most important factor in the success of research training is the quality of supervision. High quality supervision typically arises when supervisors are widely recognised as research active and nurtures their students towards full partnership in ownership and authorship of work or, in many cases, encourages ultimate independence of the student for the delivery of the work as a high quality thesis, artifact or publication accompanied by oral presentations to expert audiences.

Research students contribute to the research ethos of the University through supervised work which carries forward projects which advance knowledge and, in some cases, lead to commercial exploitation by taking intellectual property or products to market. The importance of training and activity in projects which lead to wealth creation is well recognised and the University sector generally has developed processes for commercial exploitation of work in which the supervisor and the research students are inventors and stakeholders. The University of Glamorgan has put in place several such processes and the Research Programmes Sub Group (RPSG) is anxious to encourage further commercial outcomes by early recognition of opportunities by supervisors and students. The process of exploitation of suitably identified projects involves the Faculty(s), an existing or new University Commercial Company and will, when involving an approved research degree proposal, be monitored by the Research Programmes Sub Group (RPSG).

An important measure of the value of any university is the success achieved by students in research and research related careers within industry, commerce, government or academia. The ultimate purpose of the work of the Faculty Research Programmes Committees (FRPCs) and Research Programmes Sub Group (RPSG) is to serve research students in a manner which achieves excellence in their work at the University of Glamorgan and in subsequent careers. Many former students have demonstrated high attainment. The membership of the FRPCs and RPSG is appointed in terms of criteria which recognise the experience and qualities to deliver this remit.

This Handbook provides a range of general guidance based on experience of operating the University’s Research Programmes Regulations. It comprises requirements for operating the Regulations together with advice on good practice. An important test of high quality supervision is the success of the research student in terms of high level external recognition.

2. Research Programmes Quality Assurance

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All Faculties undertake the quality assurance of research programmes themselves and will establish a Faculty Research Programmes Committee (FRPC). The FRPC will confirm the registration and undertake the transfer, extension/suspension and changes thereto of all research students.. The Research Programmes Sub Group (RPSG) will discharge, on behalf of Quality Assurance Committee, the responsibilities for the quality and standards of its research degrees. The procedures for enrolment and registration are detailed in the Code of Practice for Research Students.

3. Research Programmes Sub Group (RPSG)

The Research Programmes Sub Group (RPSG) will:

consider examination arrangements, including the approval of examiners periodically review examiners’ reports consider the recommendations of examiners for the conferment of research awards audit the process of annual monitoring of research degree students and FRPCs identify and disseminate good practice in the delivery of research programmes. make recommendations to the Quality Assurance Committee (QAC) as appropriate undertake such matters as required by the Quality Assurance Committee (QAC)

4. Faculty Research Programmes Committee (FRPC)

The Faculty Research Programmes Committee (FRPC) will be responsible for

To note the registrations of students for research programmes in the faculty and to transfer students from MPhil to PhD, extension or suspension of their research programme, changes in mode of attendance, supervision, change of thesis title and withdrawal of research students

To monitor the progress of research students in the faculty. To ensure that appropriate ethical approval* is secured for each research programme

unless the faculty has an ethics committee. To undertake any other task delegated to it by Quality Assurance Committee. To report to Quality Assurance Committee.

The FRPC will be chaired by a senior member of staff from another Faculty and the Chair will be appointed by the Chair of Quality Assurance Committee (QAC). The FRPC membership will comprise people with experience of designing, delivering and assuring research degree programmes The FRPC will be responsible and accountable for the delegated powers for the Faculty and will be expected to ensure that all quality assurance activities are carried out with the required level of independence.

The FRPC will be required to conform to the University’s Research Programmes Regulations and to follow the practices and procedures set out in the Research Programmes Handbooks.

* Faculty Ethics Champion

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Each faculty (except the Faculty of Further Education and Collaborative Activities – because the awards and modules that will be delivered in collaborative settings) will be the responsibility of the five faculties and their FQACs and FRPCs) will appoint a Faculty Ethics Champion from amongst its staff (but not from the Faculty Executive).

The Faculty Ethics Champion will have the following responsibilities:

To be a member of the University Ethics Sub Group and their faculty’s Faculty Quality Assurance Committee (FQAC) and Faculty Research Programmes Committee (FRPC)

To advise the Dean of Faculty of any matters relating to the implementation of the University’s Ethics Policy requiring his or her attention

To advise staff in the faculty of the University’s Ethics Policy

To arrange and deliver staff development activities to ensure the effective implementation of the University’s Ethics Policy.

5. Responsibilities of Director of Studies and other Supervisors for Research Programmes

Notwithstanding resource issues which are considered within the faculty responsibilities for research programmes, high quality research supervision is primarily determined by the enthusiasm, commitment and knowledge of the supervisor(s). Every student will have a supervision team with a Director of Studies who will be the principal supervisor. The Director of Studies will have administrative and pastoral responsibility for the student and be responsible for the day to day guidance of the research programme itself. In addition, students may have one or more additional supervisors (second supervisor(s)) who will provide support to the Director of Studies, and provide support for the student, particularly in the Director of Studies' absence. A supervisor will have specialist knowledge relevant to the project and/or experience associated with the regulatory processes. The designated Director of Studies has the primary responsibility for the supervision but it is now well recognised that there is merit in the designation of a supervision team of up to three people with complementary skills and within which new supervisors can gain experience. More detailed information on supervision matters are provided in Section 6 of this Handbook.

Admission, Enrolment and Registration

All research applications together with the research proposal will be considered at the Faculty’s Research Application Panel (RAP).

In approving an application for enrolment and registration, the Faculty’s Research Applications Panel (RAP) shall satisfy itself that:

a the candidate is suitably qualified and/or experienced; including a sufficient level of English language competence a minimum IELTS score

of 6.5

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b that the proposed research fits within the research focus of the Faculty and/or the University’s Research Strategy,

c potential for contribution to knowledge where appropriated that the Faculty is able to provide suitable research supervision,e the University is able to provide appropriate facilities for the conduct of scholarly

research in the area of the research programme.f that the form of submission is appropriate to the candidateg that the applicant has been made aware of the University’s Ethical Guidelines

The Faculty’s Research Applications Panel (RAP) will confirm the student’s Registration and students are required to enrol formally on commencement of study and pay the appropriate fees. This legitimises their research work within the University and covers them for insurance purposes. This applies even where the person concerned is employed by the University, either as a member of staff or as a research assistant. Enrolment can take place at any time of the year and enrolment forms are available in Faculties or from the Academic Registry. Thereafter, students will be automatically re-enrolled annually in September and they or their sponsors invoiced by the Finance Department. Students are sometimes unclear of the distinction between enrolment and registration and clarification may be required to explain that enrolment is when an applicant is officially recognised as a student of the University, and registration is the formal approval by the Faculty’s Research Applications Panel (RAP) of the student's research programme.

Registration

Full details of the initial registration procedures and registration periods are provided in the 'Research Programmes Regulations.

Special Needs

The supervision needs of research students with disabilities and other special needs will require specific attention at the recruitment stage. Arrangements for the student's supervision and for the execution of their research programme must reflect their individual needs, which may include special provision of equipment, access, time, assistance and counseling. The University operates a policy for Students with Disabilities and Other Special Needs and it is recommended that a supervisor discusses a student's requirements with Student Services prior to enrolment.

Progress Files and Personal Development Planning (PDP)

Postgraduate Research PDP requirements

The following information forms the basis of the University’s minimum requirement in relation to PDP implementation for postgraduate research degree programmes. The new QAA Code of Practice (September 2004) available at:http://www.qaa.ac.uk/academicinfrastructure/codeOfPractice/default.asp for postgraduate research degree programmes which formally embeds the recommendations made in the Funding Councils “Improving Standards in Postgraduate Research Degree Programmes” report, includes a precept relating to PDP. It states that “institutions will provide opportunities for research students to

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maintain a record of personal progress, which may include reference to the development of research and other skills.” Specific reference is made to PDP in the reference that “research students may find it useful to use the PDP tools provided by their institution to record their personal progress and development, including reference to research and other skills”.

It will be the responsibility of the Director of Studies/supervisor at their regular meetings with their research student, to discuss, agree and priortise the student training and development needs and to set goals for the year using the PDP. However, research students have the primary responsibility for driving the PDP process, ensuring the plan is updated, and maintained with supervisor guidance to support progression.

Tuition Fees

The University tuition fee is payable annually at the same time as enrolment. The cost of tuition for University staff (including research assistants) will be borne by the University. In the case of externally sponsored students the University will invoice the sponsor for the relative amount. Students should be asked to make cheques payable to 'The University of Glamorgan'.

Tuition fees will normally be charged to part-time students for 3 years for MPhil and 5 years for PhD and to full-time candidates for 2 years for MPhil and 3 years for PhD.

Students who do not complete within the specified time may be eligible to pay a 'writing-up' fee, if they continue to make a significant use of University resources. The Dean of Faculty will determine, in consultation with the Director of Studies, if this fee should be waived. The RPSG, through the Secretary, will monitor consistency of practice across the University.

Details of the current rate of tuition and 'writing-up' fees are available from the Finance Department and/or the Secretary of RPSG. In exceptional circumstances part-time and full-time students may have University tuition fees refunded as follows:-

(a) where the RAP following consideration of an application to register, recommends that a student should not pursue their proposed research project, a refund of the total annual fee may be made, and

(b) where a student withdraws from their course of study, an application for a refund may be made, the amount of such a refund will, however, be at the discretion of the Vice-Chancellor.

6. Supervising a Research Student

Good Supervisory Practice

Both supervisors and students are recommended to consult the booklet entitled ‘Research student and supervisor: An approach to good supervisory practice' (published by EPSRC and ESRC). There is also a book entitled ‘A Handbook for Doctoral Supervisors’ by Stan Taylor and Nigel Beasley.

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Throughout the period of registration the supervisor is the student's key contact within the Faculty. Ideally this relationship will be stable over time, productive for the student and enriching for both parties. Undertaking sustained research work can be exhilarating, but it can also be stressful, and on these occasions the student may need extra encouragement and support; this should always be given within the constraints of the supervisor's time, expertise and professionalism. Supervisors will be aware of the consequences for their own position and for the work of the student of extending their relationship with the student beyond professional boundaries, and they should guard against placing themselves in situations where students could challenge their professional integrity or possibly make some form of false accusation against them.

The Role and Responsibilities of a Director of Studies and/or Supervisor

The Director of Studies and/or Supervisor should ensure at an early stage that the student understands the supervisors' responsibilities in relation to the student's written work, including the nature of the guidance and comment which may be offered. This should include giving the student help to decide on an appropriate structure for the thesis and providing detailed comments and guidance.

A Director of Studies should ensure that:

all necessary enrolment, registration, monitoring and examination processes are dealt with

the student undertakes a programme of related studies, where appropriateencourage students to study for the PGCert Research

any necessary facilities are provided by the appropriate department

This list is by no means definitive, and Directors of Studies should also bear in mind the responsibilities detailed below.

A supervisor’s responsibilities may include the following:

providing satisfactory guidance and advice being responsible for monitoring the progress of the student’s research

programme establishing and maintaining regular contact with you and ensuring his/her

accessibility when advice is needed by whatever means is most suitable given your location and mode of study

having input into the assessment of your development needs providing timely, constructive and effective feedback on your work, including

overall progress within the programme ensuring that you are aware of the need to exercise probity and conduct your

research according to ethical principles and be aware of the implications of research misconduct

ensuring that you are aware of institutional-level sources of advice, including ethics, careers guidance, health and safety legislation and equal opportunities policy;

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providing effective pastoral support and/or referring you to other sources of such support, including student advisers, Faculty staff and others within the student's academic community;

helping you to interact with others working in the field of research, for example, encouraging you to attend relevant conferences, supporting you in seeking funding for such events; and where appropriate to submit conference papers and articles to refereed journals;

maintaining the necessary supervisory expertise, including the appropriate skills, to perform the entire role satisfactorily, supported by relevant continuing professional development opportunities.

Supervisors need to be sensitive to the diverse needs of individual students, including international students and the associated support that may be required in different circumstances.

Guidance should be given on the minimum frequency of contact advisable between students and supervisors.

The Role and Responsibilities of a Second Supervisor

The appointment of a second supervisor is seen as an advantage to most students since it broadens and enhances the range of expertise available to the student and, most importantly, provides continuity of supervision in the absence of the Director of Studies.

A Second Supervisor should:

provide additional guidance to the student and the Director of Studies on the planning, timetable and conduct of the research, expected standard and overall progress

provide specialist expertise that might not otherwise be available maintain an awareness of the current status of the student's research and progress be accessible to the student at appropriate times for consultation attend any supervisory team meetings meet with the student and the Director of Studies according to an agreed schedule

(normally at least once per month) be prepared to take over, at least on a temporary basis, from the Director of Studies

should the need arise.

A Director of Studies or Second Supervisor should also:

ensure the safety of students in areas of potential risk participate in the selection of topics of suitable scope ensure that adequate time is made available for supervision and encouragement be able to communicate with students about their abilities and achievements and

discuss their commitment to their research and any external circumstances that affect it

ensure that the student fully comprehends the complexity of the proposed task

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ensure that the student is made aware of her/his responsibilities as a research student

ensure that the student is focusing the work in the intended direction ensure that the student has access to primary research materials ensure that the student and the University are aware of any ethical, legal or political

problems associated with the work ensure the student meets other researchers working in similar subject areas, either

within the institution or elsewhere, as appropriate provide guidance and encouragement to students while fostering their gradual

development as independent research workers assist students to develop the skills specific to their research and the more general

professional competencies necessary for career progression prepare regular reports on the progress of the student as required by the relevant

Faculty and the institution encourage students to prepare draft chapters at an early stage, even if these

subsequently need revision agree arrangements for regular meetings with the student ensure that the final thesis is the student's own work, and remember that a student's best interests are not served by allowing her/him to

continue on a programme without a reasonable expectation of success.

Progress of Research Students

The progress of research students towards successful completion within approved time periods will be reviewed regularly.

Supervisor(s) are expected to be in contact with their research student as appropriate and at least once per month.

` A formal record of each meeting will be made and provided to the supervisor(s) and student. This record should contain:

a review of the student’s progress towards meeting previously agreed objectives

a clear set of targets and/or objectives for the next meeting a date, time and place for the next meeting and should be signed by the supervisor(s) and student.

In addition, once per year each student and the Director of Studies, acting on behalf of all supervisors where relevant, should complete a separate statement of progress.

In the event that a supervisor disagrees with the Director of Studies’ report, he/she should complete a separate form.

All forms, together with the supervision reports, should be sent to the faculty’s research administrator.

Progress Boards

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Each Faculty will hold a Progress Board, Chaired by the Dean of Faculty or nominee and consisting of: Heads of Departments or Head of Department’s nominee or Dean of Faculty nominees and Head of Research

This Board will review each student’s progress, using the supervision reports, the annual statement of progress and such other material as is available, e.g. transfer reports, record of meetings with students.

The Board will determine the acceptability of progress, using one of the following grades:

A Excellent progress, with no problems and completion anticipated on timeB Satisfactory progress, some issues exist, but completion anticipated on time:C Some progress being made, but there is a serious question as to whether thesis

will be completed satisfactorily on time;D Progress unsatisfactory

In the event of a student’s progress being determined as C or D, the Progress Board shall make such recommendations as it deems sensible, including change of supervision and/or withdrawing the student. Any changes will be made with the agreement of the student and supervisors.

The Board will also ensure that appropriate training and development needs have been met.

It is expected that Boards will meet as required, but will meet at least twice per year, once to conduct a major review of progress and then to consider any outstanding issues, or to follow up any relevant matters.

It is anticipated that the major meeting will take place in June and the follow-up meeting in January. However a meeting in September may be necessary where the issue of a student’s registration is in question.

Providing Feedback

It is the supervisor's job to criticise and provide feedback, but criticism should always be given in a constructive and supportive way (harsh criticism may have an adverse effect on both the student and their work). It is significant to remember that giving praise, when appropriate, is an important element of feedback. When returning a student's written work it is important to spell out in precise terms if it needs to be redone, and why. The aim of giving constructive criticism should be to enable students to evaluate their own work eventually, and to assist them on their way to becoming independent researchers. Students need to be kept informed of how the supervisor sees their work progressing through regular meetings and honest feedback regarding their work.

Supervising a Research Assistant

The role of Director of Studies/Supervisor can become more complicated if the student is also a research assistant. Understandably, the main priority will be the completion of the

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research project for which the research assistant is employed to assist in, but the research assistant, in their capacity as student, is entitled to the same level of service of supervision as all other students. It is important, therefore, to agree with the research assistant the precise nature of their MPhil/PhD study and how it will differ from the main research project. Both supervisor and student will need to discuss and agree how much time the student will spend on their MPhil/PhD.

Consideration by the Faculty Research Application Panel

It important for student and supervisor to both note that when submitting applications to the FRPC, to transfer to PhD it must be handed in at least four weeks before the meeting at which the application is to be considered. This amount of time is needed so that any queries about the application can be discussed with the applicant and/or supervisor prior to the meeting, and in the case of applications for PhD direct and PhD transfer, to enable an external/internal specialist to be consulted.

Upon receipt of the application form at the Faculty’s Research Application Panel (RAP), a member of the RAP, whose expertise is in the same/similar area, is nominated by the Chair/Secretary to consider and comment upon the proposal, on behalf of the RAP. The appointed member may decide to take advice from within or outside the University before making a recommendation to the full RAP. In the case of registration for PhD direct, the candidate will also provide the names and addresses of three independent specialists (at least one whom shall be external to the University); one of the specialists may be nominated by the RAP member to comment on the application. Following consideration by the RAP, the decision is notified to both student and supervisors by the Secretary of RAP. A formal letter of registration containing the approved title of the project, supervisors, effective date of registration etc. will be sent to the student and supervisor(s) when registration has been agreed.

Transfer of Registration

Applying to Transfer

Students registered for a Research Diploma who wish to transfer to MPhil or MPhil with possibility of transfer to PhD, or those candidates registered initially for an MPhil or an MPhil with possibility to transfer, should apply to the FRPC to approve transfer as soon as they have made sufficient progress on the project. In the case of transfer to PhD students will have to provide evidence of potential PhD direction and development. The Committee will normally expect this to be after some 9-15 months of full-time study or 12-18 months part-time study. Students registered for MPhil only may apply to transfer to PhD if the student and supervisor(s) agree that sufficient progress has been made to provide evidence of the development to PhD.

Progress report

In support of their application to transfer, students will prepare a full progress report on the work undertaken for submission to the FRPC, along with Form R6 and the name of three specialists (to be provided by the Director of Studies). Full instructions are available in the Code of Practice for Research Students

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Nomination of specialists

The Director of Studies will need to provide the names of three specialists, one of whom may be asked to comment on the application; at least one of the specialists should be external to the University. A written report will be sought from a specialist who may, or may not be, one of the specialists nominated by the Director of Studies. A fee (currently £35) is payable by the University to nominated external specialists. It should be noted that it is extremely unlikely that the specialist employed by the University to comment on an application to transfer will be approved as an examiner for the candidate.

Consideration by FRPC

The student's progress report, form R6 and the names of the three specialists should be submitted to the Secretary of FRPC at least four weeks before the meeting at which it is to be considered. A member of the FRPC with expertise in the area of the research project will be asked to comment on the proposed transfer, and to nominate one of the specialists to consider the transfer. The FRPC member may, however, consider it more appropriate to seek the opinion of an alternative specialist. The Committee will seek guidance from the specialist's report. The Committee's decision will be notified to the student and supervisors by the Secretary of FRPC.

. Oral examination at transfer stage

An oral assessment (viva voce) will be used by the FRPC as part of the assessment of the case for transfer to PhD. The oral assessment (viva voce) whenever possible will be conducted by the independent specialist (internal or external) and observed by the Director of Studies and/or supervisor. The independent specialist cannot then be appointed as an internal or external examiner.

External Advice

In the consideration of approval by the FRPC of a proposal for registration or transfer from MPhil to PhD it is recognised that there is a balance to be struck between seeking specialist advice or otherwise. This decision is initially made by the member appointed to present the proposal to the FRPC who also decides, in the case of any specialist advice, whether this is sought from an internal or external specialist.

The advice is received within a developmental, as well as a judgmental, framework and allows the student and supervision team to receive constructive suggestions. This, in turn, has frequently permitted follow-up discussion between the team and the specialist adviser leading to enhancement of the work and better linkage with the external peer community to which the project team belongs and has an input. Unless the proposal is deemed to be seriously flawed in some way the process of seeking specialist internal or external advice should be approached within a

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framework of general confidence in the abilities of the student, supported by the supervision team, successfully to complete the research degree.

8. Changes in Approved Registration Arrangements

The Director of Studies should ensure that the Secretary of FRPC is notified of any changes in the student's approved registration arrangements on the appropriate form R5.

Change in Approved Programme

The FRPC approves a programme, together with its aims and plan of work. When this process takes place the Committee is exercising its quality assurance role and has ensured that the project has the potential to reach the standard required for MPhil or PhD. Therefore, if the student's project undergoes a material change, for example, the expected collaborating establishment proves unable to provide data, or ethical approval from a health body is not forthcoming, then the project clearly needs a major revision. It is this type of change that needs approval by the Committee. Other smaller matters do not need approval, for example, early results or the discovery of new sources may necessitate a change of focus, and such changes are probably to be expected.

Change in Supervisory Arrangements

Any changes in a student's approved supervisory arrangements will need to be approved by FRPC, and should be submitted on Form R5. A completed summary of research experience and supervision should be attached to the form for a proposed new supervisor. In assessing the application for a change in supervision arrangements the FRPC will look to ensure that the student has continued access to subject expertise and experienced supervisors.

Change in Mode of Study

The Director of Study should ensure that changes in the mode of study are notified to the Secretary of FRPC in writing.

Extension of the Registration Period

An application for the extension of a student's registration must be submitted (Form R5) to the Secretary of FRPC before the registration expires. An application for shortening the registration period will need to be submitted, in writing, at the same time as approval of examination arrangements.

Suspension of the Registration Period

If a student needs to take a complete break from their research, Form R5 should be completed and forwarded to the Secretary of FRPC; when a student resumes their registration the Secretary of FRPC should be notified in writing.

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The Secretary of FRPC should also be informed on form R5 if a student decides to withdraw from the programme at any stage.

9. Examinations

Approval of Examination Arrangements

Examination arrangements must be approved by the University's Research Programmes Sub Group. The application for approval of examination arrangements must be submitted to the Secretary of RPSG at least four months before the expected date of completion of the thesis, (or about two months prior to completion for Research Diploma candidates). This is necessary in order for there to be sufficient time to resolve any queries raised by the RPSG and, following approval, for the arrangements for the examination to be made.

The examination must not take place until the examination arrangements have been approved.

The Director of Studies should:

submit the application for approval of examiners on Form R7. The Director of Studies should approach, informally, suitable persons and obtain the information required for the completion of the form and supporting statements about the experience and expertise of the proposed examiners.

The name of the proposed Independent Chair for the oral examination, viva voce should be included on the Form R7.

ensure that there has not been significant contact between the candidate and the examiner, for example, working within the same organisation. It is appreciated that in some highly specialist subject areas the external examiner and candidate may have had some contact, for instance, given papers at the same conference. This will not preclude the appointment of an individual as an external examiner, but it is expected that the candidate and the examiner will be wholly independent of each other. If there is any more significant contact or involvement between the candidate and proposed examiner, you will have to report this to the RPSG for their consideration.

inform the candidate of the procedure to be followed for the submission of the thesis (including the number of copies to be submitted for examination) and any conditions to be satisfied before the candidate may be considered eligible for examination.

notify the candidate, all supervisors, examiners, and the Secretary of the RPSG of the date, time and place of the oral examination. This should be done not less than seven days in advance of the examination.

Although it is the responsibility of the Director of Studies and the supervision team to propose the examiners, it is expected that the student will have been consulted and her/his views noted.

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The Examiners

The following should be borne in mind when proposing an examiner:

(i) An internal examiner is a member of staff of the University, independent of the project, or is a member of staff of the candidate's collaborating establishment.

(ii) A research degree candidate shall be examined by at least two and not more than three examiners of whom at least one must be an external examiner.

(iii) If the candidate and the internal examiner are both on the permanent staff of the same establishment (whether University or collaborating establishment), a second external examiner must be proposed. A candidate who is on a fixed short-term employment contract (for instance, a research assistant) shall be exempt from this requirement.

(iv) Where two external examiners are proposed (see (iii) above) only one internal examiner may be proposed.

(v) An external examiner shall be independent both of the University and of the collaborating establishment and shall not have acted previously as the candidate's supervisor or adviser. An external examiner shall not be either a supervisor of another candidate at the University of Glamorgan or an external examiner on a taught course at the University. Former members of staff of the University shall normally not be approved as external examiners until three years after the termination of their employment with the University.

(vi) At least one external examiner should normally have substantial experience of examining research degree candidates. In an examination for PhD, at least one external examiner should normally have substantial experience of PhD examining (that is, three or more previous examinations).

(vii) Examiners must be experienced in research in the general area of the candidate's research programme and normally be a specialist in the topic(s) examined.

(viii) No candidate for a research award shall act as an examiner.(ix) The Dean of Faculty or nominee will nominate a person who is independent

of the student’s research to chair the viva. The chair will normally be a research person with experience of supervising and examining research students

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Completing Form R7

(a) The SubmissionThe title under which the submission is to be submitted should be entered (this may have changed since registration).

(b) Expected date of examinationThe expected date of examination should be at least 4 months after the date of submission of the form.

(c) Proposed ExaminersInformation on all examiners must include names, qualifications, position and place of work and number of candidates examined for MPhil and PhD. Where an examiner has examined a large number of students, precise figures are not necessary, but some indication (e.g. "over 50") should be given. "Many" is not sufficient. A brief statement of an examiner's current research and consultancy interests and publications should also be included.

Following Approval of Examination Arrangements

Upon approval, the Secretary of RPSG will inform the candidate, the examiners and the Director of Studies.

The Director of Studies will liaise with the candidate and examiners to arrange the time and place of the examination.

After preliminary consultation, candidates must take no part in the arrangements for their examination and must have no discussion with the external examiner(s) between the time they are appointed and the date of their examination, or discuss their thesis/project/examination with the internal examiner(s).

It is, however, unreasonable to expect that the candidate will avoid meeting someone appointed as an internal examiner (particularly if the candidate is a full time student), but it is envisaged that both students and examiners will use their discretion as to what is an appropriate topic for discussion.

Submission of the Thesis/Portfolio//Publications

Detailed information on the requirements for the format of the thesis and submission of publications/portfolio can be found in the Code of Practice for Research Students are encouraged to seek the views of all their supervisors prior to submitting their thesis. Director of Studies will need to ‘sign off’ the student’s thesis to indicate his/her approval for submission to the examiners. This must be done by completing the 'Confirmation of Thesis' form, to be submitted to the Secretary of RPSG with the thesis. You will also need

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to include a formal statement (Certificate of Research71) to be bound in the thesis. (Both forms are available from the Secretary of RPSG in the Research Office). The Research Programmes Sub Group would not recommend that students submit against the advice of their supervisors. A student does, nonetheless, have the right to submit at any time within the registration period, with or without the support of their supervisors.

Students are required to prepare at least two or three copies of their submission. When the submission is ready for examination, the student must submit to the Secretary sufficient bound copies for all the examiners involved along with the declaration on Form Decl. The submission will be checked for conformity to the regulations and forwarded directly to the examiners by the Secretary of the RPSG.

The Examination

Prior to the examination, each examiner is required to submit to the Secretary a preliminary report on Form R8. The Director of Studies should confirm with the Secretary that all of the examiners have submitted their reports before the examination commences.

The examination may not proceed until all preliminary reports are received by the Secretary of RPSG.

Normally a candidate will have an oral examination, which will cover both the submission content and the field of study in which the programme of work was undertaken. Where a candidate would be under serious disadvantage if required to undergo an oral examination, as a result of sickness or similar problems, the Research Programmes Sub Group may approve another form of examination.

A Director of Studies or Supervisor, or other persons may, with the consent of the candidate, be present at the oral, and may take part in the discussion with the candidate, but will be asked to withdraw before the examiners deliberate on the outcome and must not sign the form indicating the examiners' recommendation.

At the end of the examination the joint final recommendations of the examiners should be recorded on Form R9 and forwarded immediately to the Secretary of the RPSG.

The examiners may recommend:

1. that the candidate be awarded the degree (or diploma)

2. that the candidate be awarded the degree (or diploma) subject to amendments and corrections being made to the submission to the satisfaction of the internal examiner and/or external examiner(s)

71 Certificate of Research: This is to certify that, except where specific reference is made, the work described in this thesis is the result of the candidate. Neither this thesis, nor any part of it, has been presented, or is currently submitted, in candidature for any degree at any other University. (This statement should be signed by the Director of Studies, the student and dated).

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(Examiners to specify the period of time the amendments have to be completed e.g. corrections, grammatical or typographical errors and are normally completed within 28 days or other amendments within a time period specified by examiners up to a maximum of 6 months

3. that the candidate be permitted to re-submit for the degree (or diploma) within 12 months and be re-examined, with or without an oral examination

4. that the candidate be not awarded the degree (or diploma) and be not permitted to be re-examined

In the case of PhD candidates only:

5. that the candidate be granted the degree of MPhil subject to the presentation of the submission amended to the satisfaction of the examiners. For candidates of a PhD by publication, an MPhil is only awarded in exceptional circumstances.

In the case of MPhil candidates only:

6. that the candidate be awarded the University Research Diploma subject to the presentation of the submission amended to the satisfaction of the examiners.

Where revisions to the submission are required before the degree is awarded, the thesis should be returned to the student. The examiners will be asked to indicate to the student in writing the amendments or corrections required. The decision whether or not to describe amendments as 'minor' must be left to the discretion of the examiner, but as a guide minor amendments are judged to be those that can reasonably be done within four weeks (pro rata for part time candidates) from the date of the examination. The corrected submission should then be sent to the RPSG Secretary, in a permanent binding, with written confirmation, signed and dated by the examiners nominated, to approve the corrections and to confirm that the revisions have been undertaken.

Where examiners recommend that the degree be not awarded and no re-examination be permitted, or for candidates recommended to resubmit within twelve months, the examiners must prepare an agreed statement of the deficiencies of the submission and the reason for their decision which will be given to the candidate.

Appeals against Examination Decisions

A candidate may, in the circumstances outlined in Section 15 of the University's Research Programmes Regulations, request a review of an examination decision, whether at the first examination or re-examination. Full details of the appeals procedure are in the Code of Practice for Research Students

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10. Complaints Procedure

The Informal Procedure

Research degree students may raise any complaints informally with their Director of Studies, Dean of Faculty or with the Chair/Secretary of RPSG/FRPC. In most cases it should be possible to resolve the issue amicably in this way without recourse to the formal complaints procedure. The formal procedure should only be used either where the complaint is so serious as to make it inappropriate to deal with informally or where the informal approach has not proved satisfactory to the student.

The Formal Procedure (other than decisions of the Research Programmes Sub Group)

If the complaint cannot be resolved by the informal approach the student has the right to use the formal procedure as outlined in the 'Regulations Governing Student Conduct and Student Complaints Procedure' (copies available from the Quality Office).

Possible Issues for a Complaint by a Candidate

The following are examples of issues which may give rise to complaint:

(a) inadequate supervision(b) non-availability of equipment or resources necessary for the project(c) staff of student relationships e.g., abusive or racist behavior, and sexual

harassment(d) action likely to impair the safety of the candidate(e) a decision of the Research Programmes Sub Group (see below).

Complaints from students must be made before the final thesis examination and cannot constitute grounds for appeal against the outcome of the examination.

The Student Complaints Procedure does not cover the following, for which separate procedures exist:

(i) review of an examination decision (see Research Programmes Regulations)(ii) complaints involving an allegation of misconduct by a student (Regulations

Governing Student Conduct)(iii) complaints involving an allegation of harassment by a student or member of staff

(Dignity at Work Policy)(iv) complaints involving an allegation of misconduct by a member of staff (Staff

Disciplinary Procedures).

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Complaints against Decisions of the Research Programmes SubCommittee

(a) A student who has a complaint against a decision of the RPSG/FRPC (for example not to register, approve examination arrangements, extend registration, etc) should submit details of the complaint in writing to the Chair of the RPSG/FRPC asking for a review of the decision.

(b) The Chair of the RPSG/FRPC will pass the details of the complaint to an appropriate adviser outside the Committee (and possibly the University) who has not previously been involved with the student or project but who will be familiar with the research degree procedures. The adviser will be asked to provide a written report. On receipt of the report RPSG/FRPC will review the case.

(c) If a student is not satisfied with the decision of RPSG/FRPC following the review carried out in (b) above, she/he should submit details of the complaint in writing to the Vice-Chancellor (as Chair of Academic Board) who will follow the same procedure as in (b) above but with a different and independent adviser.

(d) If a supervisor has any concerns regarding any decisions agreed by the RPSG/FRPC, these concerns should be forwarded, in writing, to the Secretary of the RPSG/FRPC for the Chair's attention.

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Appendix I

Recommended Reading

Estelle M Phillips and D S Pugh, How to get a PhD (Open University Press)

Penny Tinkler and Carolyn Jackson The Doctoral Examination Process (Open University Press) Rowenna Murray, How to write a thesis (Open University Press)

Rowenna Murray, How to survive your Viva (Open University Press)

Diana Leonard, A Woman’s Guide to Doctoral Studies, (Open University Press)

David Scott, Andrew Brown, Ingrid Lunt, Lucy Thorne Professional Doctorates, (Open University Press)

University of Glamorgan, Research Programmes Regulations,

EPSRC and ESRC, Post Graduate Research: A Guide to Good Practice in Engineering and Physical Sciences

The Royal Society of Chemistry (RSC): The Chemistry PhD. the Enhancement of its Quality, April 1995

The British Psychological Society, Guidelines on Examining PhD Theses, May 1995

The Quality Assurance Agency for Higher Education (QAA), Code of Practice for the Assurance of Academic Quality and Standards in Higher Education: Postgraduate Research Degree Programmes, September 2004http://www.qaa.ac.uk/academicinfrastructure/codeOfPractice/default.asp

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-

Section 2.6: Code of Practice for Examiners of Research Programmes

1 General2 The Appointment of Examiners3 The Examination4 First Examination5 Extract from the Research Programmes Regulations6 After the Examination7 Examining for the Award of PhD by Publication8 Examining for the Award of PhD by Portfolio

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-

Preface

The aim of this guide is to define your role as an examiner for a research award at the University of Glamorgan. It incorporates the relevant sections of the University's current Research Programmes Regulations, but if you would like to have a full copy of the regulations, please contacts the University's Research Office.

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1. General

Your role as examiner for a research programme is extremely important and broadly covers the following points or tasks:

- to consider the candidate's submission in depth and examine her/him accordingly

- to establish that the research carried out is appropriate for the award and is of a standard that would normally meet the requirements of a University in the United Kingdom for such an award

- to establish that the candidate is able to plan and execute a substantial piece of research in their chosen field, and to interpret and report the results of their study

- to establish that the candidate has a deep understanding of the topic of the submission and that the work is embedded in an appropriate general understanding of its wider context

- to assure yourself that the candidate has satisfied the requirements of any specific programme of study

- to assure yourself that the candidate possesses the professional competencies appropriate to a practitioner in the field.

2. The appointment of examiners

Examiners are appointed in advance of the thesis being submitted. A candidate's Director of Studies will submit to the Research Programmes Sub Group a proposal for the appointment of examiners about four months before the candidate expects to submit the completed thesis. The name of a proposed Independent Chair for the oral examination will also be included on the form for the appointment of examiners.

The team of examiners may consist of only external examiners or a combination of internal and external examiners. The candidate's Director of Studies will act as your contact person and will fully inform you of the membership of the examining team.

Although it is the responsibility of the Director of Studies and the supervision team to propose the examiners, it is expected that the candidate will have been consulted and her/his views noted.

If you have been appointed as an internal examiner, you may be either a member of staff of the University or a member of staff of the project's collaborating establishment, but in all cases you will be independent of the candidate and the project. If you have been appointed as an external examiner you will be an expert in the field and will possess specialist knowledge in the particular area of the candidate's project. Normally, you will also have substantial examining experience at the level of the award being considered (i.e. examined 3 or more research degrees at the level of the examination). The internal examiner will have some knowledge in the field but may be somewhat less 'expert' than, or have complementary expertise to, the external examiner.

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In some highly specialist subject areas, it may be expected that the external examiner and the candidate will have had some contact, for example, given papers at the same conference. This, of course, will not have precluded your appointment as external examiner but it is expected that you and the candidate will be wholly independent of each other. If you have had any connections with the candidate or her/his supervisor/adviser which you consider would make it desirable for the University to reconsider the appropriateness of your appointment as one of the examiners, you should inform the Secretary of the Research Programmes Sub Group. These connections could be either personal or professional. Of the latter it is considered, for example, that an examiner, whether internal or external, who has played a significant part in advising the candidate is inappropriate and particularly so where the collaboration has led to the publishing of joint papers by the candidate and the examiner. It is stressed that it is accepted that examiners will usually be known to the supervisor, and sometimes the candidate, and that this in itself is not a bar to acting as an examiner.

In addition, external examiners may not normally be either a supervisor or adviser of another candidate at the University of Glamorgan or be an examiner for a taught course at the University.

The University's Research Programmes Sub Group will also ensure that all external examiners are not approved so frequently that familiarity with the department(s) prejudices objective judgement. This means that an individual external examiner will not be appointed more than twice in any five year period.

If you are an external examiner you should not expect to be contacted by the candidate regarding any aspect of the examination and, in the unlikely event of this happening, you are requested to contact the Secretary or Chair of the Research Programmes Sub Group as soon as possible. If you are an internal examiner it is unreasonable to expect that the candidate will avoid meeting you (particularly if full-time) but it is envisaged that you will use your discretion as to what is an appropriate topic for discussion.

3. The examination

Please also refer to the extract from the University's Research Degrees and Diploma Regulations which appears at the end of this section.

The candidate's Director of Studies will normally act as the contact person and will liaise with all examiners and the candidate to find a mutually convenient time and location for the viva voce (or approved alternative form of examination). Examinations are normally held in the UK, but in special cases the Research Programmes Sub Group may give approval for the examination to take place abroad.

A copy of the candidate's thesis will be forwarded to you by the Secretary of the Research Programmes Sub Group. It will be accompanied by a 'Preliminary Report' form (R8). All examiners are required to prepare this independent report on the written submission before discussing it with each other or any member of the candidate's supervision team or department. This is to ensure that a formal record exists of each examiner's independent views on the work. Your report should be sent or emailed to the Secretary of the Committee at least one week before the oral examination.

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It is possible that persons other than the candidate and the examiners may attend the examination, for example, the candidate's Director of Studies, the Chair or Secretary of the Research Programmes Sub Group, but this will only happen if the candidate is in agreement, and these persons will take no part in the decision itself. If you wish, all those present may be asked to leave the room prior to your deliberations on the outcome of the examination.

4. First examination

The University will appoint an independent person to chair the oral examination, normally the Dean of Faculty or nominee, to ensure the assessment process is rigorous, fair, reliable and consistent.

On the day of the examination, if you (the team of examiners) are in any doubt over a regulatory matter and would like assistance, you may ask to meet with the Secretary of the Research Programmes Sub Group.

5. Extract from the Research Programmes Regulations:

12 First examination

In this section the term 'Thesis' refers to either to the thesis or to an alternative form of submission.

For research degrees it is one of the duties of the examination team to determine that the work presented is the candidate’s own. Should there be any suspicion of unfair practice, then the examiners will seek to explore these issues during the viva voce examination.

Should a case of unfair practice be demonstrated, then the submission will be deemed not to have met the standards for the awarding of the degree and the examiners will utilise the range of available outcomes as listed in the Research Degree Regulations, using their academic judgement according to the extent and seriousness of the infringement.

12.1 Each examiner shall read and examine the thesis and submit, on the appropriate form, an independent preliminary report to the Secretary of the Research Programmes Sub Group before any oral or alternative form of examination is held. In completing the preliminary report, each examiner shall consider whether the thesis provisionally satisfies the requirements of the award and where possible make an appropriate provisional recommendation subject to the outcome of any oral examination.

12.1.1 The University will appoint an independent person to chair the oral examination, normally the Dean of Faculty or nominee, to ensure the assessment process is rigorous, fair, reliable and consistent. The Chair must be independent of the student’s programme of study and should normally be a senior academic who has substantial experience of examining research degrees at or above the level of the examination to be chaired, i.e. MPhil for MPhil and PhD for PhD oral examinations.

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The Chair must have a clear understanding of the university’s regulations and procedures. The examiners will have the responsibility of making any academic decisions about the candidate.

12.2 Where the examiners are of the opinion that the thesis is so unsatisfactory that no useful purpose would be served by conducting an oral examination, they may recommend that the Research Programmes Sub Group dispense with the oral examination and refer the thesis for further work. In such cases the examiners shall provide the Research Programmes Sub Group with written guidance for the candidate concerning the deficiencies of the thesis. The examiners shall not recommend that a candidate fail outright (see sub-paragraph 12.5d) without holding an oral examination or other alternative examination (see paragraph 8.3). In the case of a PhD by publication the examiners may recommend that further or alternative publications are necessary before the oral examination takes place.

12.3 Following the oral examination the examiners shall, where they are in agreement, submit; on the appropriate form a joint report and recommendation relating to the award to the Secretary of the Research Programmes Sub Group. The preliminary reports and joint recommendation of the examiners shall together provide sufficiently detailed comments on the scope and quality of the work to enable the Research Programmes Sub Group to satisfy itself that the recommendation chosen in paragraph 12.5 is correct.

Where the examiners are not in agreement, separate reports and recommendations shall be submitted. The recommendations shall be made on the appropriate form.

12.4 The examiners may request a further examination in addition to the oral examination. In such cases the approval of the Research Programmes Sub Group shall be sought without delay. Where such an examination is arranged following an oral examination, it shall normally be held within two calendar months of the oral examination unless the Research Programmes Sub Group permits otherwise. Any such examination shall be deemed to be part of the candidate's first examination.

12.5 Following the completion of the examination the examiners may recommend72 that:

a) the candidate is awarded the degree (or diploma);b) the candidate is awarded the degree (or diploma) subject to amendments

and corrections being made to the thesis within a period of up to six months (see paragraph 12.6);

c) the candidate is permitted to re-submit for the degree (or Diploma) and be re-examined, with or without an oral examination (see section 13);

72 Examiners may indicate informally their recommendation on the result of the examination to the candidate but they shall make it clear that the decision rests with the Research Programmes Sub Group.

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d) the candidate be not awarded the degree (or Diploma) and be not

permitted to be re-examined (see paragraphs 12.2 and 12.9); or,e) in the case of a PhD examination, the candidate is awarded the degree of

MPhil subject to the presentation of the thesis amended to the satisfaction of the examiners.

f) in the case of a MPhil examination, the candidate is awarded the University Research Diploma subject to the presentation of the thesis amended to the satisfaction of the examiners.

12.6 Where the examiners are satisfied that the candidate has in general reached the standard required for the award, but consider that the candidate's thesis requires some amendments and corrections not so substantial as to call for the submission of a revised thesis, and recommend that the award be conferred subject to the candidate amending the thesis to the satisfaction of the internal and/or the external examiner(s) (see sub-paragraph 12.5b), they shall indicate to the candidate in writing what amendments and corrections are required.

12.7 Where the examiners' final recommendations are not unanimous, the Research Programmes Sub Group may:

a) accept a majority recommendation (provided that the majority recommendation includes at least one external examiner);

b) accept the recommendation of the external examiner; or

c) require the appointment of an additional external examiner.

12.8 Where an additional external examiner is appointed under sub-paragraph 12.7c, she/he shall prepare an independent preliminary report on the basis of the thesis and, if considered necessary, may conduct a further oral examination. That examiner should not be informed of the recommendations of the other examiners. On receipt of the report from the additional examiner the Research Programmes Sub Group shall complete the examination as set out in paragraph 8.6.

Where the Research Programmes Sub Group decides that the award be not conferred, the examiners shall prepare an agreed statement of the deficiencies of the thesis and the reason for their recommendation, which shall be forwarded to the candidate by the Secretary to Research Programmes Sub Group.

6. After the examination

Your recommendation:

When you have explored with the candidate all issues arising from the submission and, if appropriate, the wider issues relating to the subject matter and you deem the examination to be complete, you should then ask the candidate if she/he feels they have been offered sufficient opportunity to defend their work, and respond accordingly.

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When the oral examination is over, the candidate will leave the room in order for you to discuss your recommendation. Others present may, if you wish, be asked to leave the room. When you have made your recommendation you may, informally, indicate the result to the candidate but should ensure that she/he understands that the recommendation needs to be ratified by the Research Programmes Sub Group before the decision is final.

If all examiners are in agreement you should then jointly complete the R9 'Recommendation of the examiners form' and select the most appropriate of the recommendations shown in the extract from the University's regulations (above). The candidate's supervisor will ensure that the form is passed promptly to the Secretary of the Research Programmes Sub Group, together with your travelling expenses claim form (if appropriate).

Occasionally examiners are unclear whether the revisions they feel are necessary to a thesis are so great that the candidate should be recommended to 're-submit for the degree' or whether they constitute ‘amendments’. Which recommendation you make is, of course, at your discretion but, ‘amendments' are to be completed within a minimum of one month, with a pro-rata period for part-time candidates, up to a maximum of six months.

If your final recommendation is that the candidate makes amendments to the thesis prior to being awarded the degree, you will normally be required to indicate to the candidate in writing what amendments and corrections are required. Similarly, if you decide that the appropriate recommendation is that the candidate be permitted to re-submit for the degree, then you will also be asked to provide the candidate, through the Research Programmes Sub Group, with written guidance on the deficiencies of the submission. There is no recommended word-length on the written guidance, but the University appreciates every assistance offered to candidates in this position, whilst recognising that examiners are not expected to act as advisers. The Research Programmes Sub Group recommends that examiners work together to produce this document and that it should reach the candidate no later than 28 days after the oral examination.

If you cannot reach a joint recommendation, separate 'Recommendation of the examiners' forms should be submitted by each of you.

Your reports:

Your recommendations will be considered by the Research Programmes Sub Group at its next meeting following the examination. If you have made a unanimous recommendation then the Research Programmes Sub Group will accept it and advise the candidate as appropriate. If you have been unable to make a unanimous recommendation then the Research Programmes Sub Group will take one of the actions outlined in section 12.7 a to c (above). Once your recommendations have been considered by the Research Programmes Sub Group copies of your reports (both preliminary report and final recommendation) will be sent to the Dean of Faculty and the candidate's Director of Studies in order that your comments may provide valuable quality assurance guidance.

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Your fee:

All external examiners are paid the fee recommended by the Research Programmes Sub Group, and as soon as your final report is received the Secretary will authorise the Finance Department to forward it to you.

7. Examining for the award of PhD by Publication

Generally, examining for the award of PhD by Publication should follow the principles set out at the beginning of this handbook. Your aim will be to determine whether the publications submitted clearly demonstrate that the candidate has undertaken study and research at least comparable with that required to prepare a 'traditional' PhD thesis.

The publications must show that the candidate has personally made a systematic study, that she/he has demonstrated significant critical powers and made an independent and original contribution to knowledge. Collectively, the publications and the candidate's critical overview must display coherence and development.

In the case of this award, the Secretary of the Research Programmes Sub Group will send you, in addition to the body of published work, the candidate's application to register for the award where she/he has indicated their individual contribution to any co-authored publications. Supporting statements by the co-authors will also be forwarded to you.

Candidates registered on this route to PhD will undergo an oral examination in the same way as 'traditional' PhD candidates but the recommendations available to you are as follows:

a the candidate be awarded the PhD;

b the candidate be awarded the PhD subject to amendments being made to the critical overview;

c the candidate be permitted to re-submit for the PhD and be re-examined, with or without an oral examination;

d the candidate be not awarded the PhD and be not permitted to be re-examined;

e the PhD is not awarded but that the candidate is awarded the degree of MPhil subject to the presentation of the submission amended to the satisfaction of the examiners.

Recommendation 'c' (above) should be used where the candidate's submission is deemed to require further or alternative publications before the PhD can be awarded. If this factor is identified before the viva voce examination takes place then you may recommend, by letter to the Secretary of the Research Programmes Sub Group, that the examination is postponed until the submission is revised.

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The University of Glamorgan does not allow candidates to register for an award of MPhil by Publication.

However, in very exceptional circumstances you, the team of examiners, may wish to recommend 'e' (above). You will be asked, on the recommendation form, to indicate the exceptional grounds on which your recommendation is being made.

8. Examining for the award of PhD by Portfolio

The PhD or MPhil by Portfolio involves the submission for examination of an approved portfolio of material relating to a maximum of three projects accompanied by an overview.

Similarly, certain submissions for PhD by Thesis, including some submissions under Guided Doctorate Programmes, may contain up to three distinct but related projects. Such submissions should be examined in accordance with the same principles as the traditional PhD by Thesis. In particular, the projects should collectively represent an independent and original contribution to knowledge.

Section 2: 107

Section 3: External Examiner Related Policies, Procedures and Forms

3.1 Handbook for External Examiners3.2 The Appointment of Examiners3.3 External Examiner Annual Report Template3.4 External Examiner Expenses Form

Section 3: 1

Section 3: 2

Section 3.1: Handbook for External Examiners

ContentsPREFACE...................................................................................................................................................................... 5

SECTION A....................................................................................................................................................................6

1. INTRODUCTION.............................................................................................................................................6

2. DEFINITIONS..................................................................................................................................................9

3. THE SUBJECT EXTERNAL EXAMINER............................................................................................................12

4. THE AWARD EXTERNAL EXAMINER............................................................................................................16

5. THE EDEXCEL EXAMINER.............................................................................................................................20

6. YOUR QUESTIONS ANSWERED....................................................................................................................21

Section 3: 3

SECTION B..................................................................................................................................................................24

REGULATIONS............................................................................................................................................................24

THE ASSESSMENT PROCESS.......................................................................................................................................24

1. COURSEWORK SUBMISSION DATES AND EXAMINATION TIMETABLES.....................................................24

2. MITIGATING CIRCUMSTANCES...................................................................................................................24

3. ACADEMIC MISCONDUCT...........................................................................................................................25

4. FEEDBACK ON COURSEWORK.....................................................................................................................25

5. RECORDING PERFORMANCE.......................................................................................................................25

5.1 UNDERGRADUATE DEGREE AND FOUNDATION DEGREE STUDENTS.....................................................255.2 HND AND HNC STUDENTS....................................................................................................................265.3 POSTGRADUATE STUDENTS...................................................................................................................26

6. MANAGEMENT OF THE ASSESSMENT PROCESS.........................................................................................27

6.1 SUBJECT ASSESSMENT BOARDS...........................................................................................................276.2 AWARD AND PROGRESSION ASSESSMENT BOARDS.............................................................................27

7. PROGRESSING FROM LEVEL TO LEVEL........................................................................................................27

7.1 UNDERGRADUATE DEGREE AND FOUNDATION DEGREE STUDENTS.....................................................277.2 HND AND HNC STUDENTS....................................................................................................................277.3 POSTGRADUATE STUDENTS...................................................................................................................27

8. CLASSIFICATION OF AWARDS.....................................................................................................................28

8.1 UNDERGRADUATE DEGREE STUDENTS.................................................................................................288.2 THE CLASSIFICATION OF HONOURS DEGREES FOR STUDENTS GRADUATING IN 2011/12 (OR PRIOR TO

2011/12).................................................................................................................................................288.2.1 Second year (Level 5) classification...........................................................................288.2.2 Final year (Level 6) classification where a second year classification exists........288.2.3 Final year (Level 6) classification where a second year classification does not

exist 308.3 THE CLASSIFICATION OF HONOURS DEGREES FOR STUDENTS GRADUATING IN 2012/2013 OR

THEREAFTER...........................................................................................................................................328.4 POSTGRADUATE STUDENTS...................................................................................................................33

9. FAILURE: COMPENSATION, RETRIEVAL AND REFERRAL.............................................................................33

9.1 COMPENSATION......................................................................................................................................339.2 RETRIEVAL AND REFERRAL....................................................................................................................34

10. VERIFICATION AND APPEALS PROCESS.......................................................................................................36

11. COMPLAINTS PROCESS................................................................................................................................36

GLOSSARY OF TERMS................................................................................................................................................38

Contact List: Sources of help and advice.......................................................................................................40

Section 3: 4

Preface

This guide will clarify your role as an external examiner at the University of Glamorgan and provide an insight into our regulations. Section A contains information about your role as an external examiner and Section B contains the key regulations in compact form specifically for external examiners of awards and subjects of the University. It should be read in conjunction with the University’s Academic Handbook, which contains Academic Board’s regulations for external examiners and boards of examiners, and the QAA’s revised Code of Practice on External Examining.

All the University’s regulations are published in the Academic Handbook. Volume 1, Section B contains the regulations for taught academic awards and Volume 2 contains all supporting documentation, including copies of standard forms. The Academic Handbook can be found at the following web link: http://academicregistry.glam.ac.uk/acpolicyandregs/.

Also available at the above link is information on the following:

Annual Report Proformas for Subject and Award External Examiners ‘Payroll Staff Claim For Travel, Subsistence Allowances And Other Expenses’

(External Examiners Expenses Form) and Travel and Subsistence Manual. External Examiner Additional Visit Fees proforma (Additional visit proforma)

The University’s academic processes are continually reviewed as we strive to improve the service that we give to students and the student experience in general. We also take account of new initiatives within the Higher Education sector and policy updates within the University.

A copy of the Code of Practice on External Examining can be found on the QAA web page at: http://www.qaa.ac.uk

Sherrianne Lloyd

Dr Sherrianne LloydChairperson of Regulations and Examiners Sub Group

Section 3: 5

Section A

1. Introduction

We are committed to providing high quality, comprehensive and accessible education for all our students at the University. To achieve this, we have introduced modular, credit rated programmes. This has increased our flexibility and choice and widened access to students from diverse academic backgrounds.

Our external examiner system by necessity reflects the modular structure we have adopted and is focused at two levels: the subject and the award. You will have been appointed as a subject examiner, an award examiner or occasionally both. If you are both a subject and an award external examiner, you will need to complete both sets of duties, including the submission of both reports. There is no difference in seniority between the two roles, but considerable differences in function.

Full guidance regarding your role as a subject and/or award examiner is given in the following sections; we have also included a section answering the questions most commonly asked by external examiners.

More about our academic structure

Our teaching year varies according to the nature, structure and level of the particular courses. For the majority of students, the academic year begins in late September and runs until June (for HNC/D/FD and undergraduate degree students) or until late September (for postgraduate students). Additionally, some courses have multiple or non standard intake times. To maximise the flexibility and permeability of courses within a modular system, we have arranged our standard timetabling around a thirty-week, three-term teaching year.

Our standard modules comprise two hundred hours of learning activity and full-time students normally follow the equivalent of six modules per year. However, many of our courses can also be studied on a part-time basis at a pace that suits students’ needs.

Most of our honours degrees comprise eighteen modules with a combination of compulsory modules, that must be taken in order to achieve the award, and optional modules that allow particular interests to be developed.

All our modules are credit rated, standard modules being worth 20 credit points. In order to achieve an award, students need to attain the required number of credits as indicated in the examples given below (see Academic Handbook, section B.1.3 for full award range and further details of credits and levels):

Section 3: 6

Free-standing undergraduate awards and embedded* awards

Award Credits requiredFoundation Certificate of Higher Education

120 credits at Level 3 (Access) or above

Certificate of Higher Education

120 credits of which at least 100 must be at Level 4 (Certificate) or above and no more than 20 at Level 3 (Access)

Higher National Certificate

160 credits of which at least 40 must be at Level 5 (Intermediate) or above, 90 at Level 4 (Certificate) or above and no more than 30 at Level 3 (Access)

Higher National Diploma 240 credits of which at least 100 must be at Level 5 (Intermediate) or above, 110 at Level 4 (Certificate) or above and no more than 30 at Level 3 (Access)

Diploma of Higher Education

240 credits of which at least 100 must be at Level 5 (Intermediate) or above, 120 at Level 4 (Certificate) or above and no more than 20 at Level 3 (Access)

Foundation Degree 240 credits of which at least 100 must be at Level 5 (Intermediate) or above, and of these 100 credits at Level 5 (Intermediate), at least 60 must be derived from the work based learning component of the award, 120 credits at Level 4 (Certificate) or above and no more than 20 at Level 3 (Access)

Bachelor’s Degree (non-honours)

300 credits of which least 60 must be at Level 6 (Honours) or above, 100 at Level 5 (Intermediate) or above, 120 at Level 4 (Certificate) or above and no more than 20 at Level 3 (Access)

Bachelor’s Degree 360 credits of which at least 100 must be at Level 6 (Honours) or above, 120 at Level 5 (Intermediate) or above, 120 at Level 4 (Certificate) or above and no more than 20 at Level 3 (Access)

* Please note that not all the above awards are embedded within each other.

NB For a full list of the awards offered by the University please see section B.1.2 of Section B of the Academic Handbook.

Section 3: 7

This information is summarised in the form of a table below which shows the minimum credits needed for the exit awards.

Award Level 3

Level 4

Level 5 Level 6

Foundation Certificate of Higher Education

120

Certificate of Higher Education

20 100

Higher National Certificate

30 90 40

Higher National Diploma

30 110 100

Diploma of Higher Education

20 120 100

Foundation degree 20 120 100at least 60 must be

derived from the work based learning

component of the award

Bachelor’s degree (non-honours)

20 120 100 60

Bachelor’s degree (with honours)

20 120 120 100

Postgraduate awards and embedded awards

Award Credits requiredPostgraduate Certificate in Education

60 credits with at least 40 at Level 7 (Masters) and no more than 20 at Level 6 (Honours)

Postgraduate Diploma in Education

120 credits of which at least 90 must be at Level 7 (Masters) and no more than 30 at Level 6 (Honours)

Master’s degree 180 credits of which at least 150 must be at Level 7 (Masters) and no more than 30 at Level 6 (Honours)

This information is summarised in the form of a table below which shows the minimum credits needed for the exit awards.

Award Level 6 Level 7

Postgraduate Certificate in Education 20 40

Postgraduate Diploma in Education 30 90

Master’s degree 30 150

Section 3: 8

2. Definitions

This section provides you with a definition of some of the terms we commonly use at the University. It also provides details of membership and functions of the types of assessment boards you may be involved with.

Definition of terms

Module: A credit rated unit of work, with specific learning outcomes, syllabus and assessment scheme (modules belong to subjects).

Course: A pattern of modules leading to a University of Glamorgan qualification. (New terminology)

Subject: A collection of cognate modules located in and organised by one faculty.

Award: A University of Glamorgan qualification received by the student.Programme: A collection of cognate courses which are grouped together for

management purposes only.

Assessment boards: membership and functions

Subject Assessment Boards

Our subject assessment boards are established to agree the overall module grades of individual students for all modules belonging to that subject. Subject assessment boards are accountable to Academic Board for the fulfilment of their terms of reference.

The membership of subject assessment boards is as follows:▪ dean of faculty or nominee (Chairperson)

The Chairperson must be from outside the subject area.▪ all staff offering and teaching on modules within the subject, including, where

applicable, staff from collaborative partners▪ external examiner(s) appointed to the subject▪ nominee of the head of administration (Secretary).

Faculty staff are provided with a Subject Assessment Board Guide prior to the board.

Functions

All the functions of the board must be carried out in accordance with the University regulations outlined in the Academic Handbook, or, where applicable, in accordance with approved professional requirements.

Specifically, a subject assessment board’s functions are: to decide candidates' grades for modules, to relay these to appropriate award and

progression assessment board(s) and to ensure that the grades and recommendations are recorded accurately on University systems. Where a board does not have access to the systems (eg for boards held in partners institutions) it must ensure the information is transmitted to the appropriate University faculty

Section 3: 9

to record the decisions and proceedings of all meetings of the board including those cases of mitigating circumstances eligible to be considered by the board

to receive reports of any disability and/or dyslexia relating to any candidate.

The subject assessment board’s function is to determine the students’ performance on their modules and assign grades on the basis of academic judgement alone. It is not empowered to modify grades for mitigating circumstances, except:▪ where there is evidence of a factor which has affected either the entire cohort of

students on a particular module or a group of students from the cohort;▪ where the mitigating circumstances panel has judged there is a valid reason for

late/non submission.

These are the only instances where a mitigating circumstances panel will report to a subject board; it will not otherwise do so (see section B.2.6.8 of the Academic Handbook).

Award and progression assessment boards

Our award and progression assessment boards are established for every programme of study leading to an academic award of the University, in order to determine the students’ progression and completion of their awards. The award and progression assessment board may be responsible for one award, or a number of awards within one programme. The award and progression assessment board is accountable to the Academic Board for the fulfilment of its terms of reference.

An award and progression assessment board is the only body to have authority to recommend to the University the conferment of an award. No other body may do this, or amend the decision of a properly constituted award and progressions assessment board, other than the Academic Appeals Committee or Academic Board.

The membership of award and progression assessment boards is as follows:▪ dean of faculty or nominee (Chairperson)▪ programme leaders for programmes containing the courses▪ representative from the mitigating circumstances committee▪ external examiner(s) for the award▪ faculty collaborative manager (where the courses are delivered in collaboration with

partners)▪ up to three other academic members of staff nominated by the dean of faculty▪ nominee of the head of administration (Secretary).

Subject leaders and representatives from the faculty’s collaborative partners contributing to the awards are eligible to attend the award and progression assessment board to advise on decisions taken at subject assessment boards.

Functions

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All the functions of the award and progression assessment board must be carried out in accordance with the University regulations outlined in the Academic Handbook, or, where applicable, in accordance with approved professional requirements. Specifically, the award and progression assessment board’s functions are:▪ to receive module decisions from the relevant subject assessment boards;▪ to receive the decisions of the faculty’s mitigating circumstances panel;▪ to determine each student's progression, award and classification;▪ to decide on referrals and any other course of action, taking account of information

and advice supplied by the relevant subject assessment boards and the mitigating circumstances panel;

▪ to confirm candidates for interim awards at the point in the programme of studies when they are eligible for the award (e.g. CertHE at the completion of Level 4 (Certificate));

▪ to record the decisions and proceedings of all meetings of the board.

The function of the award and progression assessment board is to ensure that decisions about progression, classification, compensation and reassessment are made properly, on the basis of the grades it receives from the subject assessment boards. The award and progression assessment board must also therefore decide on cases where any mitigating circumstances have been confirmed as valid by the mitigating circumstances panel. The scope of the award and progression assessment board’s actions in such cases is detailed in section B.2.6.9 of the Academic Handbook. The award and progression assessment board cannot, however, alter a grade that has been agreed by the subject assessment board, other than to allow compensation against narrow failure (see section 9)

Section 3: 11

3. The Subject External Examiner

Appointment

You have been invited to become a subject external examiner because of your subject expertise and the relevance of your academic and professional qualifications and experience. You may have been appointed as the only external examiner for the subject or as one of a team of external examiners. You may therefore be responsible for all or only some of the modules in a subject.

Your term of office will normally be four years to enable you to assess four successive cohorts of students and will normally begin on 1 October and end on 30 September (or 30 November for some postgraduate modules). However, should your services as an external examiner be no longer required during any year because, for example, the modules you are responsible for have been phased out, your appointment will come to an end.

Role

Your role is to ensure that justice is done to students and that University's modules are appropriate to the level and credit to which they are assigned and conform to the QAA benchmarks, where applicable, and that standards are maintained. You must be able to judge students' work impartially and to compare their work with that of their peers on comparable modules or programmes of higher education elsewhere.

Prior to assessment, we will invite you to approve the form and content of assessments that count towards the modules and ensure that students will be assessed fairly in relation to module specifications. After assessment has taken place, we will invite you to scrutinise students’ work to ensure that our judgements of relative positions on the grading scale are fair and consistent and that work has been marked in accordance with the module regulations.

We do not ask you to consider issues relating to students' progression, degree classification, compensation or awards. This is the remit of the award and progression assessment board and the appointed award external examiner(s).

We do not ask you to make decisions on mitigating circumstances or academic misconduct, which are dealt with by separate panels.

Attendance

You are required to attend at least one subject assessment board in the academic year (normally in June for undergraduate programmes) and to endorse the outcomes of the board on its completion if satisfied.

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Involvement

We ask that you determine the extent and nature of your involvement with the subject leader or relevant faculty contact.

However, as guidance, we suggest the following is appropriate to avoid overburdening yourself:

- be selective in your approach to approving the form and content of module assessments;

- attend at least one subject assessment board meeting in the academic year (normally in June for undergraduate programmes);

- consider your role as one of moderator, rather than that of second or third marker;

- focus your attention primarily on the performance of staff in applying assessment criteria;

- be selective in your moderating, by sampling a range of student work rather than looking at all student work;

- attend selected partner colleges, if applicable.

Moderating marks

Following your moderation, you may feel it is necessary to adjust the proposed grades of internal markers. In such circumstances, we ask that the grades of all students taking the module are revised (either upwards or downwards) and not just the students you have sampled. This proposed adjustment would be agreed with the subject leader and the module leader prior to the subject assessment board.

Reporting

Each subject external examiner for the University of Glamorgan is required to make an annual written report to the Academic Registrar of the University. The standard report form is available on the University’s web pages or via e-mail from the Quality Unit, Academic Registry. You are asked to complete and return this report electronically, within four weeks of the subject assessment board taking place (unless otherwise agreed with the Academic Registrar). It should be sent by email to extexam@glam.ac.uk. The report will enable the Academic Board to judge whether the modules and/or subjects are meeting their stated objectives and to make improvements where necessary. It will form part of the documentation that will be a focal point of the University's annual monitoring exercise and will be considered at periodic review. The report addresses:

Section 3: 13

- the overall performance of the students in relation to their peers in comparable subjects

- the strengths and weaknesses of the student body;- the quality of knowledge and skills (both general and subject specific) demonstrated

by the students;- the structure, organisation, design and marking of all assessments;- the quality of teaching as indicated by student performance;- the curriculum, syllabus, teaching methods and resources of the modules and/or

subject;- any other recommendations arising from the assessments; and- the conduct of the subject assessment board.

Additionally, if you feel that there are any matters of serious concern arising from the assessment which may put the standard of the University's modules or subjects at risk, you should also report this to the Vice-Chancellor of the University.

In the interests of confidentiality staff and student names must not appear in the report.

Payment

Payment of your fee is authorised on receipt of an acceptable annual report and attendance at a subject assessment board. Your fee is determined in relation to your number of ‘student modules’ which is calculated as follows:

The number of equivalent modules you examine is multiplied by the number of students taking them to arrive at your ‘student modules’ total and payment is made in relation to the fee matrix given below

Total number of student- modules Amount payable 5 – 300 £250

301 – 600 £375601 – 900 £500

900 + £625

Example

Modules Credit rating Value Number ofstudents

Number of student modules

Module 1 20 1 80 80Module 2 10 0.5 50 25Module 3 40 2 20 40Module 4 20 1 45 45Module 5 20 1 70 70

Total StudentModules

260

FEE PAYABLE £250

Section 3: 14

N.B. The above example illustrates that a standard 20-credit module has a value of one, a 40-credit module has a value of two and a 10-credit module has a value of one half.

You are required to attend at least one subject assessment board in the academic year (normally in June for undergraduate programmes) and the fee schedule illustrated above includes remuneration for this. If you make additional visits, either to the University or its collaborative partners, then you will be paid at a rate of £100 per full day visit or £50 per half day visit. Claims for fees for additional visits should be made on the ‘External Examiners Additional Visits Fees 2011-2012’, available on the web pages of the Quality Unit of the Academic Registry. Any such additional visits should be agreed at the start of the academic year with the faculty.

Tax will be deducted from your fee.

Claims for expenses should be submitted to the faculty on the form “Payroll Staff Claim For Travel, Subsistence Allowances And Other Expenses” (External Examiner Expenses form). This form is available to download from the web pages of the Quality Unit of the Academic Registry at: http://academicregistry.glam.ac.uk/acpolicyandregs/#examiners

Quality assurance

Although your reports will provide a focus for annual monitoring and progress review, you will not be required to participate in a periodic review of the subject; this function is kept entirely separate. However, you will be asked from time to time to approve in writing modifications to modules or additions to the subject.

Reviewing decisions

Situations may arise that require a review of a decision made by the subject assessment board and you may be asked to participate in this process, e.g. if a student queries a certain grade that has been awarded for a module.

Termination

You must inform the University in writing should you wish to terminate your appointment before the planned end of tenure.

The University reserves the right to terminate your appointment for: non-submission of acceptable report non-attendance at assessment boards without valid reason lack of involvement with the assessment process other reasons deemed appropriate by the Academic Registrar.

Section 3: 15

4. The Award External Examiner

Appointment

You have been invited to become an award external examiner primarily because of your experience of assessment board functions in higher education; you may or may not be a subject specialist but you have not been appointed in this capacity. You will need to ensure that the conduct of the award and progression assessment boards are appropriate, the regulations of the University are adhered to and all decisions are properly made. You will normally be the sole award examiner for an award and progression assessment board, but may in certain circumstances be one of two.

Your term of office will normally be four years to enable you to assess four successive cohorts of students and will normally begin on 1 October and end on 30 September for undergraduate awards and 30 November for postgraduate awards. However, should your services as an external examiner be no longer required during any year because, for example, the awards you are responsible for have been phased out, your appointment will come to an end.

Role

Your role is to ensure that justice is done to students and that the standard of our awards is maintained, by ensuring that award and progression assessment boards make appropriate decisions about students' progression, eligibility for awards, classification, compensation and reassessment.

You are not required to act as a subject expert for the contributory subjects at this level or to look at standards of module performance, as the approval of the content and form of assessments, the examination of scripts and the moderation of the marks of internal assessors has already been completed by the subject assessment boards and their appointed subject examiners. Nor are you required to make decisions on mitigating circumstances or academic misconduct, which are dealt with by separate panels.

Attendance

You are required to attend at least one set of award and progression assessment boards in the academic year (normally in June for undergraduate programmes) and to endorse the outcomes of each board on completion if satisfied.

Involvement

We ask that you agree the nature and the level of your involvement with the course leaders or relevant faculty colleagues, in order that you may decide the extent to which you would like to involve yourself in the process.

However, as a guide we think it appropriate that you:

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- attend at least one set of award and progression assessment boards in the academic year (normally in June for undergraduate programmes);

- view your role as one of independent advisor to the board as opposed to judge;

- focus your attention on the efficacy and application of programme regulations in arriving at decisions about progression, eligibility for awards, classification, compensation and reassessment;

- examine the consistency of the various subject assessment boards that may be making recommendations to the award and progression assessment boards;

- compare the treatment of individuals where discretion is exercised, or mitigating circumstances are taken into account;

- verify that the award and progression assessment boards are conducted according to our regulations and procedures and endorse the board’s decisions as appropriate;

- note whether the achievement on the awards is consistent with previous years.

Reporting

Each award external examiner for the University of Glamorgan is required to make an annual written report to the Academic Registrar of the University. The standard report form is available on the University’s web pages, or via e-mail from the Quality Unit, Academic Registry. You are asked to complete and return this report electronically within four weeks of the award and progression assessment boards taking place (unless otherwise agreed with the Academic Registrar). It should be sent by email to extexam@glam.ac.uk. The report will enable the Academic Board to judge whether the awards and contributory subjects are meeting their stated objectives and to make improvements where necessary. It will form part of the documentation that will be considered at periodic review and will be a focal point of the University's annual monitoring exercise.

The report focuses on the:

- efficacy of programme regulations;

- consistency of subject assessment board recommendations;

- comparability of treatment where discretion is exercised or special circumstances taken into account; and

- conduct of the award and progression assessment boards.

Additionally, if you feel that there are any matters of serious concern arising from the process which may put the standard of the University's awards at risk, you should also report this to the Vice-Chancellor of the University.

Section 3: 17

In the interests of confidentiality staff and student names must not appear in the report.

Payment

Payment of your fee is authorised on receipt of an acceptable annual report and attendance at an award and progression board. Your fee is determined in relation to the total number of students on all the awards for which you are responsible and tax will be deducted.

The fee is calculated as follows:

Total number of students on all awards

Amount payable

1 - 500 £250 501 – 1000 £400

1000+ £550

Example

Awards for which you are responsible

Number of students on each award

BA English Literature 300BA Gothic Studies 150

BA History 250Total Number of students 700

FEE PAYABLE £400

You are required to attend at least one set of award and progression assessment boards in the academic year (normally in June for undergraduate programmes) and the fee schedule illustrated above includes remuneration for this. If you make additional visits, either to the University or its collaborative partners, then you will be paid at a rate of £100 per full day visit or £50 per half day visit. Claims for fees for additional visits should be made on the ‘External Examiners Additional Visits: Fees Proforma’, available on the web page of the Quality Unit, Academic Registry. Any such additional visits should be agreed at the start of the academic year with the appropriate faculty.

Claims for expenses should be submitted on the form “Payroll Staff Claim For Travel, Subsistence Allowances And Other Expenses” and accompany your report. This form is available to download from the web pages of the Quality Unit of the Academic Registry at http://academicregistry.glam.ac.uk/acpolicyandregs/#examiners

Quality assurance

Although your reports will provide a focus for annual monitoring and progress review, you will not be required to participate in a periodic review of the course or programme; this function is kept entirely separate.

Section 3: 18

Reviewing decisions

Situations may arise that require a review of a decision made by the award and progression assessment board and you may be asked to participate in this process, e.g. if a student queries decisions regarding reassessment, classification, awards etc.

Termination

You must inform the University in writing should you wish to terminate your appointment before the planned end of tenure.

The University reserves the right to terminate your appointment for: non-submission of acceptable report non-attendance at assessment boards without valid reason other reasons deemed appropriate by the Academic Registrar.

Section 3: 19

5. The EdExcel Examiner

Appointment

As an examiner for Edexcel awards and/or modules, you may be approved by the University as an award external examiner, a subject external examiner, or both. The University of Glamorgan is an Edexcel Licence Centre and, as a result, your duties are the same as set out throughout this handbook. There are, however, some slight differences that are detailed below:

▪ Upon your appointment as an Edexcel external examiner of awards and/or modules, if you are not already on the Edexcel Register, we will provide Edexcel with your details (brief CV and what you will be responsible for) so that they can add you to their Register.

▪ Edexcel run training days for external examiners and if you choose to attend any of their events, the cost of the training and your expenses will be met by Edexcel.

▪ Following submission of your annual report to the Academic Registrar, we will send a copy of the report to Edexcel for them to also review.

Section 3: 20

6. Your Questions Answered

What is the difference between a subject and an award examiner?

Subject examiners are appointed as subject specialists to ensure that module grades are properly determined by subject assessment boards. Award examiners ensure that decisions about progression, eligibility for awards, classification, compensation and reassessment are properly made by award and progression assessment boards, but are not necessarily subject experts.

What will be the duration of my role as external examiner?

Normally four calendar years.

Will I be asked to be an external examiner at a subject assessment board and an award and progression assessment board?

Only if you are appointed as both - otherwise no.

Who do I report to?

The Academic Registrar, annually. However, for matters of very serious concern, the Vice-Chancellor should be contacted.

Will I be involved in verifications and/or appeals?

Not formal appeals, but if a student requests a review of a decision taken by a subject or award and progression assessment board then you may be asked to participate. You can access the Verification and Appeals Procedure on our web page at: http://profile.glam.ac.uk/faculties/academicregistry/regs/

Will I be expected to approve all assignments and examinations prior to them being sat?

You have the right to see all assignments and examinations prior to them being sat. However, it is recommended that you discuss and agree with the faculty what you wish to be sent in order that you are not overburdened by the workload.

As a subject examiner will I be given all of the examination scripts and assignments for my modules?

This will not be imposed on you but you have a right to see everything if you wish. Alternatively you may choose to be more selective and sample scripts.

Section 3: 21

Do I have the right to alter students' grades?

Yes, if you are a subject examiner and dissatisfied with the standard of marking you discover. This should be discussed with the subject leader and the module leader. Award examiners do not get involved with moderation in any form.

Am I only able to alter grades for the examination scripts and assignments that I have seen?

No. If you are sampling scripts and find that the grades need to be adjusted this should be done for all students taking the module, to ensure equity. The only occasions when individual student’s marks may need to be adjusted is in case of arithmetic error or when the subject leader has asked for an opinion in relation to an individual project or dissertation.

Will I be expected to make decisions on mitigating circumstances?

No. Mitigating circumstances are approved, or otherwise, by a confidential panel during the academic session and decisions on validity cannot be changed in the board. See Section B of this Handbook, no. 2 – Mitigating circumstances.

Will I be expected to make decisions on academic misconduct cases?

No. Academic misconduct cases are considered in the first instance by a panel in the faculty and an appropriate penalty imposed. If no decision can be reached, the case is referred to the University Academic Infringements Committee. See Section B of this Handbook, no. 3 – Academic misconduct.

How will I find out about the modules, subjects, awards, assessment, teaching methods, regulations etc?

The faculty will brief you about these as soon as possible after appointment, and you will be encouraged to visit the University to meet staff and possibly students. This briefing will not only give you further information about the subject or award, but it will also give you a chance to discuss your appointment.

You will also be invited to an external examiner training event at the University, which normally takes place in March each year and will cover the above matters.

I would like to know the membership of the subject and award and progression boards – how can I find this out?

You are welcome to have the names attached to membership of subject and award and progression assessment boards – please contact the Quality Manager in the faculty where you are based, who will be happy to provide you with the details.

Section 3: 22

How often will I have to attend?

If you are a subject external examiner you must attend at least one subject board (normally in June for undergraduate programmes) during each academic session you are in tenure.

If you are an award external examiner you must attend at least one set of award and progression assessment boards each academic session (usually the first sitting boards). Depending on the number of awards for which you are responsible, you may attend one award and progression assessment board which covers all your awards or you may have to attend more than one.

External examiners should endorse the outcomes of each board on its completion if satisfied.

When should I submit my report?

Within four weeks of your attendance at the assessment board.

Note that if you have been appointed as both a subject external examiner and an award external examiner then you must submit both a subject external examiner’s report and an award external examiner’s report since the content of the reports will be substantially different and reflect the two distinct roles.

When can I expect to receive my fees?

Fees are paid after the Academic Registrar has received your annual report and confirmation of attendance of a board.

Who do I contact if I have any queries?The central Quality Unit based in Academic Registry deals with your appointment, training sessions, receipt of your report and payment of your fee. Academic Registry also set the timescale for the assessment boards. Each faculty also has a Quality Office and they will be able to advise who to contact if you have queries over receipt of assessments to approve, receipt of scripts, exact dates of assessment boards, etc. If you are unsure then contact the central Quality Unit in the first instance.

Section 3: 23

Section B

Regulations

The assessment process

1. Coursework submission dates and examination timetables

When students start a module, they are given a timetable for the submission of coursework. Students are asked to make a note of the dates as late work is penalised unless they have a good reason, which has been accepted by the mitigating circumstances panel – see section 2. If students fail without good cause to submit their coursework, they will be allowed a further five working days to submit the work but this work will be awarded a maximum mark of 40%. If students fail without good cause to submit work within five days of the submission date, they will be deemed to have failed the assessments concerned and receive 0%

The main examination weeks are identified in the University Calendar. It is the student’s responsibility to check the dates and times of examinations. If they do not have a good reason for non-attendance at an examination, which has been accepted by the mitigating circumstances committee - see section 2 below, they receive a mark of 0%.

2. Mitigating circumstances

A student can make a claim for mitigating circumstances if they think that their performance in an element of assessment has been affected by circumstances beyond their control, or they are unable to submit an assessment/attend an examination due to circumstances beyond their control.

All claims are considered by a mitigating circumstances panel. The panel makes decisions independently and recommends appropriate action to the award and progression assessment board(s) and/or subject assessment board(s).

If a student’s mitigating circumstances are accepted, they will have the right to be assessed in each case as if for the first time. If they take up this opportunity and have already achieved a grade, they forfeit this grade and the new grade will stand even if it is lower than the grade originally achieved.

Section 3: 24

3. Academic misconduct

Academic misconduct is when a student tries to gain an unfair advantage over other students; this includes all forms of cheating and plagiarism as detailed in the Academic Handbook. Students are warned that plagiarism is presenting someone else’s work as if it were their own, whether or not they mean to, and that all work submitted for an assessment must be their own with source material appropriately referenced.73 Students are advised to seek further guidance from their faculty’s advice shop or the Education Drop-in Centres.74

If an allegation of academic misconduct is made, it is initially dealt with in the faculty. If it is not resolved at this level a meeting of the University’s Assessment Infringements Committee will take place. The Committee will make a decision on whether the offence has occurred as presented and set a penalty.75 Students may appeal against the decision of this Committee using the University’s procedures.76

4. Feedback on coursework

University policy states that any assignment presented on time will normally be returned within 20 working days, with an appropriate grade and comment from the student’s tutor. Students are advised to speak to the Head of Learning and Teaching in their faculty if this does not happen, or to their course leader if they are collaborative partner students. Alternative arrangements are made for dealing with dissertations.

5. Recording performance

5.1 Undergraduate Degree and Foundation Degree Students

The undergraduate mark scale is used for recording students’ performance in assessments:

Code Grade (%)

Description Honours degree equivalent

70-100 Pass First60-69 Pass Upper Second50-59 Pass Lower second40-49 Pass Third

F1 30-39 A narrow failure; compensatable

Fail

73 See: http://lcss.glam.ac.uk/lrc/guides/citing/74 See: Academic Handbook, Volume 1, Section B5.75 For guidelines of penalties see: Academic Handbook, Volume 2, Section 1.5.76 See: Academic Handbook, Volume 1, Section B3.

Section 3: 25

F2 <30 A clear failure; not compensatable*

Fail

*see Section 9

5.2 HND and HNC Students

The Edexcel mark scale is used for recording students’ performance in assessments:

Edexcel mark scaleUniversity Grade (%)

HND/C Grade

Criteria Outcome

70-100 D Distinction Pass

60-69 M Merit Pass

40-59 P Pass Pass

30-39 F1 A narrow failure; compensatable

Fail

<30 F2 A clear failure; not compensatable*

Fail

*see Section 9

5.3 Postgraduate Students

The postgraduate mark scale is used for recording students’ performance in assessments:

Postgraduate mark scaleGrade (%) Description Outcome

70-100 Distinction Pass

60-69 Merit Pass40-59 Pass Pass30-39 A narrow failure;

compensatableFail

<30 A clear failure;not compensatable

Fail

Section 3: 26

6. Management of the assessment process

The assessment process is managed through the University’s structure, as follows:

6.1 Subject Assessment Boards

Each subject holds a subject assessment board to agree the module grades of individual students for all modules in that subject. Once the grades have been agreed they are passed to the appropriate award and progression assessment board.

6.2 Award and Progression Assessment Boards

Award and progression assessment boards are held to consider students’ overall profiles and to determine progression, award and classification.

Following the award and progression assessment board, students are notified of their progression status (for non-final year students) or their award/classification (for final year students). They receive transcripts of performance and a certificate (if appropriate) upon graduation (as detailed in Section 5 - ‘Recording performance’).

7. Progressing from level to level

7.1 Undergraduate Degree and Foundation Degree Students

An undergraduate degree student must normally accumulate 120 credits (usually 6 modules) at each level to progress to the next level. The award and progression assessment board may allow a student to progress with 100 credits but this is not an automatic right (see also Section 9 ‘Failure: compensation, retrieval and referral’).

7.2 HND and HNC Students

HND students must normally accumulate 120 credits (usually 6 modules) at each level to progress to the next level. The award and progression assessment board may allow a student to progress with 100 credits but this is not an automatic right (see also Section 9 ‘Failure: compensation, retrieval and referral’).

HNC students must normally accumulate 80 credits (usually 4 modules) at each level. The award and progression assessment board may allow a student to progress with 60 credits but this is not an automatic right (see also Section 9 ‘Failure: compensation, retrieval and referral’).

7.3 Postgraduate Students

Part-time students of postgraduate courses may be allowed to progress at the PgCert or PgDip stages of a Masters or other postgraduate award with 40 credits. This is at the discretion of the award and progression assessment board and is not an automatic right.

Section 3: 27

8. Classification of awards

8.1 Undergraduate Degree Students

The University’s undergraduate classification regulations have recently been reviewed. The current (2011/2012) are as follows:

8.2 The classification of honours degrees for students graduating in 2011/12 (or prior to 2011/12)

8.2.1 Second year (Level 5) classification

Two grades (forty credits) are carried forward from the student’s second year (Level 5) performance to their final year assessment.

At the award and progression assessment board, the overall grades for the second year will be calculated as a mean of the best 100 credits achieved. So, if a student achieves an average of, say, 67.40% they will take two grades of 67.40% into their final year.

8.2.2 Final year (Level 6) classification where a second year classification exists

The student’s final year profile now normally comprises eight grades (six from their final year and the two from the second year). The lowest grade is dropped (but all modules must be passed).

The final classification profile comprises 140 credits.

For students taking 120 credits at Level 6 (Honours): It is derived by taking the 120 Level 6 (Honours) credits plus the 40 credits brought

forward from Level 5 (Intermediate) and removing the lowest graded 20 credits from the total 160 credits.

For students taking 100 credits at Level 6 (Honours): It is derived from the 100 Level 6 (Honours) grades together with the 40 credits

brought forward from Level 5 (Intermediate).

The student’s classification is then worked out using one of the following methods.Final year classification: method 1

Mean % over 140 credits Classification70-100% First Class Honours Degree60-69.99% Upper Second Class Honours Degree50-59.99% Lower Second Class Honours Degree40-49.99% Third Class Honours Degree

Section 3: 28

Final year classification: method 2Class Profile

First Either: at least 80 credits graded at 70% or above at least 20 of the remaining 60 credits graded at 60-

69.99%And

a mean of at least 68.0% or: at least 60 credits graded at 70% or above at least 60 of the remaining 80 credits graded at 60-

69.99%And

a mean of at least 68.0%Upper second

Either: at least 80 credits graded at 60% or above at least 20 of the remaining 60 credits graded at 50-

59.99%And

a mean of at least 58.0%or: at least 60 credits graded at 60% or above of which at

least 20 credits must be graded at 70% or above at least 60 of the remaining 80 credits graded at 50-

59.99%And

a mean of at least 58.0%Lower second

Either: at least 80 credits graded at 50% or above at least 20 of the remaining 60 credits graded at 40-

49.99%And

a mean of at least 48.0%or: at least 60 credits graded at 50% or above of which at

least 20 credits must be graded at 60% or above at least 60 of the remaining 80 credits graded at 40-

49.99%And

a mean of at least 48.0%Third at least 140 credits graded at 40% or above of which

20 credits may be at PC

Section 3: 29

This is summarised below in tabular form:

70% and above 60-69.99% 50-59.99%

40-49.99% or PC

Minimum %

1st 80 20 40 681st 60 60 20 682(i) 80 20 40 582(i) 20 40 60 20 582(ii) 80 60 482(ii) 20 40 80 48

3 140In exceptional circumstances that fall outside the agreed procedures (e.g. accuracy and methodology of classification, mitigating circumstances) the board may exercise discretion

8.2.3 Final year (Level 6) classification where a second year classification does not exist

Some students, for example those entering the University at the final degree stage or those entering the final degree stage by ‘topping up’ from HNDs or Foundation degrees awarded by the University of Glamorgan, cannot be given an overall Level 5 (Intermediate) grade. The classification for these students is based on the 120 credits studied at Level 6 (Honours), as follows:

Final year classification: method 1Mean % over 120 credits Classification70-100% First Class Honours Degree60-69.99% Upper Second Class Honours Degree50-59.99% Lower Second Class Honours Degree40-49.99% Third Class Honours Degree

Section 3: 30

Final year classification: method 2Class ProfileFirst Either:

at least 80 credits graded at 70% or above at least 20 of the remaining 40 credits

graded at 60-69.99%And a mean of at least 68.0% or: at least 60 credits graded at 70% or above at least 40 of the remaining 60 credits graded at 60-69.99%And a mean of at least 68.0%

Upper second Either: at least 80 credits graded at 60% or above at least 20 of the remaining 40 credits graded at 50-59.99%And a mean of at least 58.0% or: at least 60 credits graded at 60% or above

of which at least 20 credits must be graded at 70% or above

at least 40 of the remaining 60 credits graded at 50-59.99%

And a mean of at least 58.0%

Lower second Either: at least 80 credits graded at 50% or above at least 20 of the remaining 40 credits graded at 40-49.99%And a mean of at least 48.0% or: at least 60 credits graded at 50% or above

of which at least 20 credits must be graded at 60% or above

at least 40 of the remaining 60 credits graded at 40-49.99%

And a mean of at least 48.0%

Third at least 120 credits graded at 40% or above of which 20 credits may be at PC

Section 3: 31

This is summarised below in tabular form:

70% and above 60-69.99% 50-59.99%

40-49.99% or PC

Minimum %

1st 80 20 20 681st 60 40 20 682(i) 80 20 20 582(i) 20 40 40 20 582(ii) 80 40 482(ii) 20 40 60 48

3 120In exceptional circumstances that fall outside the agreed procedures (e.g. accuracy and methodology of classification, mitigating circumstances) the board may exercise discretion

8.3 The classification of honours degrees for students graduating in 2012/201377 or

thereafter

[a] Students on undergraduate degree programmes are given an honours classification at the end of the period in which they attain the minimum credit required for an honours degree, i.e., 360 credits of which at least 100 must be at Level 6 (Honours) or above, 120 at Level 5 (Intermediate) or above, 120 at Level 4 (Certificate) or above and no more than 20 at Level 3 (Access).

[b] The Level 5 (Intermediate) grades are usually determined at the end of the period in which students attain the minimum credit for completion of the Diploma in Higher Education, i.e., 240 credits of which at least 100 must be at Level 5 (Intermediate) or above, 120 at Level 4 (Certificate) or above and no more than 20 at Level 3 (Access).

[c] The classification is calculated as follows:

Method 1

Calculate the average of the marks from the best 60 credits at level 5 and the 120 credits at level 6.

Method 2Calculate the average of the marks from the 120 level 6 credits.

The student receives the better of the two averages above and is awarded a classification based on the table below.

77 *Students who have already completed some or all level 5 modules prior to 2011/12 can request to have their classification calculated under current and new regulations and will be given the higher of the two *Students who have completed some level 6 modules prior to 2011/12 and students who are undertaking a sandwich year in 2011/12, will have their classification calculated under current and new regulations and be given the higher of the two.

Section 3: 32

Mean % Classification69.5 - 100% First Class Honours Degree59.5 - 69.49% Upper Second Class Honours Degree49.5 - 59.49% Lower Second Class Honours Degree39.5 -49.49% Third Class Honours Degree

[d] Students entering the University at the final degree stage or those entering the final degree stage by ‘topping up’ from HNDs or Foundation degrees awarded by the University of Glamorgan will be classified using Method 2 only

[e] Students who have passed 360 credits with 100 at level 6 will have a classification calculated as follows:

The average of all level 5 modules (whether 100, 120 or 140 credits) will be calculated and this mark will count as 20 credits at level 6. The classification will then be calculated as in [c] above.

[f] Students who have passed 360 credits with 140 at level 6 will have a classification calculated as follows:

The average over all 140 level 6 credits will be calculated and this average will be weighted as 120 credits. The classification will then be calculated as in [c] above.

8.4 Postgraduate Students

Postgraduate students will receive a merit if the majority of credits comprising their award are graded at ‘M’ (60%) or above on the postgraduate scale. Students will receive a distinction if the majority of credits comprising the award are graded at ‘D’ (70%) or above on the postgraduate scale. Otherwise students achieving the award will receive a pass.

9. Failure: compensation, retrieval and referral

9.1 Compensation

Core modules cannot be compensated. For other modules if a student obtains an F1 grade (a narrow failure) but does well in their other modules then the award and progression assessment board may compensate them for partial failure. This is at the discretion of the assessment board and is not an automatic right.

Undergraduate degree and Foundation degree students can only be compensated for 20 credits at each level of their award. If a student is full-time, for compensation of 20 F1 credits to be considered, a student must normally have passed the remaining 100 credits at that level. If an undergraduate degree student is part-time, for such compensation to be considered they must have passed 40 credits within a level; no further compensation will be allowed within that level.

Section 3: 33

At level 4 only, students can be compensated 20 F2 credits graded between 20% and 29%. A full-time student must normally have passed the remaining 100 credits at that level and have achieved an average mark of 50% or more in these 100 credits. A part-time student must normally have passed 40 credits at that level and have achieved an average mark of 50% or more in these 40 credits. No further compensation will be allowed within that level.

HND students can only be compensated for 20 credits at each level of their award. To compensate 20 F1 credits they must normally have passed the remaining 100 credits at that level.

HNC students can only be compensated for 20 credits across the whole award. To compensate 20 F1 credits, they must normally have passed the remaining 100 credits at that level.

Postgraduate students can only be compensated for 20 F1 credits overall on a taught postgraduate programme. To do so, 40 credits must be passed at 50% or above (see Academic handbook B.2.8.5).There is no compensation for a Master’s degree dissertation.

Students still have the right to referral if they so choose, as accepting compensation may affect their overall classification. Students are contacted if this applies to them.

9.2 Retrieval and Referral

If a student obtains an F2 grade or an F1 grade that cannot be compensated as above, they can retrieve the failure through reassessment; this is defined as a ‘referral’. Referral examinations normally take place in the summer vacation; deadlines for submission of referral coursework will be communicated to students by their faculty.

Students who have failed to undertake any assessments for a module (0 F2) will not be offered a referral in that module (though faculties may apply discretion where modules have only one element of assessment, for example, dissertations). Otherwise, students have the right to a referral in up to and including 50% of the credits taken. This right is for one referral for each failed element of assessment only. The highest mark a student can obtain in a referred module is 40%.

If a student fails a referred assessment, they may be permitted to repeat a module, once only, unless there are exceptional circumstances, at the discretion of the award and progression assessment board. They may be allowed to progress carrying the failed module, or they may have to remain on the same level to repeat the failed credits. Students have to pay a fee to repeat a module. With the agreement of the award and progression assessment board, a student may substitute another module in place of one failed, provided that the requirements of the award are maintained - for example, they will not be allowed to do this where the module failed is core to the award. The award and progression assessment board confirms appropriate substitute modules.

Section 3: 34

Verifications, Appeals and Complaints

10. Verification and Appeals process

There shall be no automatic right to verification of a decision of an assessment board. A candidate is entitled to ask for verification of the decision of the award and progression assessment board on one or more of the following:

[a] That the student considers that there was a computational or administrative error in the assessment results;

[b] That the student considers that the assessments were not conducted in accordance with the approved regulations for the programme of study;

[c] That the assessment board failed to take into account approved extenuating circumstances reported by the student prior to the board which he/she believes might have adversely affected their performance, or there were extenuating circumstances of which the student had good reason for failing to make the board aware in advance of the meeting.*

*NB: In verifications and appeals based on these grounds, the student must show good reason why such personal circumstances were not made known to the Assessment Board before its meeting. Where a candidate could have reported extenuating circumstances to the Assessment Board prior to its meeting, those circumstances cannot subsequently be cited as grounds for verification and appeal.

Appeals will only be considered once the verification stage has been completed and where they are based on the following:

defects or irregularities in the conduct of the examinations or in written instructions or in advice relating thereto, where there is a prima facie case that such defects, irregularities or advice could have had an adverse effect on the candidate's performance and the verification process has not revealed these defects or irregularities;

11. Complaints process

Students can complain if they have concerns on any aspect of their experience at the University, including:

relationships with the administration or supporting services (e.g. accommodation, catering etc); and/or

discrimination, malpractice or impropriety in the conduct or management of the University.

Section 3: 35

Students can also complain if they have specific concerns about the provision of academic programmes, including the management of the academic appeals process, however, students are advised to raise these concerns when the issue first emerges as this cannot be retrospectively used as grounds for appeal against the decision of an assessment board.

Section 3: 36

Glossary of terms

Verification of a decision of an assessment board A student may submit a request for verification of a decision of an assessment board where they feel a board has not received information pertaining to their results or has not been conducted according to the regulations.

Academic MisconductAcademic misconduct is when a student tries to gain an unfair advantage over other students; includes all forms of cheating and plagiarism.

Assessment Infringements CommitteeThe Assessment Infringements Committee is a University committee whose remit is to consider allegations of academic offences committed by students inside or outside examinations and to ensure that a student accused of an academic offence is given a full and fair hearing.

AwardA University of Glamorgan qualification received by the student.

Course LeaderA course leader is the manager of a course.

Award and Progression Assessment BoardAward and progression assessment boards exist for every programme of study leading to an academic award of the University, in order to determine students’ progression and completion of their awards.

CompensationA student’s overall performance may allow an assessment board to compensate for partial failure. In exercising their discretion, boards will be mindful of the grounds for allowing it, the rest of the student’s profile, and the normal compensation regulations. Compensation will be recorded as PC (Pass by Compensation)

Core ModuleA core module is a module that was approved at validation as being essential for students to pass in order to achieve the award. A core module cannot be compensated.

CourseA course is a pattern of modules leading to a University of Glamorgan qualification.

CreditCredit is a unit of academic ‘currency’ based on notional learning hours.

FacultyA faculty is a group of similar or subject-related teaching sections of the University, which is further divided into departments or divisions and subjects for management and administrative purposes. Each faculty is headed by a Dean.

Section 3: 37

Mitigating Circumstances CommitteeMitigating circumstances committees consider any personal circumstances which may adversely affect the performance/success of a student in an assessment.

PlagiarismPlagiarism is when a student presents someone else’s work as if it were their own, whether or not it is intentionally done.

Subject A subject is a collection of cognate modules located in and organised by one faculty.

Subject Assessment BoardSubject assessment boards ratify marks of student assessment; decide candidates’ grades for modules and ensure grades and recommendations are recorded accurately on University systems; relay these grades to the appropriate award and progression assessment board; record decisions and proceedings of the board including those cases of mitigating circumstances eligible to be considered by the board; receive reports of disability and dyslexia relating to any candidate.

LevelA level is an indicator of the relative demand, complexity, depth of study and autonomy of learning. A typical first degree has three levels, Level 4 (Certificate level), Level 5 (Intermediate level), Level 6 (Honours level). Refer to section B1 The Framework for Academic Awards.

ModuleA module is a credit rated unit of work, with specific learning outcomes, syllabus and assessment scheme (modules belong to subjects).

ProgrammesProgrammes are collections of cognate courses which are grouped together for management purposes only.

Student CharterThe Student Charter details the University’s commitments to our students and students’ commitments to us and other members of the University community. It sets out what the University considers to be best practice and the standard of service which the University will strive to achieve.

Section 3: 38

Contact List: Sources of help and advice

The colleagues named in this appendix are generally the Secretaries and administrative support of the policy-making committees of the University. You are also encouraged to seek advice directly from other officers, or members, of the committees as they will have up-to-date knowledge of policies and procedures. Details of their terms of reference and membership are available in the University’s Calendar. A copy is downloadable from http://profile.glam.ac.uk/faculties/academicregistry/regs/.

For help and guidance on: Contact detailsAcademic Handbook updates

Stephanie Williams: Ext 2017, e-mail swilli11@glam.ac.uk

Verification and appeals against assessment decisions

Samantha Green: Ext 4225, e-mail sjgreen@glam.ac.uk

Edexcel ▪ management, programme registrations

Anthony Clements: Ext 2007, e-mail aclemen1@glam.ac.uk

Examination Procedures and timetables

Andrea Davies: Ext 4511, email adavies6@glam.ac.uk

External examiners: ▪ appointments ▪ payments

e-mail extexam@glam.ac.uk

Quality assurance procedures and policy (taught awards)

Hayley Burns: Ext 2725, e-mail hburns@glam.ac.uk

Regulations: ▪ higher academic awards Louise Bright: Ext 2011, e-mail lbright@glam.ac.uk▪ taught awards Samantha Green: e-mail sjgreen@glam.ac.uk▪ research awards Elaine Huntley, Ext 4484, email ehuntley@glam.ac.uk

Section 3: 39

Section 3: 40

Section 3.2: Appointment of External Examiners

1 Nomination of a Subject/Award External Examiner (Exam1 Form)

2 Application to propose amendments to existing Subject/Award External Examiner Appointments (Exam2 Form)

Section 3: 41

Section 3: 42

Form Exam1Revised May 2012

Nomination of a Subject/Award External Examiner

This form should be used to propose new appointments only. Use Form Exam2 to propose all other changes. This form should be typed and completed in full before being submitted by e-mail to extexam@glam.ac.uk.

Name of Examiner: _________________________________________________

Award Group (e.g. all undergraduate degree awards): ____________________________(Please attach complete list of awards in 3.1)

Subject Area and Two letter prefix: ______________________________________(Please attach a complete list of modules in 4.3)

Submitted by: _____________________________________________________

Faculty: ________________________________

Date of Submission______________

University Authorisation

This nomination has been recommended, after circulation to the members of the Regulations and Examiners Sub-Group members, and is hereby approved.

Signed_____________________________________ Date_________________Chairperson, Regulations and Examiners Sub-Group (on behalf of Academic Board)

Subject to the following condition(s)_______________________________________

Section 3: 43

Nomination of a Subject/Award External Examiner

PART 1: DETAILS OF PROPOSAL

1.1 Type of examiner ( one box only)Award Examiner Complete parts 1,2,3

Subject Examiner Complete parts 1,2,4Award & Subject Examiner Complete parts 1,2,3,4

1.2 Edexcel registration

Will the proposed examiner be examining BTEC awards?If yes, is he/she on the Edexcel register of External Examiners?78

If yes, please specify the BTEC programme number(s): ______________________

NB this section only requires completion if the award is a non institutional award offered by Edexcel

1.3 Proposed period of tenure (Examiners will normally associated with four outputs)

From dd/mm/yyyy to dd/mm/yyyy

If proposed period of tenure is not four outputs please specify reasoning:

1.4 Examiner to be replaced (if applicable)

Name

Appointed from dd/mm/yyyy to dd/mm/yyyy

Place of work

1.5 Check for conflict of interest

Has a check been carried out to establish that no member of faculty staff in the same or related subject area has current external examining duties at the institution of the proposed external examiner or has any relationship with the proposed examiner that may affect approval?  

Yes No

78 If no, a full CV must be attached to this submission for forwarding to Edexcel. The CV must include personal details, date of birth, professional qualifications, TDLB assessor/verification certification, employment history, BTEC experience and two referees.

Section 3: 44

PART 2: DETAILS OF PROPOSED EXAMINER

2.1 Name of proposed examiner

Title

Surname

Forename(s)

Nationality

2.2 Current employment (Indicate if unemployed or retired, and please give details of most recent post, with dates)

PositionPlace of workWork addressTelephone numberE-mail address

Home addressTelephone numberE-mail address

Please indicate preferred address for correspondence

______________________

2.3 Academic and professional qualifications

Institution attended Qualification gained Subject Date awarded

2.4 Membership of professional associations

Professional body Status of membership Date(s)

2.5 Research and related scholarly/professional activity/consultancy (Indicate main activities with particular reference to last five years and list major publications (books, articles in referred academic or professional journals), with dates)

Section 3: 45

2.6 Teaching experience (Main areas of teaching responsibilities, if any, over last five years)

2.7 Experience as internal examinerThis section is mandatory and should include evidence of teaching, marking, assessment, and moderation undertaken.

Number held

Institution Subject/course level and titles

Period of appointmentFrom To

123

2.8 Current external examiner appointments for other universities

Number held

Institution Subject/course level and titles

Period of appointmentFrom To

123

2.9 Recent relevant experience as an external examiner (excluding that in 2.8)

Number held

Institution Subject/course level and titles

Period of appointmentFrom To

123

2.10 Other relevant experience (Involvement in programme reviews, validation, committee membership at institutions other than the University of Glamorgan)

2.11 Association with University of Glamorgan and its Staff(Give details of any current, previous or planned association with the University or partner colleges/institutions and staff. Please specify exact nature of the association, with dates, e.g. involved with research activities, family member, etc)

Section 3: 46

PART 3: DETAILS OF AWARD(S)

3.1 Award(s)

Quercus Course code (if known)

Approved award title

Exit points Location(s) No. of students expected

* Please include University of Glamorgan as a location if the award is delivered on campus

3.2 Other examiners (Where more than one examiner is appointed to the award, give the name(s) and place of work of the other examiners)

Name Institution

3.3 Reasons for appointing more than one examiner (Explain the rationale for the decision to appoint more than one external examiner to the award)

Section 3: 47

PART 4: DETAILS OF SUBJECT(S)

4.1 Subject Area and Subject Code(s) (2-letter prefix)(E.g. MA, MS for Maths modules)

4.2 Locations (List all locations where the subject will be offered)

4.3 Modules/numbers (List the modules the examiner will be responsible for along with expected student numbers. The number of modules allocated to the subject external examiner should not result in an unmanageable workload.)

Module code Module title Credits Location(s) Expected student numbers

* Please include University of Glamorgan as a location if the modules are delivered on campus

4.4 Other examiners (Where more than one examiner is appointed to the subject, give the name(s) and place of work of the other examiner(s). Clearly indicate the division of responsibility between the examiners and identify any which are not yet approved. Attach a list of modules for which each proposed examiner is to be responsible.)

Section 3: 48

Form Exam2Revised May 2012

Application to propose amendments to existing Subject/Award External Examiner Appointments

This form should be used to propose any changes to existing subject/award external examiners’ appointments. Use Form Exam1 to propose a new subject or award external examiner. The form should be typed and completed in full before being submitted by e-mail to extexam@glam.ac.uk.

Name of Examiner: ________________________________________________

Award Group: _____________________________________________________

Subject Area: _____________________________________________________

Submitted by: _____________________________________________________

Faculty:_____________________________Date of Submission_____________

University Authorisation

This amendment has been recommended, after circulation to the members of the Regulations and Examiners Sub-Group, and is hereby approved.

Signed_____________________________________ Date_________________Chairperson, Regulations and Examiners Sub-Group (on behalf of Academic Board)

Subject to the following condition(s) _______________________________________

Section 3: 49

Amendments to current Subject /Award External Examiner duties

PART 1: CURRENT DETAILS

1.6 Nature of proposal ( boxes as appropriate)

Extension of appointmentReallocation of dutiesChange of location of study of modules/ awardsChange of personal detailsResignation

1.7 Currently approved period of tenure

From: dd/mm/yyyy to dd/mm/yyyy

1.8 Currently approved duties

(Specify awards – attach separate sheet if necessary.

Quercus Course code (if known)

Approved award title

Exit points Location(s) No. of students expected

(Specify subjects – attach separate sheet if necessary. The number of modules allocated to the subject external examiner should not result in an unmanageable workload)

Module code Module title Credits Location(s) No of students

Section 3: 50

1.9 Current personal details

NamePositionPlace of workWork addressTelephone numberE-mail address

Home addressTelephone numberE-mail address

Preferred address for correspondence: ______________

Section 3: 51

PART 2: EXTENSION OF APPOINTMENT

2.12 Proposed period of extension

From: dd/mm/yyyy to: dd/mm/yyyy

2.13 Reasons for proposal (Specify reasons for extension of appointment)

Section 3: 52

PART 3: REALLOCATION OF DUTIES

3.1 Proposed Addition of Modules / Awards or location of study (Give details of all proposed changes in responsibilities, including full award, subject etc)

Quercus Course code (if known)

Approved award title

Exit points Location(s) No. of students expected

* Please include University of Glamorgan as a location if the award is delivered on campus

Module code Module title Credits Location(s) No of students

* Please include University of Glamorgan as a location if the modules are delivered on campus

Section 3: 53

3.2 Proposed Deletion of Modules / Awards or location of study

Quercus Course code (if known)

Approved award title

Exit points Location(s) No. of students expected

* Please include University of Glamorgan as a location if the award is delivered on campus

Module code Module title Credits Location(s) No of students

* Please include University of Glamorgan as a location if the modules are delivered on campus

3.3 Reasons for proposal (Specify reasons for reallocation of duties)

3.4 Proposed Date of Reallocation

3.5 Re-assignment of Duties(If the above affects the duties of another External Examiner please provide details.)

Section 3: 54

PART 4: Amendments to Personal Details

NamePositionPlace of workWork addressTelephone numberE-mail address

Home addressTelephone numberE-mail address

Preferred address for correspondence: ______________

Section 3: 55

PART 5: RESIGNATION

5.1 Date of resignation: dd/mm/yyyy

5.2 Reasons for resignation (Specify reasons for resignation)

Section 3: 56

Section 3.3: External Examiner Annual Report Templates

1 Annual Report for Subject External Examiners2 Annual Report for Award External Examiners

Section 3: 57

Section 3: 58

UNIVERSITY OF GLAMORGAN PRIFYSGOL MORGANNWG

ANNUAL REPORT – SUBJECT EXTERNAL EXAMINER

External examiners’ reports are an important part of the University’s quality assurance and enhancement systems. Upon receipt, they are scrutinised by the Quality Unit, Academic Registry before being circulated to the Dean of Faculty and Faculty Quality Unit. In the case of collaborative areas the reports are also circulated to the Principal of each (partner) institution. If the Quality Unit, Academic Registry identifies any matters of particular concern, or requiring immediate attention, an urgent response will be requested from the faculty and/or partner institution. Similarly it would be most helpful if you could identify any matters which you believe are particularly urgent or important. The faculty and/or partner institution will provide a formal response to you within eight weeks of receiving your report.

You may write directly to the Vice-Chancellor at any time if you believe that our procedures are not working properly to ensure the standard of our awards or justice to students.

1. Each external examiner for the University of Glamorgan is required to make an annual written report to the Academic Registrar of the University. Please ensure that sections E to G are completed. You are asked to complete and return this report within four weeks of the subject Assessment Board taking place (unless otherwise agreed with the Academic Registrar). It should be emailed to extexam@glam.ac.uk

2. Payment of fees and expenses will be authorised as soon as the report has been received by the Academic Registrar.

3. In the interests of confidentiality staff and student names must not appear in this report.Thank you for completing this form, and for undertaking external examining duties for the University.

ACADEMIC YEAR: 2011/2012 NAME: SUBJECT:

Section 3: 59

Please respond to the following questions by checking the answers as appropriate (Click on the box you wish to check and the box will automatically be checked). If you answer No, you should add your comments to the general report in Section E

SECTION A External Examiner Duties (hyperlinks to External Examiners Handbook)

A1 - Were you adequately informed of your duties and rights as an external examiner? Yes No

A2 - Were you adequately informed of any changes to current regulations (normally communicated through the Subject Assessment Board agenda)?

Yes No

A3 - Is this is your first year as subject external examiner? If yes please see question A4, if no please proceed to question A5

Yes No

A4 – Are you content that the previous external examiner’s concerns were addressed?NOTE: For existing awards, the previous external examiner’s report and faculty response were sent out with your appointment letter

Yes No Not Applicable

Go to SECTION B

A5 - Have you received a response to your previous report? Yes No Not Applicable

A6 – If applicable, have the issues you raised been addressed? Yes No Not Applicable

Section 3: 60

SECTION B Assessment Process and Assessment Board

B1 - Did you agree with the Chairperson of the Subject Assessment Board or the Subject Leader, as appropriate, what information you required on the modules for which you are responsible?

Yes No

B2 - Did you agree with the Faculty/or appropriate representatives which assessments and examinations (if applicable) you were to approve? Yes No

If you have answered ‘No’ to the above question, please provide details in E6.

B3 - Did you receive all of the assessments and examinations (if applicable) to approve, as agreed in B2? Yes No

B4 - Were your comments on these addressed? Yes No

B5 - Were the methods of assessment well balanced and fair? Yes No

B6 - Did the methods of assessment relate to the learning outcomes of the modules? Yes No

B7 - Did you see an appropriate sample and range of scripts and other assessed work to be able to determine whether the standards for the module were appropriate?

Yes No

B8 - Did you attend at least one meeting of the Subject Assessment Board?If yes please see B9 and B10. If no please proceed to B11

Yes No

B9 - Was the Subject Assessment Board conducted properly and in accordance with University regulations and were students treated equitably? Yes No

B10 - Were you satisfied with the extent to which you were able to participate as a member of the Subject Assessment Board? Yes No

Go to SECTION C

B11 – Please inform us why you were unable to attend the board

SECTION C Academic Standards

C1 - Were you satisfied with the standard of marking applied by the internal examiners? Yes No

C2 - Were you satisfied with the consistency of marking applied by the internal examiners? Yes No

C3 - Did you see appropriate and sufficient evidence of moderation when sampling scripts? Yes No

C4 - Were the standards of student attainment consistent with QAA benchmarks? Yes No Not Applicable

C5 - Did the students' work exhibit a satisfactory level of up to date scholarship for the level of study? Yes No Not Applicable

C6 - Were academic standards maintained during the application of reasonable adjustments offered to disabled/dyslexic students? Yes No Not Applicable

C7 - Were the overall standards achieved comparable with previous years? Yes No Not Applicable

SECTION D Collaborative Activity / Work-Based Learning

If the modules or subject for which you are responsible are delivered in full or in part at locations other than the University, please complete this section. Otherwise, go to Section E.

D1 - Were you given the opportunity to consider students’ material from other centres including those undertaking work-based or placement learning?

Yes No Not Applicable

D2 - Were you satisfied with the standard of marking applied by collaborative centre staff? Yes No

D3 - Were you satisfied with the consistency of marking applied by collaborative centre staff? Yes No

D4 - Did you see appropriate and sufficient evidence of moderation when sampling scripts from collaborative centres? Yes No

D5 - Were you satisfied that the standards achieved by students at collaborative centres were comparable with students at the University? Yes No Not Applicable

D6 - Were you satisfied with the standards achieved by students undertaking work-based or placement learning? Yes No Not Applicable

When completing the remainder of this form (Sections E – G), please could you explicitly identify the locations of study to which your comments refer.

Faculty response to SECTIONS A – D

SECTION(E.G. A1)

FACULTY RESPONSE –INCLUDING ANY ACTION TO BE TAKEN, BY WHEN AND THE PERSON RESPONSIBLE

SECTION E General Report

In compiling your report you are asked to include specific comments using the headings provided.You may add any general observations that you deem appropriate; constructive suggestions for future action are particularly welcomed.Please do not feel constrained by the space provided, you may of course add to any section.

External examiner’s comment Faculty response –Including any action to be taken, by when and the person responsible

E1 The strengths and weaknesses of the student cohort

E2 The quality of knowledge and skills (both general and subject specific)

E3 The evidence of student exposure to current research and scholarship, appropriate to their level of study

SECTION E General Report (continued)

External examiner’s comment Faculty response –Including any action to be taken, by when and the person responsible

E4 The structure, design, organisation and marking of all assessments

E5 Any other issues as specifically requested by any relevant professional body, or any other general comments

SECTION F Good Practice/Enhancement

External examiner’s comment Faculty response –Including any action to be taken by when and the person responsible

F1 Please detail any matters of good practice from the subject that you wish to commend to the University

F2 Please identify any areas that you feel would enhance the quality of the learning experience provided to students

SECTION G Matters to be addressed

External examiner’s comment Faculty response –Including any action to be taken, by when and the person responsible

G1 Please detail any other matters you wish the Subject Assessment Board or University to address in the next academic session

G2 If this is your final year as an external examiner please provide an overview of your term of office

Signature ____________________________ Date _________________

UNIVERSITY OF GLAMORGAN PRIFYSGOL MORGANNWG

ADRODDIAD BLYNYDDOL – ARHOLWR ALLANOL PWNC

Mae adroddiadau arholwyr allanol yn rhan bwysig o systemau sicrhau a gwella ansawdd o fewn y Brifysgol. Ar ôl eu derbyn cânt eu harchwilio gan Uned Ansawdd y Gofrestra Academaidd cyn cael eu hanfon at Ddeon y Gyfadran ac Uned Ansawdd y Gyfadran. Yn achos dyfarniadau ar y cyd byddant hefyd yn cael eu dosbarthu i Bennaeth pob sefydliad (partneriaid). Os ydy Uned Ansawdd y Gofrestra Academaidd yn canfod unrhyw fater o bryder arbennig neu fater sydd angen sylw ar unwaith, bydd gofyn i’r Gyfadran a/neu sefydliad partner lunio ymateb brys. Yn yr un modd, byddai’n fuddiol pe gallwch nodi unrhyw fater pwysig neu fater sydd, yn eich barn, angen sylw brys neu’n fater o bwys. Bydd y Gyfadran a/neu sefydliad partner yn darparu ymateb ffurfiol ar eich cyfer o fewn wyth wythnos i dderbyn eich adroddiad.

Gallech ysgrifennu’n uniongyrchol at yr Is-Ganghellor unrhyw bryd y credwch nad yw’n gweithdrefnau yn gweithio’n briodol i sicrhau safon ein dyfarniadau neu gyfiawnder i fyfyrwyr.

1. Mae gofyn i bob arholwr allanol Prifysgol Morgannwg i baratoi adroddiad ysgrifenedig ar gyfer Cofrestrydd Academaidd y Brifysgol. Sicrhewch bod sesiynau E i G wedi’u cwblhau. Gofynnir i chi gwblhau a dychwelyd yr adroddiad o fewn pedair wythnos i fwrdd asesu gyfarfod (oni bai y cytunir fel arall gyda’r Cofrestrydd Academaidd). Dylid ei anfon i extexam@glam.ac.uk.

2. Awdurdodir talu ffioedd a threuliau cyn gynted ag y bydd y Cofrestrydd Academaidd wedi derbyn yr adroddiad.

3. Er mwyn sicrhau cyfrinachedd, rhaid peidio â chynnwys enwau staff a myfyrwyr yn yr adroddiad hwn.

Diolch am gwblhau’r ffurflen hon, ac am ymgymryd â dyletswyddau arholi allanol ar gyfer y Brifysgol

BLWYDDYN ACADEMAIDD: 2011/20012

ENW: PWNC:

Atebwch y cwestiynau canlynol drwy wirio’r atebion fel bo'n briodol. (Cliciwch ar y blwch sy’n cyfateb â’ch ateb a bydd croes yn ymddangos yn awtomatig yn y blwch). Os mai Na ydy'r ateb, dylech ychwanegu eich sylwadau at yr adroddiad cyffredinol yn Adran E.

ADRAN A Dyletswyddau Arholwr Allanol

A1 – A gawsoch chi eich hysbysu’n ddigonol am eich dyletswyddau a’ch hawliau fel arholwr allanol?

Do Naddo

A2 - A gawsoch chi eich hysbysu’n ddigonol am unrhyw newidiadau i’r rheoliadau cyfredol (a gyfathrebir fel arfer drwy agenda’r Bwrdd Asesu Pwnc)?

Do Naddo

A3 – Ai dyma eich blwyddyn gyntaf fel arholwr allanol pwnc?Os felly, atebwch gwestiwn A4, fel arall, ewch i gwestiwn A5 .

Ie Nage

A4 – Ydych yn fodlon bod pryderon yr arholwr allanol blaenorol wedi delio â nhw?NODYN: Ar gyfer gwobrau sy’n bodoli eisioes, anfonwyd adroddiad yr arholwr allanol blaenorol ac ymateb y gyfadran allan gyda’ch llythyr apwyntiad.

Ydw Nacydw Amherthnasol

Ewch i ADRAN B

A5 – A dderbynioch chi ymateb i’ch adroddiad blaenorol?

Do Naddo Amherthnasol

A6 – Os ydynt yn berthnasol, a aethpwyd i’r afael â’r materion godoch chi?

Do Naddo Amherthnasol

ADRAN B Y Broses Asesu a’r Bwrdd asesu

B1 – A gytunoch chi gyda Chadeirydd y Bwrdd Asesu Pwnc neu Arweinydd y Pwnc pa wybodaeth oedd ei hangen arnoch ar y modiwlau yr ydych yn gyfrifol amdanyn nhw?

Do Naddo

B2 – A gytunoch chi gyda’r Gyfadran/neu gynrychiolwyr priodol pa asesiadau ac arholiadau (os yn berthnasol) yr oeddech i’w cymeradwyo?

Do Naddo

Os ydych wedi ateb ‘Naddo’ i’r cwestiwn uchod, rhowch fanylion yn E6.

B3 – A dderbynioch yr holl asesiadau ac arholiadau (os yn berthnasol) i’w cymeradwyo, fel y cytunwyd yn B2?

Do Naddo

B4 – A ddeliwyd â’ch sylwadau?

Do Naddo

B5 – Oedd y dulliau asesu yn gytbwys a theg?

Oedden Nac oedden

B6 – Oedd y dulliau asesu’n cysylltu â chanlyniadau dysgu’r modiwlau?

Oedden Nac oedden

B7 – A weloch chi sampl priodol ac ystod o sgriptiau a gwaith arall a aseswyd i allu penderfynu a oedd y safonau ar gyfer y modiwl yn briodol?

Do Naddo

B8 – A fynychoch chi o leiaf un cyfarfod o’r Bwrdd Asesu Pwnc? Os ydych yn ateb ‘Do’ gweler B9 a B10. Os ‘Naddo’ ewch i B11.

Do Naddo

B9 – A gynhaliwyd y Bwrdd Asesu Pwnc yn briodol ac yn unol â rheoliadau’r Brifysgol ac a gafodd y myfyrwyr eu trin yn gyfartal?

Do Naddo

B10 – Oeddech yn fodlon i ba raddau yr oeddech yn gallu cymryd rhan fel aelod llawn o’r Bwrdd Asesu Pwnc?

Oeddwn Nac Oeddwn

Ewch i ADRAN C

B11 – A wnewch chi esbonio pam nad oeddech yn gallu mynychu’r bwrdd

ADRAN C Safonau Academaidd

C1 – Oeddech chi’n fodlon gyda safon marcio’r arholwyr mewnol?

Oeddwn Nac oeddwn

C2 – Oeddech chi’n fodlon gyda chysondeb marcio’r arholwyr mewnol?

Oeddwn Nac Oeddwn

C3 – A weloch chi dystiolaeth briodol a digonol o safoni wrth samplo sgriptiau?

Do Naddo

C4 – Oedd safonau cyflawniadau myfyrwyr yn gyson â meincnodi QAA (Sicrhau Ansawdd) ?

Oedden Nac oedden Amherthnasol

C5 – A oedd gwaith myfyrwyr yn arddangos lefel boddhaol o ysgolheictod gyfoes ar gyfer lefel yr astudiaeth?

Oedd Nac oedd Amherthnasol

C6 – A gafodd y safonau academaidd eu cynnal wrth gymhwyso addasiadau rhesymol a gynigir i fyfyrwyr anabl/ dyslecsig?

Do Naddo Amherthnasol

C7 – Oedd y cyflawniadau yn gyffredinol, yn debyg i rai’r blynyddoedd blaenorol?

Oedden Nac Oedden Amherthnasol

ADRAN D Gweithgaredd ar y cyd/ Dysgu yn y Gweithle

Os cyflenwir y modiwlau yr ydych chi’n gyfrifol amdanyn nhw yn llawn neu’n rhannol mewn lleoliadau ar wahân i’r Brifysgol, cwblhewch yr adran hon. Fel arall, ewch i Adran E.

D1 - A gawsoch y cyfle i ystyried deunydd myfyrwyr o ganolfannau eraill gan gynnwys y rhai sy’n dysgu yn y gweithle neu’n dysgu ar leoliad?

Do Naddo

D2 – Oeddech chi’n fodlon â safonau marcio’r staff yn y canolfannau sy’n cydweithredu?

Oeddwn Nac oeddwn Amherthnasol

D3 – Oeddech chi’n fodlon â chysondeb marcio’r staff yn y canolfannau sy’n cydweithredu?

Oeddwn Nac oeddwn Amherthnasol

D4 - A welsoch dystiolaeth briodol a digonol o gymedroli wrth samplo sgriptiau gan y canolfannau sy’n cydweithredu?

Do Naddo Amherthnasol

D5 - Oeddech chi’n fodlon bod y safonau a gyflawnwyd gan fyfyrwyr yn y canolfannau sy’n cydweithredu yn debyg i rai myfyrwyr yn y Brifysgol?

Oeddwn Nac oeddwn Amherthnasol

D6 – Oeddech chi’n fodlon gyda’r safonau a gyflawnwyd gan fyfyrwyr yn dysgu yn y gweithle neu’n dysgu ar leoliad?

Oeddwn Nac oeddwn Amherthnasol

Wrth gwblhau gweddill y ffurflen hon (Adrannau E – G), a fedrwch chi nodi’n glir at ba leoliadau astudio mae’ch sylwadau’n cyfeirio.

Ymateb y Gyfadran i ADRANNAU A – D

ADRAN(E.E. A1)

YMATEB Y GYFADRAN –YN CYNNWYS UNRHYW WEITHREDU SYDD EI ANGEN, ERBYN PRYD A’R PERSON SYDD YN GYFRIFOL

ADRAN E Adroddiad Cyffredinol

Wrth ysgrifennu eich adroddiad, gofynnir i chi gynnwys sylwadau penodol gan ddefnyddio’r penawdau a ddarperir ar eich cyfer.

Gallwch ychwanegu unrhyw arsylwadau cyffredinol sydd, yn eich barn chi yn briodol; croesewir yn arbennig awgrymiadau adeiladol am weithredu yn y dyfodol.

Does dim rhaid i chi gyfyngu eich hun i’r gofod a ddarperir, gallwch, wrth gwrs ychwanegu at unrhyw adran.

Sylwadau’r arholwr allanol Ymateb y Gyfadran –Yn cynnwys unrhyw weithredu sydd ei angen, erbyn pryd a’r person sy’n gyfrifol

E1 Cryfderau a gwendidau carfan y myfyrwyr

E2 Ansawdd y wybodaeth a sgiliau (cyffredinol a phenodol i'r pwnc)The quality of knowledge and skills (both general and subject specific)

ADRAN E Adroddiad Cyffredinol (parhad)

Sylwadau’r arholwr allanol Ymateb y Gyfadran –Yn cynnwys unrhyw weithredu sydd ei angen, erbyn pryd a’r person sy’n gyfrifol

E3 Strwythur, dyluniad, trefniadaeth a marcio’r asesiadau i gyd

E4 Unrhyw argymhelliad arall sy’n codi o’r asesiadau

E5 Unrhyw faterion eraill fel y’u nodywd yn bendol gan unrhyw gorff proffesiynol perthnasol, neu unrhyw sylwadau cyffredinol eraill

ADRAN F Arferion Da / Gwelliant

Sylwadau’r arholwr allanol Ymateb y Gyfadran –Yn cynnwys unrhyw weithredu sydd ei angen, erbyn pryd a’r person sy’n gyfrifol

F1 Rhowch fanylion am unrhyw fater arferion da o’r pwnc yr ydych yn dymuno eu cymeradwyo i’r Brifysgol.

F2 Rhowch fanylion am unrhyw faes yr ydych yn teimlo y byddai’n gwella ansawdd y profiad y’i darparir i fyfyrwyr

ADRAN G Materion i’w trafod

Sylwadau’r arholwr allanol Ymateb y Gyfadran –Yn cynnwys unrhyw weithredu sydd ei angen, erbyn pryd a’r person sy’n gyfrifol

G1 Rhowch fanylion o unrhyw fater arall y dymunwch i’r Bwrdd Asesu Pwnc neu’r brifysgol ddelio â nhw yn ystod y sesiwn academaidd nesaf.

G2 Os mai dyma eich blwyddyn olaf fel arholwr allanol, rhowch grynodeb o’ch cyfnod yn y swydd.

Llofnod ____________________________ Dyddiad _________________

UNIVERSITY OF GLAMORGAN PRIFYSGOL MORGANNWG

ANNUAL REPORT – AWARD EXTERNAL EXAMINER

External examiners’ reports are an important part of the University’s quality assurance and enhancement systems. Upon receipt, they are scrutinised by the Quality Unit, Academic Registry before being circulated to the Dean of Faculty and Faculty Quality Unit. In the case of collaborative areas the reports are also circulated to the Principal of each (partner) institution. If the Quality Unit, Academic Registry identifies any matters of particular concern, or requiring immediate attention, an urgent response will be requested from the faculty and/or partner institution. Similarly it would be most helpful if you could identify any matters which you believe are particularly urgent or important. The faculty and/or partner institution will provide a formal response to you within eight weeks of receiving your report.

You may write directly to the Vice-Chancellor at any time if you believe that our procedures are not working properly to ensure the standard of our awards or justice to students.

1. Each external examiner for the University of Glamorgan is required to make an annual written report to the Academic Registrar of the University. You are asked to complete and return this report within four weeks of the award Assessment Board taking place (unless otherwise agreed with the Academic Registrar). Your report should be sent to extexam@glam.ac.uk

2. Payment of fees and expenses will be authorised as soon as the report has been received by the Academic Registrar.

3. In the interests of confidentiality staff and student names must not appear in this report.Thank you for completing this form, and for undertaking external examining duties for the University

ACADEMIC YEAR: 2011/2012 NAME: AWARD(S):

Please respond to the following questions by checking the answer boxes as appropriate (Click on the box you wish to check and the box will automatically be checked). If you answer No, you should add your comments to the general report in Section E.

SECTION A External Examiner Duties (hyperlinks to External Examiners Handbook)

A1 - Were you adequately informed of your duties and rights as an external examiner? Yes No

A2 - Were you adequately informed of any changes to current regulations (normally communicated through the Award and Progression Assessment Board agenda)?

Yes No

A3 - Is this is your first year as award external examiner? If yes please see question A4, if no please proceed to question A5 Yes No

A4 – Are you content that the previous external examiner’s concerns were addressed?NOTE: For existing awards, the previous external examiner’s report and faculty response were sent out with your appointment letter

Yes No Not Applicable

Go to Section B

A5 - Have you received a response to your previous report? Yes No Not Applicable

A6 – If applicable, have the issues you raised been addressed? Yes No Not Applicable

SECTION B Conduct of the Board

B1 - Did you attend at least one meeting of the Award and Progression Assessment Board during the academic session?If yes please answer B2, B3 and B4. If no please proceed to B5

Yes No

B2 - Were you satisfied with the comparability of treatment where discretion was exercised or special circumstances taken into account? Yes No

B3 Was the Award and Progression Assessment Board conducted properly and in accordance with University regulations and were students on the award(s) treated equitably?

Yes No

B4 - Were you satisfied with the extent to which you were able to participate as a member of the Award and Progression Assessment Board? Yes No

Go to Section C

B5 – Please inform us why you were unable to attend the board.

SECTION C Academic Standards

C1 - Were you satisfied with the clarity and consistency of the decisions made at Subject Assessment Boards and presented to the Award and Progression Assessment Board?

Yes No

C2 - Were the overall achievements comparable with previous years? Yes No Not Applicable

SECTION D Collaborative Activity / Work-Based Learning

If the award(s) for which you are responsible is delivered in full or in part at locations other than the University, please complete this section. Otherwise go to Section E

D1 - Were you satisfied that the achievements of students at collaborative centres were comparable with students at the University? Yes No Not Applicable

D2 - Were you satisfied with the achievement of students undertaking work-based or placement learning? Yes No Not Applicable

When completing the remainder of this form (Sections E – H), please could you explicitly identify the locations of study to which your comments refer.

Faculty response to SECTIONS A – D

SECTION(e.g., A1)

FACULTY RESPONSE –INCLUDING ANY ACTION TO BE TAKEN, BY WHEN AND THE PERSON RESPONSIBLE

SECTION E General Report

In compiling your report you are asked to include specific comments using the headings provided.You may add any general observations that you deem appropriate; constructive suggestions for future action are particularly welcomed.Please do not feel constrained by the space provided, you may of course add to any section.

External examiner’s comment Faculty response –Including any action to be taken, by when and the person responsible

E1 The strengths and weaknesses of the student cohort(s) in terms of their Progression/Award results

E2 The efficacy of the regulations.

E3 The conduct of the Award and Progression Assessment Board

E4 Any other comments arising from earlier sections of this report

SECTION F Good Practice/Enhancement

External examiner’s comment Faculty response –Including any action to be taken, by when and the person responsible

F1 Please detail any matters of good practice that you wish to commend to the University

F2 Please identify any areas you feel would enhance the quality of the experience provided to students

SECTION G Matters to be addressed

External examiner’s comment Faculty response –Including any action to be taken, by when and the person responsible

G1 Please detail any other matters you wish the Award and Progression Assessment Board or University to address in the next academic session

G2 If this is your final year as an external examiner please provide an overview of your term of office

Signature ____________________________ Date _________________

If you are an Edexcel Examiner please continue to the next section.

SECTION H – Edexcel External Examiner Comments

External examiner’s comment Faculty response –Including any action to be taken, by when and the person responsible

H1 In addition to Sections E, F and G please detail any information specific to Edexcel awards which you are examining

UNIVERSITY OF GLAMORGAN PRIFYSGOL MORGANNWG

ADRODDIAD BLYNYDDOL – ARHOLWR ALLANOL Y DYFARFNIAD

Mae adroddiadau arholwyr allanol yn rhan bwysig o systemau sicrhau a gwella ansawdd o fewn y Brifysgol. Ar ôl eu derbyn cânt eu harchwilio gan Uned Ansawdd y Gofrestra Academaidd cyn cael eu hanfon at Ddeon y Gyfadran ac Uned Ansawdd y Gyfadran. Yn achos dyfarniadau ar y cyd byddant hefyd yn cael eu dosbarthu i Bennaeth pob sefydliad (partneriaid). Os ydy Uned Ansawdd y Gofrestra Academaidd yn canfod unrhyw fater o bryder arbennig neu fater sydd angen sylw ar unwaith, bydd gofyn i’r Gyfadran a/neu sefydliad partner lunio ymateb brys. Yn yr un modd, byddai’n fuddiol pe gallwch nodi unrhyw fater pwysig neu fater sydd, yn eich barn, angen sylw brys neu’n fater o bwys. Bydd y Gyfadran a/neu sefydliad partner yn darparu ymateb ffurfiol ar eich cyfer o fewn wyth wythnos i dderbyn eich adroddiad.

Gallech ysgrifennu’n uniongyrchol at yr Is-Ganghellor unrhyw bryd y credwch nad yw’n gweithdrefnau yn gweithio’n briodol i sicrhau safon ein dyfarniadau neu gyfiawnder i fyfyrwyr.

4. Disgwylir i bob arholwr allanol Prifysgol Morgannwg baratoi adroddiad ysgrifenedig ar gyfer Cofrestrydd Academaidd y Brifysgol. Gofynnir i chi gwblhau a dychwelyd yr adroddiad o fewn pedair wythnos i fwrdd asesu gyfarfod (oni bai y cytunir fel arall gyda’r Cofrestrydd Academaidd). Dylech anfon yr adroddiad at extexam@glam.ac.uk

5. Awdurdodir talu ffioedd a threuliau cyn gynted ag y bydd y Cofrestrydd Academaidd wedi derbyn yr adroddiad.

6. Er mwyn sicrhau cyfrinachedd, rhaid peidio â chynnwys enwau staff a myfyrwyr yn yr adroddiad hwn. Diolch i chi am gwblhau’r ffurflen hon ac ymgymryd â dyletswyddau arholi allanol ar gyfer y Brifysgol.

BLWYDDYN ACADEMAIDD: 2011/2012

ENW: DYFARNIAD(AU):

Atebwch y cwestiynau canlynol drwy wirio’r blychau ateb fel bo'n briodol. (Cliciwch ar y blwch sy’n cyfateb â’ch ateb a bydd croes yn ymddangos yn awtomatig yn y blwch).Os mai Na ydy'r ateb, dylech ychwanegu eich sylwadau i'r adroddiad cyffredinol yn Adran E.

ADRAN A Dyletswyddau Arholwr Allanol

A1 – A gawsoch chi eich hysbysu’n ddigonol am eich dyletswyddau a’ch hawliau fel arholwr allanol?

Do Naddo

A2 – A gawsoch chi eich hysbysu’n ddigonol am unrhyw newidiadau i’r rheoliadau cyfredol (a gyfathrebir yn arferol drwy agenda’r Bwrdd Dyfarniadau a Datblygiad)?

Do Naddo

A3 – Ai dyma eich blwyddyn gyntaf fel arholwr allanol dyfarniad? Os felly, atebwch gwestiwn A4, fel arall, ewch i gwestiwn A5 .

Do Naddo

A4 – Ydych yn fodlon bod pryderon yr arholwr allanol blaenorol wedi’u datrys? NODYN: Ar gyfer gwobrau sy’n bodoli eisioes, anfonwyd adroddiad yr arholwr allanol blaenorol ac ymateb y gyfadran allan gyda’ch llythyr apwyntiad.

Ydw Nacydw Amherthnasol

Ewch i Adran B

A5 – A dderbynioch chi ymateb i’ch adroddiad blaenorol?

Do Naddo Amherthnasol

A6 – Os ydynt yn berthnasol, a aethpwyd i’r afael â’r materion godoch chi?

Do Naddo Amherthnasol

ADRAN B Ymddygiad y Bwrdd

B1 – A fynychoch chi o leiaf un cyfarfod o’r Bwrdd Asesu Dyfarniadau a Datblygiad yn ystod y sesiwn academaidd? Os ydych yn ateb ‘Do’ atebwch B2, B3 a B4. Os ydych yn ateb ‘Naddo’, ewch i B5.

Do Naddo

B2 – Oeddech chi’n fodlon bod y driniaeth yn gyffelyb pan gafwyd rhyddid i weithredu neu pan ystyriwyd amgylchiadau arbennig?

Oeddwn Nac oeddwn

B3 A gynhaliwyd y Bwrdd Asesu Dyfarniadau a Datblygiad yn briodol yn unol â rheoliadau’r Brifysgol ac a gafodd myfyrwyr y dyfarniad(au) eu trin yn gyfartal?

Do Naddo

B4 – Oeddech yn fodlon gydag i ba raddau yr oeddech yn gallu cymryd rhan fel aelod llawn o’r Bwrdd Asesu Dyfarniadau a Datblygiad?

Oeddwn Nac Oeddwn

Ewch i Adran C

B5 – Esboniwch pam nad oeddech yn gallu mynychu’r bwrdd os gwelwch yn dda.

ADRAN C Safonau Academaidd

C1 – Oeddech chi’n fodlon gydag eglurder a chysondeb y gwahanol Fyrddau Arholi Pwnc a wnaeth argymhellion i’r Bwrdd Asesu Dyfarniadau a Datblygiad?

Oeddwn Nac oeddwn

C2 – A oedd y cyflawniadau yn gyffredinol, yn debyg i rai’r blynyddoedd blaenorol?

Oedden Nac Oedden Amherthnasol

ADRAN D Gweithgaredd ar y Cyd / Dysgu a Leolir yn y Gweithle

Os cyflenwir y dyfarniad(au) yr ydych chi’n gyfrifol amdano yn llawn neu’n rhannol mewn lleoliadau ar wahân i’r Brifysgol, cwblhewch yr adran hon. Fel arall, ewch i Adran E.

D1 – Oeddech chi’n fodlon bod cyflawniadau myfyrwyr canolfannau sy'n cydweithredu yn debyg i rai myfyrwyr yn y Brifysgol?

Oeddwn Nac Oeddwn Amherthnasol

D2 – Oeddech chi’n fodlon gyda chyflawniad y myfyrwyr a oedd yn dysgu yn y gweithle neu ar leoliad?

Oeddwn Nac Oeddwn Amherthnasol

Wrth gwblhau gweddill y ffurflen hon (Adrannau E – G), a fedrwch chi nodi’n glir at ba leoliadau astudio mae’ch sylwadau’n cyfeirio.

Ymateb y Gyfadran i adrannau A – D

ADRAN(e.e. A1)

YMATEB Y GYFADRAN –YN CYNNWYS UNRHYW WEITHREDU SYDD EI ANGEN, ERBYN PRYD A’R PERSON SYDD YN GYFRIFOL

ADRAN E Adroddiad Cyffredinol

Wrth ysgrifennu eich adroddiad, gofynnir i chi gynnwys sylwadau penodol gan ddefnyddio’r penawdau a ddarperir ar eich cyfer.

Gallwch ychwanegu unrhyw arsylwadau cyffredinol sydd, yn eich barn chi yn briodol; croesewir yn arbennig awgrymiadau adeiladol am weithredu yn y dyfodol.

Does dim rhaid i chi gyfyngu eich hun i’r gofod a ddarperir, gallwch, wrth gwrs ychwanegu at unrhyw adran.

Sylwadau’r arholwr allanol Ymateb y Gyfadran –Yn cynnwys unrhyw weithredu sydd ei angen, erbyn pryd a’r person sy’n gyfrifol

E1 Cryfderau a gwendidau carfan(nau) y myfyrwyr yn nhermau eu canlyniadau Datblygiad / Dyfarnu

E2 Effeithiolrwydd y rheoliadau

E3 Ymddygiad Bwrdd Asesu’r Dyfarniad a Datblygiad

E5 Unrhyw sylwadau eraill yn codi o adrannau blaenorol yr adroddiad hwn?

ADRAN F Arfer Dda / Gwelliant

Sylwadau’r arholwr allanol Ymateb y Gyfadran –Yn cynnwys unrhyw weithredu sydd ei angen, erbyn pryd a’r person sy’n gyfrifol

F1 Rhowch fanylion am unrhyw fater arferion da yr ydych yn dymuno eu cymeradwyo i’r Brifysgol

F2 Rhowch fanylion am unrhyw faes yr ydych yn teimlo y byddai’n gwella ansawdd y profiad y’i darparir i fyfyrwyr

ADRAN G Materion i’w trafod

Sylwadau’r arholwr allanol Ymateb y Gyfadran –Yn cynnwys unrhyw weithredu sydd ei angen, erbyn pryd a’r person sy’n gyfrifol

G1 Rhowch fanylion ynghylch unrhyw fater arall y dymunwch i’r Bwrdd Asesu Dyfarniad a Dilyniant neu’r Brifysgol ddelio â nhw yn ystod y sesiwn academaidd nesaf.

G2 Os mai dyma eich blwyddyn olaf fel arholwr allanol, rhowch grynodeb o’ch cyfnod yn y swydd.

Llofnod ____________________________ Dyddiad _________________

Os ydych chi’n Arholwr Edexcel gofynnir ichi fynd ymlaen i’r adran nesaf.

ADRAN H – Sylwadau Arholwr Allanol Edexcel

Sylwadau’r Arholwr Allanol Ymateb y Gyfadran –Yn cynnwys unrhyw weithredu sydd ei angen, erbyn pryd a’r person sy’n gyfrifol

H1 Yn ychwanegol i Adrannau E, F a G rhowch fanylion am unrhyw wybodaeth benodol i ddyfarniadau Edexcel yr ydych yn eu harholi

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Section 3.4: Travel & Subsistence Claims

1 Travel & Subsistence Claim Form2 Travel, Subsistence & Business Entertainment

Manual 2011/12

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UNIVERSITY OF GLAMORGAN

TRAVEL, SUBSISTENCE and BUSINESS ENTERTAINMENT MANUAL 2011/12

1. Financial Policy

The University Policy is that it will reimburse staff for ordinary, necessary and reasonable travel and subsistence expenses providing they are properly authorised and are directly connected with University business. Staff are expected to exercise care in making travel and subsistence arrangements which are a “least cost” option for the University.

Staff should support all claims for travel and subsistence with detailed receipts wherever possible. If receipts are not attached then the claim may be rejected and reimbursement delayed.

Claims submitted more than six months after the expenses were incurred must be accompanied by a letter of explanation for the delay and such claims will only be paid with the approval of the Head of Finance.

2. Accommodation

Accommodation should be booked in advance using the official order process at appropriate hotels. The appropriateness of the hotel will be determined by factors such as:

cost; proximity to conference or meeting, need to “network”, security and peace of mind of attendee, taxi or other travel costs.

Bookings should normally be made for bed, breakfast and evening meal if appropriate, unless the evening meal is otherwise provided e.g. as part of a conference or separate meeting. The cost of the breakfast and/or evening meal should not exceed the total subsistence allowance that could be claimed. Clearly, where the booking includes an evening meal a subsistence claim should not also be made.

In exceptional circumstances i.e. due to last minute changes in travel arrangements, staff may make reservations for accommodation and arrange payment directly with the hotel; receipts must be provided when claiming the relevant expenses. When making their own reservations, staff are advised to obtain, wherever possible, an inclusive rate covering room, breakfast and evening meal as appropriate.

3. Rail Travel

Rail tickets should be obtained through the Students Union Travel Centre. Travel should be standard class unless a clear case can be made and approval received for upgrade in advance of booking. Upgrade will be at the discretion of the Dean of Faculty/ Head of Corporate Department. Train tickets should be booked at the earliest opportunity in order to minimise cost.

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4. Car Travel

Staff are encouraged to travel by public transport or to car share whenever possible, as specified in the University’s Travel Plan. Cars with drivers/taxis should not normally be used for long distance travel e.g. return trips to Heathrow.

Public Transport

The University is 5 –10 minutes walk from Treforest Station. There are four trains per hour into Cardiff Central Station where connections can be made with intercity services.

Car Sharing

If it is essential for staff to make a journey by car, they are encouraged to share the journey with a colleague(s) attending the same event.

Use of Vehicles

If public transport is not an option then cars can be used in the following order of priority,

Pool cars (available from the Estates Department) must be the first option. If a pool vehicle is not available at the required time then you may use your own car when a round trip journey is less than 150 miles. Round trip journeys of more than 150 miles should be undertaken using a hire car when a pool car is not available. In exceptional circumstances where you need to use your own car for a round trip of more than 150 miles, prior approval by your line manager must be obtained and you may then claim the appropriate mileage rate shown below.

Mileage Rate (when using own vehicle)

For business mileage up to 10,000 miles p.a:

For round trips of up to 150 miles : 40p per mileAdditional mileage over 150 miles round trip : 13p per mile

For business mileage in excess of 10,000 miles p.a. the rate is 25p per mile.

Annual mileage is calculated on a tax year basis (1st April to 31st March) this is shown on the right hand side of your payslip as ‘YTD 40p’ and ‘YTD 13p’

If staff members are on University business and travel from their home address then a mileage claim may only be submitted if the mileage is greater than the home to normal place of work journey. Please note that mileage cannot be claimed for any travel between their home and permanent place of work even if outside normal working hours.

The mileage claimed will be the total business trip mileage less the home to normal place of work mileage.

e.g. If you live in Bridgend and make a trip on behalf of the University to Bristol leaving directly from and returning to home your mileage claim would be 60 miles (Bridgend to Bristol) x 2 [120 miles] less 20 miles (Bridgend to Pontypridd) x 2 [40

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miles]. You would therefore claim 80 miles at the appropriate rate.

Please note that you MUST have “business mileage” cover on your insurance policy if you use your own vehicle for University use. Evidence of cover may be requested.

Hiring of Vehicles.

Vehicles should be hired by using the Official Order process. Fuel costs will be reimbursed following submission of a detailed receipt.

The following companies should be used for hire cars.

Days Hire Tel: 01656 768676Central ReservationsDavid StreetBridgend CF31 3SA

Enterprise Rent A Car

Cardiff Road Tel: 01443 841851 Hawthorn Pontypridd CF37 5AA Account Number 5UW2279

Europcar1 – 11 Byron StreetOff City Road Central ReservationsRoath Tel: 0870 6075000CardiffCF2 3ED A/c No. 63722931 Contract Number 45590503

London Congestion Charge

The actual cost of a congestion charge incurred by an employee on a business journey will be reimbursed.

Any and all fines levied in connection with late or non-payment of the charge will not be reimbursed.

The above also applies to all speeding and parking fines incurred.

Taxi Fares and Parking Charges

These will be reimbursed on production of receipts (taxi fares and parking not exceeding £5 will be reimbursed unreceipted). (Home to work travel by taxi is specifically excluded).

5. Overseas and U K Travel (with the exception of trains)

One or both of the following companies must be contacted to obtain prices. If there is a lower price available from an alternative company and you are prepared to accept the risks involved in not using one of the companies below, then all quotations obtained must be attached to the back of the purchase requisition.

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Portman Travel15th FloorCapital towerGreyfriars RoadCardiffCF10 3PM Tel: 02920 402600

Fax: 02920 402601 Uniglobe Voyager Travel Temple Court Cathedral Road Cardiff. CF11 9HA Tel:02920786604 Fax:029 20786605

'Out of hours' number 0800 896959 (UK TRAVEL)

(Both the above travel agents are able to provide accommodation worldwide).

Travel will be in economy class unless a clear case can be made and approval received for upgrade in advance of booking. Upgrade will be at the discretion of the Directorate Line Manager.

6. Subsistence Allowances

An allowance can be claimed for each period of absence but will need to be supported by original receipts wherever possible. The claimant should make every effort to obtain receipts and where this is not possible give a full explanation for the amount claimed.

Provincial London / Scandinavia / Overseas Japan/Nigeria £ £ £

Absence from home for 4 to 8 hours 16.00 21.00 24.50

Absence from home for 8 to 12 hours 21.00 27.00 31.00

Absence from home for more than12 hours 32.00 37.00 43.50

N.B. If the absence from home occurs during evening hours and lasts for more than 4 and less than 8 hours then the subsistence allowances shall be as those from 8 to 12 hours above.

Please note that where accommodation has been booked to include breakfast and an evening meal, subsistence allowances should not also be claimed.

When claiming subsistence for other members of staff please ensure you specify their name and cross-reference your claim with theirs to verify allowances are not exceeded.

Personal expenses should not be included on claims for reimbursement of expenses. Examples of personal expenses are:

Any purchase from a mini-bar. With the exception of bottled water where it is unsafe to drink the tap water.

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“Pay as you view” film/satellite/TV subscriptions

Green fees

Hair salons

Health spas

Clothes

Reasonable expenses for laundry, dry cleaning and pressing will be reimbursed when the expenses have been incurred away from home.

7. Incidental Expenses

The University may reimburse personal telephone calls deemed reasonable by the Dean of Faculty/Head of Corporate Department. These can be claimed under ‘incidentals’ but must be within the rates.

United Kingdom Maximum of £ 5 per 24 hoursOverseas Maximum of £10 per 24 hours

Please note incidentals should only be claimed where actual expenditure has been incurred. Evidence of this expenditure may be requested. Please provide breakdown of actual expenditure on the claim form.

8. Prescription Safety Eyewear

The University is responsible for providing protective safety eyewear that fits over prescription eyewear when required as part of the duties of a member of staff. However if the Departmental Health and Safety Officer approves the personal procurement of Prescription Safety Eyewear by the member of staff the value recoverable should not exceed £55.00 per prescription. The University is responsible for ensuring the glasses are appropriate and are properly maintained.

9. Personal Gifts

Personal gifts of a minimal value can be accepted by staff such as diaries, pens and small items of desk furniture.

The maximum value of a gift that may be accepted by a member of staff is £20. Where the value of the gift is estimated to exceed £20 staff should be guided by the provisions of Finance Regulations 4.24 and 4.25.

10. Telephone Calls/Blackberrys/Smartphones

Staff may claim reimbursement for the cost of telephone calls or other communication charges; such as to a Blackberry/Smartphones, made in the course of carrying out University business. All claims must be accompanied by an itemised account detailing the calls made and the cost of each individual call.

Staff should take care to ensure that the most cost effective method of communication is utilised whilst on University business. In particular, staff should familiarise themselves with tariffs/charges for mobile phones and

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BlackBerrys/Smartphones especially when travelling abroad as costs incurred can be substantial.

Mobile phones, Blackberry/Smartphones and other similar contracts should not be taken out in the employee’s name and claimed through the personal expenses process.

Personal calls may be reimbursed under miscellaneous expenditure, see ‘Incidentals’ above.

11. Business Entertainment and Hospitality

Reasonable and necessary amounts of expenditure for hospitality and entertaining of third parties may be charged to University administered funds where they are necessarily incurred in the course of University business. All claims for expenditure on hospitality and entertainment must be supported by valid receipts and contain the following information:-

. the names of attendees the organisation which they represent the purpose of the entertainment the venue and the date

Prior approval by the Directorate Line Manager is required before entertainment or hospitality can be provided. It is important that the number of staff present at any function, in relation to the number of visitors, should be kept to a minimum if the Inland Revenue is not to consider the event as a staff benefit. Thus, the costs of partners of University staff will not be reimbursed unless it can be shown that there was a clear business need.

Maximum hospitality rates are not laid down, as what is appropriate will vary according to circumstances. Staff should, therefore, ensure that due regard is taken of what is appropriate and that hospitality costs are minimised.

Expenditure on entertainment :-

up to a total cost of £50 per event is at the discretion of the Dean of Faculty/Head of Corporate Department,

above £50 per event is at the discretion of the Directorate Line Manager.

In both instances proof of authorisation must be attached to the claim.

When completing the Travel and Subsistence Claim form entertaining should be claimed under “Miscellaneous” and not under “Subsistence”.

Costs which are incidental to business entertainment costs (e.g. the costs of a taxi to a restaurant where a customer is to be entertained) should be categorised as business entertainment on the expense form.

Staff entertaining guests from outside bodies should normally use the University's catering facilities but where this is not the case, the reasons must be stated when submitting a claim for reimbursement.

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Entertaining not involving third parties (i.e. attended by University staff only) should not be charged to University administered funds and is not reimbursable. Nor is it acceptable to charge for part of the cost of entertaining University staff only. This means that the University will not pay for wine at a function where staff have paid for the food, nor will it pay for food/drinks purchased from a grocery store or similar, so that the function can be held in an office. This applies on- or off-campus.

12. Away days

Where a Department arranges an "away-day" to discuss Departmental business/plans, reasonable expenditure for refreshments is allowed. When the claim for reimbursement, or an invoice from the supplier of the services, is sent to the Finance Department, it must be accompanied by an agenda, a full list of delegates and notes of the meeting.

13. General

The University has obtained a dispensation from the Inland Revenue for certain expense payments, such that they are not counted as taxable on the claimant. Having rules and policies relating to reimbursement of expenses means that the University is able to support this dispensation, and is able to justify that it is unnecessary for an individual to include certain of these expenses in a tax return. If the above requirements are not adhered to, members of staff may become liable to tax on the alleged benefit and if the University has to meet any such tax bill, it will be charged to the Department concerned

Thus, the Director of Finance must be sent details, in advance, of occasions, other than the above, for which Departmental funding is requested for staff only meals/refreshments to ensure Inland Revenue regulations are complied with as these would be considered a benefit in kind.

14. Abuse of the Scheme

Any proven case of abuse of this Scheme will be treated as an act of Gross Misconduct

If you are unsure of the rules or what to do in a given set of circumstances, please seek guidance from the University Payroll Section on Ext 2103.

Date Created : September 2011Review Date: April 2012 at the latest.

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Section 3.5: External Examiners Additional Visit Fees 2011/2012

1 External Examiners Additional Visit Fees 2011/12

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External Examiners Additional Visit Fees 2011/2012

Name

Address

Faculty*(including expenditure code)

1 ~ AWARD EXAMININGAward name(s)Institution nameDate of visitLength of visitReason for visitFee*

2 ~ SUBJECT EXAMININGSubject name(s)

Institution nameDate of visit Length of visitReason for visitFee*

3 ~ TOTAL FEE PAYABLEAmount Payable*Authorised by *

Sent to Payroll*

Letter to Examiner*

Input to Payroll by*(Finance Department Use)

NB - * To be completed by University of Glamorgan

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Section 4: Ethics

4.1 Ethical Issues in Teaching and Researching4.2 Non-specialist Ethical Guidelines for Research

Section 4: 1

Section 4: 2

Section 4.1: Ethical Issues in Teaching and Learning - an introductory guide

1 Introduction to the University’s Ethics Policy2 General ethical concerns3 Addressing ethical dilemmas4 Applying these guidelines5 Treating people fairly6 Respecting autonomy7 Acting with integrity8 Seeking the best results – (1) minimising harm9 Seeking the best results – (2) using resources as

beneficially as possible10 What you should do next

Section 4: 3

This version of this handbook may be subject to amendment as ethical review systems develop.

Section 4: 4

1. Introduction to the University’s Ethics policy

Most of the time most of us are aware of our ethical obligations, but when faced with complex demands it is easy to overlook some of the concerns we may be expected to take into account.

The University’s ethics policy is a way of enabling members of the University – whether students or staff - to keep these concerns in mind. The policy is concerned with how staff treat students and each other, how students treat staff and each other, and how members of the university treat all those affected by their activities.

Although this handbook and its companion document General Ethical Guidelines for Research and Consultancy focus on academic and consultancy activities, it is, of course, important that all activities in the University are conducted ethically. The following codes of practice of the University are relevant to this:

Research Good Practice Policy RAE Code of Practice Research Misconduct Policy Equality and Diversity Policy Race Equality Policy Data Protection Policy Staff Complaints and Public Interest Disclosure Procedures Academic Policy and Regulations Data Protection Policy Environmental Policy Statement Equal Opportunities Equal Opportunities Statement Health and Safety Statement

Since 2001 ethical discussion and review has been part of the University's practices. This handbook and the General Ethical Guidelines for Research and Consultancy are designed to facilitate this process by acting as a reminder of the kind of thinking which is ethically appropriate when new projects in learning, teaching, research and consultancy are developed and when current practices are reviewed. If you are involved in teaching and learning procedures which includes research on human or animal subjects you should also read the General Ethical Guidelines for Research and Consultancy. As the ethics policy is an official policy of the University, members of the University are required to take account of the guidance in these ethics documents.

This handbook should not be seen as a guide to legality in relation to learning and teaching. Although you are generally likely to be acting legally if you give due regard to the ethical concerns outlined here, this cannot be assumed. For example, although you may take into account ethical points about confidentiality and the use of data, any learning, teaching or research which involves the processing of personal data will also have to comply with the Data Protection Act. In this Act ‘processing’ includes obtaining, recording and holding information and data, carrying out operations on them, and using, disseminating and destroying them. Staff and students are therefore advised to consult the University's

Section 4: 5

Handbook on Data Protection or the University's Data Protection Officer for guidance on these matters.

2. General ethical concerns

Ethics is a complex subject, but in professional contexts some of its central concerns are:

to treat people fairly

to respect the autonomy of individuals

to act with integrity

to seek the best results - by minimising harm and maximising benefits

Mnemonic: f a i r

This booklet briefly explains each of these concerns in relation to teaching and learning. It gives examples of their application and puts forward a checklist of questions relevant to the design and conduct of courses, modules and study schemes. The General Ethical Guidelines for Research and Consultancy discusses how these four principles relate to research and consultation.

3. Addressing ethical dilemmas

In many situations more than one of these ethical concerns may be relevant, and dilemmas occur when they conflict. For example, respecting the autonomy of someone may risk causing harm to that person or others – allowing a student to carry out a particular procedure may put him or his fellows at unacceptable risk. When such conflicts occur the demands of the concerns have to be weighed against each other.

There are, then, situations in which we may be justified in not acceding totally to the demands of all the ethical concerns, or in not regarding the demand of any one of them as absolute. But we can only decide to which concern to give priority, or how to balance their demands, after considering what they require in our particular circumstances. In such situations there may be no objectively ‘correct’ decision, only the one we decide is ethically appropriate and defensible. In this way staff and students are asked to exercise their discretion in the spirit of the guidelines.

4. Applying these guidelines

Since the University’s basic ethical guidelines are expressed as general concerns, on many occasions individuals will, as we have seen, have to judge how to apply them to their own practice. However, if groups of individuals frequently repeat specialist activities they may find it helpful to draw up more specific protocols or Codes of Practice which set out how best to apply these general concerns to particular activities.

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The significance of ethical guidelines can often best be understood and explored through discussion, and the University has facilitated this by including ethical consideration in the terms of reference of Subjects/ Divisions79, Faculty Quality Assurance Committees (FQACs) and Faculty Research Programmes Committees (FRPCs). While FQACs and FRPCs are specifically responsible for ensuring that ethical aspects have been properly considered in current and proposed teaching and research, ethical issues are clearly relevant to the work of many other committees - for example: Learning and Student Experience Committees.

In addition, the University has appointed a Faculty Ethics Champion who is available in each Faculty to discuss and advise how the ethics policy may relate to particular circumstances. Ethics Champions are not, however, responsible for giving ethical approval to teaching proposals – that is the responsibility of Subject/Divisional meetings whose judgments are audited by FQACs nor can they be responsible for monitoring current learning and teaching – that is the ongoing responsibility of the member of staff leading the work.

5. Treating people fairly

We treat people fairly by treating them alike unless there are good reasons for treating them differently. There is a good reason for treating people differently from each other only when there is a difference between them or their situations which is relevant to the way they could be treated. Differences which are irrelevant to the way they could be treated do not justify treating them differently.

When discussing a topic with two students, a lecturer realises that one of them has studied the issues previously, but the other has not. This difference, being relevant to the way he might treat them pedagogically, is a good reason for giving more attention to the disadvantaged student. If, however, the lecturer had given more attention to one than the other because one was male and the other female, this would be unfair discrimination since their gender was irrelevant to their pedagogic treatment. Of course, in other situations their gender might be good grounds for treating them differently - though with equal regard for their different needs.

The principle of fairness does NOT, then, requires us always to treat everyone alike. It would, for example, be grossly unfair to treat someone beset by unavoidable problems in just the same way as someone who has none.

The basic principle of fairness can be summed up as:

treating alike people who are alike in relevant respects; treating differently people who are different in relevant respects.

This principle is the basic underpinning of the University's equal opportunities policy in which differences of race, gender, age, sexual

79 Fields/Division: Faculties may use different terms for the section responsible for identifying and addressing ethical issues in teaching modules.

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preference and disability are regarded as normally irrelevant to the opportunities for employment and study which are offered by the University.

Generally speaking, we treat people fairly if we:

provide everyone with the service to which they are entitled

do not allow any personal views we may have to affect the quality of service we give to each individual

treat individuals differently from each other only when there are differences between them which are relevant to our treatment of them

when there are relevant differences between individuals, treat them in ways which are appropriate to those differences.

An example of these points:

A lecturer should not waive the deadline for submission of work for one student simply because she is more conscientious than the others, because her conscientiousness is not relevant to whether or not she should hand her work in on time. On the other hand, if a student has recently been ill, and so has a disadvantage which affects his ability to meet the deadline, it might be fair to do so.

Some questions you might find useful when considering whether people are treated fairly

Do students have equal access to the resources that are provided by the university in connection with their studies?

Does assessment concentrate on issues which are as far as possible accessible to all students, whatever their cultural backgrounds?

Are procedures in place that enables reasoned and reasonable decisions as to whether students should be treated differently according to recognisable educational needs?

Are procedures in place to ensure adjustments will be made in respect of students with disabilities or special educational needs?

Do procedures ensure impartial assessment as far as possible? For example, when sample double-marking takes place, does the second marker choose which scripts to look at?

6. Respecting autonomy

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We respect autonomy when we:

equip individuals to make informed decisions about what they do

provide individuals with opportunities for making informed choices

do not prevent individuals from acting in accord with their informed decisions.

Respecting autonomy, however, does not mean allowing everyone to do whatever they wish, for two main reasons:

sometimes individuals do not have sufficient understanding to make informed choices

sometimes if an individual were to carry out his/her wishes it would infringe the autonomy of others. It might also raise other ethical issues.

An example of the first occurs when all students must follow a set course of study until they have sufficient knowledge for their studies to be academically viable. Consider this scenario:

A student objects to being required to study a Marxist analysis of economics because she thinks history has shown Marxism to be valueless. However, if she is not familiar with this analysis she cannot make an adequate comparison of economic theories. The lecturer is therefore justified in requiring all students to study the Marxist perspective.

An example of the second occurs when a student wishes to alter an aspect of a module, as in the following situation:

For his seminar paper a student wishes to examine an aspect of the topic outside the range of those listed in the module descriptor. If the lecturer agrees to this it will mean the course cannot cover all those aspects of the subject which, by registering on the module, the other students have chosen to study. She therefore refuses to let the student deal with the topic he wishes to discuss.

There are, then, limits to the extent to which ‘respecting autonomy’ requires us to allow others to do whatever they wish.

One way in which academic staff can respect students' autonomy is to provide them with adequate information about study schemes, modules or research projects so that they can make informed choices before embarking on their study. Another way is to provide students with choice as to which aspects of a topic to study whenever this is educationally appropriate and feasible.

Since respecting autonomy is an obligation which everyone has towards everyone else, students should respect the autonomy of members of staff. One way they can do this is by not demanding the attention of staff at times when staff are scheduled to be working on other activities.

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Some questions you might find useful when considering the extent to which autonomy is respected

Do information systems make clear what a study scheme or module entails?

Does the course/module/scheme descriptor make clear the content and any ethical issues of potential sensitivity?

Do schemes/modules allow choice whenever educationally appropriate and operationally viable?

7. Acting with integrity

We have integrity when our actions are integrated with our stated values and objectives such that there is no discrepancy between them – i.e. when we are honest, and try to do what we say we will do. We act with professional integrity when we genuinely strive to achieve the stated aims of our professional activities by providing the service indicated and performing the tasks incumbent upon us as staff and students.

This means that staff should not only try to ensure that study schemes, courses and research attain their stated objectives, but also that learning and research resources which are claimed to be available, actually are. Once a course or research project has been running for some time it is easy to forget that resources – such as up-to-date learning resources - may need replenishing. It also means that students should strive to perform the functions they need to do in order to achieve their learning objectives and contribute to the learning of others.

Some questions concerned with acting with integrity

Do or will schemes/courses/modules achieve the objectives described in scheme/course/ module descriptors?

Do or will students and staff receive the service which the University has undertaken to provide, such as:

- adequate learning resources and experience?- sufficient time and training to do what is expected of them- sufficient guidance, feedback and access to tutors

Are up-to-date learning resources available as far as is reasonable?

8. Seeking the best results - (1) minimising harm

Whether students or staff, we are ethically obliged to anticipate as far as possible any harm which our teaching and learning activities could cause. We should then take every reasonable step to ensure they do not do so. If there are any risks to those involved these should be clearly stated to them in advance.

What counts as harm may be a matter of debate, but most frequently it is seen as whatever damages the interests of individuals – students, staff, other members of the University and anyone affected by its activities.

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Harm also includes the interests of institutions, universities, professions and communities.

Damage to the interests of individuals includes physical harm, psychological harm - such as unreasonable stress - invasion of privacy, damage to the social fabric of an individual's community and commercial harm for those involved in business or entrepreneurial activity. Although higher education activities are expected to be challenging - and their value might be questioned if they are not - there is usually a clear difference between a challenging activity giving rise to some stress and it causing unreasonable stress or personal distress.

Lecturers should be sensitive to the possibility of people being personally distressed by the subject matter of a course or module and should think about how this can be avoided. Sometimes academic objectives which at first seem to require activities which risk causing distress may be achieved in other ways.

For example, a module in ethics requires students to consider whether there are any types of human acts which are so intrinsically bad that they can never be justified. If they think there are, students are required to identify factors which make such behaviour unjustifiable. If this issue were to be made a focus for seminar discussion, acts such as rape and child abuse might be mentioned as examples of intrinsically bad acts, and group discussion of such topics could cause distress to some people present. To avoid this, the lecturer could ask students to consider the concept of ‘intrinsically bad acts’ by analysing examples of their own choice in written work, to which the lecturer can respond, rather than make the issue a topic for group discussion.

Whenever possible, lecturers should alert students if some might be distressed by issues which could arise in a course or module. In addition, students should consider whether points they might make in discussion could cause distress to others. Lecturers should also give thought to how to deal with distress if it occurs.

Distress can also be caused to students when as part of a learning process physiological or psychological data is collected about them which could indicate an aberration from the norm. If this is possible it is ethically important that students are made aware of this and given an opportunity to withdraw from the activity in question.

Unreasonable stress can arise as a result of workloads being disproportionate to the time participants have available, or as a result of the way assessments are scheduled. While some bunching of assessments within the academic year is inevitable, consideration should be given by course designers to the pacing of demands on the staff and students involved.

Some questions you might find useful when considering the importance of minimising harm

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Has sufficient care been given to anticipating any physical or psychological harm or unreasonable stress which learning and teaching activities might cause to students and staff?

Do students and staff strive to minimise stress which may be caused by giving and receiving feedback?

Have all measures been taken to eliminate possible harm or to reduce it as far as possible?

Are measures in place to ensure the confidentiality of personal and commercial data dealt with in learning processes?

If some adverse effects may be caused by proposed learning and teaching activities, are they ethically justified?

Should a course, module or research project be rejected or discontinued if its objectives cannot be achieved without the risk of harm? What is the justification for continuing it?

If risk of harm is foreseeable, is this clearly stated to all involved as soon as possible?

Are research supervision and examination procedures - such as vivas – designed to minimise harm to all concerned as much as possible?

9. Seeking the best results – (2) using resources as beneficially as possible

Most people feel they could always do with more resources - even if only more time! We have an ethical obligation is to use available resources – including the time, expertise and energy of ourselves and others, the learning opportunities of students, and the facilities, budget and reputation of the University - to achieve the best possible outcomes. The best outcomes are those which as far as possible meet the needs of individuals, the University and society at large. Since these needs often conflict, decisions have to be taken about which needs to prioritise or about how best to achieve a compromise between their demands. Staff and students are asked to bear in mind the obligation to use resources beneficially and to make these decisions in the spirit of these guidelines. The obligation to strive for the most beneficial results may itself also have to be balanced against the ethical concerns to avoid harm, respect autonomy, treat people fairly and act with professional integrity.One implication of the obligation to use resources beneficially is that, when reviewing courses and modules, staff and Fields/Divisions should consider amending them not only to incorporate recent academic developments but also to meet changing social needs as well as changing career needs of students. Another is that staff and students should consider how to produce the most valuable outcomes they can from the resources and opportunities at their disposal.

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Some questions you may find useful when considering how resources may be used as beneficially as possible

Are study schemes/courses/modules designed to meet students' appropriate educational needs as much as possible?

As far as is feasible, do schemes/courses/modules produce the greatest benefits from the resources they absorb - such as students' time and opportunity to study, and the University's facilities?

Do students make best use of the resources available to them e.g. by intelligent use of material in the Learning Resources Centre, by attending and preparing for tutorials, by consulting staff about work in progress, by turning up on time etc?

10. What you should do next

Lecturers are asked to follow the following procedures:

All teaching proposals – whether for new work or work that is to be revalidated - must be approved by a Faculty Quality Assurance Committee (FQAC). Subject/Divisions must consider the ethical aspects of proposals when developing the work and if possible design courses/modules which do not cause ethical concerns. When courses or module descriptors are sent for approval to FQAC, or a validation panel acting on a FQAC’s behalf, they must explicitly state if the courses/modules have ethical issues and if such issues have been identified how the team intend to address them. Your Faculty Ethics Champion can advise you of more detailed procedures. Once a teaching proposal has been approved by an FQAC the current module/course leader is responsible for reviewing and monitoring the ethical aspects of its operation and contacting the Faculty Ethics Champion if there are concerns.

If you are involved in learning and teaching procedures which includes research on human or animal subjects, or with supervising or conducting research projects at undergraduate/postgraduate or postdoctoral level, or your own staff research, you should read the University's General Guidelines for Research and Consultancy and the guidelines of relevant professional bodies.

Forms and advice are available from your Faculty Ethics Champion and the Research Office. All ethics related documents published by the University are also available on the Research Office's website.

This booklet will be revised as experience and implementation of the ethics review systems develop. Members of the University are invited to suggest ways in which future versions of it may be improved.

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Fairness

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Autonomy IntegrityResults – minimizing harm, maximizing benefits

If you are interested in considering more fully how these four principles relate to professional practice, please refer to:

Working Ethics – how to be fair in a culturally complex world by R Rowson, Jessica Kingsley Publishers, London, 2006, copies of which are in LRC of the University. Richard Rowson is a Visiting Fellow of the University of Glamorgan.

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Section 4.2: General Ethical Guidelines for Research and Consultancy

1 Introduction2 General Ethical Responsibilities3 What You Should Do Next

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This version of this handbook may be subject to amendment as ethical review systems develop.

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Section 4: 17

1. Introduction

1.1 Scope of these guidelines

These guidelines identify the general ethical issues which should be considered by all researchers and consultants within the University - whether they are members of staff, post-graduate or undergraduate students. They should also be considered by those engaged in teaching and learning activities which involve research on human or animal subjects. There is a companion document Ethical Issues in Teaching and Learning, available on the Research Office’s web pages..

Definition of research

'Research for the purpose of the RAE is to be understood as original investigation undertaken in order to gain knowledge and understanding. It includes work of direct relevance to the needs of commerce and industry, and to the public and voluntary sectors; scholarship80; the invention and generation of ideas, images, performances, artefacts including design, where these lead to new or substantially improved insights; and the use of existing knowledge in experimental development to produce new or substantially improved materials, devices, products and processes, including design and construction.

In these guidelines “research” includes:- market and corporate research- undergraduate and postgraduate dissertations- Masters by Research, MPhil/Ph.D and Professional Doctorates

and postdoctoral projects- staff research projects

Research and consultancy in some areas may also be subject to the ethical guidelines of specialist and professional bodies, such as the British Psychological Society, the British Computing Society and the Royal Institution of Chartered Surveyors. These University guidelines are not intended to take precedence over such specialist guidelines.

Whatever your area of work, you should first ascertain whether any specialist codes are relevant to it. You should also ascertain whether you need to seek approval for your work from a specialist body as well as from your Faculty Research Programme Committee (FRPC) or your Faculty Research & Scholarship Committee.

80 Scholarship for the RAE is defined as the creation and development and maintenance of the intellectual infrastructure of subjects and disciplines in forms such as dictionaries, scholarly editions, catalogues and contributions to major research databases.

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1.2 Responsibility for complying with relevant ethical and legal guidelines

Ethical responsibilities

Members of staff with responsibility for undergraduate, postgraduate or post-doctoral research projects, as well as for their own research and consultancy, are responsible for ensuring that everyone involved in their projects is aware of and agrees to abide by, the relevant guidelines.

Since these guidelines are expressed as general ethical concerns, individuals must judge how best to apply them to their own situations. To help them the University has appointed Faculty Ethics Champions (FECs) in each Faculty who can discuss how the guidelines may relate to particular circumstances. Ethics Champions are not, however, responsible for giving ethical approval to proposals – that is the responsibility of Faculty Research Programmes Committees (FRPCs) or Faculty Research & Scholarship Committees (R&SC). Staff engaged in research are required to have read the appropriate guidelines and to undertake necessary action. For information on how to do this see section 3: “What you should do next”. Section 3 also explains what to do to secure approval for consultancies.

Once a proposal for research or consultancy has been approved, someone - consultant, research supervisor, research leader or individual researcher, depending on who is in the best position to monitor procedures – should take responsibility for identifying and addressing ethical issues in the continuing project. They should contact their FEC, FRPC or R&SC if they need advice, but FECs are not in a position to monitor projects.

Legal responsibilities

These guidelines should not be seen as a guide to legality.

Although you are generally likely to be acting legally if you give due regard to the ethical concerns outlined here, this cannot be assumed. For example, although you may take into account ethical points about confidentiality and the use of data, any research which involves the processing of personal data will also have to comply with the Data Protection Act, in which ‘processing’ includes obtaining, recording and holding information and data, carrying out operations on them, and using, disseminating and destroying them. When dealing with data on human subjects you should consult the University’s Data Protection Policy, or contact the University’s Data Protection Officer to ensure compliance with the Data Protection Act. You should also take account of the following documents, some of which set out the University’s policies for compliance with legal requirements:

Research Good Practice Policy RAE Code of Practice Research Misconduct Policy Equality and Diversity Policy Race Equality Policy Staff Complaints and Public Interest Disclosure Procedures

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Academic Policy and Regulations Environmental Policy Statement Equal Opportunities Equal Opportunities Statement Health and Safety Statement

The University is in the course of producing further legal guidelines for researchers and consultants, especially for those who may become aware of illegal activities during the course of their work. Until these legal guidelines are available, if you think your research or consultancy may raise legal issues you should refer to the University Secretary.

2. General Ethical Concerns

Ethics is a complex subject, but in professional contexts its four central concerns are:

to treat people fairly

to respect the autonomy of individuals

to act with integrity

to seek the best results - by avoiding or minimising harm and by using resources as beneficially as possible

Mnemonic: f a i r

Sometimes more than one of these ethical concerns may be relevant to a situation. Dilemmas occur when they conflict and when this happens their different demands have to be weighed against each other. Only then can we decide whether to aim for a compromise between them or to give priority to one over the others. In some situations, for instance, it may be impossible to achieve beneficial outcomes without causing some harm.

For example, research into pain management may not be able to achieve its objectives without first causing pain which can then be controlled by experimental means. Causing such harm may be ethically justified, but only if certain conditions are met, such as individuals volunteering to undergo the pain and making an informed choice not only to enter the project but also to continue with it. Moreover, the beneficial outcomes of the research must be expected to be considerable.

There are, then, situations in which we may be justified in not acceding totally to the demands of all the ethical concerns, or in not regarding the demand of any one of them as absolute. But we can only decide to which concern to give priority, or how to balance the demands of the concerns, after considering what they each require in particular circumstances. In such situations there may be no objectively ‘correct’ decision, only the one we decide is ethically appropriate and defensible. In this way staff and students are asked to exercise their discretion in the spirit of these guidelines and to be accountable for the way they exercise that discretion.

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While all research and consultancy must be considered in relation to the four concerns, especial care must be given when research and consultancy may involve:

- deception- intrusive interventions- working with vulnerable groups- sensitive topics- groups whose members can only be accessed through a gatekeeper- access to records of personal or confidential information

The following paragraphs indicate how the four concerns relate to research and consultancy.

2.1 Treat everyone fairly

The basic principle of fairness can be summed up as:

- treat alike people who are alike in relevant respects- treat differently people who are different in relevant respects.

We treat people fairly by treating them alike unless there is a sound reason for treating them differently. There is a sound reason for treating people differently only when there is a difference between them or their situations which is relevant to the way we might treat them. Differences which are irrelevant to the way they might be treated do not justify treating them differently.

For example, if a research project affects people of different cultural traditions their various sensitivities should be given equal consideration by the researchers. Greater sensitivity should not be shown to those whose cultural background happens to be the same as that of the researchers, since the fact that some participants share their background is irrelevant to the appropriate treatment of participants by researchers.

Generally speaking, we treat people fairly if we:

provide everyone with the same consideration and respect do not allow any personal views or sympathies we may have to

affect the quality of our treatment of each individual treat individuals differently from each other only when there

are differences between them which are relevant to our treatment of them

when there are relevant differences between individuals, treat them in ways which are appropriate to those differences

2.1.1 To be fair we should meet the needs of everyone involved in or affected by a project

Researchers and consultants should ensure that the needs of everyone who is involved in, or may be affected by, their work are met as far as possible.

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“Needs” include sufficient information, guidance, equipment, support and other resources to:

participate fully in the project deal with the effects of the project. These effects may occur

while the project is in operation, after it has been completed, and after the dissemination of its findings.

Communities as well as individuals may be affected by projects and so have needs arising from their execution and consequences.

2.1.2 To be fair we should protect the interests of everyone affected

Researchers and consultants should protect the interests of everyone affected by their work. It is easy to regard the interests of people peripheral to a project – eg the relatives and friends of participants - as of little concern. If people could be affected - however minimally – by your work you should take steps to protect their interests.

Some questions to consider:

Do all researchers have equal access to resources necessary to carry out the research?

Do research subjects and people affected by the research have equal access to whatever support is provided to help them deal with its effects?

Do arrangements ensure that students have equal access to research supervisors with appropriate specialisms?

Do arrangements ensure research supervisors are available for at least an agreed minimum for all students? Do supervisors take care not to incorrectly pass on legal/ethical responsibilities to their research students?

2.2 Respect the autonomy of all individuals

We respect autonomy when we:

equip individuals – participants, subjects, researchers and clients - to make informed decisions about what they do and how they wish to be treated

provide individuals with opportunities for making informed decisions

do not prevent individuals from acting in accord with their informed decisions.

Respecting autonomy does not mean, however, allowing everyone to do whatever they wish, for two main reasons:

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sometimes individuals do not have sufficient understanding to make informed choices

sometimes if an individual were to carry out his/her wishes it would infringe the autonomy of others. It might also raise other ethical issues.

It is the responsibility of researchers and consultants to respect the autonomy of everyone involved in a project, including clients, researchers, subjects and those who may not be actively involved in the project but about whom data is used.

Respecting autonomy normally requires:

obtaining informed consent

avoiding practices and methodologies which involve:- deceit - dishonesty- invasion of privacy - breaking confidentiality- using data for purposes not clearly explained to participants.

If researchers or consultants wish to deviate from these norms, the onus is on them to justify doing so and to specify what safeguards they will put in place to prevent harm to people’s interests..

2.2.1 Informed consent

The Data Protection Act is based on the idea that “informed consent” is“Any freely given, specific and informed indication of wishes by which the data subject signifies his/her agreement to personal data relating to him/her being processed.” This general definition is appropriate when taking account of the following ethical points:

a) Research should be based on the freely given informed consent of those under study.

b) It is the responsibility of researchers and consultants to explain as fully as possible, and in terms meaningful to those being asked to be participants:

i. the aims and the nature of the projectii. who is undertaking itiii. who is funding itiv. its likely durationv. the possible consequences of itvi. all likely disclosures of personal data vii. how the results are to be disseminated. viii. If participants are unlikely to receive any benefits as a result of

the project this should be made clear to themix. Procedures by which participants may make complaints about

the conduct and nature of the work should also be made clear

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x. It should be made clear how far participants will be afforded anonymity and confidentiality.

c) If there is a likelihood of data being shared with or divulged to researchers or other people involved in the project, this must be explained and the reasons for it given. The potential uses of the data should also be discussed with the participants and their agreement to such uses obtained.

d) While a researcher or consultant should take every practicable measure to ensure the confidentiality and anonymity of participants, s/he should also take care not to give unrealistic assurances or guarantees of confidentiality. Participants with easily identifiable characteristics or positions within an organisation should be reminded that it may be difficult to disguise their identity without distorting the data.

e) Participants should be given the option of rejecting the use of data-gathering devices which make sound and vision recordings.

f) Where participants are young children or other vulnerable groups such as older, disabled or sick people or people with learning difficulties, whose understanding is impaired in some way so that they are unable to give full informed consent, it may be necessary to use a proxy in order to gather data. In this case great care must be taken not to intrude upon the privacy of the vulnerable participants. Researchers and consultants should discuss the issue with relevant professionals, parents/guardians, relatives, partners or significant others as appropriate. They should attempt to obtain the informed consent of children and their parents and, in relation to school children, of those in loco parentis.

g) The power imbalance between researcher and researched, consultant and others, should be addressed.

i. Care should be taken to ensure that the latter are not pressured or coerced into participation

ii. Participants should be made aware that they have a right to refuse participation whenever and for whatever reason and should not be given the impression that they are required to participate.

iii. It should be recognised that a project may involve a lengthy data-gathering period and that it may be necessary to regard consent not as obtained once and for all, but subject to renegotiations over time

2.2.2 Confidentiality and Anonymity

a) The anonymity and privacy of research participants should be respected and personal information relating to participants should be kept confidential and secure. Researchers and consultants must comply with the provision of the Data Protection Act and should consider whether it is proper or appropriate even to record certain kinds of sensitive information.

b) Please note that in certain circumstances researchers may have a legal obligation to break confidentiality.

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If there is a possibility that a proposed project may reveal knowledge of illegalities you should consult the University’s Data Protection Officer or the Secretary of the University before submitting the proposal for ethical approval to your FRPC or R&SC..

c) Researchers and consultants should anticipate any likely threats to the confidentiality and anonymity of data and should normally keep confidential the identities and research records of participants, whether or not an explicit pledge of confidentiality has been given.

d) Where possible researchers and consultants should anonymise personal data such that it would not be possible for the University, its staff, students or researchers, to identify an individual from that data and any other data held or likely to be obtained.

e) Studies which involve data about non-volunteers based upon observation or records (whether or nor explicitly confidential) must respect the privacy and well-being of the subjects

2.2.3 Covert Methods in Research and Consultancy

With the exception of medical research, or other research for which there is a substantial public interest, it is difficult to see whether any research or consultancy involving covert methods could be legal under the Data Protection Act. The Act specifies that for personal dataobtained on the data subject to be fair, it is necessary to take account of whether any person from whom the data is obtained has been misled or deceived as to the purpose of the processing.

a) It is recognised that there is a continuum of covert-overt methods and therefore difficulty in defining a project as entirely covert or overt. Researchers and consultants should, however, endeavour to avoid the use of deception since this violates the principle of informed consent and may invade the privacy of those under study, particularly in non-public places. If it seems to researchers and consultants that the employment of covert methods is the only means to obtain data required, they should consult the University’s Data Protection Officer.

Covert research in non-public places or experimental manipulation of research participants without their knowledge should be a last resort when it is impossible to use other methods to obtain the required data. In such cases it is particularly important to safeguard the anonymity of participants and to consult the University’s Data Protection Officer.

b) In all cases in which it is considered necessary to use covert methods researchers and consultants should consider whether the likely benefits of the project justify the ethical unacceptability of doing so. One justification might be that the research is in the substantial public interest.

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Some questions to consider:

Do the objectives or methodology of a research project respect the autonomy of human subjects, researchers and respondents? Do the objectives or methodology of a research project fail to respect the autonomy of others because they involve deceit, dishonesty, invasion of privacy or breaking confidentiality?

Are all likely participants - subjects and researchers - fully informed of the nature of the research before deciding whether to participate or to allow information about themselves to be used?

Is the situation in which people are invited to take part in research such that they will not feel pressured or coerced to do so?

Will the consent of participants be gained before research proceeds?

Is written consent to take part in research ethically appropriate?

If it is not intended to obtain written consent, are there reasons which justify not obtaining it?

Are appropriate arrangements made for obtaining consent of vulnerable adults and children or their representatives when relevant?You may wish to refer to the guidance for researchers produced by the National Children’s Bureau which can be found in the “research” section of the NCB website: www.ncb.org.uk

Can participants withdraw from the project at any time without feeling they might be penalised?

Are procedures for complaint easily accessible and made clear to participants? Are research data to be used in ways not clearly stated to researchers and subjects? (‘Subjects’ may include people who are not actively involved in the research but about whom data is used)

Do supervisors enable students to choose their topics for research as far as possible?

These questions on research are not only concerned with respecting autonomy but with requirements of the Data Protection Act, which should be referred to.the appropriate member of staff in LCSS

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2.3 Carry out research and consultancy with integrity

We have integrity when our actions are integrated with our stated values and objectives such that there is no discrepancy between them – ie when we are honest, and try to do what we say we will do.

Research and consultancies are carried out with integrity when researchers and consultants genuinely strive to achieve the objectives of sound research by ensuring valid methodology, availability of all necessary resources, objective research processes and well-grounded findings. Research which lacks integrity is ethically unacceptable as it not only misrepresents what it claims to be but also mis-uses resources

The objectivity and impartiality of research can be threatened if it is in any way dependent on a sponsor, institution or participants who have particular interests or values. Researchers should therefore ensure that the objectives of all parties are clearly articulated at the outset, that any potential conflicts of interest are made clear and that the project is set up in such a way that it is independent of any special interests. It will then avoid being invalidated by “hidden agendas”. Consultants should make clear to participants who is paying for the project and the objectives of all parties involved.

Some questions to consider:

Will up-to-date resources be available during the course of this research or consultancy?

Will the methodology achieve its stated objectives?

Is the impartiality of the project at risk of being compromised by dependence on a sponsor or an institution with particular interests?

Is it clear that the research is not a “cover” for commercial activity?

Are the contacts gained through the project likely to be used at a later date for commercial activity?

Do staff, researchers and participants get promised facilities and support to carry out the project and cope with its impact, not merely during its execution, but after its completion?

2.4 Seek the best results - (1) minimise harm

Whether students or staff, we are ethically obliged to anticipate as far as possible any harm which research and consultancy activities could cause and should then take every reasonable step to ensure they do not do so. If there are unavoidable risks to participants these should be clearly stated in advance.

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What counts as harm may be a matter of debate, but most frequently it is seen as whatever damages the interests of individuals – students, staff, subjects, researchers etc, and the interests of universities, professions and communities in which projects takes place.

2.4.1 Avoid harm

a) A primary ethical responsibility of researchers and consultants is to avoid causing harm. This consideration should be an over-riding factor at all stages in a project, such as the formulation of objectives, design and development of methodology, conduct of research, and presentation, dissemination and use of findings.

b) Harmful effects may occur some time after cessation of the project and publication of results. The possible consequences of every stage should be assessed and every measure taken to ensure safety and prevent adverse effects on researchers, clients, subjects, individuals about whom data is used, others in the community in which the work occurs and those who could be affected by its results.

c) Harm to individuals includes physical harm, psychological harm - such as unreasonable stress - invasion of their privacy, damage to their self-esteem, damage to the social fabric of their community and commercial harm of those involved in business or entrepreneurial activity.

d) Distress can be caused to research subjects when physiological or psychological data is collected about them which could indicate an aberration from the norm. If this is possible it is ethically important to make individuals aware of this and give them an opportunity to withdraw from the activity in question.

e) Harm may also include damage to the reputation of the research discipline and University and damage to the interests of future research and consultancy. Such damage can be caused by a project which is ill-conceived, carelessly executed or irresponsibly used.

f) If the objectives of a project cannot be achieved without risk of harm researchers and consultants should consider abandoning the project. They should only apply for approval to continue if they can provide an overwhelming justification for doing so. Should approval be granted, they must make clear to all who may be involved in or affected by the project that the risk exists, and must ensure every effort is made to reduce it. This may include providing counselling, if subjects may become distressed by the project, and providing information about services or help which people affected by the project may seek if they have unmet needs or expectations.

g) If a project becomes more stressful than anticipated, researchers and consultants should stop the process and consult colleagues.

h) There are helpful suggestions for identifying risk in the Economic and Social Science Research Council’s (ESRC) Research Ethics Framework, Section 2

i) N.B 1 If you think there is a possibility of harm occurring during the

course of a project you should consult the University’s Data Protection Officer. If harm occurs the research exemptions under the Data Protection Act cannot be used.

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2 If there is a possibility that a proposed project may reveal knowledge of illegalities you should consult the University’s Data Protection Officer or the Secretary of the University before submitting the proposal for ethical approval to your FRPC or other appropriate body.

Some questions you might find useful when considering the importance of minimising harm

Has sufficient care been given to anticipating any physical or psychological harm or unreasonable stress which research and consultancy activities might cause to students, human or animal subjects, staff and clients?

Have all measures been taken to eliminate possible harm or to reduce it as far as possible?

Has research methodology been designed to eliminate as far as possible any adverse effects on subjects, researchers, institutions or communities from the conduct of research or publication of its findings?

Is research supervision designed to minimise harm to all concerned as much as possible?

In research will measures be in place to protect the confidentiality of research participants?

If some adverse effects may be caused by proposed research or consultancy, are they ethically justified?

Should a research or consultancy project be rejected or discontinued if its objectives cannot be achieved without the risk of harm? What is the justification for continuing it?

If risk of harm is foreseeable, is this clearly stated to participants as soon as possible?

2.4.2 Seeking the best results – (2) use resources as beneficially as possible

We have an ethical obligation is to use available resources – including the time, expertise and energy of ourselves and others, and the facilities, budget and reputation of the University, to achieve the best possible outcomes.

Researchers and consultants should consider how to produce the most valuable outcomes they can from the resources at their disposal.

For example, opportunities for sociological or anthropological research in a remote community may be strictly limited. For, once such a community has been the focus of a research

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project, it may be changed by contact with people from outside and so lose some of its value as a resource. Researchers should therefore consider whether their proposed project is the best use of the resources that community affords, as well as taking into account the possible impact of their research on the community.

There may be other limits on resources: access to an archive may be restricted, people involved in research may experience ‘research fatigue’ and there may be few grants for projects in a particular area. It is therefore important to ask of any research whether it is focused on the most valuable aspects of the available material, and whether it is likely to make the best use of the opportunity for research in that area. It may be that identifying different objectives or redesigning the project could produce greater benefits

The best outcomes are those which as far as possible meet the needs of individuals, the University and society at large. Since these needs often conflict, decisions have to be taken about which to prioritise, or about how best to achieve a compromise between them. The obligation to use resources beneficially may itself also have to be balanced against the ethical concerns to avoid harm, respect autonomy, treat people fairly and act with professional integrity.

2.4.2.1 Use resources as beneficially as possible

(a) Resources include funding, institutional and client facilities, the input of researchers and subjects and sources of material – such as archives, experimentation and data about individuals and communities. Resources also include opportunities for research and consultancy: funding may be available for only a limited number of projects in a particular area and there may be a limit to how many times projects can be carried out in a particular locus.

(b) It is the responsibility of researchers and consultants to obtain the greatest benefits they can from the resources they use. In general terms benefits may be seen as whatever promotes the welfare of living beings. In practical terms most projects contribute to this by aiming for more limited objectives. Projects should be designed to achieve the most beneficial use of resources. If it becomes clear that a particular project will not do this consideration should be given to using fewer resources or putting forward an alternative project.

Some questions to consider Is the project the most beneficial use of resources - the potential research data, budgets, facilities and participant's input and sponsor's resources? If not, should an alternative project be put forward, or fewer resources used?

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Do research supervision practices make the best use of students’ opportunity for research and the time given to it by staff?

3. What you should do next...

If you have a proposal for research:

You are asked to participate in the following:

Proposals for research must be approved by a FRPC or R&SC before the project begins. Evidence that ethical aspects of the research have been addressed will be required by FRPC for registration/transfer purposes. As Faculties have different arrangements for facilitating this, your Faculty Ethics Champion will inform you what these are. It may be that your research proposals must be first considered by a Subject/Division, research unit, ethics committee or Faculty Ethics Champion before being sent to your FRPC or R&SC.

A FRPC or R&SC may give staged approval for a research project, or may make approval conditional upon further approval by outside professional bodies.

Once a research proposal has been approved by FRPC, R&SC, research supervisors, research leaders or individual researchers – depending on who is in the best position to monitor procedures - are responsible for identifying and addressing ethical issues in the continuing project.

If you have a proposal for consultancy:

Arrangements for dealing with consultancies to be confirmed

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FairnessAutonomy IntegrityResults – minimizing harm, maximizing benefits

If you are interested in considering more fully how these four principles relate to professional practice, please refer to: Working Ethics – how to be fair in a culturally complex world by R Rowson, Jessica Kingsley Publishers, London, 2006, copies of which are in LRC of the University. Richard Rowson is a Visiting Fellow of the University of Glamorgan.

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Section 4: 32

Section 5: Data Protection

5.1 Data Protection Handbook5.2 Data Protection Issues for Researchers

Section 5: 1

Section 5: 2

Section 5.1: Data Protection Handbook

1 Introduction2 Data Protection Policy Statement3 Data Protection Principles4 Rights of Data Subjects5 Sensitive Personal Data6 Processing of Personal Data for Research7 Statistical Information8 Assessment marks, scripts and awards9 Student Debt10 Procedures for Subject Access11 Guidance on References and other Reports on

Individuals12 Consultants, Contractors, Part-time, Voluntary Staff

and other Third Parties13 Careers and Counselling Services14 Processing of Personal Data by Staff and Students15 Privacy Statement and Surveillance Policy16 Closed Circuit Television and other Storage Media17 Further Information

Section 5: 3

Section 5: 4

1. Introduction

The Data Protection Act 1998 repeals the original Data Protection Act of 1984 and incorporates the EU Directive 95/46/EC on Data Protection into UK law. This new legislation is part of a series of laws to update the rights of individuals in this new age of information.

A glossary of terms is given in Appendix 1.

2. Data Protection Policy Statement

The University of Glamorgan seeks to ensure that all its purposes for, and processing of, personal data will comply with the Data Protection Act 1998. In particular, the University will seek to ensure that the rights of all data subjects for which it has responsibility are observed and that these rights are made explicit.

In addition, the University will put in place mechanisms for data subjects to appeal against any decisions on data subjects’ rights made by the University. Such mechanisms will not prejudice any legal rights of data subjects.

Responsibility for ensuring compliance with this legislation resides with the Directorate and Governors of the University. Operational responsibility for ensuring compliance with specific purposes and processing will be delegated to named data owners, which may be departments, faculties, research centres or units, or individuals.

3. Data Protection Principles

The following eight principles form the foundation of the Data Protection Act 1998. All data owners within the institution are obliged to follow these Principles.

1. Personal data must be processed fairly and lawfully and shall not be processed unless certain conditions are met.

N.B. The definition of “processing” (see Glossary) covers all conceivable operations on data from initial capture through to, and including, destruction.

Data owners are to ensure that personal data are processed according to one or more of the following conditions:

The data subject has consented to the processing. Consent should be “freely given, specific and informed”. It is not necessary for written consent to be obtained in all circumstances unless sensitive data (defined later in this Section) are to be processed. Data owners should provide details of all the purposes, processing and disclosures, and take care that no misleading details are given to data subjects;

To perform a contract to which the data subject is a party or to take steps at the request of the data subject so that such a contract can be entered into. Personal data processed for employment contracts or student enquiries, admissions and enrolment are examples of this category.

Section 5: 5

To comply with a legal obligation imposed on the data controller otherwise than by a contract. Data owners will need to identify any legal obligation and be able to inform data subjects of specific instances of any disclosures.

To protect the vital interests of the data subject. This condition is restricted to life-threatening circumstances.

For the administration of justice.

For the exercise of any function conferred by an enactment. Data owners will need to identify the specific enactment. This condition should be distinguished from the condition identifying a legal obligation imposed on the data controller. This condition refers to any specific statutory function that the data controller carries out. It is most likely to apply to Local Authorities, e.g. Council Tax.

For the exercise of any functions of the Crown, a Minister of the Crown or a government department.

For the exercise of any function of a public nature exercised in the public interest.

For the data Controller or any third party to whom the Data is disclosed to pursue their legitimate interests. However, this must be balanced against the rights of and freedoms of the Data subject. Data owners are advised only to use this condition if it is not possible to use any of the other conditions or to do so would involve a disproportionate effort. Advice should be sought from the University’s Data Protection Officer on the use of this condition.

Other specific circumstances that may be ordered by the Secretary of State from time to time. None specified to date.

The Act defines the following categories of personal data as ‘sensitive’:

Racial or ethnic origin of the data subjectTheir political opinionsTheir religious or other beliefs of a similar natureWhether the data subject is a member of a trade unionTheir physical or mental health or conditionTheir sexual lifeThe commission or alleged commission by the data subject of any offenceAny proceedings for any offence committed or alleged to be committed by the data subject, the disposal of such proceedings or the sentence of any court in such proceedings

Any data owner wishing to process any of the above items of data should see Section 6 on Sensitive Data

2. Data must be obtained only for one or more specified and lawful purposes and must not be processed in any way that is incompatible with that purpose or those purposes.

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The use of modern information systems with integrated databases enables more sharing of data and reduces the need for multiple collection points for that data. Consequently, data owners should exercise great care in ensuring that data processed for one purpose is not processed for a different purpose in breach of this Principle. The risk of this occurring is greater if consent of the data subject was not required or a too wide-ranging consent was obtained in attempting to comply with the First Principle.

N.B. There is a limited exemption of this Principle for research purposes. This is covered under Section 7

3. Personal data shall be adequate, relevant and not excessive in relation to the purposes for which they are processed.

Data owners should ensure that only relevant data is processed. Data owners should not collect personal data on the premise that it might be useful at some stage in the future. If there is no reason to collect the data for a specified purpose, then it should not be collected.

4. Personal data shall be accurate and kept up to date.

Checks for accuracy are essential for maintenance of the University’s data. Data owners should put in place procedures for ensuring the data is verified for accuracy and the data is kept up date. A basic minimum would be annual updating for both staff and student data, together with rapid updating for specific items of data.

5. Personal data processed for any purposes shall not be kept longer than is necessary for those purposes.

Data owners are responsible for determining how long personal data can be retained and for the safe disposal of that personal data when it is no longer required.

The University has policies and procedures in place, which cover the disposal, archival and retention of personal data relating to data subjects. (work outstanding)

N.B. There is a limited exemption from this Principle for research purposes, provided that the research adheres to specific conditions. This topic is covered under Section 7

6. Personal data shall be processed in accordance with the rights of the data subjects under this Act.

The rights of the data subject are central to the approach of the Data Protection Act and data owners should be aware that any breach of the Act could lead to enforcement action from the Information Commissioner.

Such enforcement action could range from minor alteration to some processing to complete cessation of processing together with fines.

7. Appropriate technical and organisational measures shall be undertaken against unauthorised or unlawful processing of personal Data and against accidental loss or destruction of, or damage to, personal Data.

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The University’s Security of Information Policy applies to personal data as well as other categories of data. Data owners must adhere to the University’s Security of Information Policy both in the operation of existing systems and in the planning of new processing and purposes. Data owners are further advised that, where they employ outside agents or contractors for processing of personal data, part of that contract should cover security. Advice on the clauses covering this should be sought from the Purchasing Section within Finance.

Data owners processing certain categories of personal data such as Sensitive Data (defined in Section 3(1)) and other personal confidential data should ensure that the highest standards of security apply. The University expects all such sensitive data processing to be carried out on centrally managed systems (e.g. Student Records System) except in specific circumstances authorised by the appropriate member of Directorate.

The University is currently seeking accreditation to BS7799, which is the 'basic minimum' standard for Security as recommended by the Information Commissioner. Full details are in the University's Security of Information Policy. (In preparation)

Unauthorised disclosure of personal data whether orally or in writing is considered a disciplinary offence.

8. Personal Data shall not be transferred to a country or territory outside the European Economic Area (EEA) unless that country or territory ensures an adequate level of protection for the rights and freedoms of Data subjects in relation to the processing of personal Data.

The EEA includes all member states of the EU together with Norway, Liechtenstein and Iceland. Assessing whether any state outside the EEA ensures the adequate level of protection required in the Principle is not a task to be delegated to data owners. There are, however, a number of conditions which, if met, mean that this Principle will not apply.

Data owners wishing to transfer personal data outside the EEA must therefore comply with at least one of the following conditions:

Written consent of the data subject will be obtained prior to any transfer. Data owners should ensure that data subjects are fully informed of any and all details of the processing, purposes and items of data to be transferred and to whom disclosures are to be made.

At the pre-contractual stage, during the contract and any post-contractual arrangements with the data subject and any other third parties, data owners should ensure that the data subject is fully aware of all the terms of the contract and all associated processing and disclosures.

Data owners should have in place procedures to deal with situations where the data subject withdraws consent at any stage of the contract.

It is important that data owners understand that this Principle applies to the use of the Internet, World-Wide-Web and electronic mail sent outside the

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EEA, as well as the more formal arrangements with institutions and individuals based outside the EEA.

Data owners with responsibility for putting information on the Web should provide mechanisms for allowing individuals not to have personal details made available (the ex-directory scenario).

Data owners who need to transfer personal data outside the EEA and are unable to meet any of the above conditions should consult the Deputy Vice Chancellor (Research and Student Experience) and University Data Protection Officer prior to any transfer taking place.

Full details of the eight principles can be found on the Information Commissioner’s Web Site which gives full details of the 1998 Data Protection Act with guidance notes and helpful advice on the interpretation of the Act.http://www.Dataprotection.gov.uk/principl.htm

JISC Code of Practice. These Codes are available at (www.jisc.ac.uk) In general, the University will follow the guidance in these Codes of Practice but will adapt parts for its own specific requirements.

4. Rights of Data Subjects

Data owners should be aware that the new Act considerably enhances the rights of data subjects, whether they are members of staff, students or other individuals. Moreover data subjects are given more options for redress than under the previous legislation. The seven rights are detailed below.

Right of subject access

Individuals have the right to know:

What types of personal data the University holds and processes about them and why.The identity of other data controllers processing personal data either jointly or in common with the University.How to obtain a copy of the data held. This copy of the data should be in an intelligible form.To whom the data is or will be disclosed.The source of the data, dependent on whether this would identify another individual. In which case due consideration of the rights of that data subject will be necessary. This will be covered in greater details under the Section for References and Other Reports Individuals.

Data owners will be able to address many of these conditions at the point of collection of the personal data if directly obtained from the data subject, i.e through informed consent.

Therefore at the point of collection of the personal data the University will inform staff and students with a statement that shows:

The types of personal data required;The identity of all data controllers involved with the processing;All the purposes, that the University and any other data controllers involved, will undertake using this data;

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All those recipients or classes of recipients to whom this data will be or may be disclosed.

Entering into a contract with the University, of necessity, will require the University to process certain personal data. Staff have a contract of employment with the University; students have a contract to undertake a programme of study at the University. Both staff and students are asked to sign their respective contracts. In the case of students, the contract is entered into both at the time they accept an offer of a place and when they sign an enrolment form. There are a number of other obligations on the University to process personal data e.g. statutory obligations, vital interests and pursuit of its legitimate purposes with due respect for the rights of Data subjects. Personal data processed under statutory and statistical obligations will be limited to those obligations, and personal data processed for contractual obligations will only be processed for essential activities necessary for their contract with the University. In many cases, however, it will be essential to obtain the consent of the data subject prior to processing.

Any data subject who wishes to have access to the data held on them must apply in writing to the University's Data Protection Officer. A fee is chargeable for this, which is subject to change (currently £10). A standard form detailing the information required is available from the University's Data Protection Officer. Appendix XX contains a sample copy of a data subject access request form. (In preparation)

In general, the University has 40 days from the day that a request is received, and the identity of the data subject verified, to supply the data requested. Before data can be disclosed to the data subject, the identity of the data subject must be verified and any other data subjects identified in the data requested contacted with regards to disclosure of data concerned. Details on access rights to exam marks, assessment results and academic awards are in section 9 of this Handbook.

A data subject can ask to see specific types of data held by the University or ask for full disclosure of material held. The University is obliged to provide this data within the limitations of the rights of other data subjects and exemptions, and could face action from the Information Commissioner if it does not provide the data requested.

Any data subject can request the data held more than once, but the University can refuse to provide further Information to the individual if the University feels that requests are excessive and that no material change in the data held has occurred.

The data supplied by the University will relate, wherever practicable, to the data held at the date of the request. The exception to this is in cases where updates and amendments would have occurred which would have been made whether a request for access had been made or not.

Right to prevent processing likely to cause damage or distress

A data subject is entitled to write to the University to prevent processing for a specified purpose if that processing of their personal data is likely to cause unwarranted substantial damage or substantial distress to themselves or another person.

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Damage can cover financial loss, loss such as pain and suffering, loss of amenity, and loss of reputation. Distress can cover shock, fear, anxiety or grief.

This right cannot be exercised if the data subject consented to the processing, the processing is part of a contract with the data subject, the processing is necessary to protect the vital interests of the data subject, or the University is under a legal obligation to process that data.

Data owners will need to comply with this written notice from the data subject within 21 days (and preferably much sooner) either by ceasing that processing, or by giving reasons why that processing should continue. Data subjects, if not satisfied, can apply for a court order. If the court agrees, it can insist that the University complies with the data subject’s notice.

Right to prevent processing for purposes of direct marketing

Again, through a written notice any data subject can require the University to cease or not to begin processing for the purposes of direct marketing. Direct marketing in this instance is defined as the communication of advertising or marketing material which is directed to individuals.

Whilst this part is of particular relevance to the Marketing Department, it is not exclusively so. Data owners responsible for processing data for direct marketing purposes should ensure that their systems are capable of detecting individuals who have objected to this processing, either directly or through the exercise of their rights through opt-out schemes such as those for telephone marketing.

The University will also provide facilities for staff and students and other data subjects to amend the data held on them by supplying amendment forms and guidance notes on its web pages and from its helpdesks.

Rights in relation to automated decision-taking

A data subject has the right to require the University not to make a decision that significantly affects them if it is based solely on the processing of data by automatic means.

The examples of this type of activity are assessing credit-worthiness, performance at work or possible employment, and automated assessment for academic work of students.

All data subjects will be informed in advance as to whether such processing of their personal data will be undertaken. In many circumstances, the data subject should be informed as to the logic of the automated processing. There will, however, be circumstances where it is not considered advisable to give such details. For example, in the case of credit worthiness, such information may lead to increased scope for fraud. In this circumstance, any student who has been assessed automatically for credit worthiness and rejected will have their case fully reviewed prior to communicating the decision to him/her.

It is not anticipated that the introduction of automated assessment for students will be significantly affected by this right. The University’s Quality

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Assurance Procedures address this issue and give guidance to award boards on the consideration of a student’s performance in any automated assessment. Individuals who exercise this right to object will be entitled to have such decisions reviewed through the appeals procedure.

Right to compensation Data owners should be aware that a data subject now has the right to compensation either for damage or damage and distress for any contravention of the Act by the University. If the contravention was in relation to artistic or literary purposes or journalism, then compensation can be for distress alone.

A defence allowed in the Act is that the University has taken “such care as is in all the circumstances was reasonably required to comply with the requirement concerned.” Data owners should therefore ensure that, where the risk to data subjects is clearly foreseeable, appropriate measures should be taken to comply with the Act in those circumstances.

Right to rectify, block, erase or destroy inaccurate data

A data subject now has extensive rights, and can apply to the court to enforce these rights, in relation to inaccurate data or personal data containing an opinion based on inaccurate data.

Data owners should therefore put in place procedures for data subjects to correct inaccurate or out-of-date data, and procedures for staff and students to update basic items of data.

Returning students will receive a copy of their student record from SAS at their annual enrolment. Staff will be given a copy of their record by the Human Resources Department on an annual basis. It is now, however, necessary to wait for this exercise to amend information which is incorrect or out-of-date – information will be updated by Human Resources on receipt of written confirmation by the data subject.

Requests for assessments

Any person, and not necessarily the data subject, has the right to request the Information Commissioner to assess whether the University is complying with the Act in respect of certain specific processing.

It should be noted that the Commissioner has wide discretion in making this assessment, and may advise the person making the request of other options available to them.

5. Sensitive Personal Data

Sensitive personal data has been defined in Section 3. The University processes such data on staff and students in many areas, for example:

Staff records in Human ResourcesAcademic Registry: The student record;Student Services: Data on students with specific needs, plus data on students with individual counselling needs;

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Academic faculties: Data on students with specific needs. Certain academic faculties will have a specified requirement to process sensitive data, e.g. in HeSAS for criminal records checking for enrolling nursing students, and for the Chiropractic patient information system;Campus Services: Specific requirements for dietary, accommodation, and warden duties in Halls;Research Units: Individual research projects may well handle sensitive data.

Due to the sensitive nature of this data and the stringent requirements for its processing, especially with regard to security, the University encourages all departments to make use of centrally managed systems for processing this type of personal data.

In those circumstances where individual departments or research units have to process sensitive data, the data owners will be clearly authorised, by Directorate for faculties and departments, and the Dean of Research for research units and individual researchers. The authorised data owners will be responsible for ensuring appropriate procedures are in place to demonstrate that all such processing is carried out at the same standard as that for centrally managed systems. Security will be that required to meet the British Standard BS7799.

Data owners so authorised will be responsible for ensuring compliance with the following Principles in the Act:

First principle

In addition to complying with the conditions laid down in Section 3(1), data owners must comply with one of the following conditions for processing sensitive personal data:

The data subject has given their explicit consent. This consent must be evidenced in writing usually with a signature.The University is obliged to process this data to comply with legislation on employment, dependent on the Secretary of State or National Assembly for Wales issuing exclusions or further conditions.It is necessary to process this data to protect the vital interests of the data subject or another person and where:-

it is not possible to obtain the consent of the data subject or another acting on their behalf, orthe University cannot reasonably obtain that consent, orin order to protect the vital interests of another and consent has been unreasonably withheld.

The processing is necessary for medical purposes by a health professional (see Glossary) or a person who owes a duty of confidentiality equivalent to such as health professional.

There are several other possible conditions. Data owners who are unable to satisfy the above conditions should contact the University’s Data Protection Officer for further guidance.

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Seventh principle

This Principle is described in Section 3(7). Data owners processing sensitive personal data will have to comply with the most stringent conditions on security as defined in the University’s Policy on Security of Information. This means that compliance with British Standard BS7799 should be an immediate target followed by certification under that standard.

6. Processing of Personal Data for Research

This Section applies to research including undergraduate project work and any market research or corporate research carried out by the University.

The following exemptions are allowed under the Act for research. These exemptions are in place to enable a balance to be made between the positive benefits of research and the need to protect individuals who may be the subject of that research.

In order that the exemptions can apply, researchers should ensure that:

No data are processed that could in any way support measures or decisions relating to particular individuals, including, but not restricted to, the data subject, and

The data are not processed in any way that caused or could cause substantial damage or substantial distress to any data subject.

Where the research is such that these conditions cannot be met, then the research will have to comply with the terms of the Act as with any other processing of personal data.

The exemptions that apply on meeting the above conditions are:

Personal data can be further processed for research purposes even if it was not obtained for that purpose;

Personal data used for research can be kept indefinitely;

The data subject does not have a right of access provided that the results or statistics derived from the results do not identify him/her.

However, researchers should attempt to get individual consent where possible. If that is not possible then researchers may rely on the condition that it is in their legitimate interests to process this data provided that they take in to account the rights and freedoms of data subjects. Researchers are strongly advised to consult with the relevant Faculty Ethics Committees on this matter, whose approval may be needed. (Link with Ethics Policy to be inserted.)

Wherever possible, data that is used for research purposes should be depersonalised so that students and researchers are unable to identify data subjects from the data held. If possible, further protection should be provided by anonymising personal data. Where researchers are able to anonymise

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personal data such that no one in the institution, or acting on behalf of the institution, is able to associate that data with an identifiable individual, the work will not fall under the terms of the Data Protection Act.

In order to comply with the preceding advice, researchers must submit details in their research proposal of the methodology to be adopted in handling personal data and securing such data from accidental damage or unauthorised access.

Researchers should go through the checklist in Appendix XX (in preparation).

7. Statistical Information

The University collates, processes and disseminates statistics based on an aggregation of the data held about data subjects. The University will only publish data that is depersonalised, so that no individual data subject can be identified from the resulting Information.

The University provides comprehensive individual data on staff and student to the Higher Education Statistic Agency (HESA) under the terms of the Financial Memorandum issued by the Welsh Funding Council. Only information needed to fulfil this statutory requirement will be disclosed to HESA without needing the consent of the data subject. For any other request for personal data from HESA or other similar organisations that is not based on a statutory requirement, consent of the data subject, staff or student or ex-student, will be obtained prior to any disclosure.

This information is used by HESA to provide statistical analysis information for Government bodies, Funding Councils and to publish reports on Higher Education. Further details on the work of HESA can be found at http://www.hesa.ac.uk. Details on the Financial Memorandum can be found at http://www.hefce.ac.uk/pubs/hefce/2000/00_25.htm#r_inst

8. Assessment Marks, Scripts and Awards

The terms of the Data Protection Act 1998 for automatically processed examination marks are the same as for the previous legislation (DP Act 1984). However, from 24/10/2001, examination marks held in manual files are likely to be covered and the rules for manual filing systems will apply.

External Examiners and consultants who handle personal data about staff and students should be made aware of the University’s policy on Data Protection and all contracts and agreements should include requirements for its observation.

Examination marks

Examination marks fall outside the normal Data Protection Act 1998 access rules, and have their own rules with regards to access and disclosure of personal data. In general students are entitled to data subject access to their results within forty days of the official publication date of marks, or from up to five months of the date of assessment, whichever is the sooner.

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Students are currently entitled to obtain their exam marks for those that are held on computer and from 24th October 2001 will be entitled to obtain marks held in manual systems.

Examination scripts

Examination Scripts are not accessible under a data subject’s access rights. However the Act makes no mention of examiners’ comments or records on the script. Therefore it can be assumed that the examiners’ comments or inscriptions are available to the data subject. The University should consider either making examination scripts available to data subjects or designing exam scripts such that examiners’ comments can be placed in a tear off script to be available to the data subject.

It should be noted, that “examination” covers “any process for determining knowledge” and could apply to coursework and field work in addition to a formal examination. The examiner could be either the internal or external examiner.

Automated assessments

Data subjects have the right to object should any decision that “significantly affects them” be based “solely on” automated processing. This right is immediately available for any new computer assisted assessment (CAA) introduced after 24/10/98 and any existing CAA after 23/10/2001.

The advice to faculties wishing to introduce CAA is that students should be fully informed on CAA and the University’s appeals procedures. All subject and award boards should scrutinise any CAA mark where such a mark is the module or award determining factor.

Minutes of award progression and assessment boards, subject assessment boards, mitigating circumstances committees and related documentation

The data subject (student) will have the right to see any information relating to them in such Minutes unless it would disclose information relating to another data subject.

All such Minutes should be recorded to minimise the identification of individual board or committee members. Where it is not possible to disclose the Minutes without identifying other individuals, the information pertaining to the specific data subject access request should be extracted and given to the data subject.

Publication of results

The University will adopt the following policy on the publication of results:

Final year classification results will be published in degree ceremony leaflets and in the local press (Western Mail); Progression and completion results posted on a noticeboard must be anonymous. Individual grades should not be posted on a noticeboard. Faculties may choose to inform students by alternative means if appropriate;

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Students will be notified by post of their results;Results will only be given over the telephone or sent by email with prior consent of the student and a valid security system being installed, e.g. prior authentication methods of telephone callers and written verification of student email addresses and use of encryption technology;All students will be informed of these methods on enrolment and entitled to opt-out of any method of publication.

9. Student Debt

The Finance department has procedures for the management of student debtors.

Personal data on students who are in debt to the University may be passed to debt management agencies for the purpose of recovering that debt. Students will be advised that this is a contractual requirement which they entered into on enrolment.

10. Procedures for Subject Access

Requests for subject access to personal data should always be referred to the Data Protection Officer who will provide the data subject with an application form. This will outline the data subject access fee, the types of personal data held by the University, the length of time between a data subject access request and the supply of data and any special arrangements for examination and assessment marks. See Appendix 7 (in preparation).

Once the University receives a request for personal data and proof of identity has been verified, an acknowledgement form will be sent to the applicant confirming the data requested and the timescale for disclosure. See Appendix 9.

On receipt of the data requested a data subject will also receive details on how to amend or update any data that is held on them and in some instances they will have the right to delete the data which they feel is inaccurate or incomplete. Proof may be required that the data held is inaccurate or incomplete. If personal data is amended or deleted all external third party recipients of that data will be informed of the change.

All requests for amendments or deletions to personal data should be made in writing within 40 days of the receipt of the data by the data subject. Requests after this time will not normally be allowed except for normal amendments such as marital status, change of address etc., which can be made at any time.

11. Guidance on References and other Reports on Individuals

The University is not obliged to disclose references given in confidence by the University to outside third parties for the following purposes:

education or employment of the data subject, or prospective education or employment of the data subject ,

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or in connection with the provision or prospective provision by the data subject of any service.

The University has discretion on whether such references can be disclosed on receipt of a data subject access request.

However, the data subject can apply to the third party, who has received that reference, for subject access. The third party will be responsible for determining whether such a reference can be disclosed in a similar manner to the following advice:

In circumstances where the University is in receipt of a reference, or a report from an individual about another individual, or a member of staff writes a internal report or reference on an individual, the following guidelines will apply in response to a data subject access request and the information disclosed:

the information can be anonymised such that the author cannot be identified directly or indirectly;it is reasonable in all circumstances to do so without the consent of the author;the author consents to the disclosure;no duty of confidentiality is owed to the author;the author has not made any express refusal of consent.

Data owners are advised to record all attempts to contact authors of reports for consent.

The University's Policy on References gives details on the disclosure of references to staff and students.

12. Consultants, Contractors, Part time, Voluntary Staff and Other Data Subjects

Any individual, while working for the University as a consultant, contractor, on a part time basis, or on a voluntary basis and any other data subject associated with the University, will be subject to the same terms and conditions under the Data Protection Act 1998 and the University's Policy on Data Protection as its full time members of staff and students.

Where it is practically possible all data subjects should be shown a copy of the University's Policy on Data Protection and be made aware of their rights and responsibilities under the Data Protection Act 1998. Any contract should include the University's Statement on Data Protection and all forms used by the University which collect personal data will include a statement relating to the University's Data Protection Policy and a contact phone number for further Information.

Information regarding the University's Policy on Data Protection is available upon request from the Data Protection Officer, along with any other related documentation.

13. Careers and Counselling Services

Data owners responsible for these services are advised to adopt the specific codes of practice for careers and counselling advisors.

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Students will be provided with guidance on the following:

Data collection, retention and disposal policies;Access to advisor’s notes and any records containing their personal data;Acceptance of the service as part of a contract;Procedures for confidentiality of their records;When disclosures can be made and in what circumstances.

Student Services are permitted to keep “risk registers” containing lists of individuals who may be violent. These registers should be made available to counsellors on a “need to know” basis. Subject access to a risk register may be withheld to protect health and safety of counsellors.

14. Processing of Personal Data by Staff and Students

All staff and students who process personal data must comply with the University’s Policy on Data Protection. All members of staff and all students will be provided with access to a copy of this Policy. Compliance with the Data Protection Act is part of the University’s Regulations on the Use of Computing Facilities.

Student use of personal data

All student use of personal data on University computer systems will be considered to be part of their course of study within this institution. All such processing will be covered by the University’s Notification.

Students who need to process personal data should be under the direct supervision of a member of academic staff, whether for course work or project work.

Students will be advised that processing personal data outside the above remit cannot be conducted on University computing facilities, and that any such processing may require notification to the Information Commissioner.

Staff use of personal data

All staff use of personal data will be undertaken in fulfilling their duties under teaching, research, corporate or consultancy activities. All such processing will be covered by the University’s Notification. Staff should seek authorisation from their dean of faculty/head of department before undertaking any processing of personal data on any computer outside the control of the University. This will include web-sites containing personal data hosted by external organisations.

15. Privacy Statement and Surveillance Policy

Privacy

All users are advised that monitoring of individual usage may occur to ensure compliance with University regulations and all allegations of misuse will be thoroughly investigated, including the examination of files and email in a user's filestore.

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Data owners should be aware that some systems for processing personal data will cover use of services in a private capacity. Such systems will be identified where the processing of personal data is not related to an individual’s course of study or employment. Examples would be use of refectories or Sports Centre, or the introduction of smart cards for non-academic or employment uses.

In such cases, data owners will need to secure personal data from disclosure unconnected with the purpose for which it was processed, even to the extent of refusing to disclose to other departments of the University.

The University has recognised that there will be occasions when limited personal use of the University’s email or internet services may be permitted. However, all such users are advised that any such personal use may be monitored for compliance with University Regulations and the content investigated.

Surveillance

The University will not conduct covert monitoring of staff or students unless authorised by a member of Directorate for exceptional circumstances. Covert monitoring is defined as monitoring where an individual would not reasonably be aware that monitoring could occur.

Monitoring of a student’s use of computing facilities will be authorised by one of:

the Director of Learning and Corporate Support Services,the Head of Information Systems Department,the Assistant Head Research and Policy or the Assistant Head Corporate Systems,

together with the dean of the relevant academic faculty.

Monitoring of staff use of computing facilities will be authorised by the Director of Learning and Corporate Support Services, the dean/head of the relevant faculty/department and the Head of Human Resources.

There must be compelling reasons for monitoring staff or students before authorisation can be given.

16. Closed Circuit Television and Other Storage Media

The Data Protection Act 1998 now also covers other electronic and digital media besides computer based data. This includes Closed Circuit Television (CCTV) and any other means of recording sound and image data.

The Information Commissioner has produced a draft code of practice on the use of CCTV, which the University is currently putting into practice.

The main features of the code of practice are:

Purpose and ownership of scheme

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The University's CCTV use is primarily for the prevention and detection of crime, and for the apprehension of offenders. It also monitors the safety of staff, students and other data subjects while on University premises, including Halls of Residences.

The University, in its Notification to the Information Commissioner, is registered as a data controller and owner of the CCTV scheme in operation at the University.

Documentation

The University is currently updating its CCTV documentation in light of the code of practice from the Information Commissioner, and this will contain full details of the management and security of the University's CCTV scheme including areas covered, the University's usage of the data and its disposal.

Siting of cameras

Cameras within the University premises are sited in a manner such that they only monitor those spaces to which data subjects have access i.e. they do not overlook private gardens, residential areas etc.

Signs showing the University's address, phone number and contact information for details of the scheme will be placed in close proximity to the cameras and will give details on purposes of the CCTV usage. Signs will be sited such that individuals are warned prior to entering such areas, and on entering will be deemed to have consented to being filmed.

17. Further Information

A copy of the Data Protection Act 1998 and copies of guidance notes issued by the Information Commissioner are kept on file by the Data Protection Officer. Also kept is a copy of the University's Data Protection Notification, copies of this Handbook and the University's Data Protection Policy, and any other documentation relating to the Data Protection Act and the Security of Information.

All policies and documentation concerning the University's Data Protection Policy and Principles and supporting documentation can be found on the University's Web pages at (http://lcss.glam.uk/ig/dp/). The University's Data Protection Officer is also able to answer queries.

Further help and guidance can be found on the Information Commissioner’s home page at www.ico.gov.uk or by contacting the Information Commissioner’s Office:

Information Line 08456 30 60 60Email: wales@ico.gsi.gov.uk

Guidance from JISC is available at: http://www.jisc.ac.uk/pub00/dp_code.html

Advice is also available from an HEFCE funded project at Lancaster Universityhttp://www.lancaster.ac.uk/dataprotection/

Other relevant documents are:

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Regulations on the Use of University Computing Facilities

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Appendix 1

GLOSSARY OF TERMS

Accessible record a health record consisting of information relating to the physical or mental health or condition of an individual and has been made by or on behalf of a health professional in connection with the care of the individual;

an accessible public record which by a Housing Act local authority, local social services authority or health and social services board.

Business Includes any trade or profession.Data Means information which:

is being processed by means of equipment operating automatically in response to instructions given for that purpose;

is recorded as part of a relevant filing system or with the intention that it should form part of a relevant filing system;

is recorded with the intention that it should be processed by means of such equipment;

does not fall within (a), (b) or (c) but forms part of an 'accessible record'.

Data controller Means a person who (either alone or jointly or in common with other persons) determines the purposes for which and the manner in which any personal data are, or are to be, processed.

Data processor In relation to personal data, means any person (other than an employee or the data controller) who processes the data on behalf of the data controller.

Data Protection Principles The underlying principles of the Act that determine what data can be collected, processed and stored. A failure to abide by these Principles will be a breach of the Act.

Data Protection Tribunal The tribunal established to deal specifically with matters of enforcement under the DPA.

Data owner The University faculty, department or research unit with the primary responsibility for processing specific personal data.

Data subject Any living individual who is the subject of personal data.Data subject access right Is the right of an individual to access personal data relating to

him or her which is held by a data controller.Disclosing (of personal data)

In relation to personal data, includes using or disclosing the information contained in the data.

Health professional (1)a) a registered medical practitioner,b) a registered dentist as defined by section 53(1) of the

Dentists Act 1984,c) a registered optician as defined by section 36(1) of the

Opticians Act 1989,d) a registered pharmaceutical chemist as defined by

section 24(1) of the Pharmacy Act 1954 or a registered person as defined by Article 2(2) of the Pharmacy (Northern Ireland) Order 1976,

e) a registered nurse, midwife or health visitor,

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f) a registered osteopath as defined by section 41 of the Osteopaths Act 1993,

g) a registered chiropractor as defined by section 43 of the Chiropractors Act 1994,

h) any person who is registered as a member of a profession to which the Professions Supplementary to Medicine Act 1960 for the time being extends,

i) a clinical psychologist, child psychotherapist or speech therapist,

j) a music therapist employed by a health service body, and

k) a scientist employed by such a body as head of a department.

(2) In subsection (1)(a) "registered medical practitioner" includes any person who is provisionally registered under section 15 or 21 of the Medical Act 1983 and is engaged in such employment as is mentioned in subsection (3) of that section.

(3) In subsection (1) "health service body" means- a) a Health Authority established under section 8 of the

National Health Service Act 1977,b) a Special Health Authority established under section

11 of that Act,c) a Health Board within the meaning of the National

Health Service (Scotland) Act 1978,d) a Special Health Board within the meaning of that Act,e) the managers of a State Hospital provided under

section 102 of that Act,f) a National Health Service trust first established under

section 5 of the National Health Service and Community Care Act 1990 or section 12A of the National Health Service (Scotland) Act 1978,

g) a Health and Social Services Board established under Article 16 of the Health and Personal Social Services (Northern Ireland) Order 1972,

h) a special health and social services agency established under the Health and Personal Social Services (Special Agencies) (Northern Ireland) Order 1990, or

i) a Health and Social Services trust established under Article 10 of the Health and Personal Social Services (Northern Ireland) Order 1991.

Information Commissioner – (formerly Data Protection Commissioner, and before that Data Protection Registrar under DP Act 1984)

Person appointed by the Government to administer the provisions of the 1998 Act including notification and to provide guidance and assistance to organisations and individuals.

Inaccurate (in relation to data)

If they are incorrect or misleading as to any matter of fact.

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Lawfully Processing data within the boundaries laid down by government legislation and/or regulations.

Necessary Needed to perform procedures and operational functions within the University and to fulfil obligations under statutory requirements.

Notification The process of informing the commissioner that an organisation or an individual will be processing personal data other than for private use. This replaces registration under the 1984 Act.

Obtaining (of personal data)

In relation to personal data, including obtaining or recording the information contained in the data.

Personal data Means data which relate to a living individual who can be identified from those data, or from those data and other information which is in the possession of, or is likely to come into the possession of the data controller and includes any expression of opinion about the individual and any indication of the intentions of the data controller or any other person in respect of the individual.

Processing (of information or data)

In relation to information or data, means obtaining, recording or holding the information or data or carrying out any operation or set of operations, on the information or data, including -a) organisation, adaptation or alteration of the information

or data,b) retrieval, consultation or use of the information or data,c) disclosure of the information or data by transmission,

dissemination or otherwise making available, ord) alignment, combination, blocking, erasure or destruction

of the information or data; data are "eligible data" at any time if, and to the extent that, they are at that time subject to processing which was already under way immediately before 24th October 1998.

During the first transitional period, for the purposes of this Act (apart from above), eligible automated data are not to be regarded as being 'processed' unless the processing is by reference to the data subject

Recipient (in relation to personal data)

In relation to any personal data, means any person to whom the data are disclosed, including any person (such as an employee or agent of the data controller, a data processor or an employee or agent of a data processor) to whom they are disclosed in the course of processing the data for the data controller, but or with a view to, a particular inquiry by or on behalf of that person made in the exercise of any power conferred by law.

Recording (of personal data)

In relation to personal data, includes obtaining or recording the information contained in the data.

Relevant filing system This roughly equates with a manual file."Relevant filing system" means any set of information relating to individuals to the extent that, although the information is not processed by means of equipment operating automatically in response to instructions given for that purpose, the set is structured, either by reference to individuals or by reference to criteria relating to individuals, in such a way that specific

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information relating to a particular individual is readily accessible.

Sensitive personal data Means personal data consisting of information as to- a) the racial or ethnic origin of the data subject,b) his political opinions,c) his religious beliefs or other beliefs of a similar nature,d) whether he is a member of a trade union (within the

meaning of the Trade Union and Labour Relations (Consolidation) Act 1992),

e) his physical or mental health or condition,f) his sexual life,g) the commission or alleged commission by him of any

offence, orh) any proceedings for any offence committed or alleged

to have been committed by him, the disposal of such proceedings or the sentence of any court in such proceedings.

Subject consent Before processing personal data, agreement of the individual must be sought. In the case of sensitive data, this must be explicit consent.

Third party (in relation to processing of personal data)

Means any person other than the data subject the data controller, or any data processor or other person authorised to process data for the data controller or processor.

Using (of personal data) In relation to personal data, includes using or disclosing the information contained in the data.

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Section 6: Dignity at Work Policy

1. Introduction to the Policy2. Policy Statement3. Aims of the Policy4. Informal Complaints Procedure5. Ongoing/Persistent Unfair Treatment6. Formal Complaints Procedure7. Confidentiality8. Monitoring and Feedback9. Dignity at Work Advisors10. Training and awareness11. Dignity & Respect for all

Appendices: 1. Definitions and examples of unfair treatment, unacceptable

behaviour, bullying and harassment2. Additional guidelines for making a Complaint3. Dignity at Work Advisor Role Description4. Legislation

NB Please note that this Dignity at Work policy is aimed at supporting staff. There is also a Dignity at Study policy, which is aimed at supporting students. They are very similar policies with very slight amendments to the wording to make the documents more appropriate to each audience. The Dignity at Study policy can be found on the Glamlife for Students web page at: http://glamlife.glam.ac.uk/pages/3112-dignity-at-work-study-policy-on-harassment-bullying-unfair-treatment-and-victimisation.

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Introduction

The University of Glamorgan recognises that all staff and students have a right to be treated with dignity and respect at work and study. All employees are entitled:

To be treated with dignity, respect and courtesy To a workplace free from unfair treatment, bullying, harassment or

victimisation To experience no form of discrimination To be valued for their skills and abilities

The University’s Single Equality Scheme aims to ensure that every person is treated with dignity and respect regardless of their age, gender (including gender reassignment) disability, family responsibility, marital, parental or partnership status, race, ethnic or national origin, colour, religion or belief, gender, sexual orientation, trade union activity or any other irrelevant criteria. The University wishes to promote and sustain a culture where mutual trust and respect are the foundation of working relationships between staff and students.

The purpose of this policy and procedure is to assist in developing a culture in which unfair treatment, discrimination, bullying, harassment, victimisation and exclusion are known to be unacceptable and also to provide adequate procedures to deal with such incidents should they occur.

Managers and all employees at all levels are responsible for applying good standards of behaviour; everyone is responsible for their own behaviour. These standards of behaviour cover relationships between manager and staff they manage (including the way that a member of staff behaves towards their manager) and between staff as a peer group. Behaviour that is unwanted, unwelcome and affects an individual’s dignity at work is unacceptable behaviour. This includes behaviour that is perceived as unacceptable, even if there was no intent to cause offence. Behaviour also that a member of staff finds offensive, even if it was not directed at them.

1. Policy Statement

The University of Glamorgan is committed to protecting the dignity and respect of staff, students, visitors to the University, and all members of the University community in their work, study and interactions with others. The University is committed to a working environment, which offers dignity and respect and equal opportunities for all its community.

Members of the Board of Governors, Vice Chancellor, Directorate, Principals of Royal Welsh College of Music & Drama, Merthyr College and all staff are responsible for the implementation of this Policy within the areas for which they have management responsibility. A Directorate Member will have responsibility for chairing the Dignity at Work Review Group.

Deans of Faculties and Directors/Heads of Corporate Departments are responsible for the promotion of Dignity at Work, compliance and management of the related legislation (see appendix 4) within their area of responsibility. The Academic Registrar and Director of Human Resources are responsible for overseeing the handling of complaints of unfair treatment from students and staff

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respectively in line with this Policy. The Academic Registrar and the Director of Human Resources are responsible for collation of data and monitoring indicators in relation to this Policy for students and staff respectively.

The Equalities Manager has responsibility for advising the Vice-Chancellor, Directorate, Academic Registrar and Director of Human Resources on Dignity at Work/Study issues relating to staff and students. The University is committed to fostering a workplace culture of mutual respect and encourages positive, supportive and open interactions. The University recognises its duty of care to staff and all other members of the University community. All staff and those who have a responsibility for staff and students share this duty of care. Colleagues are required to set professional standards of behaviour and to take appropriate action with regards to employees or students who exhibit unfair treatment or unacceptable behaviour.

The University expects all members of the University community to treat others professionally with dignity, respect and courtesy at all times and have the right themselves to be treated with professional behaviour from others and with dignity and respect at all times.

This Policy applies to all forms of unfair treatment, violating dignity and respect, discrimination, harassment, victimisation, or bullying. This includes exclusion and malicious allegations which occur in or on University owned/managed premises. Also in such places or occasions which may be reasonably deemed to harm the reputation of the University or it’s relationship with religious groups, black and minority ethnic groups and the wider community who visit University sites or use University services.

The University will treat a breach of this policy seriously and deal with it in accordance with the approved procedures for staff. Staff can access the support of the Dignity & Respect Advisor, Chaplain, or Human Resources Officer for support. The University shall reasonably endeavour to ensure that all partner colleges, external contractors or organisations and consultants that enter into a contractual agreement with the University operate within the Policy.

It is therefore University policy that staff should behave with dignity, courtesy and respect towards others. The University will not tolerate behaviour by individuals that impairs the functioning of and reputation of the University or its staff; in particular, unfair treatment, harassment, bullying and victimisation, which can cause fear, stress and anxiety, and impose strains on work, personal and family life.

2. Aims of the Policy

The aims of the policy are to:

Promote a positive work environment in which people are treated with dignity and respect;

Ensure that staff take responsibility in creating and maintaining an environment in which dignity and respect are fostered and promoted

Promote an environment where unfair treatment, bullying and harassment are not accepted and are understood to be unacceptable forms of behaviour

Provide a framework to support University staff who feel they have been subject to/or accused of unfair treatment, bullying, harassment or victimisation

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Ensure allegations are addressed fairly, with respect for the rights and dignity of all those involved

Offer support and advice on the appropriate processes by which complaints can be raised.

The University of Glamorgan undertakes to:

Apply the policy to all members of staff Regard any report of unfair treatment, bullying or harassment as a serious

matter Wherever possible encourage the use of an informal approach to

resolving complaints, however, in some circumstances there may be grounds for disciplinary action

Provide Dignity at Work Advisors who are trained and available to support staff and students

Ensure prompt response to informal and formal complaints normally and reasonably within 7 days

Monitor anonymously the number of cases arising and the effectiveness of the Policy in line with current legislation.

3. Informal Complaints Procedure

This is intended to be an informal stage in which the complainant and alleged offender receive confidential support in order to achieve an amicable resolution of potential misunderstandings and to resolve the issue without recourse to the formal procedure. In some instances the severity of the behaviour may mean that this stage is inappropriate and should be by-passed. The decision as to whether to make a formal complaint under the relevant formal procedure rests with the complainant.

Everyone involved at this stage must treat the issue seriously and confidentially, and act accordingly in relation to all parties involved.

Access to the University Mediation Service will be offered at the informal stage to both parties.

The following options are available for consideration by the complainant.

4.1 It is entirely appropriate for the complainant to ask the alleged offender to stop the behaviour which is causing offence. The Dignity at Work Adviser will be able to give guidance and support to assist this process, with the aim of empowering the complainant to deal with this, and with possible future issues.

4.2 If they feel that this is difficult to do alone, they may choose to ask a Colleague, Trades Union representative or a Dignity at Work Adviser to accompany them when they do this.

4.3 Alternatively the complainant may request that one of the above speak to the person involved on their behalf.

4.4 If the complainant prefers, the matter could be taken up with their line manager, or other appropriate member of the Department, at this stage. This will be treated confidentially as an informal complaint unless the complainant decides to make a formal complaint under section 6 below.

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5 On-Going/Persistent Unfair Treatment

If the alleged unfair treatment is persistent, the complainant may still prefer to use the Informal procedures as detailed above. However, whether or not they wish to opt for a more formal complaint, the complainant may consider some of the following:

Monitor patterns of work, fluctuations of performance to record the effects of such alleged behaviour

Be able to provide examples or evidence by keeping a "diary" of all incidents, emails or correspondence

Seek advice on the procedure for bringing a formal complaint from a Dignity at Work Adviser or Human Resource Officer

Seek guidance and support from other University services such as the Counselling Service and Occupational Health Service

6 Formal Complaints Procedure

6.1 If the informal procedure is inappropriate, is not requested by the complainant, or where the outcome has been unsatisfactory, then the complainant can make a formal complaint.

6.2 Formal Complaint against student/s:

The complainant or his/her representative will make a formal complaint to the Dean or Corporate Head of Department to which the Complainant belongs. The Dean or Corporate Head of Department will refer the complaint to the relevant officer to be dealt with in accordance with "The Regulations Governing Student Conduct". See link: http://pages.glam.ac.uk/pages/3026-regulations-and-procedures

6.3 Formal Complaint against a staff member:

A formal complaint of breach of this policy against a member of staff will be made by the staff member or student(s) (or their representative) in writing to the Dean or Corporate Head of Department to which the complainant belongs. The Dean or Corporate Head of Department will refer the complaint to the relevant officer to be dealt with in accordance with the University Grievance Procedures for Staff or Disciplinary Procedures if appropriate. See link: http://inform.glam.ac.uk/documents/download/324/

6.4 Formal Complaint by or against a Visitor to the University:

If a staff member wishes to make a complaint about a visitor, or if a visitor believes he or she has been subjected to unfair treatment by a student or a member of staff, the complaint should be addressed to the Dean or Head of Corporate Department, who will make arrangements for the complaint to be dealt with in accordance with the appropriate procedure.

6.5 Disciplinary Action

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When an allegation of unfair treatment, harassment, bullying or victimisation is upheld disciplinary action may be taken against the staff member(s) or student(s) found to be responsible. Any action taken will take place through existing University disciplinary procedures.

6.6 Further Advice

Further advice and/or information may be obtained from Human Resources, the Equalities Manager, Dignity at Work Advisors, Trade Union representative or Human Resource Officer.

Members of the public who have any questions in relation to the application of this policy should raise them with the relevant University department or with the Equality & Diversity Manager.

7 Confidentiality

The University during and following an investigation will maintain confidentiality. Every effort must be made by the complainant, alleged harasser, witnesses, line managers, and tutors to maintain confidentiality. In such cases confidentiality means information being divulged to other parties on a strict “need to know” basis. In circumstance where an unacceptable risk to the complainant or any other person, or to the University it may not be possible, however the University will advise the complainant of this before taking further action.

8 Monitoring and Feedback

The Dignity at Work Policy will be monitored annually to ensure effective functioning and legal requirements. Monitoring process is completely anonymous and not reported by faculty or corporate department basis.

This Policy is linked with the Health & Safety Wellbeing Annual Report to ensure effective promotion and monitoring in line with the Health & Safety at Work Policy. This Policy will be promoted through the Health & Safety Department, Human Resources Department and Occupational Health.

9 Dignity at Work Advisors

Dignity at Work Advisers will form a Support Group which will meet regularly and report to a Dignity at Work and Study Policy Review Group, convened by the Equalities Manager not less than once a year. Membership of the Dignity at Work and Study Policy Review Group will be the Pro-Vice Chancellor, Equalities Manager, Head of Student Services, and President of the Students ’ Union, Deputy President of Students ’ Union (Women), a nominee of the Trade Union Alliance and one member of the Dignity at Work and Study Support Group. The Review Group will also obtain feedback information from staff and students and will report annually to the Vice Chancellor (or nominee).

10 Training and Awareness

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All University staff will be made aware of this policy at induction and through the University staff inform webpages. The policy will be disseminated to current staff via Deans and Heads of Corporate Departments and through staff awareness raising sessions to promote dignity at work. This policy will also be published on the University website.

Managers will be made aware of this Policy as part of the Leadership and Management Programme. Dignity at Work embraces the key behaviours and attributes of the Glamorgan Manager, which highlights treating people fairly and respecting confidentiality. This reiterates a key attribute which is to develop open, honest and trusting relationships for mutual benefit and to the benefit of the University.

11 Dignity & Respect for all

The preferred outcome of the University’s Dignity at Work and Study policy is that people against whom complaints are proven change their behaviour to remove the cause of complaint. There are various means of achieving this and there are many examples of complaints being resolved quickly and to the complete satisfaction of the complainants. Each individual throughout the complaints process will be treated with dignity, respect and without judgement.

The University recognises that it has an equal duty of care to both the individual alleging unfairness and the alleged individual(s). Support from a Dignity at Work Advisor will be available to all parties. An allegation cannot be presumed proved until properly investigated and tested against a principal of reasonableness. There may be occasions where there are no witnesses to an alleged incident and it is one individual’s word against another. Where this is the case the balance of probability will be taken into account.

Revision Issue Date

Revision Description

Author HR Approval

Formal Approval

First Issue BB-W 24/11/08 02/12/08

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Appendix 1

It is not possible to define “unacceptable behaviour” as it is the effect of the behaviour has on the recipient which makes it “unacceptable”.

The following definitions can be used as a guide to assist in understanding what may be offensive whether intentional or not. It is not an exhaustive list of all behaviour that may be offensive or unacceptable, merely a guide as to the types of behaviour that may be included.

1 Definition of Harassment

1.1 Harassment may take many different forms, some of which are the subject of legislation. These specific Acts cover discrimination against others on the grounds of their age, gender, sexual orientation, race, religion or belief or their disability. All forms of harassment are embraced in this policy as a reflection of the University’s commitment to good practice.

Harassment is unwanted conduct that occurs with the purpose or effect (intentional or unintentional) of violating the dignity of an individual or creates an intimidating, hostile, degrading, humiliating or offensive environment. It can be carried out by an individual or a group of individuals.

Bullying may be characterised as offensive, intimidating, malicious or insulting behaviour, an abuse or misuse of power through means intended to undermine, humiliate, denigrate or injure the recipient.

Harassment and/or bullying can have a negative effect on confidence or work. Power, coercion and intimidation are often key factors in occurrences of harassment and bullying, but it can occur in relationships among equals in both formal and informal situations.

The above behaviour(s) may or may not be accompanied by explicit promises of reward or punishment involving misuse of institutional authority, misuse of a position of respect or trust, and/or the threat of disclosing information true or fictitious.

The University will apply a “Test of Reasonableness” in responding to reports of harassment in line with the Protection from Harassment Act 1997. Acts of harassment and/or bullying could give rise to a criminal prosecution under the Protection from Harassment Act 1997.

1.2 Personal Harassment

Personal harassment is unwanted conduct which violates people’s dignity and has the effect of creating a hostile or intimidating environment for an individual or group of individuals. It causes physical or emotional harm which is unreasonable, unwelcome or offensive to the recipient/s that are subject to such treatment.

Examples include

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yelling, name calling, or swearing; threats or implied threats; abusive, threatening or insulting words or behaviour demeaning comments or jokes regarding a person’s character, body, or other

personal aspects; ignoring or refusing to have contact with a person  to the extent that their

ability to fulfil job responsibilities is compromised; unwelcome physical proximity and actual touching , such as grabbing or

finger jabbing; and retaliation for coming forward with a complaint. Insensitive jokes and pranks Lewd or abusive comments about appearance Deliberate exclusion from conversations Displaying of abusive or offensive writing or material Blocking or exclusion from promotion or opportunities Maligning others behind their back, flaming and computer related bullying and

harassment Malicious complaints

1.3 Sex/Sexual Harassment

Sex/Sexual Harassment can be defined as unwanted conduct of a sexual nature or other conduct based on gender, which is offensive to the recipient and affects the dignity or respect or well being of men, women or transgender. It involves the use of power rather than personal relationships freely entered into and acceptable to those involved.

With the meaning of the Sex Discrimination Act 1997 (Amendment) Regulations 2008, sexual harassment and sex harassment constitutes sex discrimination and is therefore unlawful.

Examples include

Negative or stereotypical comments about the ability to work or study by one or other gender

Unwanted physical contact or demands for sexual favours The worsening of conditions after rejection of sexual advances Invasion of personal space Unwelcome sexual remarks such as jokes, innuendo or teasing The display of pin-ups, pornographic images, sexually suggestive

subjects or offensive objects Unwelcome remarks about a person’s dress or appearance Offensive email messages or email circulations

1.4 Harassment on grounds of Sexual Orientation

This can be defined as words, actions or other conduct which ridicules, intimidates or threatens individuals because of their sexual orientation, and which affects the dignity or well being of the individual.

Examples include

Offensive comments or language Anti lesbian, gay, transsexual or bisexual jokes Threatening to publicise that a colleague or student is gay or lesbian Exclusion from social activities

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Physical attacks on individuals or their property because of their sexuality

Offensive email messages or circulations

Within the meaning of the Employment Equality (Sexual Orientation) Regulations 2003, harassment on the grounds of sexual orientation is discrimination and is therefore unlawful.

1.5 Racial Harassment

Racial harassment can be defined as unwanted conduct of a racial nature, or other conduct based on race, colour, ethnic or national origin, or conduct which is offensive or which affects the dignity and respect or well being of an individual.

Within the meaning of the Race Relations Act 1976, racial harassment constitutes racial discrimination and is therefore unlawful.

Examples include

Racist language and racist jokes or derogatory statements about national origin

Racist graffiti or the display of racially offensive material Physical attacks on individuals or their property because of their race

or ethnicity Racist email messages or circulations Ridicule of an individual for cultural differences; inappropriate or

intrusive questioning of an individual for cultural differences; religious or ethnic background or origins

Exclusion from normal workplace conversation or social events. Unfair allocation of work and responsibilities. Oral or written abuse, threats. Physical attack.

1.6 Harassment on the grounds of Religion or Belief

This can be defined as words, actions or other conduct which ridicules, intimidates or threatens individuals because of their religion or belief, and which affects the dignity or well being of the individual.

Examples include

Offensive comments or language Exclusion from social activities Physical attacks on individuals or their property because of their

religion or belief Offensive email messages or circulations

Within the meaning of the Employment Equality (Religion and Belief) Regulations 2003, harassment on the grounds of religion and belief is discrimination and is therefore unlawful.

1.7 Harassment on the grounds of disability

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This can be defined as words, actions or other conduct which ridicules, intimidates or threatens an individual because of their disability and which affects the dignity, respect or well being of the individual.

Within the meaning of the Disability Discrimination Act 1995, harassment on the grounds of disability is discrimination and is therefore unlawful.

Examples include

Patronising remarks, belittling comments or assumptions based on a person’s disability

Mimicking the particular disability Unwanted comments on any employment/study aids used Exclusion from conversation or social activities Offensive email messages or circulations

1.8 Age Harassment

Age harassment is unacceptable and based on attitudes which are prejudicial to people based on their age. Harassment of people on the grounds of age is unwanted conduct that violates people’s dignity or creates an intimidating, hostile, degrading, humiliating or offensive environment. This can be associated with discrimination against older people but can also be used against those of all ages.

Examples of age harassment could include:

Derogatory remarks relating to age, ageist jokes, teasing, ridicule or insults Remarks about personal appearance Exclusion from training and promotion based on age Persistent dismissal of a person’s views on the basis of their age Inconsistent implementation of rules and/or procedures on the basis of age

which may have a detrimental effect on an individual

1.9 Bullying

There is an element of bullying in many of the above forms of harassment. Bullying can occur amongst colleagues, in a line management relationship, and in and amongst groups, where it is not based on the age, gender, sexual orientation, race, religion or belief, disability or other specific criteria of the recipient.

In the University context, bullying may include:

Academic bullying, defined as ‘asserting a position of intellectual superiority in an aggressive, abusive or offensive manner’, threats of academic failure, public sarcasm

Exclusion or victimisation Overbearing supervision or other misuse of power or position Deliberately undermining a competent employee by undermining and

unfair treatment Inappropriate remarks in connection with work performance, appearance

or personal attributes in front of others or in private Aggressive physical or verbal abuse

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Deliberate lack of communication or miss-communication to colleagues, which may result in errors

Setting arbitrary or unreasonable workload deadlines and obstructing professional development, promotion or opportunities

Ignoring staff using opinions without justification or explanation Unnecessary frequent role changes without notice or consultation

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Appendix 22. Additional Guidelines

The following guidelines relate to all incidents of harassment, which could lead to both informal and formal complaints.

2.1 Reprisals

Complainants and alleged offenders as well as people assisting an investigation and Dignity at Work Advisers will be protected from intimidation, victimisation or discrimination. Any form of reprisals against a member of staff, student or visitor in any of these situations may in itself constitute grounds for disciplinary proceedings and be dealt with in accordance with the staff or student Disciplinary Procedures.

2.2 Malicious Claims

If an investigation finds the claims to be fictitious and that the allegations have been brought in order to cause harm or detriment to the alleged offender, this may in itself constitute grounds for disciplinary proceedings and be dealt with in accordance with the staff or student Disciplinary Procedures.

2.3 Time Limits

Due to the wide-ranging nature of harassment issues, the Informal Procedure does not have a fixed deadline. However, every effort will be made to ensure that an individual can meet with a Dignity Adviser at the earliest opportunity and at the latest within 7 days, time scales for making decisions based on the various options, can be agreed between the Complainant and the Dignity Adviser.

2.4 Management Intervention

Early intervention by Management may reduce the necessity for individuals to invoke the Procedure. Early indications of unfair treatment, harassment and/or bullying could be identified in a number of ways. These include the Return to Work interviews following sick leave, communication on a regular basis and through awareness of the effects of inappropriate unfair treatment. Support mechanisms could be improved through staff training, mediation, mentoring, etc.

2.5 Resources

The University will appoint/identify suitable persons to act as Dignity at Work Advisers. The University will provide from central budget sufficient resources to:

publicise and promote this Policy to existing and new members of the University and to all institutions with whom it seeks partnership agreements;

train Dignity at Work Advisers and provide regular refresher training;

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monitor complaints of unfair treatment, bully and harassment in line with best practice guidance.

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Appendix 33. Dignity at Work and Study Advisor Roles Description

Role Title: Dignity Adviser

Reports to: Director of HR, Equalities Manager

Purpose of the Dignity Advisers Network

Dignity Advisers will play a vital role in promoting a positive University environment in which people are treated fairly and with respect, and encouraging all university staff and students to play a role in creating and maintaining an environment in which dignity and respect are promoted and harassment, bullying and victimisation are understood to be unacceptable forms of behaviour.

The development of a network of Dignity Advisers is intended to ensure that all staff and students have access to clear, informed, sensitive advice and support to address difficulties in the workplace and study environment. As well as providing advice to individuals, Dignity Advisers will meet as a network to identify common concerns and contribute to the development of positive and preventative action to improve communications and relationships between and amongst University staff and students.

Dignity Advisers are not Counsellors, they will refer to the University’s Occupation Health and Counselling Service, via the Staff Counsellor. The University’s Mediation Service will also play a key part in the Dignity at Work Network and for referrals to this service.

Duties of the Dignity Adviser Role:

- Maintain complete confidentiality at all times, unless there is a Health & Safety concern

- Resolve the complaint as swiftly as possible and respond to requests as a matter of urgency within 24 hours and meet within 7 days at the latest

- Provide advice and information to individuals or groups on the courses of action available to them if they believe themselves to be the subject of harassment or bullying.

- Provide a friendly supportive environment to individuals who are distressed by concerns about harassment and bullying, recognising the point at which it is appropriate to refer to other services (such as Counselling Service or Occupational Health).

- Provide advice, information and a friendly supportive environment to individuals whose behaviour has been challenged as harassing or bullying (an adviser will not be expected to advise both parties to a dispute but will refer for support to another Dignity Advisor and other University services).

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- Identify allegations which may be beyond the remit of the role and refer these cases as appropriate.

- Maintain brief notes of any advice or support given, keep these securely and provide confidential feedback to the Dignity Advisers Network and Equalities Manager when required.

- Raise awareness of the Dignity at Work and Study Policy and the support available for staff and students experiencing harassment or bullying.

- Attend required training and network meetings.

Skills and abilities which are essential to the role

- excellent interpersonal/intrapersonal and listening skills

- ability to work autonomously, with appropriate regard for the health and safety of self and others

- ability to maintain confidentiality

- ability to deal calmly with potentially disturbing situations

- ability to work with people from diverse backgrounds

Skills which are desirable

- are able to offer advice and support in Welsh

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Appendix 44. Legislation

As well as being a potential disciplinary offence for either staff or students, certain incidents of harassment may also render individuals liable for prosecution in courts of law, under either Civil or Criminal Legislation. Discrimination and harassment are prohibited by a wide range of Acts and Regulations. Principal among these are:

Protection from Harassment Act 1997

Health & Safety at Work at 1974

Trade Union and Labour Relations (Consolidation) Act 1992

Sex Discrimination Act 1975 (Amendment) Regulations 2008

Race Relations Act 1976 (Amendment) Act 2000

Disability Discrimination Act 1995

Sex Discrimination (Gender Reassignment) Regulations 1999

Employment Equality (Religion & Belief) Regulations 2003

Employment Equality (Sexual Orientation) Regulations 2003

Employment Equality (Age) Regulations 2006

Revision Issue Date

Revision Description

Author HR Approval

Formal Approval

1.0 09/03/09 First Issue BB-W 12/02/09 Board of Governors09/03/2009

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Section 7: Best Practice Guidelines

7.1 Reflecting on Academic Practice Scheme7.2 QAA Code of Practice, Section 7: programme

design, approval, monitoring and review – Appendices 2 & 3

7.3 Guidance for Members of Academic Board and its Committees

7.4 Guidance on Student Complaints7.5 Best Practice Guide on using Course

Representatives effectively 7.6 Elections to Committees – Guidance for Faculties7.7 Protocol on the Surveying of Students

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Section 7.1: Reflecting on Academic Practice Scheme

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Contents

Welcome and Introduction

by Haydn Blackey, Head of the Centre for Excellence in Learning and Teaching

5

Policy Statement 6

The Reflecting on Academic Practice Scheme 7

Who is included? 7What is included in the RAP Scheme? 7When should staff participate? 7How does the Scheme operate? 7The roles explained 8Membership of the Scheme’s Steering Group 2009 – 2011 9The Scheme in Practice 10Levels of Reporting 11Reporting documents 12What do I do next? 12

Appendices

Tutor’s1 Feedback report 13Observer’s Feedback Report to Faculty Organiser – Part A 14Observer’s Feedback Report to Faculty Organiser – Part B 15

_____________________________1’Tutor’ as used here means any member of staff delivering learning and teaching on Glamorgan programmes.

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Welcome and Introduction

Dear Colleague

Welcome to the Reflecting on Academic Practice Scheme (RAP). The University has developed this approach to celebrate and develop the skills of all those who contribute significantly to the student learning experience. The aim of the RAP Scheme is to assist staff in improving their academic practice and to disseminate good academic practice throughout the Glamorgan Group and collaborative network. The Scheme applies to all teaching staff - from the novice to the experienced.

This handbook has been designed to assist you as you engage with the Scheme and will provide information to address your questions and queries but if you have further concerns please speak to your Faculty Organiser or contact either myself or Karen Fitzgibbon in CELT. CELT provides support for all teaching staff to enhance the learning, teaching and assessment agenda throughout the University, and offers staff development opportunities across the range of pedagogic practice. Specific staff development associated with RAP can also be provided to individuals as well as groups of staff so please contact us if you would like further information about this. Details of this and the range of CELT’s activities are available on the CELT website: http://celt.glam.ac.uk

I hope you will find that the Scheme is constructive in approach, and that it helps support you in your professional academic development.

Best wishes,

Haydn Blackey

Haydn Blackey

Head of the Centre for Excellence in Learning and Teaching

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The University of Glamorgan Vision & Mission

Glamorgan is committed to the delivery of a first class learning environment incorporating the highest standard of e-learning, tutor facilitation and use of cutting edge learning facilities: a learning environment in which students flourish and grow, academically and socially, and are sought after by employers eager to acquire their evaluative and analytical skills and their determination to succeed in their chosen vocation.Towards meeting these aims, the University will operate a scheme entitled Reflecting on Academic Practice within which all individuals continue their professional development as teachers and supporters of

learning through a practice of critical reflection which is supported by objective feedback from peers

evidence will be captured to demonstrate that students' learning experiences are of the highest standards

equality of opportunity, broadly defined, will underpin and support the scheme. Equality of opportunity is our highest priority - both in terms of equality of treatment within this scheme, and equal chances to take part in staff development opportunities offered via the scheme.

The Reflecting on Academic Practice Scheme is an outward reporting, cyclical system of organised peer review sessions in which the whole range of academic-related activities are observed and reflected upon. The outcomes of the reporting will be the identification and dissemination of good practice and planned staff development.

The Scheme is supported by the University's Directorate and the Human Resources and Learning, Teaching and Assessment Strategy. In addition the principle is supported by the University & College Union (UCU) via its commitment to continuing professional development (CPD).

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The Reflecting on Academic Practice Scheme – the Who, What, When and How

Who is included?

The RAP Scheme applies to every colleague involved in delivering any part of the University’s academic provision. This includes those delivering courses at postgraduate and undergraduate level including those at RWCMD, Merthyr Tydfil College, partner colleges or in the community. The scheme is equally applicable to both full-time and part-time academic colleagues. This is in accordance with the principle of equal treatment for part-time staff contained in the National Framework Agreement. They will, the same as full-time colleagues engage at least once in the two-year cycle and will be paid for any additional time the scheme demands of them.

What is included in the RAP Scheme?

The scheme is intended to cover all types of teaching-related activity, and not just classroom or laboratory-based sessions. All methods of delivery, for example team-teaching and blended-learning, where appropriate, are fully covered by the scheme.

Activities may include planning and conceptualisation of the learning opportunity (including teaching

programmes, module plans and student handbooks) development of assessment models and marking practices development of learning and teaching materials designed to address inclusivity in the

curriculum lectures, tutorials, practice based workshops or seminars the use of research to inform teaching delivery offered via the managed learning environment (including the use of online

discussion groups, blogs, wikis, and other social software).

When should staff participate?

The minimum requirement of the scheme is that all colleagues will be observed once in any two-year cycle, although staff are encouraged to participate annually.

How does the Scheme operate for new staff?

Faculty Organisers will match colleagues new to teaching with an Observer, and will arrange for the initial observation activities to take place within six months. This will be complementary to the University’s Human Resources Strategy for the development of new academic staff, including engagement with the PgCLT (Postgraduate Certificate in Learning & Teaching) and PgEd (Postgraduate Certificate in Education).

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The roles explained

The tutor is at the centre of the RAP Scheme and has the opportunity to discuss the area(s) of their academic practice that they wish to engage in with their Observer. After the observation has taken place, the tutor and observer will discuss the academic practice and jointly agree the confidential Tutor’s Feedback report which remains the personal property of the tutor.

The Observers are experienced colleagues within faculties who are known and respected for their sense of judgement, teaching and associated abilities, commitment to the enhancement of students’ experiences and communication skills. Colleagues who hold recognised teaching qualifications are particularly encouraged to undertake the role of observer. They work with their allocated tutors and agree the academic practice to be observed and, following the observations, they engage in reflective and supportive feedback with the tutor. They provide a de-personalised report to the Faculty Organiser(s). Feedback on the current scheme suggests that observers gain valuable insights into their own academic practice as a result of their participation in the scheme.

The Head of Learning and Teaching (HoLT) or nominee fulfils the role of Faculty Organiser and is responsible for using sensitively her/his local knowledge base to identify a pool of colleagues who are suitably experienced, respected, and have the qualities necessary to undertake the role of Observer and provide confidential feedback on the observed sessions to the teacher. The HoLT shouldn’t expect the pool of Observers to remain static, but should be aiming to widen it as quickly as possible. The HoLT also matches tutors with Observers but he/she will also be prepared to discuss the pairing, and make a change, if there are circumstances that warrant it, for example consideration of equal opportunities issues. Pairing tutors with their Observer is one of the more demanding parts of their role since it needs very careful consideration and deciding what factors to take into account is a key issue. For example, highly specialist academic areas could become too ‘close’ and, if that seems a possibility, then it might be appropriate for the field, or the faculty, to become the basis for the pairing, rather than the programme. The HoLT will receive the completed Observer reports and will prepare an annual faculty report for the Head of CELT and Dean of Faculty.

The Dean of Faculty is responsible for the management and administration of the Scheme and ensuring it runs effectively within the faculty. The Dean should include qualitative and quantitative data from the HoLT’s report, and any subsequent action plans, in his/her annual monitoring or strategic planning report.

The Centre for Excellence in Learning & Teaching (in partnership with the Human Resources department) is responsible for carrying out any ‘actions’ identified by the HoLTs in their annual scheme report. These actions might include organising workshops to share examples of good practice, or another staff development event to meet a need which has become apparent as a result of colleagues taking part in the scheme. It is intended that the provision of staff development events identified via this scheme will become a routine activity and will become an integrated and established element in the University's strategy for Human Resources. CELT uses information received from HoLTs and will prepare an annual report for consideration by Quality Enhancement Committee. CELT will also use its series of lunch-time workshops and the occasional paper series to roll-out the emerging examples of

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best practice. CELT will provide training for observers and run awareness raising sessions in the lunch time seminar series.

RAP Steering Group

The Scheme will be kept under constant review by the Scheme's Steering Group. Any changes or amendments will be ratified by the Lecturers’ Common Interest Group.

Issues to be kept under review are, for example, the resources that the scheme will require in order to run effectively, the composition of the Scheme’s Steering Group, monitoring and evaluation of the Scheme, and the changing nature of continuing professional development.

Colleagues throughout the University are welcome to contact any member of the Group to discuss issues directly.

Membership of the Steering Group for academic year 2009-2011

Head of CELT (Chair)Two representatives of the Faculty

OrganisersTwo UCU branch officersDeputy Head of Human Resources or nomineeA Representative of the Deans of Faculties81

CELT Resources Officer (Secretary)Rep from CELT who delivers RAP training and staff development

81 The representative of the Deans of Faculties will be from a different faculty to the two representatives of faculty organisers

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The Scheme in practice

1. HoLT identifies appropriately experienced members of academic staff to fulfil role of observers

2. HoLT (or nominee) facilitates pairing of teaching staff and observers3. Tutor and observer meet to discuss the area of academic practice to be observed. 4. Observation takes place5. Reflective conversation between tutor and observer takes place and remains

confidential. Format of feedback report (i.e. oral or written) is agreed between both parties.

6. Where a written report is agreed the observer prepares Tutor’s Feedback Report (See Appendix A) in discussion with the tutor. The tutor retains report for personal use.

7. Observer completes Observer’s Feedback Report and forwards to the HoLT (or nominee) in their role as Faculty Organiser. Individual observees cannot be identified from this report.

8. HoLT prepares annual report identifying number of teaching staff observed, any specific faculty training requirements, or training to be provided by CELT.

9. Member of CELT staff compiles composite report from HoLT reports for presentation to Quality Enhancement Committee and RAP Steering Group.

10.

The Scheme in Practice

DepartmentCo-ordinators

Tutor

Head of L&T

Personal feedback report(s)

Faculty Executive &

CELT

Composite feedback report(s)

Periodic report(s)

Dept report Human

Resources Dept

Implement actions

Annual report

Academic Reflection

Observer

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Levels of reporting

In order to meet the objectives of the scheme, various reporting methods are employed to ensure that: The tutor is able to utilise the feedback from their Observer to inform their academic

practice in the Tutor’s Feedback Report. the Faculty Organiser receives appropriate information concerning learning, teaching and

assessment practices that can be addressed at Faculty level from the Observer’s Feedback Report.

CELT will receive information to organise appropriate staff development events and publish best practice guides from the Faculty Organiser’s Report.

The tutor’s feedback report, whether oral or in writing, is the product of the academic practice that has been observed. The Observer should produce this after due reflection on the observation. The report should contain constructive feedback which is comprehensive and non-judgemental, but critically reflective. Where a written report is used, it is anticipated that the tutor and Observer will be able to agree the wording. In rare cases where the tutor and Observer are unable to agree on the form of words, a Faculty Organiser from an independent faculty will be asked to meet with them to try to resolve the difficulties. The tutor may choose to use the feedback report to request staff development, or as part of a portfolio of evidence for continuing professional development, promotion or appraisal as appropriate. The tutor’s feedback report is wholly personal and will not be shared with another person unless the tutor chooses to do so.

The Observer’s report to the Faculty Organiser is in two separate parts. Part A is a simple list of those staff that have been observed, and the period during which the observation has taken place. Part B is a composite (anonymous) report drawing together points of note in terms of academic practice within the Faculty.

The Faculty Organiser’s report is written annually based on the data contained within the reports from Observers. It should cover the extent of engagements that have taken place as well as the issues that have arisen, how they’ve been dealt with and so on. This report is passed to CELT (for targeting staff development needs and disseminating good practice) and to the Faculty’s Learning, Teaching and Student Experience Committee, which may, as appropriate, suggest action points. The Faculty Organiser(s) may also provide periodic reports to Dean/Head of Department, as appropriate.

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Reporting documents

Copies of the reporting forms are in Appendix A and Appendix B of this handbook. The forms are available on the CELT Good Practice Website (http://inform.glam.ac.uk/goodpractice/reflections.cfm) or by contacting the Resources Officer of CELT.

What do I do next?

Your Faculty Organiser may contact you with information about pairing up with an Observer, or you may be directly approached by an Observer. If you haven’t heard from your Faculty Organiser (or nominee) please contact them.

If you’re not already nominated as an Observer then why not take up the role yourself for another colleague? There will be staff development sessions for Observers organised on an on-going basis. Feedback gathered from the current scheme, and from other institutions, suggest that Observers gain as much from the activity as those being observed. If you wish to participate, please contact your Faculty Organiser or CELT

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CONFIDENTIAL

Reflecting on Academic Practice Scheme

Tutor’s Feedback Report

Name of Tutor:

Name of Observer:

Type of academic practice observed/reflected upon:

Dates of observation/meetings:

1 Brief description of the academic practice theme for discussion/observation (eg lecture, preparation session, online discussion, assessment strategy development etc) student numbers involved (if applicable) how the observation time was used).

2 Aspects of practice discussed during reflective discussion/observation feedback include:

3 Potential developments/action points include:

Signed: ……………………………. ………………………………….(Tutor) (Observer)

This document should be retained by the tutor and not circulated to any other party. If the tutor wishes to use the document in appraisal, or for other CPD purposes, they have discretion to do so.

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Observer’s Feedback Report to Faculty Organiser – PART A

Name of Observer: ………………………………………..

Name of tutors covered by this report:

1 ………………………… Period of observation, from: ……………to: ……….

2 ………………………… Period of observation, from: ……………to: ……….

3 ………………………… Period of observation, from: ……………to: ……….

4 ………………………… Period of observation, from: ……………to: ……….

5 ………………………… Period of observation, from: ……………to: ……….

6 ………………………… Period of observation, from: ……………to: ………

7 ………………………… Period of observation, from: ……………to: ………

8 ………………………… Period of observation, from: ……………to: ………

9 ………………………… Period of observation, from: ……………to: ………

10 ………………………… Period of observation, from: ……………to: ………

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Observer’s Feedback Report to Faculty Organiser – PART B

Name of Observer:

1 Brief description of the academic practice activities observed:

2 Potential developments/action points:

3 Any professional development needs requiring support/response from the Faculty or CELT/HR departments:

4 Any aspects of good practice appropriate for wider dissemination within the Faculty or Institution:

Signed: ………………………………… Date: ………………………………

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Section 7.2: QAA Code of Practice, Section 7: programme design, approval, monitoring and

review – Appendices 2 & 3

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Section 7: 19

QAA Code of Practice, Section 7: programme design, approval, monitoring and review

Appendix 2

This appendix does not form part of the Code of practice, Section 7: programme design, approval, monitoring and review. It is included to provide a series of prompts for institutions to consider when determining their own guidance on programme design and for providers to use when working with institutional processes in this area. It may prove useful for staff development purposes and as guidelines for any participants in the design, development and approval process(es) who are external to the institution.

In many institutions programmes are constructed from individual units, or modules, which have their own outcomes. The principles of design, approval, monitoring and review that are set out in this section of the Code of practice may, where appropriate, be applied equally to such units or modules. In those cases where a modular programme may be negotiated by an individual student, with guidance and agreement from the institution, the design principles in particular should inform the policies and procedures within which such negotiation takes place.

Academic programmes fulfil a range of purposes including the provision of personal academic development, preparation for knowledge creation and research, preparation for specific (often professional) employment or for general employment, or as preparation for lifelong learning. Understanding and defining the balance of purposes is important in order to design a curriculum and to provide the related learning opportunities that will enable the stated intended learning outcomes to be achieved. Institutions should aim to design and deliver programmes that reflect current knowledge and best practice and meet the requirements of the student target group and the goals and strategic plans of the institution.

Design criteria

Do the institutional guidelines for the design of programmes allow for the promotion of good practice in programme design?

Do they provide the assurance that standards are set appropriately and intended learning outcomes specified accordingly?

Level

At what level is the programme being designed/evaluated? What is the level of the intended learning outcomes for the programme for any

named stages in the programme? (A level is an indicator of the relative demand, complexity, depth of study and learner autonomy involved in a programme. Various systems are currently in use to identify levels, including descriptors indicating the intellectual and skill attainment expected of students.

What is the location of the programme on The framework for higher education qualifications in England, Wales and Northern Ireland? Are there any European or other reference points that should be considered with regard to level?

Progression

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Does the curriculum promote progression so that the demands on the learner in intellectual challenge, skills, knowledge, conceptualisation and learning autonomy increase?

Flexibility

Has the range of requirements of learners likely to enter the programme been considered?

Coherence

Has the overall coherence and intellectual integrity of the programme been considered?

Has the programme been designed in a way that will ensure the student's experience has a logic and integrity that are clearly linked to the purpose of the programme?

Have the academic and practical elements and opportunities for personal development and the academic outcomes been considered?

Have the breadth and depth of the subject material to be included in the programme been determined?

Integrity

Are the expectations given to students and others about the intended learning outcomes of the programme realistic and deliverable?

Has the feasibility of attainment of the outcomes been considered?

Reference points

Have internal and external points of reference been used to inform the design of the programme? (External reference points might be provided by a subject benchmark statement, information about similar or parallel programmes elsewhere or expectations of professional, statutory and regulatory bodies, or employer expectations (for example, as set out in occupational standards). In a student negotiated programme, an inherent part of the negotiation process will involve the student and tutor in designing the programme, taking into consideration the intended level of the award and jointly agreeing the relevant sources of reference).

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Appendix 3

This appendix is not part of the Code of practice. It is included to assist institutional review panels. While the Code of practice does not require that institutions use these questions, they may be useful as a framework for internal routine monitoring and periodic review panels. Institutions will wish to determine their own approaches but might find it helpful to consider the questions as they reflect on their practices. They may prove useful for staff development purposes and as guidelines for any participants in the routine monitoring and periodic review process(es).

How do the intended learning outcomes relate to external reference points and to the broad aims of the provision?

1 What are the intended learning outcomes for a programme?

2 How do they relate to external reference points including relevant subject benchmark statements, the qualifications framework, the European Standards and Guidelines and any professional body requirements?

3 How do they relate to the overall aims of the provision as stated by the subject provider?

4 Are they appropriate to the aims?

How are the curricula design principles used to permit achievement of the intended learning outcomes?

5 How does the provider ensure that curriculum content enables students to achieve the intended learning outcomes?

6 How does the provider ensure that the design and organisation of the curriculum is effective in promoting student learning and achievement of the intended learning outcomes?

How are the intended learning outcomes communicated to students, staff and external examiners?

7 How are the intended outcomes of a programme and its constituent parts communicated to staff, students and external examiners?

8 Do the students know what is expected of them?

How does the subject provider create the conditions for achievement of the intended learning outcomes?

9 Do the design and content of the curricula encourage achievement of the intended learning outcomes in terms of knowledge and understanding, cognitive skills, subject-specific skills (including practical/professional skills), transferable skills, progression to employment and/or further study, and personal development?

10 Is there evidence that curricular content and design is informed by recent developments in techniques of teaching and learning, by current research and

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scholarship, and by any changes in relevant occupational or professional requirements?

How does the assessment process work?

11 Does the assessment process enable learners to demonstrate achievement of all the intended learning outcomes?

12 Are there criteria that enable internal and external examiners to distinguish between different categories of achievement?

13 Can there be full confidence in the security and integrity of assessment procedures?

14 Does the assessment strategy have an adequate formative function in developing student abilities?

15 What evidence is there that the standards achieved by learners meet the minimum expectations for the award, as measured against relevant subject benchmarks and the qualifications framework?

How does the institution review and improve the quality of the student learning experience?

16 How does the institution review and seek to enhance the quality of the student learning experience? Does it have strategies for building upon its quality assurance processes to enhance the quality of its provision?

17 How effective is teaching in relation to curriculum content and programme aims?

18 How effectively do staff draw upon their research, scholarship or professional activity to inform their teaching?

19 How good are the materials provided to support learning?

20 Is there effective engagement with and participation by students?

21 Is the quality of teaching maintained and enhanced through effective staff development, peer review of teaching, integration of part-time and visiting staff, effective team teaching and induction and mentoring of new staff?

22 How effectively is learning facilitated in terms of student workloads?

How is students’ learning supported?

23 Is there an appropriate overall strategy for academic support, including written guidance, which is consistent with the student profile and the overall aims of the provision?

24 Are there effective arrangements for admission and induction which are generally understood by staff and applicants?

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25 How effectively is learning facilitated by academic guidance, feedback and supervisory arrangements?

26 Are the arrangements for support clear and generally understood by staff and students?

27 Are students offered careers guidance?

How satisfactory are learning resources and how are they deployed?

28 Is the collective expertise of the staff suitable and available for effective delivery of the curricula, for the overall teaching, learning and assessment strategy and for the achievement of the intended learning outcomes?

29 Are appropriate staff development opportunities available?

30 Is appropriate technical and administrative support available?

31 Is there an overall strategy for the deployment of learning resources?

32 How effectively is learning facilitated in terms of the provision of resources?

33 Is suitable teaching and learning accommodation available?

34 Are the subject book and periodical stocks appropriate and accessible?

35 Are suitable equipment and appropriate information technology facilities available to learners?

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Section 7.3: Guidance on Developing Courses for Distance Online Learning

To be read in conjunction with Volume 1 of the Academic Handbook – Section A3: Blended Learning and the Approval of Distance Learning Provision.

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Guidance for developing your course for distance online learning

Good practice in course design

Course development, at whatever stage of the blended learning continuum, is an iterative process and the best results are often achieved by adopting a team-based approach which incorporates a range of skills and areas of expertise. There are a number of key considerations to be born in mind when embarking on distance online learning course development. These include:

Target audience (nature of the student) Age Motivation Academic ability Experience of learning in a distance online context

Outcomes Course outcomes Other outcomes key skills Learner autonomy Skills for research and analysis

Assessment strategy What type of assessment:

o Online or offline assessmento Practical assessmento Portfolio of evidenceo Examo Coursework

Establish structure Identify topics Identify topic outcomes Identify activities and tasks Develop content

(NB: research into blended and online pedagogies indicate that clear routes are essential for learner engagements. Unlike face-to-face (f2f) learning it is not easy to correct misstatements or redirect the efforts of distance learners.)

Technical considerations Tools for delivery (VLE, PLE, social software) Security of delivery (support infrastructure) Administration and support for students at a distance

Resources Are resources available or do we need to create them? Are the resources paper-based or are they already electronic? Electronic resources – is access limited by campus or institution? Some resources

are available to all, others will have licences limiting use Will multi-media resources enhance the delivery

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Issues of copyright need to be addressed for resources

How will learners be prepared? Do learners need specialist skills to undertake the course Will we offer course induction, will it be at a distance or face to face What study skills will our learners need – how will they access them

Define the learner experience Number of contact hours: online or offline The balance of the role of the online learning environment and other resources

Inclusivity Are we meeting the legal requirements for inclusivity Have we considered issues of student access to technology.

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Principles of good practice in the development and use of distance online learning materials

When developing learning materials for distributed or e-intensive delivery, the team should give consideration to the following:

A User Centred ApproachEvaluation of distributed learning materials is related to fitness for purpose, judged in terms of benefit to the user, through the promotion of successful learning and the quality of the learning experience. A user centred approach will be central in the design of the provision.

Design for Interaction

When a learner is using a online learning package the nature of the experience should be interactive and dynamic. Where large amounts of text are to be assimilated the option of paper based delivery should be given.

Design for Users’ Errors, Growth, Flexibility and Predictability

The design of materials should: pre-empt user error; make allowance for intellectual development; allow users to determine the pace, direction and level of interaction; and include reaction to users’ patterns of interaction.

Appropriate Assimilation of Material and Motivation

Users should not have to recall or assimilate too much information at any one time. Conversely, sufficient thought provoking and interactive material should be provided to maintain motivation.

Consistency of the Interactive Approach

As users become familiar with interface functions and styles of interaction, there should be consistency across related packages and where this is not the case users should be specifically informed.

Continuous and Rigorous Evaluation of the Learning Experience

Programme management must include on-going and thorough arrangements for the monitoring, evaluation and improvement of the learning experience. These arrangements will be the same as those for monitoring and review of campus based provision, but must include student feedback on the elements of delivery and support specific to the distance online delivery.

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Section 7.4: A Best Practice Guide on using Course Representatives Effectively

1 The purpose of the Course Rep’ system2 Responsibilities for the system3 Types of committee and group4 How to get Course reps5 Timing6 What are the Reps expected to do?7 What are faculties and programme leaders expected to do?8 Useful contacts

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1 The purpose of the Course Reps’ system 82

The long-standing system of having student representation on University and faculty-based committees and groups is one of the simplest but most effective ways of gathering the views of students on their courses as well as other issues that are important to the way they learn and achieve.

The system, together with other methods of collecting and evaluating student opinion, is an integral feature of the University’s quality assurance framework and it complies with the Quality Assurance Agency’s Code of Practice for Quality and Standards in Higher Education. This is, of course, an important reason for involving students in discussions about their programmes, but the primary reason must be that only by listening to students’ points of view can the University know that things are working well for them. The system covers all students, on all programmes, on all modes of attendance. It covers research students and students on community education courses.

Overall, the system achieves a lot. It aims to

be a sound vehicle for obtaining student feedbackArguably, it works better than the module feedback forms for resolving problems since an issue is raised in the ‘here and now’ – maybe at the next meeting of the group, or even by immediate action by the Course rep. Module feedback forms can also have a different purpose – they may be used more to provide the faculty with information for longer-term monitoring and planning and less for resolving issues ‘in-year’.

be a mechanism which supports student retentionAgain, by raising quickly a difficulty experienced by even just one student (conceivably more) it may help in improving student retention on programmes.

be an effective means of delivering information and solving problems – often in conjunction with the faculty’s Student Voice Representatives (see http://dimensions.glam.ac.uk/recommendations/107/) .For example, if it’s necessary to make a change to a programme it can be discussed (and minuted) through this forum. Delivering information to students via a programme board, or staff/student liaison committee is a satisfactory way of ‘closing the loop’ on some of the actions that might have arisen as a result of the annual monitoring exercise.

work toward a feeling that students ‘own’ their programme and contribute constructively towards its management.

82 This handbook refers to Course Reps which is the commonly used ‘shorthand’ for Student Representatives. Since the term in its short form is so widely used and understood by all, this is the term adopted for this handbook.

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2 Responsibilities for the system

Board membership and, where appropriate, committee membership, for students is a clear requirement on faculties and this is quite different from taking part in informal focus groups or other forms of gaining feedback. Both should be used, however, in the annual monitoring and periodic review processes.

The responsibilities for ensuring students are represented on groups/committees rests with the faculties although it’s something that’s normally undertaken by the programme leader. Students should be represented on all programme boards and any other group which is appropriate to them. For further information about this, look in the Academic Handbook, in section B.1.5.8 (the best version to use is the web-based document which is found on http://profile.glam.ac.uk/faculties/academicregistry/regs/) and in the University’s annual calendar in which the constitution and membership of various groups is clearly set out – see same link.

The arrangements are likely to vary from faculty to faculty, according to the organisation of programmes, and some faculties may have a special staff/student liaison committee. The University’s regulatory framework places a clear requirement on faculties to make sure that reps are sought from the student body and that their role stays separate from activities such as informal focus groups. The system of Course reps and Student Voice Reps, and its effectiveness, will be audited through the annual monitoring and periodic review processes.

The faculties’ responsibilities for course reps also extends to students enrolled at partner colleges, and those on programmes delivered through other means e.g. directed delivery and blended learning. Students at Partner Colleges can make their contribution either via the ‘parent’ faculty and its programme boards, or direct to the partner college (in which case the college must keep the faculty aware of any programme-related issues which arise). Reps at partner colleges will need to raise issues relating to non-course matters (e.g. child-care, parking, access for students with disabilities etc) directly with the college. In all cases the reps concerns are considered fully and appropriate feedback is given to ‘close the loop’.

3 Types of committee and group

Course reps contribute to both faculty-based committees and centrally organised, University-level committees. Some of the groups described below may not exist in all faculties, and the list is not exhaustive. If you have an example of a group which is not described below but works well for your faculty then please share this as an example of good practice. You can do this by contacting the Course reps Coordinator in the Students Union or the Senior Project Officer (Directorate).

Programme (or ‘Course’ Boards)Bearing in mind that students should be able to make an input to the management and running of their programmes, the University requires that programme boards always have student representatives. They are the appropriate fora to inform students about any matters affecting their curriculum or assessment. Many colleagues have also found it effective to use Glamlife, Facebook, or Blackboard for communicating with Course Reps. There is no formally endorsed method; colleagues and Course Reps can choose what works best for them.

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Health and Safety CommitteesIf your faculty has a Health and Safety Group then it makes sense for students to have a representative (or more than one) on this group on the grounds that this type of group is a good vehicle for sharing information and concerns.

Staff-student liaison committeesNo more needs to be said! Except that, ideally, students should make up the majority of members on a group such as this.

Marketing or recruitment groupsWhat better way to find out what messages reach potential students than by getting current students involved? Focus groups of students who are asked to consider a matter in depth may also fall within this category and they might be initiated by the University or by a faculty.

Central, policy making committeesMany University committees, working parties and similar have student representation built-in to their composition and membership. This often comes down to the President or one of the sabbatical officers of the Students Union and it usually works extremely well, providing the group with a view point that might otherwise be a little distant. A couple of examples where it has worked well in the past are the Learning, Teaching and Assessment committee and the Retention Group. From the titles of the two committees, it’s clear that student comment and input is crucial to the effectiveness of these groups.

4 How to get Course reps

Getting Course reps in place has sometimes been seen mainly as a matter for the Students Union, but this is not the case (see section 2 above or the Framework for Academic Awards, in the Academic Handbook). Ideally, both faculties and the Students Union should work on the recruitment of reps since it’s an important part of the University’s system for quality assurance (and enhancement) and contributes toward student retention. For both the faculties and the Students Union it’s important to get them as soon as possible!

For Course reps from among the first year students, there may be various ways to find able and willing students, such as including a note, or a flyer, with students’ induction material getting an experienced course rep to speak at a Freshers’ meeting using a mailshot Using Glamlife or Facebook Groups direct appeals by a tutor in the classroom using an announcement on Blackboard.

It’s very important that part-time students are adequately represented in the system and they should be given the opportunity to elect one of their own reps – even when a full-time rep has been elected for the programme, or year, as a whole.

For reps from other years/levels you might also try to make use of existing tasks such as mail shots about the coming term, results letters and an advertising campaign maybe as early as the summer term before. Very often there isn’t a need to undertake much additional work – try and capitalise on something that’s already in place! If you find that you don’t get too many offers, then you could try approaching some students directly as you’ll have some knowledge of their interests and skills. This probably isn’t as desirable as a willing volunteer, but it’s certainly not unethical since it’s far better to have a Course rep

Section 7: 34

who’ll do their best in the job as opposed to no rep at all. There are also excellent existing examples in the University where this approach has worked very well.

Whatever type of rep you are looking for, it is important that their role is clearly explained and the Students Union produces a very good guide for this purpose.

Whereas a rep whose main motivation for volunteering may be what the role can do for them is not generally the best rep, it is true that there are benefits to the individual and it should be possible to strike a balance in using these to attract nominations without making it the main emphasis of your recruitment campaign. Some of the benefits are: acquiring a variety of skills e.g. communication, writing, making meetings effective,

advocacy etc. a valuable experience to add to a CV meeting people having an opportunity for a moan demonstrating commitment and getting involved free food (sometimes!)

If you should find yourself in the lucky position of having more nominations than the number of reps you need then you can either Take them all and work with more reps, or Get the nominees to run an election

The students should run the election themselves, but be supported with the use of resources e.g. copying and printing, by the faculty. The Students Union will also offer support for this if the would-be reps go along to speak to the Course reps Coordinator.

5 Timing

Ideally, reps should be in place by the end of week 5 of the academic year as many difficulties experienced by students will crop up during this period e.g. timetabling difficulties, problems associated with the programme, or even personal settling-in type problems. Therefore, if the system is to help with the retention of students then the earlier they are in their voluntary posts the better. An early meeting for all reps is also strongly recommended for the same reasons.

Meetings of staff/student liaison committees and programme/course boards should be incorporated within your faculty’s timetable for the academic year and the Course reps should be given all the dates well in advance (and preferably for the whole academic year), and sent reminders as the meeting's date approaches. It’s important not to overlook the Course reps at Partner Colleges or at directed delivery centres etc.

The dates of meetings of the University’s central groups and committees are normally incorporated within the annual calendar and will normally be given to the reps by the Secretary of the Committee, although the calendar is also available on the University’s web site (see the earlier hyperlink).

The Students Union organises training for Course reps and supports them fully in their role. The training normally takes place around mid November (although this could be earlier if faculties elect their reps earlier!) and it’s very important that the reps should attend, at least for the first academic year in which they undertake the role. The training is comprehensive and is normally contributed to by the Students Services department.

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Care should be taken about the timing of meetings in order to avoid overlooking the attendance patterns of, for example, reps who are part-time students.

6 What are the Reps expected to do?

In broad terms they represent the students on their programme, by voicing any matters of concern, or any matters to be praised, about their learning experiences. This can include, among other things Curriculum and teaching matters Curriculum development e.g. revision of existing programmes, introduction of new ones Directing students to use the Students’ Complaints Procedure, if this seems appropriate Assessment and examinations Promoting the NSS and other approved surveys The library (and other learning resources) Computing and IT issues Student support and guidance, including the tutor system The decision making processes of the faculty or department Input to periodic review of programmes

Course reps are not expected to involve themselves in matters of personal grievance about an individual member of staff or another student. There are alternative routes and procedures for this type of problem, for example, the University's Dignity at Work Policy (see Section 6, Volume 2 of the Academic Handbook) or in any detailed way with the Students Complaints Procedures (Section B4, Volume 1 of the Academic Handbook). In either of these two examples, a Course rep may be chosen to accompany the complainant (since no exclusions are made), but the reps are strongly counselled against taking on too much work along these lines as it has the potential to interfere with the rep’s own studies and may need more specialist experience or training than a rep can offer.

Reps should Make her/himself known to the students they represent and the staff who are involved,

teaching or otherwise, with their programme Gauge the views of students on their programme Present those views at programme board meetings Feedback to the students on agreed actions, remedies, or comments Undertake follow-up actions, if necessary Encourage students to always complete module feedback forms, Student Surveys and

other means of making their viewpoints known Take part in, and share information via, the Students Union network of reps and the

faculty’s own Student Voice Reps.

7 What are faculties and programme leaders expected to do?

The most important thing that faculties do is to take overall responsibility for the system as it runs in their area - see section 2. A major part of this is the nurturing of a positive culture through which your faculty will make clear its commitment to listening to students' views about their learning experiences. Faculties, possibly through the programme leaders, should Make sure reps are clear about the various student feedback mechanisms. This would

probably be done via the student handbooks, faculty channels on Glamlife,or staff/student liaison committees etc

Give Course reps high priority in terms of access to staff etc.

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Ensure full feedback is given about issues which have been raised Make sure the reps know staff names and locations and who to turn to for help and

guidance

Faculties may also like to think about 'add-ons' to facilitate a good course rep system such as a suggestion box placed at a central point in the faculty (the responsibility for checking it

can be passed to the Course reps) help with room bookings for meetings of the reps with student groups funding for newsletters or questionnaires administrative support for mail-shots etc. (bearing in mind that students cannot have

access to others' addresses) provision of a dedicated Course reps' noticeboard or the facility to have information or

announcements added to Blackboard at course/year level a 'directory' of Course reps names printed with (on the reverse of?) module feedback

forms - ensuring that you have obtained the permission of the students first! Operating an open-door policy for Reps to staff such as programme leaders, Head of

department, faculty admin managers, research co-ordinators or field leaders

Faculties and programme leaders should also remember that Course reps' support can also be used as evidence, written or verbal, to support the introduction of new teaching and learning initiatives, new methods of assessment the faculty during five-yearly reviews or other quality processes. open days for student recruitment

Conceivably, their support might even be used as a considerable ‘strengthener’ in a bid for external (or internal) funding for a teaching and learning project, or an excellence award!

So use your Reps effectively! You, the Faculty and the programme will gain as well as them!

8 Useful contacts

Senior Project Officer (Directorate): Denize McIntyre, ext 2791, e-mail dmcintyr@glam.ac.uk

Course Reps Coordinator (Students’ Union); current vacancy, ext 4132, e-mail tba

Students’ Union Vice President for Student Support: Dan Bowen (2010-11), ext 3511, e-mail suvpss@glam.ac.uk

Section 7: 37

Section 7: 38

Section 7.5: Protocol on the Surveying of Students

Introduction – what do we want to do?A definition of ‘surveying’ – What’s covered by the protocol?How the protocol will operateOther recommendationsUseful contacts

Section 7: 39

Protocol on the surveying of students

Introduction – what do we want to do?

HEIs across the sector are increasingly recognising the importance of the “student experience” Significant efforts are now being made to enhance it, in all its manifestations. To do this successfully requires information, data and intelligence.

Recently, the University’s Student Expectation Project revealed the extent of research we conduct with our students83. Whilst this is, in the most part, desirable and informs the development of policy and practices, it risks being both burdensome for students and inefficient (if similar data is gathered a number of times).

In addition, in recent years a number of high profile sector-wide surveys have been developed in which the University participates; either through choice, such as the International Student Barometer and the HEA’s Postgraduate Taught Experience Survey (PTES), or as a requirement of the Funding Council, e.g. the National Student Survey (NSS). Other surveys are aimed at users of specific University services and ‘quick polls’ are frequently carried on the Students’ Union and Glamlife websites. A number of other ad hoc surveys can be organised by internal or external groups or individuals.

The University also carried out a review of surveys, and other student feedback mechanisms, currently in use across the institution. This revealed the range of both internal and external surveys seeking responses from the student body and that a degree of overlap exists.

The protocol will: (a) manage the potential proliferation of surveys (b) increase efficiency by collecting data once and using many times and (c) allow emphasis to be placed on strategically important surveys, such as the National Student Survey; the results of which impact upon published league tables.

Although, in the UK HE sector a number of institutions have introduced systems which exercise a firm degree of control over surveying and other research involving students, this Protocol does not remove or restrict colleagues’ abilities to undertake such work with students. It is a mechanism by which these activities can be coordinated and calendarised and the results shared, where appropriate.

Research projects: Colleagues are asked to note that if a survey of students is planned as part of a research project’s methodology, it should be discussed with the Senior Project Officer (Directorate) before proceeding to a formal ethical or quality assurance process.

A definition of ‘surveying’ – What’s covered by the protocol?

A variety of methods of obtaining feedback from students on any issue relating to their study or broader student lives.

Included for the purpose of this definition are:

83 See recommendation 104 of the Project report: “All staff to record surveys/research that they undertake with students

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Formal surveys - consisting of a number of questions and which may take place in paper format or on-line. Included are those diagnostic-type tools used by the University’s Advice Shops but Progress files/PDP self-evaluations are not included. Evaluations of specific projects or initiatives are included as ‘surveys’. Externally organised surveys (e.g. NSS, PRES) are included. University research projects which involve obtaining data or comments from students are included.Quick polls – generally just one or two questions with simple answers such as Yes/No/Don’t know. Often used on websites aimed at students. These are rarely or never seen in hard copy form. Quick polls may originate from both staff and students’ representatives.Externally organised instances of obtaining opinions from students e.g. for market research purposes, public consultation exercises, research projects by other HEIs or students.Focus Groups – generally used to obtain more qualitative information from students around a set topic and where typically 15 or less students are involved. Focus groups are sometimes used following a formal survey to ‘drill’ into a theme or provide colour or depth to statistical findings.

Excluded for the purpose of this definition are:

Customer Comments cards, or comments books – typically left at a particular location or reception desk. These are used in some departments of the University but are not included within the scope of this draft protocol since they do not ask specific questions and students choose what to comment upon.End of Module (or award) feedback forms – normally used on by all modules and can be paper or on-line. Not included in this protocol since the University has already approved this policy as a mandatory activity for a variety of enhancement and assurance purposes.

How the protocol will operateThe enhancement of the student experience depends in part on the collection, analysis and subsequent action planning of data and intelligence gathered via student feedback and research. The Protocol will better manage this process to facilitate maximum benefit across the institution, to plan surveys and research activities in a more co-ordinated manner.

The following is the model approved for adoption across the University from 1st September 2009:

1 Colleagues proposing to run surveys (please refer to definitions, above) will make an initial check with the Senior Project Officer (Directorate) to determine

(a) Whether a similar data set already exists and may be used for a second purpose, thereby representing an institutional saving of effort and resources and

(b) Whether the timing of the proposed activity, and its target population, may have an adverse effect on students’ participation in the NSS (the outcomes of which influences national league table positions and student recruitment).

2 Colleagues will need to be able to provide the following information: The survey’s proposed target audience The timing of the proposed survey An indication of the questions to be posed or data to be collected The name and contact details of the colleague to whom future users of the

data can be referred for information

3 The Senior Project Officer (Directorate) will maintain a summary file of the surveys undertaken, and by whom, and build an annual calendar of activities with the aim of managing surveys during the period of, for example, the National Student Survey (NSS).

Section 7: 41

4 If sufficient advance notice is given, the Learning and Teaching Enhancement Committee will consider the proposal for a survey. If less time is available, the Chair of the group will consider the proposals and may take Chair’s action.

5 The Senior Project Officer (Directorate) will subsequently ask the survey ‘owner’ if the feedback loop to students has been closed (if applicable) and whether there are examples of changed policies, practices or activities that can be published to the student body.

6 The decision to include Quick Polls on Glamlife will remain with the Glamlife Team. A summary/archive of the questions asked and results is available and will thereby contribute to the data collection held for the University.

Other recommendations

It is recommended that The protocol will be disseminated via Deans, Heads of Department and Division in

Faculties, Corporate Heads and the Students’ Union. The protocol will be included under ‘Essentials’ on Inform and in the ‘Supporting

Documentation’ section of the Academic Handbook. As many surveys as possible should be carried out using on-line tools such as BOS

(Bristol On-Line Surveys) or QMP (QuestionMark Perception) to better aid the sharing of data.

Survey users and researchers should have a clear process in place for using student feedback before they start to collect it and should critically consider the closure of the loop back to students.

Useful contacts:Senior Projects Officer (Directorate): Denize McIntyre, ext 2791, e-mail dmcintyr@glam.ac.ukChair of Learning and Teaching Enhancement Committee: Professor Clive Mulholland, ext 3580, e-mail cwmulholland@glam.ac.ukPostgraduate Research Manager: Dr Elaine Huntley, ext 4484, e-mail ehuntley@glam.ac.uk

Section 7: 42

Section 7.6: Guidance on Committee Servicing

Submitting papers to the Secretariat/Quality Unit- Formatting of Papers- Font- Numbering- Paragraph Numbering- Page Numbering- Headers and Footers- Structure of Documents- Circulation DatesServicing other Committees/Groups- Responsibilities- Before Meetings- At Meetings- Following Meetings- Electing Committee Members- Induction of New Members- Things to consider when servicing committees

Appendix One: Template for structure of papers and example of introductory paragraph

Appendix Two: Template for draft agenda

Appendix Three: Template - standard format for minutes

Appendix Four: Template – attendance monitoring spreadsheet

Appendix Five: Template for requesting nominations of new committee members

Section 7: 43

Guidance on Committee Servicing

Produced by the Secretariat Unit, Academic Registry

About this Guidance

This guidance is intended as a brief guide for colleagues within the University who submit papers to the Secretariat Unit for Academic Board, the Board of Governors and its committees, and those who are responsible for servicing committees within their own faculties and departments. Staff preparing any papers for these committees are asked to adhere to this guidance.

As practice differs between faculties and departments, some parts of the guide will not be relevant to everyone, but we hope that this is a valuable guide providing advice on best practice.

Further information and advice is available from the Head of the Secretariat, Stephanie Williams (Email: swilli11@glam.ac.uk; Tel: 01443 482017).

Submitting papers to the Secretariat/Quality Unit

Formatting of Papers

Papers are to be submitted to the Secretariat and Quality Unit electronically wherever possible. Please try to avoid sending locked files as we need to add appropriate headings to documents.

Font

Papers should be submitted in Arial font, pitch size 11, using single spacing on A4.

Numbering

Please avoid using automatic numbering. When changes are made to the document, i.e. adding headings or other formatting changes, the numbering can be affected which may not be noticed before printing.

Paragraph Numbering

Where appropriate, please number each paragraph. This assists during meetings when the papers are being discussed.

Page Numbering

Please number each page of the document. This also assists during meetings when papers are being discussed.

Headers and Footers

Please avoid putting text into the Headers and Footers (except page numbers in the footer). The Headers are used to add item numbers to the documents.

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Structure of Documents

When submitting papers, please include a small introductory paragraph, which includes a brief summary of what the paper is about, and the action needed from the committee - i.e. to approve, consider, recommend. Please also include the name of the author and the date that the paper was written.A template for the structure of papers and an example of an introductory paragraph is provided in Appendix One.

Circulation Dates

The Board of Governors and its committees, and the Academic Board, have one circulation date which will be communicated to colleagues providing papers. Second circulations are only completed in exceptional circumstances.

Servicing other Committees/Groups

Responsibilities

If the Committee has a formal Secretary, they need to be fully conversant with the responsibilities of the committee. The Secretary will need to work closely with the Chairperson, advising him/her as necessary and preparing and requesting papers for meetings from colleagues. The Secretary will also prepare and circulate minutes of meetings, drawing members’ attention to action points for which they are responsible and making sure that they are completed. The Secretary will need to work closely with the Chairperson in ensuring that agendas and papers are of high quality and are circulated in plenty of time before each meeting.

Before Meetings

Meet with the Chairperson well before the meeting to agree what items should be included on the agenda. Notes:

The first item on the agenda will normally be the approval of the previous meeting’s minutes, followed by any matters arising from those minutes.

If the meeting is the first one of the year, the first agenda items may be to welcome all members, especially new members, and to re-approve the terms of reference of the committee.

If there are any matters arising from the previous meeting which are ongoing, you will need to agree with the Chairperson whether they should be included as agenda items or whether they can be covered under the ‘Matters Arising’ item.

You will also need to agree with the Chairperson which are the most important items, requiring approval or detailed consideration etc, and which are for information only and this should be made clear on the agenda

Consider with the Chairperson the order in which items should appear on the agenda.

The agenda should note the date, time and location of the meeting. You may want to consider with the Chairperson if you should prepare an oral or

written briefing to be given to the Chairperson before each meeting, to update them on any matters which occur between the agenda setting meeting and the meeting itself.

An example of a draft agenda is provided in Appendix Two.

Section 7: 45

Agree with the Chairperson who should be contacted to provide papers and set deadlines for the papers to be submitted.

Have one circulation, at least a week before the meeting. Late papers should only be circulated in exceptional circumstances.

Tabling papers is not good practice but occasionally, someone may ask if they can do this and it will be the Chairperson’s decision whether to allow it.

Try to minimise the amount of paper that is sent in hard copy to committee members. Consider using a SharePoint site or simply emailing around papers which are ‘to note’, and send out hard copies of papers which require decisions/approval. If you have student representation on your committee/group, please be mindful of their printing account and send them papers in hard copy whenever possible.

It is important to store papers for meetings in a clear way so they can be easily found and identified. An example of an effective file naming structure is as follows: YY.MM.DD, Committee Initials, Agenda Item Number, Name of Paper e.g. 09.02.18 Bd 2.1 VC’s Report

This file naming structure ensures that the electronic documents are listed in item order, making them easier to refer back to.

If your committee reports to another committee, you will need to be aware of its schedule of meetings as it may mean that you will have deadlines to meet in terms of actions arising out of agenda items.

Ensure all papers are numbered according to the agreed agenda. Include the item number in the top right hand corner of the paper.

If refreshments are required, remember to order them before each committee meeting. If you have a set schedule of meetings, this can be done at the beginning of the cycle but if there are then any amendments to the schedule, such as a meeting postponement, you will need to cancel the relevant order and re-order as appropriate.

The meeting dates and times for the Academic Board and its Committees, as well as a selection of ‘Other Working Groups’ are drafted by the Secretariat Unit and distributed for consultation during the summer term. In the event of a meeting being cancelled or postponed, remember to let Central Room Bookings know. Organise a new meeting date and book a suitable room with Central Room Bookings. Also, let the Secretariat, Academic Registry know about the cancellation and the new arrangements so that the University Calendar can be updated.

At Meetings

Arrive early and sit next to the Chairperson so that you can interact during the meeting.

When the members have arrived, check, together with the Chairperson that the meeting is quorate as it will not be able to proceed otherwise. The quorum is normally a third of the membership.

Before starting the formal agenda, inform the committee of any apologies that have been received from members who are unable to attend.

Section 7: 46

Pass an attendance sheet around the table and ensure that everyone signs it, including anyone who may be ‘in attendance’.

Keep a record of any action points arising from agenda items and include the member’s initials against the minute in question to act as a reminder.

Following Meetings

Training on minute writing is available from Denize McIntyre, and details can be found in the University’s Training and Development Programme.

You should aim to complete the first draft of the minutes within one week of the meeting, and send them to the Chairperson.

The minutes should be written in plain English in the past tense, referring to people’s roles rather than their names. They should be written in Arial font, size 11.

Thought should be given on the audience who will be receiving the minutes. Bear in mind that minutes of meetings often need to be read by those who were not at the meeting, e.g. when a sub-committee is reporting up to another committee, or where University staff in general have access to minutes of meetings. Acronyms should only be used after the title has been given in full.

Use the agenda to format the minutes, using the title of the agenda item as the title of each minute point.

The Board of Governors and its committees use a standard format for minutes and all secretaries of University committees will need to use a similar format for their minutes. A simple template using this standard format can be found at Appendix Three.

Minutes should be numbered from 1 each time.

Record action points clearly throughout the minutes, using bold font. An example of where an action point is used is included within Appendix Three.

Email the Chair with the draft minutes. Make any changes requested to the minutes, and once approved, email the approved (but unconfirmed – they will be confirmed at the next meeting) minutes to committee members. If a committee member does not agree with something in the minutes, they should inform the Secretary who will ask the Chair to decide if they would like to amend the minutes or not. If the minutes are amended, the revised minutes should be circulated again to committee members. If the suggested change is not accepted by the Chair, this can be raised by the committee member at the next meeting if required.

Email any committee members or other colleagues who have been allocated action points to clarify what they need to do and when they need to do it by. If a colleague has an action allocated to them and they are not a committee member, it could be helpful to them and the committee if a committee member liaises with them about the action they need to take. Chase these colleagues up if necessary to ensure that the actions are completed before the next meeting of the committee. These actions should be included under ‘Matters Arising’ at the next meeting.

File the attendance sheet in the folder of committee papers. Use the attendance sheet to build up a log of members’ attendance at committee meetings throughout the year so this will be available at the end of the year if requested by the Chairperson.

Section 7: 47

Attendance monitoring is important in order to ensure that the meetings are quorate, and that members are fulfilling their responsibilities as committee members. It helps to transfer the details from the attendance slips passed around at each meeting to an excel spreadsheet, where the members’ names are listed in one column, with the date of the meetings along the top. ‘P’ can be used to indicate that the member was present at the meeting, ‘A’ for apologies, and the entry can be left blank if the member did not send apologies and was absent from the meeting. Colour coding can help to identify members who frequently send apologies, and this can be raised with the Chair. An example of an attendance spreadsheet can be found in Appendix Four.

Electing Committee Members

Committee members are often elected for a period of office, usually two or three years, after which nominations should be sought for a new member of the committee.

To request nominations, draft a memo (an example can be found in Appendix Five) to be sent to everyone eligible to make a nomination (usually all the committee members). Set a deadline for nominations to be received, and if you receive more than one nomination, an election should be held.

Reprographics are able to design ballot papers which incorporate a watermark, which should help to maintain the integrity of the election by making it more difficult to produce copies of the ballot sheets. The ballot sheet could include a small paragraph about each candidate, their background and role, if appropriate. The Secretariat Unit are available to provide more advice on this if required.

Once the ballot sheets have been printed, send one to each person eligible to vote. Set a deadline for receipt of the completed ballot papers – try to make this deadline no more than two weeks after the papers are distributed. Ballot papers should be posted back to the person organising the elections.

Once the deadline has passed, count the ballot papers, and announce the newly elected member by a memo or email to all committee members.

In a separate email to the elected member, provide them with details of the committee; terms of reference, membership, and scheduled meeting dates.

Please see the Academic Handbook Volume 2 for more guidance on holding elections.

Induction of new members

Following the initial email from the Secretary a short meeting should be arranged between the new committee member and the committee Chair. The Chair should explain the work of the committee in more detail, and provide the minutes of the last two meetings.

Things to consider when servicing committees

The Freedom of Information Act

The Data Protection Act

Section 7: 48

The University Records Management Policy

The University Publication Scheme

Details on these issues can be found here: http://lcss.glam.ac.uk/ig/

Section 7: 49

Appendix One

UNIVERSITY OF GLAMORGANPRIFYSGOL MORGANNWG

NAME OF COMMITTEE – e.g. STUDENT AFFAIRS COMMITTEE

DATE – e.g. MONDAY 22 FEBRUARY 2010

TITLE OF PAPER – e.g. STUDENT RETENTION

SUMMARY OF PAPER AND COMMITTEE ACTION – e.g. “The attached paper provides an update on student enrolments as at 11 February 2010. Members are asked to note the report.”

NAME OF AUTHORTITLEDATE

e.g. UNIVERSITY OF GLAMORGAN

PRIFYSGOL MORGANNWG

STUDENT AFFAIRS COMMITTEEMONDAY 22 FEBRUARY 2010

STUDENT RETENTION

The attached paper provides an update on student enrolments as at 11 February 2010. Members are asked to note the report.

Joe BloggsRetention Manager13 February 2010

Section 7: 50

Appendix TwoUNIVERSITY OF GLAMORGAN

PRIFYSGOL MORGANNWG

**COMMITTEE NAME**

**DATE** **TIME****LOCATION**

AGENDA

1. Minutes

1.1 To approve the minutes of the meeting held on XXXX 2010 (attached)

1.2 To receive a report of matters arising from the meeting of XXXX 2010 (to follow)

2. Chairperson's report

2.1 To receive a report from the Chairperson (to follow)

3. **First substantive item title**

3.1 **Brief description of the item** (to follow)

4. **Second substantive item title**

4.1 **Brief description of the item** (attached)

5. **Third substantive item title**

5.1 **Brief description of the item** (to follow)

Other items as specified on the agenda

17. Date of Next Meeting

17.1 The next meeting will take place on XXXX 2010 in Brecon Boardroom.

Section 7: 51

Appendix ThreeUNIVERSITY OF GLAMORGAN

PRIFYSGOL MORGANNWG

**NAME OF COMMITTEE**MINUTES OF THE MEETING HELD ON **DATE **

Present: xxxxxxxxxxxx (Chairperson)

**Then a list of members’ names in alphabetical order**

xxxxxxxxxxxx (Secretary)xxxxxxxxxxxx (Clerk)

Apologies: List of members who have given apologies, in alphabetical order.

In Attendance: List of people in attendance, if any, in alphabetical order.

1. MINUTES OF THE MEETING HELD ON *DATE OF PREVIOUS MEETING*

The minutes were approved as a true and accurate record.orThe minutes were approved as a true and accurate record subject to the following amendment(s) being made:

**Include the Minute number and amendment needed**.Action: **Secretary’s initials**

2. MATTERS ARISING FROM THE MEETING OF **DATE OF PREVIOUS MEETING**

2.1 Matter Arising 1 (title of item from previous minutes)

It was noted that………………………………..

2.2 Matter Arising 2 (title of item from previous minutes)

Members were informed that…………………

3. TITLE OF NEXT AGENDA ITEM

3.1 The Committee received a progress report on **xxxxxxxxxxx**. The Chairperson reported that etc.

Other items as specified on the agenda

10. ANY OTHER BUSINESS

Section 7: 52

Appendix Four – Attendance Monitoring

Member Oct-09 Dec-10 Mar-10 Jun-10XXXXXXXXXXXXX P P A  XXXXXXXXXXXXX P P P  XXXXXXXXXXXXX P P P  XXXXXXXXXXXXX P P P  XXXXXXXXXXXXX P A P  XXXXXXXXXXXXX P P P  XXXXXXXXXXXXX A A P  XXXXXXXXXXXXX   P P  XXXXXXXXXXXXX   P P  XXXXXXXXXXXXX P P P  XXXXXXXXXXXXX P P P  XXXXXXXXXXXXX P A A  XXXXXXXXXXXXX P A P  XXXXXXXXXXXXX P A A  XXXXXXXXXXXXX P A P  XXXXXXXXXXXXX P P P  XXXXXXXXXXXXX P P P  XXXXXXXXXXXXX P P A  XXXXXXXXXXXXX P P P  XXXXXXXXXXXXX A P P  XXXXXXXXXXXXX P P A  XXXXXXXXXXXXX P P P  XXXXXXXXXXXXX A A P  XXXXXXXXXXXXX P P P  XXXXXXXXXXXXX A A A  XXXXXXXXXXXXX   P A  XXXXXXXXXXXXX P P P  XXXXXXXXXXXXX P P P  XXXXXXXXXXXXX P A P  XXXXXXXXXXXXX P A P  XXXXXXXXXXXXX A P P  XXXXXXXXXXXXX P P P  XXXXXXXXXXXXX A A P  XXXXXXXXXXXXX P P P  XXXXXXXXXXXXX                 In Attendance: Secretary Secretary Secretary Secretary  Clerk Clerk Clerk Clerk       

Section 7: 53

Appendix Five

To: Members of XXX Committee

Date:

NOMINATION OF MEMBER OF XXX COMMITTEE

The term of office of **name**, one of the members of **XXXX** Committee will expire at the end of July 2010. In the light of this, nominations are invited for one new member to serve for the period **Date** to **Date**. If more than one nomination is received, a postal election will be held during the period **Date** to **Date**.

Completed nomination forms should be returned to **Name**, **Department/Faculty** by **Date and Time**.

**Authors Name**

**Faculty/Department**--------------------------------------------------------------------------------------------------------------------

NOMINATION OF MEMBER OF XXX COMMITTEE

We, the undersigned members of XXX Committee, nominate the following to serve for the period **Date** to **Date**.

Nominee: Name:………………………….. Dept/Faculty:……………………….

Signature of Nominee ………………………………………..

Proposed by: Name:………………………….. Dept/Faculty:……………………….

Seconded by: Name:………………………….. Dept/Faculty:……………………….

This form must be returned to **Name**, **Department/Faculty** by **Date and Time**.

Please note that it is the responsibility of the nominee to ensure that completed forms are returned by the afore-mentioned time and date and that forms are appropriately signed. No nominations will be accepted after this date and time.

Section 7: 54

Section 7.7: Elections to Committees: Guidance for Faculties

Section 7: 55

UNIVERSITY OF GLAMORGANPRIFYSGOL MORGANNWG

ELECTIONS TO COMMITTEES:GUIDANCE FOR FACULTIES

This guidance is intended as an aid to faculties when carrying out elections of committee members and includes advice on the use of standard letters, nomination forms and ballot sheets. The election process has been explained using the Faculty Board Chairperson as an example but the same procedures can be used for other faculty elections by amending the standard letters, nomination forms and ballot sheets as necessary. Postal ballots can be carried out where appropriate. Elections will need to be organised for the appointment of the following members:

ACADEMIC BOARD:One member of teaching staff elected from each faculty.(i.e. one member of the permanent teaching staff in the faculty elected by the permanent teaching staff in the faculty).

FACULTY BOARDS (HIGHER EDUCATION):Chairperson: An elected member of the faculty staff.(i.e. a member of the permanent academic and non-academic staff, excluding members of the faculty executive. Permanent academic and non-academic staff in the faculty are eligible to vote).

One member of staff from each department elected by the members of the department (i.e. one member of the permanent academic and non-academic staff elected by the permanent academic and non-academic staff in the department)

One member of support staff from the faculty elected by the support staff

Section 7: 56

ELECTION OF THE FACULTY BOARD CHAIRPERSON

Chairperson of Faculty Board:A member of the permanent faculty staff (academic or non-academic, excluding members of the faculty executive).Term of office: 3 years (non-renewable).Staff eligible to vote: Full and part-time academic and non-academic faculty staff on

permanent contracts.

NominationsPermanent faculty staff (academic and non-academic) should be asked for nominations to fill the vacancy of Chairperson of Faculty Board (see attached memo/nomination form at Appendix 1). The staff should be given at least a full working week to submit their nominations, with no nomination being accepted after the deadline given in the memo.

The memo/nomination form should be sent to all permanent full and part-time academic and non-academic staff in the faculty. If necessary, staff lists can be obtained from Human Resources to assist with distribution.

When the deadline for receipt of nominations is up, one of the following situations will apply:a) No nominations received. Memos requesting nominations will need to be re-

circulated.b) One nomination is received. Send memo in Appendix 2. The Dean should also

inform all staff, including other nominees, of the results.c) More than one nomination is received. An election will need to be organised (see

below).

ElectionsA copy of the ballot form for the election (see Appendix 3) will need to be distributed to all members of the permanent academic and non-academic staff in the faculty. The ballot of one permanent staff member to serve as Chairperson to the Faculty Board will need to take place during normal office hours over a five-day period, normally from a Monday to Friday. Ballot papers should be issued individually to members of the defined electorate by the Dean of Faculty or a nominee (Returning Officer), each person being permitted ONE ballot paper only. If necessary, staff lists can be obtained from Human Resources to assist with distribution. The Faculty may choose to use a ballot box to carry out the election. Postal votes should also be accepted during the same period and should be returned marked for the attention of [Name of Returning Officer]. Ballot papers should not be accepted after 4.30 pm on the final day of the election period. The security of the ballot box and papers are the responsibility of the Dean of Faculty and arrangements should be made for collection of the ballot papers for counting as soon as possible after the end of the election period.

After the votes have been counted, the memo attached at Appendix 4 should be sent to the elected nominee and the other nominees should be informed of the result at the same time. The Dean should also inform all the permanent academic and non-academic staff of the results.

Section 7: 57

Appendix 1

To: Members of the Permanent Staff in the Faculty of [Faculty Name]Date: dd/mmm/2010

Nomination of Faculty Board Chair: Faculty of [Faculty Name]

The composition of the Faculty Board includes ‘Chairperson of Faculty Board’, a member of the permanent academic and non-academic faculty staff, who is elected by the permanent members of academic and non-academic staff in each faculty. Nominations are, therefore, invited for a representative of the permanent faculty staff, to serve as Faculty Board Chair for a three-year term of office, from September 2010 to August 2013.

A nomination form is attached below, and completed forms should be returned to [Name of Returning Officer] by 12 noon on Friday dd/mmm/2010. Nominations received outside of this deadline will not be accepted.

Please note that if more than one nomination is received, an election will be held during the 5-day period dd/mmm/2010 to dd/mmm/2010 inclusive.

[Name of Returning Officer]Faculty of [Faculty Name]------------------------------------------------------------------------------------------------------------Nomination of a Faculty Staff Representative to serve as Chairperson of Faculty Board

We, the undersigned, nominate the following member of the Faculty of [Faculty Name] staff to serve as Chairperson on the Faculty Board for a three-year term of office, from September 2010 to August 2013.

Nominee: Name:……………………………. Department….………………………

Signature of Nominee ……………………………………….

Proposed by: Name:……………………………. Department………………………….

Seconded by: Name:……………………………. Department….……………………….

This form must be returned to [Name of Returning Officer] by 12.00 noon on Friday dd/mmm/2010.

Please note that it is the responsibility of the nominee to ensure that completed forms are returned by the afore-mentioned time and dated and that forms are appropriately signed; no nominations will be accepted after this time and date.

Section 7: 58

Appendix 2

To: Name of nominee, Faculty of [Faculty Name]Date: dd/mmm/2010

Faculty Board Result: Nomination of Chairperson

Following the recent request for nominations of a permanent staff representative to serve as Chairperson of Faculty Board, I am pleased to inform you that you have been nominated to serve as Chairperson of the Faculty Board, Faculty of [Faculty Name] for a three year term of office, from September 2010 to August 2013.

Would you please note that meetings of the Faculty Board for 2010/11 have been scheduled as follows:

(list times/dates/venues of meetings)

I enclose, for your information, the current membership and responsibilities of the Faculty Board. Should you require any further information at this time please do not hesitate to contact me.

[Name of Returning Officer]

cc Dean of FacultySecretary to Faculty BoardSecretary to Academic Board

Section 7: 59

Appendix 3

To: Members of the Permanent Academic and Non-Academic Faculty Staff, Faculty of [Faculty Name]

Date: dd/mmm/2010

ELECTION OF CHAIRPERSON TO FACULTY BOARD

At the end of the period during which nominations could be accepted for one permanent staff representative to serve as Chairperson to Faculty Board, x nominations were received. A ballot will therefore be held in the five-day period from 9.00 am on Monday dd/mmm/2010 to 4.30 pm Friday dd/mmm/2010.

Completed ballot papers (please see reverse) can be placed in the ballot box, which should be provided by the Faculty. Postal votes will also be accepted during the above period and should be returned marked for the attention of [Name of Returning Officer]. Ballot papers will not be accepted after 4.30 pm on Friday dd/mmm/2010.

The candidates are:

Nominee 1, DepartmentNominee 2, Departmentetc…

[Name of Returning Officer]

Section 7: 60

Appendix 3

UNIVERSITY OF GLAMORGAN

PRIFYSGOL MORGANNWG

FACULTY BOARD: ELECTION OF CHAIRPERSON

Please note that you may vote for ONE candidate:____________________________________________________________

Denote ChoiceName with an 'X'

_____________________________________________________________

Nominee 1Department_____________________________________________________________

Nominee 1Department_____________________________________________________________

Etc…

Section 7: 61

To: Name of elected nominee, Faculty of [Faculty Name]Date: dd/mmm/2010

Faculty Board Election Result

Following the recent ballot for a representative of the permanent faculty staff to serve as Chairperson of Faculty Board, I am pleased to inform you that you have been elected to serve as Chairperson of the Faculty Board, Faculty of [Faculty Name] for a three year term of office, from September 2010 to August 2013.

Would you please note that meetings of the Faculty Board for 2010/11 have been scheduled as follows:

(list times/dates/venues of meetings)

I enclose, for your information, the current membership and responsibilities of the Faculty Board. Should you require any further information at this time please do not hesitate to contact me.

[Name of Returning Officer]

cc Dean of FacultySecretary to Faculty BoardSecretary to Academic Board

Section 7: 62

Section 8: Standard Procedures and Forms for Programme Approval, Validation, Review and Annual

Monitoring

8.1 Course Proposals and Course Amendments Approval Process

8.2 Contributing Deans’ Support Form8.3 Programme and Module Specifications8.4 Annual Monitoring Templates

Section 8: 1

Section 8: 2

Section 8.1: Course Proposal and Course Amendments Approval Process

1 New Course Proposals2 Changes to Existing Course Provision3 Procedures for Logging Ideas and Receiving

Comments4 ADC Dates and Deadlines for Academic Year

2009/10

Appendices:A Access to ‘Course Proposals’ Shared FolderB Full Business CaseC Market Intelligence for Proposed New CoursesD Course Proposal Approval Outline Form

Section 8: 3

Section 8: 4

Section 8: 5

UPDATED ADC GUIDANCE FOR FACULTIES

1. NEW COURSE PROPOSALS

Information Requirements for new course proposals

The following information will be required for proposals considered to be viable by the faculty:

Title of course (this field should contain the course title, or list of modules which will be taught at a partner college etc. It should not contain ‘Institutional Approval – name of partner’)

Mode of study (if the proposing faculty is unsure of the mode of study then use multi mode) Level of Study (i.e. UG, PG, FD, or level of professional body award) Location (details which campus or partner the course will be taught at e.g. Pontypridd, the

Atrium, RWCMD, or Coleg Morgannwg etc). Lead faculty Contributing faculty Faculty contact point (Main contact within the faculty) Nature of the proposal (include here a reference to Institutional Approval being needed if

appropriate) Type of Institutional Approval arrangement (i.e. direct delivery) Outline content Partner organisations (if any)

NB If institutional approval is required; the course proposal will have to be submitted at least 6 months before the start date of the course. No guarantee can be given regarding the completion of the institutional approval process for any course proposals submitted outside this deadline.

If the partner organisation is a new partner the following information will have to be supplied in order to confirm their legal, financial and commercial position and where appropriate their status within their country and internationally as a HE provider.

Therefore the following academic risk assessment should be provided in relation to new partner organisations:

Academic standing;Financial position;Ability of partner organisation to provide appropriate human and material resources;Public and legal standing;Language of tuition and of assessment;Cultural context;Status;Strength;Expertise in field;Existing collaborations with UOG or other UK/International HEIs;

Special features (eg overseas only, blended learning) Professional body accreditation

Section 8: 6

If the proposed course requires professional body accreditation/re-accreditation please provide details.

Any significant resource requirementsNB If the proposed course represents a major new subject departure then a full business case and risk analysis will need to be produced for consideration by the DVC Academic and Business Development (please see Appendix B). The business case and risk analysis will need to be submitted via Lucy FitzGerald, Secretariat (lfitzger@glam.ac.uk)

All significant resource requirements at faculty as well as library, IT and media resources should be listed.

Confirmation of support for course proposalNB List the departments (academic and support)/partner organisations that have been consulted on this proposal. Also list any departments (academic and support)/partner organisations that have yet to be consulted on this proposal, but will be prior to validation.

Information in respect of market research in support of the proposed course, demand, competition etc. Please see Appendix C for further detailed information (Market Research guidelines)

Effect on internal market and recruitmentProvide an evaluation of the effect of the course proposal on market/recruitment to equivalent or similar pre-existing courses delivered at the University and/or partner organisations.Also provide a commentary on the course proposal potential to increase the overall recruitment of the University and/or partner organisations.

Proposed course start date Proposed Validation Date How the proposal is funded – HEFCW or Non HEFCW

Estimated student numbers (headcount for first three years of the running of the proposed course), as follows: (ADC would not normally expect to receive an institutional proposal unless the student intake is at least 20)

First year of operation of the course:

Year 0Year 1Year 2Year 3Year 4

Second year of operation of the course:

Year 0Year 1Year 2Year 3Year 4

Third year of operation of the courseSection 8: 7

Year 0Year 1Year 2Year 3Year 4

In the first year of operation please provide estimated numbers of students to year 0 (if there is a foundation year validated as part of the course) and year 1 only (unless it is anticipated students will be admitted by direct entry to later years of the course).

In the second year of operation the year 0 students should be moved to year 1 and year 1 to year 2 (minus expected numbers of withdrawals/transfers). Again, an estimated number of students predicted for the new intake onto year 0 or 1 should be provided.

Repeat this process for year three of operation.

Confirmation Of Approval By The FacultyConfirmation will be required from the faculty that individual course proposals (and any other submissions) have been signed off by the faculty. Information should also be provided about where the approval was discussed and signed off within the faculty (for example SMT).

Advanced Standing Proposals

All new advanced standing proposals need to be submitted and approved through the course proposal process. The same information requirements as stated for new course proposals will where appropriate need to be provided as part of this process (see Information Requirements for new course proposals). All new advanced standing proposals will be subject to brief business case approval and QAC institutional approval. Only one advanced standing proposal will need to be submitted for each partner organisation. Any supplementary courses that are submitted after the initial advanced standing proposal has been agreed will be added to the memorandum of understanding. Advanced standing proposals should only submitted for a minimum of 10 students.

NB A brief business case and risk analysis will need to be produced for consideration by the DVC Academic and Business Development (please see Appendix B). The business case and risk analysis will need to be submitted via Lucy FitzGerald (lfitzger@glam.ac.uk). The brief business case should include the following information:

Rationale and explanation of the proposal;Indication of financial position – minimum numbers and fee arrangements;Indication of maximum numbers in order to establish whether the University would be able to handle a large quantity of students.

Erasmus Course Proposals

Section 8: 8

All new Erasmus course proposals will need to be submitted and approved through the course proposal process. The same information requirements as stated for new course proposals will need to be provided as part of this process (see Information Requirements for new course proposals). All areas of the “Partner Organisation” section of the course proposal form will need to be completed in addition to stating clearly that the partner organisation is part of the Erasmus scheme. The faculty will also be required to provide proof that the partner is part of the Erasmus scheme.

All course proposals that are part of the Erasmus scheme will not necessarily require institutional approval but each will be dealt with on an individual basis. If for example information is missing or not provided in sufficient detail in relation to the partner organisation the Chair of Academic Development Committee (ADC) will decide if additional information needs to be supplied or if institutional approval is required.

2. CHANGES TO EXISTING COURSE PROVISION

Change in title or level of course

Any courses that require a title change or a change in the level of course should be submitted (in memo format) as part of the course proposals process. A summary outlining the reason behind the change should be included along with the title(s) of the course(s) concerned.

Change in location or additional location of course

Where it is proposed that an existing course be taught on another site of the University, an application should be submitted (in memo format) as part of the course proposals process. A summary outlining the reason behind the additional location/change should be included along with the title(s) and current location of the course(s) concerned.

Review of courses

Any courses that change their title or change in level as part of a review (to be submitted in memo format) will need to have the change approved through the Course Proposal process and formally signed off by ADC.

Quinquennial Review

If a faculty is undertaking a quinquennial review they will need to submit a proposal (in memo format) outlining what will be reviewed and any proposed changes including a summary outlining the reason behind the change. All quinquennial review submissions need to be submitted before the event. Each faculty must ensure that the following information is included in their submission:

A list of all existing current course provision including the locations where the courses are delivered.

A list of all proposed changes to current provision including the locations where the courses are delivered.

Section 8: 9

A list of any new course development (course proposals) including the locations where the courses are delivered.

A list of all deletions of course titles (locations to be specified where appropriate). A list of any proposed changes in course titles.

Deletion of validated courses

Any courses that are no longer running should be submitted (in memo format) as part of the course proposals process for notification of deletion. A summary outlining the reason behind the change should be included along with the title(s) of the course(s) concerned.

Note that courses should only be deleted (closed on QuercusPlus) when the courses are no longer offered, not if not recruiting for 1 year only.

3. PROCEDURES FOR LOGGING IDEAS AND RECEIVING COMMENTS

Detailed proposals from deans of faculty will be forwarded to Lucy FitzGerald in the Secretariat, Academic Registry by the quarterly deadlines noted below. The course proposals will then be logged and placed in the course proposal shared folder.

Lucy FitzGerald alerts nominated colleagues from LCSS, Academic Registry, Marketing and Student Recruitment, CSO, European Office, CeLL and Estates of the proposals to be viewed and commented upon by the deadlines noted below.

Lucy FitzGerald will inform members of ADC of the titles of the course proposals a week before the date of the next ADC meeting. The detailed information should then be accessed via the ‘Course Proposals’ folder.

Lucy FitzGerald will receive any comments and feedback from the nominated colleagues and these will then be placed in the shared folder. The comments and feedback received will then be discussed in conjunction with the course proposals at the next ADC meeting.

All course proposals, comments or feedback should be submitted by e-mail to Lucy FitzGerald (lfitzger@glam.ac.uk) by the agreed dates.

2. ADC DATES AND DEADLINES FOR 2010-2011

ADC Meeting Dates

Brecon Boardroom:

20 September 2010 11.30 am24 November 2010 9.00 am (A30)9 February 2011 11.00 am11 May 2011 at 9.00 am

Deadlines for submitting course proposals

3 September 2010Section 8: 10

5 November 2010 21 January 201121 April 2011

The deadline for submitting course proposals for a September 2011 start is the November meeting of ADC.

The deadline for submitting course proposals for a February 2012 start is the May meeting of ADC.

Deadlines for receiving feedback from nominated colleagues on the circulated course proposals

17 September 201019 November 2010 4 February 20116 May 2011

Documentation Deadlines for Institutional Approvals and HE Units

For proposals going through the September and November meetings:

Documentation to be submitted to the Quality Unit by end of February (28th), for completion by 29 April

For proposals going through the February meeting:

Documentation to be submitted to the Quality Unit by end of March (31st), for completion by 31 May.

For proposals going through the May meeting:

Documentation to be submitted to the Quality Unit by end of July (29th), for completion by 30 September.

For proposals which have a February start:

Documentation to be submitted to the Quality Unit by end of June (30th) for completion by 31 August.

Review of Comments

Where no adverse comments have been received from nominated colleagues or during the ADC meeting, permission to proceed will be confirmed by the Quality Unit. Any adverse comments to the course proposal will need to be reviewed by the ADC during their quarterly meeting. Formal decisions to approve or decline course proposals will be placed on the shared folder and faculties will be informed by email when the decisions are placed on the shared folder.

Chair’s Action for course proposalsSection 8: 11

Faculties should only use Chair’s Action when absolutely necessary. If using Chair’s Action, faculties should ensure that as much time as possible is allowed for the ADC Chair to consider and provide feedback on Chair’s Action requests, before validation documents are needed etc.

Section 8: 12

APPENDIX A

Course Proposals

Access to 'Course Proposals’ Shared Folder

Windows XP User

You will need to map to the Academic Office Server in order to gain access to the ‘Course Proposals’ shared folder.

Click on Start in the Taskbar, then point and click on My Computer.

On the Tools menu, click Map Network Drive

In the Drive box, choose the default drive available or click on a drive letter - do not use A, B, C, D, N, S, T or any other letter that is in use - Z might be a good choice if not already used.

In the Folder box, type the name \\staff-serv1\course prop for the server and shared folder you wish to gain access to.

If you wish to reconnect the shared folder next time you logon tick the Reconnect at Logon box.

Then click on OK to confirm.

You then choose the relevant month folder from the shared drive list.

Please contact Lucy FitzGerald if you have any problems. LCSS will also be able to help if assistance is required.

Please note – if you wish a Secretary or PA to have access on your behalf please inform Lucy FitzGerald in the Secretariat who will arrange for this to be done.

Section 8: 13

APPENDIX B

FULL BUSINESS CASE

A business case should be provided when the course proposal is submitted, if it is evident that one will be required. (i.e. when the proposal will be for a major new field) Business cases are also sometimes requested for new potential partners, and this is often not advised until it has been initially considered by Chair’s Action or the Committee themselves. The faculty would then need to produce a business case and approval would likely be subject to the receipt and confirmation of approval of a business case by Directorate. The number of courses requiring the full Business Case will be very few. Suggested content for the Business Case is outlined below though specific instances may require amendments or additions depending on the circumstances.

CONTEXTDepartment/FacultyDepartment/Faculty contact detailsSummary of proposalCourse title, mode(s) of attendanceProposed start date

Support of UoG Strategic Plan

Collaborative details if applicable

Details of consultation and input from other faculties, departments and interested parties. Faculty responsibility to consult and obtain comments.

FINANCIAL ESTIMATESIncomeInformed by projected student numbers, mode of attendance, origin and location.

TOTAL INCOME

ExpenditureDetails of expenditure are to be recorded outside of the system

Staff CostsIncluding new appointments if appropriate.

Non-Staff CostsIncluding materials, Estates (rooms etc), LCSS as appropriate.

Payment to Partner Institutions

TOTAL EXPENDITURE To be recorded outside of the system

Section 8: 14

NET OPERATIONAL SURPLUS/(DEFICIT)

Note: The financial model should be projected over a 5-year life span, which would include the 'break-even' period.

RISK ANALYSIS

Other Information

Marketing Information (see Appendix C for guidance from the Marketing Department on issues to be addressed)

Results of market research - to include impact on the University’s existing recruitment. Outline of the marketing effort required.

Academic ConsiderationsProposed modular structureSubject areasQualification aimLength/duration of courseNumber and type of lecturers (skill-sets etc)

Miscellaneous

Section 8: 15

APPENDIX C

Market Intelligence for Proposed New Courses

(This could be included within the Business Case should one be needed, to avoid duplication)

The changing nature of the higher education environment, and the subsequent increase in competition for students, requires Glamorgan to offer innovative courses that fulfil market needs. This involves providing new courses that are carefully tailored to the needs of students. In order to evaluate the requirements of students and the consequent success of a course, accurate and up-to-date market intelligence needs to be gathered.

Guidelines for new course development

Please see Annex A for sources of useful information.

When a new award is proposed Faculties should gather intelligence to answer the following questions:

1. Why is the award deemed necessary? Is it the result of student feedback, market demand or for some academic related reason? Faculties should consult both institutional and national application and enrolment statistics to determine the growth in demand in the area of the new award. Data relating to application trends in Wales and the UK for similar awards should be collated. Also what are the application trends at the University for similar Awards? The demographic profile of students studying similar awards at the University and in the UK should be considered.

2. What is the most appropriate title for the award? Particular attention should be paid to the title of the award. It is vital that the name not only reflects the content but does so in a language that is appealing to the potential target market. It could be that we use the same name as other institutions as the course may be well established and recognised, however this may not always be desirable.

3. What level of competition exists for this award? What other HEI’s offer this award or similar awards? How are these courses marketed by our competitors? What professional accreditation do they hold? Do they offer industry placement, study abroad or field trips? These are all questions that should be answered to build an assessment of market competition. Lecturers working in the field of the award may also possess expert knowledge that can augment this analysis.

4. What should be the level of entry? Entry requirements for comparable awards at competitor institutions should also be investigated to ensure that Glamorgan’s award is positioned at the correct level. Relevant subjects and equivalents qualifications should be considered here.

5. What will be the effect of the new award on Glamorgan’s existing portfolio? When proposing a new award it is important to investigate whether the course will attract new applicants or spread the same potential student market over a number of similar awards. We must make a distinction between the existing course and the new course, otherwise it becomes impossible to find unique selling points for each course. Faculties should also look to rationalise their portfolio of courses, when a new course is created then we should look to phase out others. If this does not happen then we have a portfolio of courses that are all very similar and difficult to recruit to target.

Section 8: 16

The 5 guidelines should be followed and information collated for each area as a minimum requirement for all Academic Development Committee (ADC) proposals.

Careful consideration should be given to the timing of the Introduction of the award. Wherever possible new awards should be introduced so that they coincide with the production of the prospectus. The 2010 prospectus development work begins in September 2008 and is finalised in January 2009. These are the lead times that should be used in terms of new award development. It is also important to avoid in year recruitment. Introducing a new award in January 2009 and looking to recruit a cohort for September 2009 is very difficult and costly in terms of marketing. Wherever possible the timing of the introduction of new awards should follow the marketing timetable for promotional activity. This timetable is available from MSR.

More in-depth research will need to be conducted for new awards that have substantial resource or market implications and Faculties are encouraged to consult with MSR as early as possible. MSR can assist by formulating a market research programme to produce more in-depth qualitative and/or quantitative data. To aid with this a Performa has been prepared and is attached in Appendix B highlighting a number of key questions that should be considered. Should Faculty staff require additional advice and guidance please contact Rachel Chedzoy (rchedzoy@glam.ac.uk) in MSR.

The market research will cover issues such as mode of delivery i.e. whether students want to study part-time, weekend delivery etc. The collation of marketing intelligence can be costly and Faculties are advised to contact Rachel Chedzoy prior to commissioning additional research.

There will be additional marketing implications of offering the new award. These will need to be discussed with the Faculty Marketing officers and with Marketing & Student Recruitment (MSR) so that they can be included in existing marketing plans. Schools liaison (or employer liaison for PG/professional awards), advertising and promotional activity all need to be planned and developed. This will help ensure that students are aware of the new course and that it recruits a strong cohort.

Recommendations Faculties that are looking to develop a new course should collate as much market

intelligence as possible. This can be done following the five-step Guidelines above. Support and advice on this is available from MSR.

Market Research should be conducted before the submission to ADC. For new awards that have significant resource or market implications in-depth market

research will be needed and can be requested using the Performa attached in Annex B Marketing activity for new course developments are to be discussed with Faculty

Marketing Officers and MSR. This is particularly important with regards the timings of the introduction of the new award.

Faculty Marketing Officers are responsible for the maintaining their respective Faculties course portfolio and ensuring that courses that are recruiting are promoted on the University’s web site, UCAS site or relevant postgraduate site. Further advice and guidance is available from Andrew Hood, Admissions Manager.

If further help is needed with gathering market intelligence or completing the Performa please contact Rachel Chedzoy (rchedzoy@glam.ac.uk) in MSR.

Section 8: 17

Annex A – Sources of Information www.ucas.com

http://www.ucas.com/about_us/stat_services/stats_online/

This site allows you to conduct a course search to see what HEIs are offering what courses.

Also available is the statistical tool, which allows you to extract data for individual institutions or

courses.

www.hesa.ac.uk

http://www.hesa.ac.uk/index.php?option=com_content&task=view&id=1197&Itemid=266

This link allows you to access data on student numbers by subject and institution.

http://www.prospects.ac.uk/cms/ShowPage/Home_page/Postgrad_study_main_menu/p!eFpclp

Detailed information on Postgraduate courses offered and the HEIs that deliver them.

http://www.findamasters.com/firstmain.asp

http://www.findaphd.com/firstmain.asp

http://www.findapostdoc.com/firstmain.asp

Course finder for postgraduate students

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Annex B - Market Research Template

Research requested byEnter full name

Faculty / Department /

Date of requestEnter in this format dd/mm/yyProposed Course title and content. Mode of delivery, list modules, accreditation, Industry links, work placements etc

Market research conducted by FacultyWhy is the award deemed necessary?

What is the most appropriate title for the award?

What level of competition exists for this award?

What should be the level of entry?

What will be the effect of the new course on Glamorgan’s existing awards?

Market Research requested from MSR

Section 8: 19

Request detailsA full description of additional research required

IncludingData analysisMarket IntelligenceMarketing activityBudget where applicable

Marketing activity required.Promotions advertising etcDate research requiredDo not enter ASAP

Section 8: 20

UNIVERSITY OF GLAMORGAN

PRIFYSGOL MORGANNWG

ACADEMIC DEVELOPMENT COMMITTEE

COURSE PROPOSAL APPROVAL OUTLINE

Please refer to the ADC Guidance for Faculties document when completing this form.

Title of course

FORMTEXT      

Mode of study

     

Level of Study

     

Location

     

Lead faculty

     

Contributing faculties

     

Faculty contact point

     

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Nature of the proposal

     

Type of Institutional Approval Arrangement

     

Outline content

     

Partner organisations

Name(s):

     

Please complete this section where the partner organisation is a new partner for the University. The following information will have to be supplied in order to confirm their legal, financial and commercial position and where appropriate their status within their country and internationally as a HE provider.

Academic standing      Financial position      Ability of partner organisation to provide appropriate human and material resources

     

Public and legal standing      Language of tuition and of assessment

     

Cultural context      Status      Strength      Expertise in field      Existing collaborations with UOG or other UK/International HEIs

     

Additional information requirements for Advanced Standing Proposals in relation to partner organisationsRationale and explanation of the proposal

     

Indication of financial      

Section 8: 22

position – minimum numbers and fee arrangementsIndication of maximum numbers

     

Special features

     

Professional body accreditation/re-accreditation

Does this course require professional body accreditation/re-accreditation? Please specify Yes or No - if Yes please give details:

     

Any significant resource requirements

Please list all significant resource requirements at faculty as well as library, IT and media resources.

     

Confirmation of support for course proposal

Please list below the departments (academic and support)/partner organisations that have been consulted on this proposal.

     

Please list below any departments (academic and support)/partner organisations that have yet to be consulted on this proposal, but will be prior to validation.

     

Market research

Information in respect of market research in support of the proposed course, demand, competition etc. (Please see Appendix C of the Course Proposal Approval Process for further detailed information)

     

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Effect on internal market and recruitment

Please provide an evaluation of the effect of the course proposal on market/recruitment to equivalent or similar pre-existing courses delivered at the University and/or partner organisations.

     

Proposed course start date

     

Proposed Validation Date

Please enter the proposed validation date:

     

Funding

How will the course be funded? Please specify HEFCW or Non HEFCW – if non HEFCW please give details:

     

Estimated student numbers

Headcount for first three years of the running of the proposed course needed:(ADC would not normally expect to receive an institutional proposal unless the student intake is at least 20)First year of operation of the courseYear 0      Year 1      Year 2      Year 3      Year 4      Second year of operation of the courseYear 0      Year 1      Year 2      Year 3      Year 4      Third year of operation of the courseYear 0      

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Year 1      Year 2      Year 3      Year 4      Confirmation of Approval by the Faculty

Please confirm that this course proposal has been signed off by the faculty. Information should also be provided about where the approval was discussed and signed off within the faculty (for example SMT).

     

*Please note documentation deadlines if proposal will require Institutional Approval or a HE Unit:

For proposals going through the September and November meetings:

Documentation to be submitted to the Quality Unit by end of February (26th), for completion by 30 April

For proposals going through the February meeting:

Documentation to be submitted to the Quality Unit by end of March (31st), for completion by 31 May.

For proposals going through the May meeting:

Documentation to be submitted to the Quality Unit by end of July (30th), for completion by 30 September.

For proposals which have a February start:

Documentation to be submitted to the Quality Unit by end of June for completion by 31 August.

Section 8: 25

Section 8.2: Contributing Deans’ Support Form

Section 8: 26

Section 8: 27

Contributing Deans' Support Form

UNIVERSITY OF GLAMORGANPRIFYSGOL MORGANNWG

SUBMISSION FOR VALIDATION/REVIEW

I confirm that the proposal has my support and that it is consistent with the approved Faculty plan. The proposal document(s) is of appropriate quality and conforms to the University's requirements. I also confirm that the Faculty expects to be able to support the proposal for the duration of the period of approval.

..................................................................... .........................................Signature of the Dean of Faculty Date

I confirm that the proposal as specified in the present submission has the involvement and support of the Faculty and that the Faculty expects to continue to support it for the duration of its period of approval.

..................................................................... .......................................

..................................................................... ......................................

..................................................................... ......................................

..................................................................... .......................................

Signature(s) of the deans of contributing faculties Date

Section 8: 28

Section 8: 29

Section 8.3: Programme and Module Specifications

Section 8: 30

Section 8: 31

Programme Specification

This form is to be used to input a new Programme Specification onto the Modules and Programmes Database.

Programme Title:

Authoring Team:

Awarding Institution:

Teaching Institution:

Collaborative Partner(s):

Work-based Learning Organisation(s):

Delivery Support Partner(s):

Award/Programme Title(s):

 

Programme Title:

Delivery Mode(s):

Programme Accredited by:

UCAS Code(s):  

Applicable Subject Benchmark Statement(s):

Date prepared/revised:

Educational Aims of Programme:

Intended Learning Outcomes:

Award Requirements and Delivery:

Programme Structure:

Support for Students and their Learning:

Criteria for Admission:

Section 8: 32

Methods for evaluating and improving the Quality and Standards of Teaching and Learning:

Regulation for Assessment:

Indicators of Quality and Standards:

Validation Details:

Section 8: 33

Module Descriptor

This form is to be used for inputting new module descriptors or new versions of an existing module descriptor onto the Modules and Programmes Database.

Module Title:

Module Team:

Credits:

Old Style Code:

Pre-requisite(s):

Co-requisite(s):

Awards:

Aims of the module:

Synopsis of module content:

Teaching Methods:

Learning Outcomes:

Assessment requirements:

Concise Indicative Reading List:

Key Skills delivered by this module:

Validation Details:

Section 8: 34

Section 8: 35

Section 8.4: Annual Monitoring Templates

1 Module Review Form (MRF)2 Subject Review Form3 Programme/Award/Partner College Review Form

Section 8: 36

Section 8: 37

FORM: MRF

UNIVERSITY OF GLAMORGAN

PRIFYSGOL MORGANNWG

FACULTY OF ………………..20XX/20XX

MODULE SUMMARY REVIEW FORM

MODULE DETAILS

MODULE TITLE :

MODULE CODE : Level : Identify by course and level – e.g. MSc level 7

Module Leader : Identify member of academic staff who is responsible for the module overall

Lecturers : Identify all staff involved in the delivery of the module

Assessment Details Lecturer Internal Moderator Marking ModeratorIdentify if coursework course test, examination etc

Identify lecturer responsible for the work

Identify lecturer who moderated the preparation of the work

Identify the lecturer who moderated the marking of the work

Student Profile Indicate number of students, cohort mix (Home, EU and International), related awards etc

Delivery Schedule Indicate day(s) and time(s) of lectures, tutorials, practicals, workshops and seminars. FT/PT/Block delivery etc

Module Operation and Performance

General Comments on Module Operation

Overview of rationale for assessment methods / effects of workload

Overall picture of how things went – went well, some problems, disaster?

Comment on syllabus coverage, currency and relevance

Comment on teaching, delivery methods, student learning methods, workloads, good practice etc

Description of student feedback methods used, analysis of and comments on feedback obtained – what was good, what was poor.

Comment on any resource support issues, teaching accommodation and delivery facilities, equipment, ICT support (h/w and s/w) and access, lab facilities and access, LRC, Technician and admin support.

Section 8: 38

Where any changes made to the module this year?

General Comments on Module Performance

Comment on assessment methods used, coursework and / or examinations, contribution to learning, matching to outcomes, feedback to students, student achievements, analysis of workload efforts and performance – what was pleasing, what caused problems. Individual / group work.

Module Results Profile

Number of students in each grade.(Exclude non-attempts) No. % Grade

First class (Distinction)(70+)Upper Second (Merit)(60-69)Lower Second (Pass)(50-59)Third (Pass)(40-49)Fail with First attempts

Fail with referrals

Fail with first attempts and referralsFail repeat module

Average Standard Deviation

External Examiner Issues

Comment on any specific items you wish the External Examiners to consider when appraising presented information. E.g. Borderline cases, moderation of marks, etc

Have the marks at borderlines been moderated? Yes(Delete)

Proposals for change in content or delivery

Any recommendations / action points in light of experience.

Completed reports should be sent in electronic form to the Faculty Quality And Student Experience Office for collation in the module archive file AND to your Subject Leader.

Section 8: 39

UNIVERSITY OF GLAMORGAN

PRIFYSGOL MORGANNWG

Faculty of …….

ANNUAL MONITORING20XX / 20XX

Subject:Sub-Subjects:Applicable QAA Benchmarks / Professional Bodies:External Examiner:Subject Leader:

Review of Actions from last Annual Monitoring review

ACTION ACTION POINT Persons Timescales PROGRESSREFERENCE Responsible COMMENTS

EVIDENCEReasons for Non Completion

COMPLETED

Y / NME6/7-01ME6/7-02

Section 8: 40

Subject Evaluation Sheet – 200X / 200X

STRENGTHS / GOOD PRACTICE EVIDENCE

AREAS for DEVELOPMENT / IMPROVEMENT EVIDENCE

Section 8: 41

Subject Action Plan – 200X / 200X

ACTION ACTION POINT Persons Timescales PROGRESSREFERENCE Responsible COMMENTS COMPLETED

Y / NME7/8-01ME7/8-02

Please note the code used is related to Subject Code followed by AM year and specific reference point

Section 8: 42

UNIVERSITY OF GLAMORGAN

PRIFYSGOL MORGANNWG

Faculty of ……….

ANNUAL MONITORING20XX / 20XX

Programme/ Partner College: EdExcel YES / NOAwards:Associated QAA Benchmarks / Professional Bodies:External Examiner:Programme/ Award Leader / Partner College Co-ordinator:

Review of Actions from last Annual Monitoring review

ACTION ACTION POINT Persons Timescales PROGRESSREFERENCE Responsible COMMENTS

EVIDENCEReasons for Non Completion

COMPLETED

Y / NIQA6/7-01IQA6/7-02

Section 8: 43

Programme/ Award Evaluation Sheet – 200X / 200X

STRENGTHS / GOOD PRACTICE EVIDENCE

AREAS for DEVELOPMENT / IMPROVEMENT EVIDENCE

Section 8: 44

Programme/ Award Action Plan – 20XX / 20XX

ACTION ACTION POINT Persons Timescales PROGRESSREFERENCE Responsible COMMENTS COMPLETED

Y / NME7/8-01ME7/8-02

Section 8: 45

Section 9: Internal Subject Review

1 Internal Subject Review Handbook2 Cycle of Internal Subject Reviews

Section 9: 1

Section 9: 2

Section 9.1: Internal Subject Review Handbook

1. An overview of the internal subject review process2. Scope and aims of internal subject review3. The internal subject review process4. Subject review documentation: the self-evaluation5. Documentation6. Other preparations for the review7. The subject review panel: constitution and terms of reference8. Draft timetable for internal subject review

Appendix 1: Annex C - QAA Guidelines for producing self-evaluation documents for subject review

Appendix 2: Annex E - QAA Aide-memoire for subject reviewAppendix 3: Programme Specification Template

Section 9: 3

Section 9: 4

1 An Overview of the Internal Subject Review Process

1.1 Purpose of this Procedure

The purpose of this procedure is to set out the aims of and processes for Glamorgan’s internal subject review process. Internal subject review undertakes a holistic review of all academic provision in each designated subject area and will produce valuable information for strategic planning, periodic reviews of awards and raise issues for Faculties and the University. It is seen as a good method of unveiling best practice through both the reports of these reviews and by the cross faculty representation on the reviewing panels.

1.2 Principles of internal subject review

1.2.1 Internal perspective

The overall principle of the internal review process is to create a holistic approach to the quality assurance of academic provision.

The emphasis lies in keeping the University informed of its developing academic shape by providing the subject area with an opportunity for reflective and critical review, encouraging communication and links between cognate areas of activity where useful, disseminating good practice in teaching and learning, and evaluating and enabling planning (both strategic and as an input to re-approval of taught programmes) on the basis of sound information. It also offers a valuable opportunity for contact with external subject experts.

1.2.2 External Perspective

With the likelihood of increasing external reliance on the internal procedures of universities to assure quality, and equally because of the need to prepare subject areas for external scrutiny the review process uses a methodology reflecting proposed external quality procedures, adapted as appropriate.

1.3 Enhancement versus appraisal

The process is not one of formal appraisal of a subject area. The University recognises that the annual monitoring and evaluation exercises, held at Department and Faculty level, provide the primary tool for assuring the day-to-day quality of courses and awards. In contrast, the subject review process offers an opportunity to look at subject areas within a broader context. Although the reviewers may wish to identify areas capable of improvement, and indeed will be required to do so where these are identified, the focus of the review will be on providing an opportunity to look forward and further enhance and develop the work of the subject group or area. The review process intentionally offers the opportunity to note areas of particular success and will seek to ensure that identified good practice is shared across the University.

Section 9: 5

2 Scope and aims of internal subject review

2.1 Scope of internal subject review

The review process covers taught course provision including collaborative partners within a specified academic area as well as consideration of research degree provision and recruitment. This will occur once every six years. Internal subject review will provide evidence that subject groups are reflecting holistically on their subject, which is required by the strategic planning process. Since this occurs infrequently it is important to take a mid to long term view of the subject.

2.2 Aims and objectives of the review

Aimsa) To undertake a holistic exercise, providing the subject area and the institution an

opportunity to examine and enhance subject provision within a wider institutional and national context.

b) To assist subject groups to reflect on and review their own work in order to enhance activity and prepare effectively for external quality assurance or accreditation.

c) To evaluate and improve academic performance and disseminate good practice across the institution.

Objectivesa) To assess the aims of a defined subject group against their own self-evaluation,

and in the context of the standards of the sector;b) To consider the above in the context of national standards in that subject area,

where they exist;c) To consider the extent to which the subject area has engaged with national

reference points including the National Student Survey, programme specifications, subject benchmarks, the Code of Practice and the National Qualifications Framework in order to evaluate provision;

d) To consider the appropriateness, quality and balance of the curriculum;e) To consider the appropriateness, quality and balance of research being

undertaken in the subject area;f) To consider the appropriateness, quality and balance of teaching, learning and

its assessment;g) To consider the appropriateness and quality of the procedures in place to

evaluate and enhance academic provision (including student feedback mechanisms);

h) To consider the adequacy and quality of facilities, support services and the administrative structure in assisting the subject group to fulfil its aims and objectives;

i) To consider the adequacy of liaison between the subject group and cognate departments, the rest of the institution, and relevant outside bodies;

j) To identify areas of good practice.

Section 9: 6

2.3 Evidence base and self evaluation

The self evaluation document (SED) is the primary means by which the subject area will demonstrate evaluation of its provision, this will serve as the primary reference point for the review panel.

More detailed requirements on documentation to be made available for the review are given in section 5.

3 The internal subject review process

3.1 Key responsibilities

a) QAC and RPSG will establish, after consultation with faculties, a rolling programme of subject review spread over a six year cycle.

b) FQAC and FRPC will undertake the reviews with the relevant subject areas.c) The Dean of Faculty will identify a subject leader to lead the production of the

self-evaluation documentd) QAC will need to approve a panel chair, external panellists, internal panel

member and student representative for the review event in consultation with the chairs of FQAC and FRPC (see below).

The subject group will be invited to nominate external members of the review panel through FQAC and FRPC to the chair of QAC. Internal members of panel will include the chairs of the FQAC and FRPC. The panel membership will be approved by the chairs of QAC and RPSG.

3.2 The preliminary stages of the review process

The following checklist shows the main preliminary stages of the subject review process. These may vary from review to review, by negotiation between the subject group concerned and the panel.

3.2.1 Establishing the date of review

The University Quality Assurance Committee will normally confirm subject groups for review with at least 12 months notice in advance of the scheduled review date and with reference to published schedules for external review visits. This period of notice may be extended to a notional 6 years when the full rolling schedule of subject groups for review has been finalised.

Deans of faculty will be asked to propose years for subject review to fit in best with their own cycle of professional body accreditations and periodic review of awards. There will be a presumption against a faculty attempting to review all of its subjects in one session (Big Bang suggested that this approach militates against other initiatives being taken at the same time) – the University’s only concern should be to ensure that there is a balanced programme with a reasonably even load of reviews in each year of the cycle.

Section 9: 7

Risk analysis and management will be incorporated into the scheduling of reviews by prioritising those subjects that received satisfactory judgements (as opposed to excellent) under the last TQA regime.

3.2.2 Defining the area to be reviewed

All aspects of taught provision within the defined group (see below). Consideration is also given to the role of, and provision for, research student provision within the subject group. Subjects will be based upon those subjects identified by for example benchmarking criteria, but faculties will be free to propose other groupings to take account of their own local factors and deans of faculties will be asked to suggest their own subjects to review. The chair of the Quality Assurance Committee will review all suggested subjects for review to ensure no subject is omitted.

3.2.3 Informing those involved in the review process

As the review is not necessarily based on an identifiable departmental unit it is necessary to ensure that key personnel within the subject group, with responsibility for the review process, are identified at an early stage. The Quality Unit of the Academic Registry will liaise with the Dean(s) of Faculty within which the subject group falls in order to identify the relevant subject leader(s).

3.2.4 Preparing the subject area

The subject leader(s) will be informed of the forthcoming review and will then assume full responsibility for co-ordinating and preparing the subject group for the review. Where more than one subject leader is identified (for discrete but cognate subject areas) the Dean of Faculty will liaise with all the identified subject leaders.

3.2.5 Preparatory workshop

The production of the self-evaluation document is the primary means by which the subject area will demonstrate critical evaluation of the subject provision. As part of the process it is expected that workshops will be run two to three months in advance of the submission of the self-evaluation in order to assist the subject areas in drafting an effective document. The aim of the workshops will be to consider an early draft of the self-evaluation and/or consider themes which might feature in the self-evaluation and which the subject area could usefully explore in advance of drafting the document. The workshop will be organised by the subject area and the Chair and Secretary to the review should be invited.

3.2.6 Initial timetable for the review

The faculty administrator, who is acting as secretary to the review event, draws up a draft timetable for review, including suggested dates for submission of review documentation and for the review panel’s visit. The draft timetable is discussed with the subject leader, and amendments made as necessary. An example timetable is included in section 8.

Section 9: 8

3.2.7 Selecting the review panel

Nominations for external members of the review panel are forwarded by the subject group under review, and these, together with the internal panel member and student representative nominations are formally approved by the Quality Assurance Committee. The faculty will allocate a secretary and clerk to the review, and the panel members are invited. The chair of the review panel will need to be approved by QAC and the relevant school FQAC Chair will be one panel member. The chair of FRPC may also be a member if appropriate or alternatively called in for specific sessions.

3.2.8 Initial briefing – confirming the timetable

A briefing meeting will be held between the chair, secretary, and leader(s) of the subject group being reviewed. This is to ensure that the process is clearly understood and to confirm the timetable for the review. The timetable will include an opportunity for a subject group staff briefing meeting, and a meeting of the internal panel members to discuss the agenda and programme for the day(s). Dates both for the submission of documentation and the visit should be set well in advance.

3.2.9 Gathering documentation and developing the review programme – deadlines

Source documentation will be referenced in the self evaluation document and it is expected that this documentation will be compiled in preparation for the review. Sufficient paper copies of documentation will be forwarded to the secretary who will organise distribution to panel members. The self-evaluation document written by the leader(s) of the subject group should be submitted by the agreed deadline, usually a minimum of two months in advance of the review date. The secretary will at this stage agree with the subject leader a preliminary programme for the review. The self-evaluation document is sent to the review panel usually six weeks in advance of the review date. All documentation must be provided in both paper and electronic format.

3.2.10 The programme for review

The self-evaluation, including the preliminary programme for the day(s), is sent to the review panel six weeks in advance of the review. The panel considers the self-evaluation and submits any initial responses to the secretary. This information will enable the secretary with the subject leader to identify the agenda and focus of the review visit.

It is intended that the programme for the review is shaped by the self-evaluation document. The review might focus on themes which are identified in the self-evaluation e.g. assessment, retention or teaching and learning.

3.2.11 Initial meeting of the review panel

An initial meeting of the review panel and the subject leader(s) is held. All internal members are expected to attend this, but external members are not required to attend unless they wish to do so. All members are invited to submit comments to the review secretary prior to this meeting. The purpose of this meeting is to clarify the issues the

Section 9: 9

panel wishes to explore, and to confirm the programme of activities for the review, including any tours, presentations, small group discussions or plenary sessions desired.

3.2.12 Circulating the programme for the visit

The secretary circulates the confirmed programme and revised agenda to the panel and subject leader(s). The subject leader(s) briefs all affected staff on the confirmed arrangements for the visit.

3.3 The Review Visit

The review panel visits the subject group, usually for no more than 3 days including any visits to collaborative partners. The visit will include a number of meetings with staff, to discuss particular areas identified during the preliminary processes. The visit will also include tours of facilities, meetings with students and private panel meetings. The visit concludes with a plenary session at which the panel sets out its main findings, commendations and points for further investigation or action. This summary is, however, provisional. Further issues may be added subsequently on the basis of further reflection by panel members.

3.4 Following the review visit

3.4.1 Preparing the report

The secretary drafts a report, based on the notes taken during the review visit and supported where appropriate by reference to the subject group’s self-evaluation. The draft is circulated for comment and amendment to all panel members. Once this stage is completed, the review panel has fulfilled all its responsibilities in relation to the review. Responsibility for following up the observations and recommendations of the report becomes that of the Quality Assurance Committee, the subject leader and the FQAC.

3.4.2 After the report is finalised

The report as confirmed by the review panel is passed to the subject group for information and discussion and to the Quality Unit, Academic Registry, who will submit the confirmed report to the next scheduled QAC meeting for consideration, which will decide whether there are any particular issues they believe the department or University should address. The subject leader(s) attends the meetings at which QAC discusses the report to gives immediate feedback on the experience of the review.

The subject leader may be asked to provide further information on specific points to a future meeting, and will be required to prepare a written response following this initial discussion by QAC.

3.4.3 Concluding the formal process

a) The final report is received by the University’s Academic Board.

Section 9: 10

b) The subject leader(s) (and others, as appropriate) produces a brief written response for the Quality Assurance Committee (QAC) on the specific commendations and issues highlighted by the review panel, and any other points on which the committees request further information. This formal response to the report should include any observation the subject group wishes to make on the usefulness of the process and the quality of the administration of the process. If QAC considers these satisfactory, the review process is complete.

c) The subject leader will report back to QAC three months after the report has been received by QAC to report on progress.

4 Subject review documentation: the self-evaluation

4.1 Preparing the self-evaluation

The self-evaluation is produced by the subject leader(s) of the subject group under review. The self-evaluation is the subject group’s opportunity to present the review panel with a self-critical overview of the full range of its work. It is recommended that the document be the result of wide consultation within the subject group and any central support departments whose work impacts on the subject provision, but that in its final form it should be the work of a single author or small group.

4.2 The form of the self-evaluation

It is recommended that the document broadly reflects the structure for self-evaluation that has been proposed by the QAA for Academic Review (see Appendix 1 (Annex C) and Appendix 2 (Annex E) for guidance). The intention is to be evaluative rather than descriptive of provision. The document should identify the aims of the subject group, the range of provision and evaluate subject provision in the context of learning outcomes, curriculum and assessment, quality of learning opportunities, the maintenance and enhancement of standards and quality assurance. The document should explore strengths and weaknesses, and outline broad plans for the future. The self-evaluation should be no more than 6000 words in length excluding the aims section and accompanying documentation i.e. programme specifications. It is not required to attempt to make any specific ‘claim’ for excellence. Reflection on how the subject group address the sections of the QAA Code of Practice should be evident in the self-evaluation and include topics such as equal opportunity and disability.

4.3 The aims section

The self-assessment should be prefaced by a statement of not more than 500 words setting out the overall aims of the subject group. The Aims should encompass the broad purpose of the academic provision for its students and be related to the institution’s mission, the subject context, the qualifications framework and professional body requirements.

Section 9: 11

4.4 Further guidance on preparing the self-evaluation document

Below is a checklist for subject leaders to use in writing the self-evaluation. These should be used in conjunction with the QAA’s guidance detailed in Appendix 1 (Annex C) and Appendix 2 (Annex E). The following points have been taken from that guidance and intend, in summary form, to highlight the kinds of questions likely to assist in the preparation of an evaluative document. Authors should reflect on identifying evidence in support of any specific claims made in the document.

4.4.1 Subject group’s shape and its relationship to the rest of the University

A short statement on the range of provision to be reviewed

a) A summary of the type of provision;b) An overview of the location of the subject group within the University;c) The role of the subject group in relation to the Faculty and to the University as a

whole;d) Any external frameworks the subject group has to work under, for example,

specific funding;e) Professional body guidelines or requirements;f) Student enrolments and full time equivalents.

4.4.2 Academic philosophy, overall aims of the subject group (see 4.3 above)

The overall aims of the subjecta) The aims of the subject group’s academic programmes which may incorporate

references not only to the needs of the students, but to other stakeholders in higher education;

b) The subject group’s academic philosophy, for example, the approach taken to balancing different types of provision;

c) The means by which the subject group approaches the quality assurance of its various activities, including any innovative or collaborative processes;

d) Major academic plans and priorities for the future.

4.4.3 Evaluation of subject provision (6000 words maximum)

4.4.3.1 Learning Outcomes

How appropriate are the intended learning outcomes in relation to the overall aims of the provision, the subject benchmarks statements and other external reference points e.g. external examiner comments, professional and statutory bodies (PSB) requirements, articulation with subject benchmarks.

How effective are the measures to ensure staff and students understand the aims and intended learning outcome of the programme?e.g. use of student handbooks, staff involvement and development in use of learning outcomes across provision.

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4.4.3.2 Curricula and Assessment

How effective is the content and design in enabling the intended learning outcomes to be achieved?e.g. explanation of how intellectual progression is achieved, and evidence of debates regarding progression, content and level, developments in subject area and identification of good practice.

How effective is student assessment in measuring the achievement of the intended learning outcomes?e.g. relationship between assessment and learning outcomes, use of grading schemes, use of formative assessment, reference to programme specifications.

4.4.3.3 Quality of learning opportunities: teaching and learning

How effective is teaching and learning in relation to programme aims and curriculum content?e.g. use of teaching methods and new technology, students interaction, staff development, team teaching, student workloads.

How effective are the strategies of academic support in terms of students’ progression? How do they take account of ability profiles in relation to programme aims?e.g. induction arrangements, identification and support for special needs and disability, feedback to students on progress, pastoral care, tutorial support.

4.4.3.4 Quality of learning opportunities: learning resources

How adequate are learning resources and how effectively are they used? Where and how are developments in learning resources and teaching and learning approaches discussed and progressed?e.g. strategic use and planning, staff, dealing with problems of physical resources, the use of ICT in teaching and learning.

4.4.3.5 Maintenance and enhancement of standards and quality assurance

How effective are the measures (quantitative and qualitative) taken to maintain and enhance the quality and standards of provision?e.g. mechanisms in place to assure quality, interaction with institutional quality assurance, use of quantitative measures including cohort analysis, progression, retention, first destination, use of qualitative measures including student feedback, external examiners reports, employers views, PSB visits, internal reviews.

4.5 Self-evaluation and supporting evidence

a) Programme specifications should be attached for each course included in the review (see Appendix 3 for template);

b) In addition, subject areas may provide brief factual explanations of curricular structures, modular schemes, or collaborative arrangements;

Section 9: 13

c) The self-evaluation should contain clear references to the documentary evidence to support the claims. The panel will be seeking out evidence that documents support claims and that appropriate mechanisms are in place such as to allow the subject group to be confident that it can be sure that its procedure, methods, structure and ethos indeed support its declared aims and objectives. This can be characterised as: demonstrating the means by which you know that what you do indeed works.

4.6 Departments external to the subject group

A number of the areas covered in the self-evaluation impact on central support departments. Subject leaders are welcome to include members of central departments in their preparatory discussion, and to invite them to contribute to the development of the self-evaluation document. In particular, the subject leader and the review secretary should identify at an early stage the sourcing of statistical information.

5 Documentation

5.1 Scope and type

It is likely that the range of documentation used in preparing a self-evaluation document and available during a review might vary depending on the size of the provision under review.

The self evaluation document will reference a number of documents and it is expected that these are collated during the preparation of the SED.

A wide range of documentation and material contextualises the subject area under review and will help inform the panel in its judgements. It is expected that a wider range of material will be available to the panel during the review (see 5.3 below). It is not expected that the documentation is produced for the review rather that it is derived from existing sources.

The final list of background documentation and the range to be sent to the panel in advance should be agreed by negotiation between the chair and secretary to the review panel, and the subject leader(s) at an early stage in the review process.

5.2 Gathering the documentation

The subject leader will gather the documentation. It is the responsibility of the subject leader to liaise with the secretary to ensure that all documentation is available in good time. It will be the responsibility of the subject leader to supply the secretary with enough copies of all documents to be supplied to review panel members.

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5.3 Typical documentation

The following is an indicative checklist of documentation expected to be available during a review:

(a) University Corporate Plan(b) Faculty academic development or strategic plan(c) Faculty annual monitoring and evaluation reports(d) Peer observation review reports(e) Recent course validation reports(f) Most recent accreditation reports (where relevant)(g) Course appraisal: (Board of study minutes, Sample course board minutes)(h) External examiners’ reports(i) Sample student handbooks(j) Programme specifications(k) Sample module descriptors(l) Sample student coursework(m) Faculty equal opportunities statements and any reports(n) A statement on subject admissions policy(o) A summary of staff development activity(p) Statistics: Admissions, enrolment, progression, awards achieved, Student

employment statistics, comparative national statistics (if available), e.g. from the National Student Survey, HESA).

5.4 Student coursework and feedback

Student coursework will form an important aspect of documentation available to the panel, however it is not expected that the panel will make a judgement relating to the standard of student assessment (as this is achieved though existing internal and external moderation processes). It is expected that a reasonable sample of student coursework is available to the panel as evidence of the range of assessment and feedback produced. This may take the form of a module box which contains the module outline, assessment briefs, any additional information a student would receive, a sample of student assessment and feedback etc.

5.5 Additional information

Depending on the local systems in place, it is probable that information helpful to the panel, but not included in the above list, will be available (e.g. minutes of local working groups, subject specialist groups, etc.). The subject leader should identify any material additional to that listed above and discuss its inclusion with the secretary.

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6 Other preparations for the review

6.1 Practical arrangements

In order for the review to run smoothly, it is important to adhere to the published timetable, and to ensure that any practical arrangements are made in good time. In particular, attention is drawn to the need to provide:

a) An appropriate base for the review panel which will include the additional documentation for reference during the review

b) Appropriate rooms for small group meetings and plenary sessions which should ideally be held in the Glamorgan Business Centre.

c) Appropriate rooms for meetings with students (which are likely to include lunch). These meetings should be run more as focus groups rather than a ‘chat over a sandwich’.

d) Adequate hospitality for participants (including lunches, refreshments, etc.).

6.2 Responsibility for practical arrangements

Practical arrangements should be discussed early in the review process by the subject leader and the secretary.

a) It is expected that the secretary will identify and secure appropriate rooms for the review.

b) It is expected that the secretary will arrange hospitality and meals for the review visit, unless the subject leader wishes to make local arrangements.

6.3 Other provision

In some instances the subject group will wish to arrange demonstrations and exhibitions or use particular forms of presentation (video, computer-based). It will normally be expected that such arrangements are made by the subject leader but that the secretary will be kept informed of the progress of such arrangements.

7 The subject review panel: constitution and terms of reference

The Constitution detailed below is indicative rather than prescriptive. Individual review panels will be constituted to provide appropriate depth and breadth of expertise, and roles may be combined, although no individual will fulfil more than two of the distinct roles described below.

7.1 Constitution

The chairperson will be approved by QAC The Dean of Faculty

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A member of the university with experience of being a QAA Subject Reviewer (or equivalent such as professional and statutory body experience)

A subject leader from outside the subject group under review and who will be reviewed in the same cycle

Secretary, clerk or nominee from the faculty under review At least two external members – specialists in one or more of the areas of the

subject area under review Faculty FRPC Chair Faculty FQAC Chair A student representative

(The subject leader(s) of the subject group being reviewed, whilst not formally a member, is entitled to attend and participate in all meetings.)

The secretaries and clerks for academic review panels will be drawn from the staff of the faculty under review.

Observers may be invited to attend in order to widen the experience of the review process among University staff. Any such arrangement will always be negotiated with the subject group concerned.

7.2 Terms of reference

Subject review panels are formed to:a) Undertake the review according to the aims and objectives outlined in section 2.2b) Comment on the adequacy of provision in relation to the objectives outlined in

2.2c) Identify good practice and where it relates to teaching and learning request that

the Centre for Excellence in Learning & Teaching are informed in order to develop an appropriate action plan for its dissemination across the university

d) Report to the Quality Assurance Committee and the Academic Board and to recommend to the subject group for its consideration, suggestions as to how performance could be improved and any future direction which could be followed.

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8 Draft timetable for internal subject review

8.1 Timetable

Months before review Activity6 – 12 months Subject leader identified

Review date set4 – 6 months Panel selected by QAC.

Briefing meeting held between review panel chair and secretary and subject leader to agree the timetable of review

4 – 6 months Practical arrangements (rooms) made3 – 6 months Preparatory workshop for SED

preparation to take place2 months Self-evaluation documents and agreed

documentation submitted to the secretary by subject leader

6 weeks SED sent to panel members2 weeks Feedback from panel members to Chair

and Secretary1 – 2 weeks Final agenda setInternal Subject Review 1-3 daysCompletion of review Report is received by QAC and

Academic Board (submitted via the Quality Unit, Academic Registry).QAC receives response from subject leader

3 months after review Subject leader reports back to QAC on action taken

Section 9: 18

Section 9: 19

Appendix 1

These guidelines are reproduced from the QAA Handbook for Academic Review website which can be accessed at:

http://www.qaa.ac.uk/reviews/academicReview/handbook2000/acrevhbook.asp

Annex C - Guidelines for producing self-evaluation documents for subject review

Introduction

1. A self-evaluation document is a statement which demonstrates that a subject provider has evaluated the following, in a constructively self-critical manner:

appropriateness of the academic standards it has set for its programmes; effectiveness of the curriculum in delivering the intended outcomes of the programmes; effectiveness of assessment in measuring attainment of the intended outcomes; extent to which the intended standards and outcomes are achieved by students; and quality of the learning opportunities provided for students.

2. A self-evaluation should discuss both strengths and weaknesses of provision, as perceived by the provider. The document is an opportunity for the provider to demonstrate how the strengths of the provision identified in previous subject reviews or accreditation events have been built upon, and how any weaknesses identified have been addressed. Where weaknesses remain, plans for addressing these should be summarised. Reviewers will give credit for appropriate remedial plans that address effectively any acknowledged weaknesses.

3. These guidelines have been prepared to help institutions prepare self-evaluation documents. They are neither prescriptive, nor exhaustive. Academic reviewers will use self-evaluation documents in any reasonable form, provided they contain the information that reviewers need to plan and conduct the review.

4. Academic review involves testing and verifying statements made in self-evaluation documents, thereby arriving at judgements on standards and quality. This process places the self-evaluation document at the centre of the review. A high quality, reflective document that draws upon robust internal review procedures is likely to lead to a review that places a minimum burden on the institution. An inadequate document that is poorly organised and which is descriptive rather than evaluative, will leave reviewers needing to gather for themselves a far greater proportion of the evidence they will require to make their judgements, resulting in a review that may prove more burdensome to the institution.

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5. Self-evaluation documents should commence with a short statement of the range of the provision being reviewed. Programme specifications (see Annex D) should be appended. Factual material provided in the programme specifications need not be repeated in the document.

6. A flexible approach should be taken to preparing and presenting self-evaluation documents to accommodate the range and potential complexity of subject provision. For example, some subjects may well contain very large numbers of programmes; some 'programmes' may comprise complex modular schemes; some subjects may be aggregated for review purposes.

7. Where large numbers of programmes are included under a subject heading, or where a subject category contains more than one discrete discipline, it may be sensible to evaluate discrete programmes or groups of related programmes separately. Where this is done, the broad structure indicated below should still be used, but the self-evaluations should be presented as a coherent package. Thus, in a subject such as engineering, with a number of discrete sub-disciplines, an institution may wish to present separate self-evaluations of each discipline, introduced by a short overview dealing with the institution's approach to the subject as a whole.

8. Where subject provision is offered within a wider multi-disciplinary framework, general information about the framework and the main pathways within any modular structure, should be included in an annex to the self-evaluation. An institution may choose to nominate a group of subjects to be reviewed together if they are linked through options or pathways available within a modular structure. In this case, an introductory overview of the approach to the provision as a whole may be appropriate.

9. Self-evaluation documents should be structured to address:

A Overall aims of the subject provision

B Evaluation of the subject provision:

i learning outcomes;

ii curricula and assessment;

iii quality of learning opportunities;

iv maintenance and enhancement of standards and quality;

and should have annexed:

C Factual information about the subject provision:

i a programme specification for each programme in the subject(s) under review; and

ii any information about relevant modular structures or collaborative arrangements.

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10. When drafting self-evaluation documents, institutions may find it helpful to refer to:

the precepts in those sections of the Code of practice relating directly to quality and standards; and

the prompts and questions for academic reviewers in the aide-mémoire in Annex E.

Overall aims of the subject provision

11. There must be a clear statement of the overall aims of the subject provision. This will be used by reviewers to assess whether provision achieves its broad purposes. The statement of aims will be reproduced at the start of the subject review report. Overall aims will reflect the distinctive mission of the institution, and might place study of a discipline in contexts such as:

enabling students to develop their capacity to learn; meeting international, national, regional or local needs; preparing students for employment or for further study; widening access to higher education.

12. Statements of aims should be succinct but should convey clearly the parameters of the subject provision. They may be presented as narrative statements, bullet points, or as a mixture of the two. They should not exceed 500 words in length.

Evaluation of the subject provision

13. The evaluation should indicate where the supporting evidence may be found, e.g. within other institutional documentation. Such references will help the reviewers in gathering evidence, and avoid the need for merely descriptive material to be included in an evaluative document.

Learning outcomes

14. The first part of the evaluation should address the appropriateness of the intended learning outcomes in relation to the overall aims of the provision, relevant subject benchmark statements, and other external reference points. The evaluation should discuss the effectiveness of measures to ensure that staff and students have a clear understanding of the aims and intended outcomes of programmes.

Curricula and assessment

15. The evaluation should review the effectiveness of the content and design of the curricula in enabling the intended outcomes of programmes to be achieved. Specific issues that are likely to be pursued by reviewers include:

academic and intellectual progression within the curriculum; appropriateness of content in relation to the level of the award; inclusion of recent developments in the subject; reflection of best practice in pedagogy.

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16. The evaluation should review the effectiveness of student assessment in measuring achievement of the intended outcomes of programmes. Reviewers are likely to be interested in the effectiveness of assessment in:

enabling students to demonstrate achievement; discriminating between different categories of performance; promoting student learning (especially through formative assessment).

Quality of learning opportunities

17. The evaluation should review the effectiveness of teaching and learning, in relation to programme aims and curriculum content. Reviewers are likely to be interested in:

range and appropriateness of teaching methods employed; ways in which participation by students is encouraged; quality of learning materials provided; strategies for staff development to enhance teaching performance; effectiveness of team teaching; student workloads.

18. The evaluation should review student progression. The effectiveness of strategies of academic support, and the extent to which they take account of the ability profile of the student intake in relation to the aims of the programmes, should be discussed. Reviewers are likely to be interested in:

recruitment and induction of students; identification of and action on any special learning needs; feedback to students on their progress; overall academic guidance and supervision; tutorial support.

19. The evaluation should review the adequacy of learning resources and the effectiveness of their utilisation. In particular, the evaluation should demonstrate a strategic approach to linking resources to intended programme outcomes. Reviewers will be interested not only in physical resources, but also in the effective use of human resources through such things as induction, mentoring and development of staff. Evaluation of action taken to prepare for or build on accreditation as an Investor in People could be relevant.

Maintenance and enhancement of standards and quality

20. There should be an evaluation of the effectiveness of the measures taken to maintain and enhance the quality and standards of provision. Reviewers will be particularly interested in the effectiveness of evaluation and use of quantitative data and qualitative feedback in a strategy of enhancement and continuous improvement.

21. Quantitative data might include:

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statistics on student achievement in all forms of summative assessment; degree classifications; entry qualifications; progression and completion rates; first employment destinations.

22. Qualitative feedback might include:

student feedback; staff feedback; external examiners' reports; employers' views on graduates they have recruited; accreditation and monitoring reports by professional or statutory bodies; previous subject reviews; comments from internal re-validation.

23. The evaluation of the subject provision should not exceed 6,000 words in length.

Annexes

24. A programme specification for each programme covered by the review should be annexed. Separate programme specifications are not required for every possible pathway within a modular structure. For joint honours, or similar combined studies programmes, a short statement of the rationale for the combination should accompany the programme specifications for each subject.

25. Where appropriate, brief factual explanations may also be provided of:

curricular structures, options and pathways provided in the subject(s) being reviewed, including details of any applicable modular scheme;

any relationship with a collaborating institution, for example if a programme is provided jointly, or is franchised.

Each explanation should not exceed 500 words in length.

Section 9: 24

Appendix 2

These guidelines are reproduced from the QAA Handbook for Academic Review website which can be accessed at:

http://www.qaa.ac.uk/reviews/academicReview/handbook2000/acrevhbook.asp

Annex E - Aide-memoire for subject review

Introduction

1. This aide-mémoire consists of questions and prompts to assist academic reviewers. It may be used in:

analysis of the self-evaluation prior to the review; collection of evidence during the review; preparation and compilation of the report of the review.

2. The aide-mémoire covers the main features of the review process, but it is neither prescriptive nor exhaustive. The provider's self-evaluation, the statement of aims, and the intended outcomes of programmes may all raise issues peculiar to the provision under scrutiny.

3. Specific prompts for reviewers are set out under a series of headings. The process of review focuses on the setting of academic standards by the subject provider, their achievement by students, and the quality of the learning opportunities offered. Neither 'standards' nor 'quality' can be reviewed in isolation. They are inter-related and must be reviewed as such. The aide-mémoire provides questions and prompts about:

aims and outcomes; curricula; assessment; enhancement; teaching and learning; student progression; learning resources.

4. The aide-mémoire should be read in conjunction with paragraphs 68 to 95 of the Handbook.

Subject review of standards and quality

5. The subject review process:

accommodates a wide diversity of institutional mission and approaches to subjects; reflects the core academic processes of design, delivery, support, assessment and

review of programmes of study; articulates with an institution's internal processes for the regulation of academic quality

and standards. Section 9: 25

6. Key points of reference for reviewers will include the relevant sections of the Code of practice, the qualifications framework, relevant subject benchmark statements, and the overall aims of the subject provider. Regard should also be had to the requirements of professional and statutory bodies in respect of programmes that they accredit.

7. The aide-mémoire is divided into seven sections (i-vii) that help to set the parameters for the review as a whole. Each section comprises:

a set of questions, to gather information; the key issues for evaluation; an indication of likely sources of information; an indication of the types of activity likely to be undertaken during a review; the judgements that should be made.

Section i Aims and outcomes

Evaluation of the intended learning outcomes in relation to external reference points and to the broad aims of the provision

8. Reviewers should ask:

What are the intended learning outcomes for a programme? How do they relate to external reference points including relevant subject benchmark

statements, the qualifications framework and any professional body requirements? How do they relate to the overall aims of the provision as stated by the subject provider? Are they appropriate to the aims?

They should then evaluate the intended learning outcomes against relevant external reference points and against the aims of the provision as described in the self-evaluation.

Potential sources of information will include the self-evaluation (and its appended programme specifications), curricular documents, subject benchmark statements, and details of professional body requirements.

Review activities may include an analysis of programme content and benchmark statements, discussions with members of the teaching staff, and discussions with external examiners.

9. As a result of these activities reviewers should be able to judge:

whether the intended learning outcomes are clearly stated; whether they reflect appropriately relevant benchmark statements, other external

references, and the overall aims of the provision.

The means by which the subject provider designs curricula that permit achievement of the intended outcomes

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10. Reviewers should ask:

How does the provider ensure that curriculum content enables students to achieve the intended learning outcomes?

How does the provider ensure that the design and organisation of the curriculum is effective in promoting student learning and achievement of the intended learning outcomes?

They should then evaluate the effectiveness of the way in which the subject provider plans, designs and approves the curricula.

Sources of information will include institutional curricular documents and curricular review and validation reports. Reviewers should seek to extract information about levels and modes of study, breadth and depth of study, inter- and multi-disciplinarily, coherence, flexibility and student choice, as well as the role of professional and/or statutory bodies where relevant.

Review activities will include discussions with members of the teaching teams, support staff and administrative staff, and discussions with students.

The section of the Code of practice dealing with programme approval, monitoring and review will provide an important point of reference.

11. As a result of these activities reviewers should be able to judge the adequacy of procedures for ensuring that programmes are designed to enable students to achieve the intended learning outcomes.

The means by which the intended outcomes are communicated to students, staff and external examiners

12. Reviewers should ask:

How are the intended outcomes of a programme and its constituent parts communicated to staff, students and external examiners?

Do the students know what is expected of them?

They should then evaluate the way in which subject providers convey their expectations to staff, students and external examiners.

Sources of information will include programme or subject handbooks and curricular documents such as module or unit guides.

Review activities will include discussions with teaching teams, students and external examiners.

The main outcomes should be judgements on the adequacy of arrangements within the subject for communicating intended learning outcomes.

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Section ii Curricula

Evaluation of the means by which the subject provider creates the conditions for achievement of the intended learning outcomes

13. Reviewers should ask:

Do the design and content of the curricula encourage achievement of the intended learning outcomes in terms of knowledge and understanding, cognitive skills, subject specific skills (including practical/professional skills), transferable skills, progression to employment and/or further study, and personal development?

They should then evaluate the design and content of the curriculum for each programme in relation to its potential for enabling students to achieve the intended learning outcomes.

Sources of information will include subject or programme handbooks and curricular documents, such as module or unit guides, practical or placement handbooks, and further study and employment statistics.

Review activities will include evaluation of curricular documents and discussions with staff and students.

As a result of these activities reviewers should be able to judge whether the intended learning outcomes are adequately supported by the curricula.

14. Reviewers should ask:

Is there evidence that curricular content and design is informed by recent developments in techniques of teaching and learning, by current research and scholarship, and by any changes in relevant occupational or professional requirements?

They should then evaluate whether the curriculum is adequately informed by such developments.

Sources of information will include subject or programme handbooks, validation or re-validation documents, and professional and/or statutory body accreditation reports.

Review activities will include discussions with staff and external examiners, discussions with professional and/or statutory bodies, and discussions with employers (where relevant and possible).

As a result of these activities reviewers should be able to assess the currency of the curricula.

Section iii Assessment

Evaluation of the assessment process and the standard it demonstrates

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15. Reviewers should ask:

Does the assessment process enable learners to demonstrate achievement of the intended outcomes?

Are there criteria that enable internal and external examiners to distinguish between different categories of achievement?

Can there be full confidence in the security and integrity of assessment procedures? Does the assessment strategy have an adequate formative function in developing

student abilities?

They should then evaluate whether the overall assessment process and the particular assessment instruments chosen are appropriate and effective.

Sources of information will include assessment criteria and guidance to markers, external examiners' reports and procedures for monitoring and recording achievement.

Review activities will include discussions with teaching teams, students and external examiners and the analysis of the methods for recording progress and achievement.

The sections of the Code of practice dealing with assessment of students and external examining will be important points of reference.

As a result of these activities, reviewers should be able to judge whether assessment processes can adequately measure achievement of the intended programme outcomes.

16. Reviewers should ask:

What evidence is there that the standards achieved by learners meet the minimum expectations for the award, as measured against relevant subject benchmarks and the qualifications framework?

They should then evaluate whether student achievement meets such expectations.

Sources of information will include external examiners' reports, examination board minutes, and samples of student work.

Review activities will include discussions with teaching teams and external examiners, and observation of assessment boards where possible.

Relevant subject benchmark statements and the level descriptors of the qualifications framework will be important points of reference.

As a result of these activities, reviewers should be able to judge whether appropriate standards are being achieved.

Section 9: 29

Section iv Enhancement

Evaluation of the institution's approaches to reviewing and improving the standards achieved

17. Reviewers should ask:

How does the subject provider review and seek to enhance standards?

They should then evaluate the adequacy of the processes used.

Sources of information will include internal and external review documents, external examiners' reports, professional and/or statutory body accreditation reports, and examination board minutes.

Review activities will include analyses of information, practices and procedures, discussions with teaching teams and discussions with external examiners.

As a result of these activities reviewers should be able to assess the capacity of the subject provider to review and calibrate their standards, and to promote enhancement.

Section v Teaching and learning

Evaluation of the quality of the learning opportunities offered by the subject provider: the teaching delivered by staff and how it leads to learning by students

18. Reviewers should ask:

How effective is teaching in relation to curriculum content and programme aims? How effectively do staffs draw upon their research, scholarship or professional activity to

inform their teaching? How good are the materials provided to support learning? Is there effective engagement with and participation by students? Is the quality of teaching maintained and enhanced through effective staff development,

peer review of teaching, integration of part-time and visiting staff, effective team teaching and induction and mentoring of new staff?

How effectively is learning facilitated in terms of student workloads?

They should then evaluate the overall effectiveness of the teaching and learning activities; in particular:

the breadth, depth, pace and challenge of teaching; whether there is suitable variety of teaching methods; the effectiveness of the teaching of subject knowledge; and the effectiveness of the teaching of subject specific, transferable and practical skills.

Section 9: 30

Sources of information will include student questionnaires, internal review documents, staff development documents, subject or programme handbooks, and academic staff appointment documents.

Review activities will include direct observation of teaching (where judged to be necessary by reviewers), discussions with staff, and discussions with students.

As a result of these activities reviewers should be able to make an overall judgement of the extent to which teaching and learning contributes to the achievement of the intended outcomes.

Section vi Student progression

Evaluation of the quality of the learning opportunities offered by the subject provider: student progression and academic support

19. Reviewers should ask:

Is there an appropriate overall strategy for academic support, including written guidance, which is consistent with the student profile and the overall aims of the provision?

Are there effective arrangements for admission and induction which are generally understood by staff and applicants?

How effectively is learning facilitated by academic guidance, feedback and supervisory arrangements?

Are the arrangements for academic tutorial support clear and generally understood by staff and students?

They should then evaluate whether the arrangements in place are effective in facilitating student progression towards successful completion of their programmes.

Sources of information will include subject or programme handbooks, student questionnaires, internal review documents, recruitment data, and progression data.

Review activities will include discussions with admissions staff, discussions with teaching staff, and discussions with students.

As a result of these activities, reviewers should be able to judge the effectiveness of the recruitment arrangements, the strategy for student support and the progression of students.

Section vii learning resources

Evaluation of the quality of the learning opportunities offered by the subject provider: learning resources and their deployment

Section 9: 31

20. Reviewers should ask:

Is the collective expertise of the academic staff suitable and available for effective delivery of the curricula, for the overall teaching, learning and assessment strategy, and for the achievement of the intended learning outcomes?

Are appropriate staff development opportunities available? Is appropriate technical and administrative support available?

They should then evaluate the effectiveness of the deployment of academic and support staff in support of the intended learning outcomes.

Sources of information will include staff CVs, internal review documents, external examiners' reports, and staff development documents.

Review activities may include direct observation of teaching (where carried out), discussions with teaching teams, and discussions with students.

As a result of these activities reviewers should be able to judge whether there are appropriately qualified staff who are contributing effectively to achievement of the intended outcomes.

21. Reviewers should ask:

Is there an overall strategy for the deployment of learning resources? How effectively is learning facilitated in terms of the provision of resources? Is suitable teaching and learning accommodation available? Are the subject book and periodical stocks appropriate and accessible? Are suitable equipment and appropriate IT facilities available to learners?

They should then evaluate the appropriateness of the learning resources available, and the effectiveness of their deployment.

Sources of information will include equipment lists, library stocks, and internal review documents.

Review activities will include direct observation of accommodation and equipment, discussions with staff, and discussions with students.

As a result of these activities, reviewers should be able to judge how effectively the learning resources are deployed in support of the intended outcomes.

Section 9: 32

Appendix 3

Programme Specification TemplateProgramme Title:

Authoring Team:

Awarding Institution:

Teaching Institution:

Franchise Partner(s):

Work-based Learning Organisation(s):

Delivery Support Partner(s):

Award/Programme Title(s):  

Scheme Title:

Delivery Mode(s):

Programme Accredited by:

UCAS Code(s):

Applicable Subject Benchmark Statement(s):

Date prepared/revised:

Educational Aims of Programme:

Intended Learning Outcomes:

Award Requirements and Delivery:

Support for Students and their Learning:

Criteria for Admission:

Methods for evaluating and improving the Quality and Standards of Teaching and Learning:

Regulation for Assessment:

Section 9: 33

Indicators of Quality and Standards:

Validation Details:

Section 9: 34

Section 9: 35

Section 9.2: Cycle of Internal Subject Reviews and Periodic Reviews

Section 9: 36

Section 9: 37

Revised Cycle of Internal Subject Reviews and Periodic Review

The revised cycle of Periodic Review and Internal Subject Reviews has been proposed by the Faculties following the decision to allow the Periodic Review and Internal Subject Review processes to be merged into one, single event.

Where a subject area is in italics it will only be held as an Internal Subject Review event. All others will be held as merged events.

Faculty 2008- 2009 2009- 2010 2010-2011 2011 - 2012 2012-2013 2013-2014

Advanced Technology Engineering Computing Built Environment

Business School Learning and Professional Development

Organisational Behaviour & Human Resource Management

Enterprise and Economic Development

Marketing and Leisure Management

Accounting & Finance

Supply Chain and Strategic Management

Creative and Cultural Industries

Communication, Cultural and Media Studies

Art and Design

Drama Music Broadcast, Journalism, Media Technology

Film, Photography, New Media

Humanities and Social Sciences

Sociology

Criminology

English

Languages

Psychology

Education

Careers

Law

History

Policy, Politics and Philosophy

Community Regeneration

Health, Sport and Science Chiropractic

Family Therapies

Social Work and Social Care

Childhood Studies

Pre-registration Nursing and Midwifery

Health and Exercise

Post-registration Nursing and Midwifery

Biology

Chemistry & Forensic Science

Earth, Space & Environment

Police Science

Section 9: 38

Section 9: 39

Section 10: Derogations to University Regulations

1 Faculty of Health, Sport and Science2 Glamorgan Business School3 Faculty of Humanities and Social Sciences4 Faculty of Advanced Technology5 Validated Provision6 Royal Welsh College of Music and Drama

Section 10: 1

Section 10.1: Faculty of Health, Sport and ScienceBSc (Hons) Minerals Surveying and Resource Management/BSc Surveying for Resource Development

Extension to the derogation of the regulations for BSc (Hons) Minerals Surveying and Resource Management and BSc Surveying for Resource Development (Finals) whereby the minimum pass mark be 35% in any element of assessment in line with professional body requirements. Although this is acceptable within the current regulations, where the same module is taught on different awards with different assessment criteria, such modules will be allocated separate codes.

Approved by the APC Standing Group on Regulations: 25th September 2002 (Minute 3.1)

BSc (Hons) in Community Health Studies

Award Structure

The BSc in Community Health Studies has been offered by the School of Care Sciences for a period of five years.

The Award has 6 validated pathways namely:

BSc/BSc (Hons) in Community Health Studies (Community Children’s Nursing)BSc/BSc (Hons) in Community Health Studies (Community Learning Disability Nursing)BSc/BSc (Hons) in Community Health Studies (Community Mental Health Nursing)BSc/BSc (Hons) in Community Health Studies (District Nursing)BSc/BSc (Hons) in Community Health Studies (Practice Nursing)BSc/BSc (Hons) in Community Health Studies (School Nursing)

All students enter at Level 2 of the programme as qualified nurses and hence are in possession of a CertHE or DipHE level qualification prior to entry. All students follow a core sixty credits at Level 2 which provides a foundation in Community Nursing prior to progression to Level 3 and the specialisms of the pathway followed. Students who are without a DipHE qualification undertake 120 credits at Level 2.

Current Situation

Following the initial validation of the award in 1999, derogation to University regulations was proposed and accepted for students on the honours component for classification to be purely based on Level Three study. No level two modules are taken into consideration at the present time.

Section 10: 2

Proposal

That the core 60 credits undertaken at Level 2 be considered alongside Level 3 performance when classification is considered. The decision to make this proposal has arisen from an increased focus by the University on Level 2 performance in determining student honours classification.

Regulations

The classification is determined by the student’s “classification profile”. This is derived from two grades awarded for the I (HE2) level stage and the six grades for the H (HE3) level stage; the lowest grade is then deducted and the classification made from the remaining seven grades.

The I (HE2) level grades are determined at the end of the period in which students complete the core component of Level 2 of the BSc in Community Health Studies, i.e. 60 credits at I (HE2) level or above.

The overall I (HE2) level grades are the mean of the best 40 credits achieved at I (HE2) level.

[e] The final classification profile comprises seven grades. It is derived from removing the lowest grade from the spread of the six H (HE3) level grades together with the two I (HE2) level grades. A mean % is also calculated.

The classification profile of seven grades is interpreted as below:

Either:Mean % over 140 credits Classification70-100% First Class Honours Degree60-69.9% Upper Second Class Honours Degree50-59.9% Lower Second Class Honours Degree40-49.9% Third Class Honours Degree40+ but with at least 60 credits at H (HE3) level

Unclassified Degree

Section 10: 3

or:Class Profile

First Either: at least 80 credits graded at 70% or above at least 20 of the remaining 60 credits graded at 60-

69.9%And normally a mean of at least 68.0% or: at least 60 credits graded at 70% or above at least 60 of the remaining 80 credits graded at 60-

69.9And normally a mean of at least 68.0%

Upper second Either: at least 80 credits graded at 60% or above at least 20 of the remaining 60 credits graded at 50-

59.9And normally a mean of at least 58.0%or: at least 60 credits graded at 60% or above of which at

least 20 credits must be graded at 70% or above at least 60 of the remaining 80 credits graded at 50-

59.9%And normally a mean of at least 58.0%

Lower second Either: at least 80 credits graded at 50% or above at least 20 of the remaining 60 credits graded at 40-

49.9%And normally a mean of at least 48.0%or: at least 60 credits graded at 50% or above of which at

least 20 credits must be graded at 60% or above at least 60 of the remaining 80 credits graded at 40-

49.9%And normally a mean of at least 48.0%

Third at least 120 credits graded at 40% or above

The above proposal has been mapped using current student profiles as follows:

Mapping against current student profilesSection 10: 4

Student Level TwoLevel 2

Classification Level Three    

Classification on Level 3

Only

Classification on Proposed

Regulations

149

64

62 63.00

59

68

60

64

64

64

Upper Second Upper Second

268

72

72 72.00

65

71

60

72

72

72

Upper Second First

362

68

72 70.00

69

60

65

62

62

62

Upper Second Upper Second

452

64

62 63.00

60

62

60

62

62

62

Upper Second Upper Second

564

68

62 66.00

50

48

49

58

58

58

Lower Second Lower Second

Approved by Regulations and Examiners Committee: 24th September 2004 (Minute 63.4)

BSc (Hons) Chiropractic

Any student enrolled on the BSc (Hons) Chiropractic degree, who fails a module(s), with accepted mitigating circumstances, will be allowed to enrol for the next academic session for only that module(s) and the academic session will not count towards the six year limitation for completion of the degree as set by the General Chiropractic Council. In addition to the mitigated modules, such students will be obliged to undertake a compulsory, credit but non-fee bearing, skills module at the appropriate level. Students will be required to attain a ‘pass’ in this module in addition to the mitigated module(s) before being eligible to progress to the next level.

Approved by the Regulations and Examiners Committee: 11th February 2005 (Minute 87.1.3)

MSc Nurse Practitioner Programme

The School of Care Sciences to interpret section B.2.9.12 of the regulations (see below) and 'classify' students’ awards on the Msc Nurse Practitioner programme in terms of Merit or Distinction grades based on the fact that for the MSc in Nurse Practitioner programme the majority of credits would equate to 70 from 140 credits. This is because only 140 credits from 180 of the programme are given a percentage mark. The remaining 40 credits are assessed via a Object Structured Clinical Examination (OSCE) for which students receive a pass/fail grade.

B.2.9.12 Postgraduate awards

[b] For all postgraduate awards, the student receives a merit if the majority of credits comprising the award are graded at M (60%) or above on the postgraduate scale. The student receives a distinction if the majority of credits comprising the award are graded at D (70%) or above on the postgraduate scale. This is

Section 10: 5

irrespective of the stage of the programme at which the grades are awarded (see B.2.7.3 [e]).

Approved by Regulations and Examiners Committee: 23rd September 2005 (Minute 122.5)

BSc Social Work

The Care Council for Wales’ Qualification Framework for the Degree of Social Work in Wales, requires that students be enabled to be assessed through the medium of Welsh.

The School of Care Sciences therefore proposes that for the BSc (Hons) in Social Work programme that B.2.5.6 [b] which refers to a ‘sufficiency of students’ be not applied to the programme to enable individual students to submit assessment through the medium of Welsh.

The School will ensure the appointment of a Welsh speaking External Examiner to the programme. Internal Examination will be undertaken through the use of translated materials with External Examiners having sight of both English and the original Welsh assessment for moderation.

Approved by Regulations and Examiners Committee: 11th November 2005 (Minute 134.1)

BSc (Hons) Clinical Respiratory Physiology

It was noted that there is a requirement within the Registration Council for Clinical Physiologists (RCCP) Accreditation guidelines for a four year programme which incorporates clinical practice. There is a clear steer from the RCCP away from a sandwich placement year out as they wish to see practice integrated with theory and also there has been a seepage from such programmes into the NHS with students being persuaded to take employment rather than returning to complete their degree programme. Consequently the degree will be offered over four years, resulting in the accumulation of credits in excess of that normally required for a BSc (Hons) award at the University.

Approved by Regulations and Examiners Committee: 10th February 2006 (Minute 148.2.1)

General Chiropractic Council (GCC)

The General Chiropractic Council requires derogation to University regulations in relation to the recognition of degrees for the purpose of registration with the GCC as follows:

Chiropractic students who fail any component/resit in any given year must repeat the whole of the year. Students who repeat a year must repeat the full diet of modules for that year (with the exception of any completed research project).

The four year degree programme must be completed within six years. It must be noted that there may be occasions when this longer period would fall outside the period of recognition of the award for the purpose of registration with the GCC.

Section 10: 6

Approved by Regulations and Examiners Sub-Group: 6th October 2006 (Minute 5.3)

Nursing and Midwifery Council (NMC) ‘Standards of Proficiency for Nurse and Midwife Prescribers’ (Independent Prescribing module)

The Faculty of Health, Sport and Science have requested a derogation of regulations for the module: Independent Prescribing. This is a recently validated module which will be utilised in an MSc and as a stand alone module (for professional CPD). The module falls within the Nursing and Midwifery Council (NMC) ‘Standards of Proficiency for Nurse and Midwife Prescribers’ within which assessment criteria is quoted. Students need to pass two elements which differ to the present pass rate: a multiple choice examination at 80% and a numeracy assessment at 100%. Therefore, a derogation is required to cover this.

The Chairperson has scrutinised copies of the following:

The conditions set on the NMC validating the Independent Prescribing course. The document ‘Standards of proficiency for nurse and midwife prescribers - Protecting the

public through professional standards’ which sets out the pass mark being at 80% MCQ and the numeracy at 100%.

The module descriptor for the course, which includes the following details under summative assessment requirements:

MCQ – There will be a written MCQ examination. This will consist of twenty short answer and MCQs. This is a formal ‘open book examination carried out under University Examination regulations (pass mark = 80%)

Numeracy assessment – the learning experience undertaken in this module will serve to assist the student in developing the calculation skills required for prescribing (formative& summative). Pass mark for summative pass (100%) or refer (0%)

Chairperson’s action has been taken to approve the derogation to the regulations in terms of a pass mark of 80% for the MCQ and 100% for the numeracy.

Approved by Regulations and Examiners Sub-Group: 8th November 2007 (Minute 64.1)

Master of Chiropractic (MChiro)

Due to the conditions imposed by the General Chiropractic Council for accreditation of the MChiro programme, it is necessary to have a derogation of University regulations in order to provide a classification methodology for the MChiro Award.

The required derogation is given below:

The classification of the undergraduate masters (MChiro) (pass, merit or distinction) would be based upon one 20 credit level 6 research module (eg: BI3S07) (20 credits total), plus the

Section 10: 7

average of the remaining level 6 modules times two (40 credits), plus 120 level 7 (M) credits from year 4 for a total of 180 (20 + 40 + 120) credits to classify the degree.For clarification the following example is used; Research Module (eg: BI3S07) (level 6) - 57% - 20 credits worth.Average of remaining modules taught at level 6 – 64% - 40 credits worth.Average of modules taught at level 7 – 62% - 120 credits worth.Weighted average = ( 0.2x57 + 0.4x64 + 1.2x62 )/ 1.8 = 61.89 = merit

Approved by Quality Assurance Committee 9th February 2009 (Minute 797.2.3)

BSc (Hons) Social Work

The Faculty of Health, Sport and Science requires a derogation of regulations for a newly re-validated award, BSc (Hons) Social Work. This is in respect of the requirements as set out in the Care Council for Wales: 'THE APPROVAL AND VISITING OF DEGREE COURSES IN SOCIAL WORK (WALES) RULES 2004'.

The derogation is two-fold:

i) The student must successfully complete, or have completed, the European Computer Driving Licence (ECDL) as issued under the authority of the European Computer Driving Licence Foundation in order to graduate with the award of BSc (Hons) Social Work.

ii) The student must satisfy all the assessment criteria at each academic level of the degree programme before proceeding to the next level.

Approved by the Quality Assurance Committee 11th May 2009 (Minute 812.2.2)

MSc Diagnostic Ultrasound

In a recent validation and accreditation event for an MSc Diagnostic Ultrasound, it became apparent that a derogation of regulations was required in connection to OSCE exams. OSCE exams must be passed at 60% and not 40%. The accrediting body, the Consortium for the Accreditation of Sonographic Education (CASE), do not have any written criteria as they act on behalf of 6 member organisations and therefore look at each accreditation on its own merit. A statement has been received from the Chair of CASE supporting the derogation, as follows:

“Your response is quite straightforward. An OSCE assessment is linked to clinical practice and practitioner competency so the higher pass mark is instituted. I would hope that your university would see the sense in this and support a move away from their regulations in this case” –“ it can be supported by other leaders operating this principle.”

Therefore, in order to meet the standards of the accreditation body, the Consortium for the Accreditation of Sonographic Education (CASE), the following derogation is required:

The pass mark for any OSCE assessment is 60%

Section 10: 8

Approved by the Chairperson of the Quality Assurance Committee 9th July 2009

PgDip/MSc Specialist Community Public Health Nursing (Health Visiting or School Health):Derogation of regulation for the recognition of credits transferred from other institutions

Introduction

This paper is seeking a derogation of regulations in relation to Section B.2.9.2.2 (Transfer of credit from other institutions). ‘The University recognizes credits of students transferred from other institutions, and admits students on the basis of prior learning. Students must nevertheless normally take the following minimum credits with the University to qualify for one of its awards’ The proposal relates to the credits required to be taken for Master’s degree which specifies the following:- ‘at least 100 Level 7 (Masters) credits for a Master’s degree, including the dissertation.’

Proposal

This paper is proposing 60 credits to be taken with the University to qualify for a Master’s degree (this will be the dissertation module). The award in which derogation is being sought is the PgDip/MSc Specialist Community Public Health Nursing (Health Visiting) and PgDip/MSc Specialist Community Public Health Nursing (School Health). The award has run on campus for two years.

Background

Completion of the Post Graduate Diploma (PgDip) allows the student to record this qualification with the Nursing and Midwifery Council (NMC) on Part 111 of the Register (Specialist Community Public Health). The PgDip/MSc is a professional programme and on admittance to the register students are eligible for employment within community services. As such, embedded within this qualification (pan UK) are standards and outcomes required to be met by the NMC. As such all PgDip have common curricula content and outcomes. On completion of the PgDip students are eligible to progress to complete the Msc following one year consolidation in practice.

The Faculty has had a number of enquiries from students who have completed the Post Graduate Diploma Specialist Community Public Health Nursing (Health Visiting or School Nursing) at other Institutions, who are actively seeking to enroll with the Faculty to complete the MSc via the sixty credit dissertation. Mobility of students for career progression within this area is high, and students frequently move to new geographical locations, this proposal seeks to facilitate this process. Given the commonality of curricula the Faculty envisages a seamless transition from the PgDip to the Masters degree and all students would be subject to the University’s normal APCL process. The award is graded Pass, Merit and Distinction and grades will be calculated using the methodology as outlined in Section B.2.9.9 (Post Graduate Awards) the marks awarded from the PgDip, gained at other Institutions will be used to calculate overall grade.

Section 10: 9

Response

Having discussed this fully with the proposer and the Academic Registrar and in line with a similar derogation in GBS, the Chair of Regulations of Examiners Sub Group recommends approval by QAC.

Approved by QAC Chair’s action: 15th October 2009

BSc (Hons) Clinical Physiology

Due to professional body requirements, a number of clinical based modules are based on a pass/fail grading criteria. Pass/fail also applies to one module that includes an element of professional assessment. Due to this professional requirement, students have only 70 graded credits at level 5 and 100 graded credits at level 6. In order to calculate their degree classification the following derogation is proposed:

Classification of BSc Clinical Physiology The 100 credits (graded) from level 6 are added to ‘40 credits’ from level 5. The ’40 credits’ carried forward from level 5 are obtained via:- the worst 20 credits are dropped from the 70 graded credits at level 5, the remaining 50 credits are used to calculate the mean and this value goes forward as the 40 credit value of level 5 study. The classification is based on these 140 credits following the standard University classification method.

Approved by Quality Assurance Committee 9th November 2009

Master of Chiropractic (MChiro)

A revised MChiro programme specification has been submitted with a proposed amendment to the non-standard assessment regulations (derogations).

Approved non-standard regulations (derogations)

The General Chiropractic Council (UK professional regulatory body) requires derogation to University regulations in relation to the recognition of degrees for the purpose of registration with the GCC as follows (see italics):

- The four year degree programme must be completed within six years. It must be noted that there may be occasions when this longer period would fall outside the period of recognition of the award for the purpose of registration with the GCC.

- Students who suspend studies at the beginning of, or during, their student clinician year (year 4) should be required to be re-assessed in the Clinic Entrance Examination in order to ensure that appropriate levels of competency have been maintained. This is in the best interests of the student, fellow students, the profession and the public.

- The classification of the undergraduate masters (MChiro) (Pass, Merit or Distinction) would be based upon the average of the one 20 credit level 3 research/dissertation modules (20

Section 10: 10

credits total) plus the average of the remaining level 3 modules times two (40 credits) plus 120 M level credits from year 4 for a total of 180 (20 + 40 + 120) credits to classify the degree. Provided all 180 credits are passed, Pass, Merit and Distinction will be awarded as follows. If the average over the 180 credits is 70% or more, then a Distinction will be awarded. If the average over the 180 credits is 60% or more but less than 70%, then a Merit will be awarded. Otherwise a Pass will be awarded. For borderline cases, the following methodology, which is similar to the standard University methodology, will be used. If the average is within 2% of the next band, the students profile of marks will be considered. For a student with an average of 68% or more and where the majority of the 180 credits are graded 70% or above, a Distinction will be awarded. Otherwise, for a student with an average of 58% or more and where the majority of the 180 credits are graded 60% or above, a Merit will be awarded.

In addition:- Any student enrolled on the MChiro degree, who fails a module(s), with accepted mitigating

circumstances, will be allowed to enrol for the next academic session that will not count towards the six year limitation for completion of the degree as set by the General Chiropractic Council. In addition to the repeated modules (including mitigating modules), such students will be obliged to undertake a compulsory, non- credit and non-fee bearing, knowledge and skills module at the appropriate level (attached under Mitigating Circumstances Modules). Students will be required to attain a satisfactory level in this module in addition to passing all repeated module(s) before being eligible to progress to the next level.

- Students on all modules throughout the degree programme must pass both coursework and written/viva examination components with a minimum of 40% in each component in order to pass the module and progress. The 40% recommendation should extend to each component as they assess different competencies.

- There is a 70% attendance requirement in all labs and practicals across the award.

Approved by Quality Assurance Committee 10th May 2010 (Minute 883.2.1)

Bachelor of Nursing awards

The above awards consist of three 40 credits modules per year. In accordance with the All Wales Assessment Strategy, each module is based upon theory (50%) and clinical practice (50%). The standard University module size is 20 credits but it was not felt viable to split each 20 credit module into 10 credits of theory and 10 credits of clinical practice. University progression regulations allow a student to progress to the next stage carrying up to 20 credits, i.e. repeating a module that has been failed at first and second sitting in addition to studying the next stage.

Depending on their overall performance, Bachelor of Nursing students who pass the clinical assessment part of a module but fail the theoretical assessment are given an opportunity to resit the theoretical assessment before the second sitting assessment board. If the theoretical assessment is failed a second time, a derogation is sought to allow students who have failed one 40 credit module to progress to the next stage and retain the clinical assessment pass

Section 10: 11

grade, i.e. the student is in effect only repeating 20 credits. Students would repeat the theory part of the module only.

If a student passes the theory part of the module but fails the clinical assessment a similar derogation is sought. These cases are rare. Such students would not be ‘repeating’ the module but would still be classed as ‘referred’ in the module since the opportunity for reassessment is not available before the second sitting assessment board. Students who do not pass the clinical assessment part during the reassessment opportunity will be discontinued from the award in accordance with Professional Regulatory requirements. Students are informed of this in writing prior to undertaking the further practice assessment.

A derogation is sought to split one 40 credit module into two 20 credit modules for the purposes of progression allowing marks to be retained for the passed element and subject to the details above.

Approved by Regulations and Examiners Sub-Group July 2011

Section 10.2: Faculty of Business and Society

BA Accounting and Finance

Students enrolled onto the Accounting and Finance degree programme will not be allowed compensation for failed modules as the degree carries exemptions from professional examinations and professional bodies would not accept students with such passes on relevant modules.

Approved by the Regulations and Examiners Committee: 11th February 2005 (Minute 87.1.2)

MSc Human Resource Management

The University recognises credits of students from other institutions and admits students on the basis of prior experiential learning, requiring students to normally take at least 100 Master’s credits (Level 7) for a Master’s degree, as detailed under regulation B.2.9.2.2, Transfer of credit from other institutions.

Currently, students in receipt of a CIPS, ACCA or CIM award are required to undertake an additional 100 University of Glamorgan credits to be awarded a Master’s degree, in line with this regulation.

The Glamorgan Business School proposes that a derogation to the above University regulation be established to allow those students seeking entry onto the MSc Human Resource Management award who are in receipt of the graduate membership of CIPD (alongside years of professional experience) to undertake an additional 80 credits only for the Master’s award. These 80 credits would be made up of the HRM Research & Development module (20 credits)

Section 10: 12

(or both of its two 10-credit equivalent modules: CPD in HRM module (10 credits) and the Research Methods module (10 credits)), together with the dissertation (60 credits).  It is felt that these students will already have covered the indicative HRM content of the programme, and it is therefore not a requirement for them to undertake an additional 20 credits.

Approved by Regulations and Examiners Sub-Group: 6th September 2007 (Minute 52)

MSc Audit – exemptions for members of Institute of Internal Auditors (IIA)

The Glamorgan Business School has requested a derogation for qualified members of the Institute of Internal Auditors (IIA) to gain 120 credit exemptions from the MSc Audit programme. This would require those with the relevant IIA qualification to complete the Dissertation module for 60 credits in order to achieve the necessary 180 credits for the MSc qualification. The proposal for a derogation from normal University requirements is to enable fully qualified IIA students (holding the Advanced Diploma) to be granted exemption from 120 credits of study. Note this is in line with a similar agreement between the IIA and the Open University – see: http://www.iia.org.uk/en/Qualifications_and_CPD/open_university_accreditation.cfm. The IIA has this as a prominent feature on its web site as it an excellent continued professional development CPD opportunity for its members.

Approval of the derogation will mean that IIA Advanced Diploma holders will only need successfully complete the Dissertation module. This will be a highly attractive marketing feature and will fall in line with competitors offering a similar MSc programme, namely the Open University and Birmingham City University, who also offer a similar level of exemptions to existing IIA qualified members. A significant proportion of these members may only hold another professional qualification in accountancy (often gained after years of work experience in the sector) – but they may not hold a prior academic qualification. Hence this programme will provide an opportunity for these individuals who after a relatively short period of research and study will be able to add to their professional qualification a Master’s qualification that can provide a valuable indicator of their skills for potential promotion and career enhancement opportunities.

Approved by Regulations and Examiners Sub-Group: 2nd May 2008 (Minute 105.1)

Legal Practice Course

The Law School’s Legal Practice Course is governed by Law Society regulations in addition to University of Glamorgan regulations. The following derogations from University Regulations have been approved where conflict occurs as follows:

University of Glamorgan Law Society/Legal Practice Course

B.2.8.3 [b] Most referrals are held in the summer vacation. However, where this is not possible … they

8 (ii) Referrals will be sat in the September following the Examination Board or in the following year if a student so elects. All

Section 10: 13

are held in the following academic session. In such cases, referred students cannot be required to repeat the module in full.

12 (ii)

referred examinations must be taken at the same sitting, or if taken in the following year at the scheduled compulsory and optional sittings.

A student with second referrals in 4 or 6 subjects must take these in the September 12 months later

B.2.8.2.1 [d] Referrals are only allowable in cases of failure. Examiners cannot require students to re-take any assessment for which they have already gained credit while they remain enrolled students.

8 (i.)

12 (i.)

Subject to the compensation provisions , the following will apply:

Fail Consequence 1 Refer in 1 2 Refer in 2 3 Refer in 3 4 or more Refer in 6

If a student fails referred examinations that student shall have the opportunity of a second, final referral, as follows:

No. Referred Fail Consequence

Exams

1 1 Final referral in 12 1 Final referral in 1 Final referral in 23 1 Final referral in 1 2 Final referral in 2 3 Final referral in 3

6 1 Final referral in 1 2 Final referral in 6 3 Final referral in 6 4 Final referral in 6 5 Final referral in 6 6 Final referral in 6

B.2.8.5 [c] Compensation can only be applied to failures at F1 and is normally limited as follows:20 credits per undergraduate level;20 credits per HND stage and no more than 40 credits overall;20 credits overall per HNC programme;20 credits overall on taught postgraduate programmes.

There is no compensation for a Masters degree dissertation.

16 (i)

16(iii)

16 (vi)

Compensation can be used once only in a student’s entire LPC Career.

No mark below 45% can be compensated.

In cases where there is no benefit to the student in compensation e.g. 5 failed examinations, one of which is compensatable (but would still result in referral in all six) compensation should not be used and thereby exhaust the student’s one opportunity of compensation.

LLM

Section 10: 14

Chairperson’s action was taken to approve a derogation of regulations in respect of students with a Postgraduate Diploma in Arbitration being able to undertake 80 credits for the Glamorgan LLM award. These credits would be made up of either an extended dissertation or a preliminary, preparatory 20 credit module, leading into the normal 60 credit dissertation.

Approved by the APC Standing Group on Regulations: 19th December 2002 (Minute 3.1)

Common Professional Examination (CPE)

At the validation of the CPE/PGDip Law the CPE Board requested that one of the conditions for approval be that,

iv) The course curriculum gives approximately equal time to the seven foundation subjects and that the University’s credit rating system recognises this by giving a weighting of at least thirty credits to modules that cover more than one subject.

The School therefore proposes the following structure and weighting to meet this condition:

LR4X01, Crime and Society 30 creditsLR4X02, The Law of Equity and Property 30 creditsLC4X06, The Law of Obligations 30 creditsLP4X02, Public Law 15 creditsLI4X09, EU Law 15 creditsLI4X08, Legal Research 0 credits

The advice given to the School at that time was that as the University was moving towards a system of 20 credit modules (multiples and divisables thereof) no credits should be applied to the modules as they didn’t comply with this structure but that 120 credits should be given to the course as a whole.

This situation is now proving to be problematic as Academic Registry need to include these credits at modular level in the EYM and number planning exercises. At present, manual adjustments have to be made, which rely on colleagues remembering to include the credits for these awards. We are requesting therefore that we be permitted to attach the credits as detailed in the section above.

Approved by Regulations and Examiners Committee: 24th September 2004 (Minute 63.3)

Common Professional Examination/Graduate Diploma in Law

The Common Professional Examination/Graduate Diploma in Law requires derogation from University regulations in relation to the awarding status of Pass with Commendation and Pass with Distinction as follows:

The Joint Academic Stage Board regulations state that,Section 10: 15

A student must be awarded a distinction where He/She has passed all elements of the assessments at the first attempt, without any subject being compensated, ANDHe/She has obtained an overall average of at least 70%

A student may be awarded a distinction whereHe/She has passed all elements of the assessments at the first attempt, without any subject being compensated; ANDHe/She has obtained an overall average of at least 70% in at least 50% of the subjects counting towards the final award; ANDHe/She has obtained an overall average of at least 67%; ANDThe examination board considers that it is not inappropriate to award a distinction.

A student must be awarded a commendation where He/She has passed all elements of the assessments at the first attempt, without any subject being compensated, ANDHe/She has obtained an overall average of at least 60%

A student may be awarded a commendation whereHe/She has passed all elements of the assessments at the first attempt, without any subject being compensated; ANDHe/She has obtained an overall average of at least 58%; ANDHe/She has obtained an overall average of at least 60% in at least 50% of the subjects counting towards the final award; AND

The examination board considers that it is not inappropriate to award a distinction.

Approved by Regulations and Examiners Sub-Group: 6th October 2006 (Minute 5.2)

British Psychological Society (BPS)

Chairperson’s action was taken to approve a derogation from University regulations for students undertaking the modules listed below, on BPS accredited programmes only, with regard to the banding of compensatable failures:

Changes to Programme Specifications for Psychology awards have recently been approved by the FQAC Chair (Malcolm Taylor) to change the status of compulsory modules on all Psychology programmes from core to specified. This allows for compensation in the case of failure. The British Psychological Society has stated that there is no problem with allowing compensation on any module across the programme (with the exception of the final year dissertation - which is 40 credits and so could not be compensated). The only other requirement that the BPS imposes is that students starting in September 2006 obtain at least a 2:2 in their final classification.

It is felt that allowing compensation is important in terms of facilitating student progression and bringing the Faculty’s Psychology programmes into line with other Psychology programmes in

Section 10: 16

the UK (which generally do allow compensatable failures). However, we would still like to be confident that students on modules covering Qualifying Examination areas demonstrate a sufficient level of competence in these topics. We do not feel that, for these modules, 30%+ constitutes an acceptable level of competence and are not aware of any other UK programme in Psychology which would allow compensation at such a low level. However, we do feel that a level of 37% (traditionally the level for an F1) would demonstrate such competence. Therefore, we would like to ask for the banding for compensatable failure to be set at 37% for the following modules:

PL2S06 - Further Research Methods and Statistics in PsychologyPL2H15 - Cognitive PsychologyPL2H16 - Social PsychologyPL2H17 - Developmental PsychologyPL2H18 - Individual DifferencesPL2H19 - PsychobiologyPL2H21 - Conceptual and Historical Issues in Psychology

Approved by Regulations and Examiners Sub-Group: 6th October 2006 (Minute 5.4)

Graduate Diploma in Psychology

Chairperson’s action was taken to approve a derogation of the regulations in respect of students of the Graduate Diploma in Psychology having their resit marks capped at 50% rather than the normal 40%. This derogation was proposed because from 2006/07, the British Psychological Society have stipulated that students need to obtain an average grade of 50% across the modules they take as part of the Graduate Diploma in Psychology in order to obtain this conversion award. Therefore, without the derogation, students who need to resit would not be able to complete the Diploma.

However, at the meeting of the Regulations and Examiners Sub-Group held on 6 th September 2007, members noted that as the BPS required students to achieve a 50% average across the modules they took, this would be possible even if a student had some modules graded at 40%. The Sub-Group therefore agreed that the Chairperson’s action should stand for the 2007/08 academic year but be rescinded for future years.

Approved by Regulations and Examiners Sub-Group (for the 2007/08 and 2008/09 sessions only): 6th September 2007 (Minute 50.3) and 25th January 2008 (Minute 77.2)

Legal Practice Course (LPC)

The Faculty of Humanities and Social Sciences has considered the allocation of credits to the LPC programme and noted that given the particular nature of the LPC, the credit framework could be used creatively to facilitate the best outcome.

It has been agreed that the LPC programme at the University of Glamorgan would be allocated 180 credits in total (credit allocation to individual modules is detailed in Appendix One below).

Section 10: 17

The number of transferable credits into an LLM programme would be defined within the programme regulations section of the programme specification as follows:

A maximum of 50 level 7 credits from the Stage 1 Core Practice Areas and Stage 2 Electives may contribute to a generic LLM programme upon successful completion of the LPC.

This requires derogation from the University’s standard regulations.

Section 10: 18

Appendix One

Stage 1 – Notional Learning Hours 1100 hours

Module Title Level Credits % of NLH No of NLHBusiness Law and Practice

7 20 20% 220

Property Law and Practice

7 20 20% 220

Litigation (including Civil and Criminal)

7 40 30% 330

Drafting 6 10 4% 44Writing 6 10 4% 44Practical Legal Research

6 10 4% 44

Interviewing and Advising

6 10 4% 44

Advocacy 6 10 4% 44

Wills and Administration of Estates

7 5 1% 11

Professional Conduct and Regulations

7 5 5% 55

Solicitors’ Accounts 7 5 3% 33Taxation 7 5 1% 11

Stage 2 – Notional Learning Hours 100 hours for each Elective

Module Title Level Credits % of NLH No of NLHEmployment Law and Practice

7 10 N/A 100

Family Law and Practice

7 10 N/A 100

Wills and the Elderly Client

7 10 N/A 100

Personal Injury and Clinical Negligence Litigation

7 10 N/A 100

Advanced Property 7 10 N/A 100Advanced Business and Corporate Law and Practice

7 10 N/A 100

Immigration Law and Practice

7 10 N/A 100

Approved by Quality Assurance Committee 9th February 2009 (Minute 797.2.3)

Section 10: 19

Legal Practice Course (LPC)

Derogations from the University’s regulations are required as stipulated in the following table of equivalence:

Table of equivalence between the Provider’s and the LPC RegulationsProvider’s Regulation LPC Regulation Basis for DerogationB.1.4.5 The pace of study

B.2.2.4 Guidelines for the duration of programmes of study

Regulation 10 Time limit for completion of course

4.21 Information Pack provides that a student must pass all of their assessments within a 5 year period

B.1.5.5 The management of programmes and award, bullet point 6 – The function of the Programme Board is to: propose award external examiners/moderators for approval by Academic Board

B.1.5.6 The management of subjects and modules, bullet point 5 – The function of the Subject Assessment Board is to: propose subject external examiners for approval by Academic Board

Annex to the LPC Regulations 5.3 Information Pack provides that the SRA will recruit, appoint and train external examiners. The SRA will allocate external examiners to LPC providers and give each external examiner specific subject and other responsibilities for each of the providers to which he or she is allocated.

B.2.3.5 Admissions through the accreditation of prior experiential learning (APEL)

(This is not provided for in the LPC Regulations but below in Part 2, Section 6, Admissions Policy)

4.36 Information Pack only refers to accepting credit from another provider when considering the nature of an award for a student who only completes Stage 2 with the Provider.

B.2.6.1.2 External examiners’ roles

Annex to the LPC Regulations This is defined in 5.4 – 5.8 of the Information Pack and this will be used to determine the ambit of the external examiners’ role

B.2.6.7 Circumstances which affect performance

Regulation 9 The Provider’s regulation, B.2.6.7, has not been derogated from but added to by the Confirmation of Fitness to Undertake Summative Assessment policy as provided for in 4.23 of the Information Pack

B.2.7.2 Grading performance and awarding credit

Regulation 2.1.5 3.50 of the Information Pack provides that each Skill shall be assessed on a competent/not yet competent basis

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B.2.8.2 Retrieval of failure

B.2.8.3 Referred assessments

B.2.8.4 Repeating modules

B.2.8.5 Compensation in cases of partial failure

Regulations 3 and 4 4.15 – 4.20 of the Information Pack provide for referrals and re-sits.

Skills are given an in-course re-assessment prior to formal referral by an examination board, then one further referral only.

A student failing a third attempt at Stage 1 assessment will fail Stage 1 in its entirety and be required to re-enrol with attendance.

No compensation or condonement is allowed in cases of partial failure.

B.2.9.13 The certification of awards

Regulation 2.1.5 % grade cannot be provided for any Skill as Skills are graded on a competent/not yet competent basis in line with 3.50 of the Information Pack

Regulation 15 Requirements for transcripts are contained in 4.11 – 4.12 of the Information Pack

B.2.7.3 The mark scales Regulation 4.11 The pass mark for all core and elective assessments shall be 50%.

Approved by Quality Assurance Committee 9th February 2009 (Minute 797.2.3)

Professional Certificate in Education and Professional Graduate Certificate in Education

A derogation for the awarding of merit and distinction for the above two awards is sought in order to satisfy Standards Verification UK (SVUK) requirements.

Regulations for assessment

The standard, University-wide regulations will apply unless amendments in relation to SVUK (the relevant professional body) requirements are formally sought from the Regulations and Examiners Sub-group of the University’s Quality Assurance Committee.

The programme regulations make provision for the award of the Professional Certificate in Education and the Professional Graduate Certificate in Education with Distinction and Merit subject to the following criteria:

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A Distinction will be awarded if 80 credits out of 120, to include the modules ED2S007 Professional Practice 1 and ED2S010 Professional Practice 2, are graded at 70% or above, provided at least PC is achieved in the remaining 40 credits.

A Merit will be awarded if 80 credits out of 120, to include the modules ED2S007 Professional Practice 1 and ED2S010 Professional Practice 2, are graded at 60% or above, provided at least PC is achieved in the remaining 40 credits.

Response

The standard University regulations require the majority of the credits in the postgraduate award to be graded at 70% or above in order to award a distinction and the majority of the credits in the postgraduate award to be graded at 60% or above in order to award a merit. For both the above awards, students study 120 credits. The above proposal uses the same grading criteria as the standard University regulations but specifies two modules for inclusion in order to satisfy professional body requirements. There is also a slightly higher credit requirement (80 rather than 70).

The Chair of Regulations and Examiner Sub Group recommends approval by QAC.

Approved by QAC Chair’s action: 15th October 2009

Legal Practice Course Final Awards

Pass with DistinctionFor the award of ‘Pass with Distinction’, the student must have four marks in the class (i.e. 70%+) plus an aggregate mark of 420 across the three core practice areas (i.e. Business Law & Practice, Litigation and Property Law & Practice) and the three Stage 2 modules.

The student must also have passed every assessment at first attempt.

Pass with CommendationFor the award of ‘Pass with Commendation’, the student must have four marks in the class (i.e. 60%+) plus an aggregate mark of 360 across the three core practice areas (i.e. Business Law & Practice, Litigation and Property Law & Practice) and the three Stage 2 modules.

The student must also have passed all of the core practice area assessments and Stage 2 assessments at first attempt.

The student must have failed only one other assessment at first attempt and must subsequently pass that assessment at second attempt.

Please note the award of ‘Pass with Commendation’ is not available to a student who has failed two or more assessments at first attempt.

PassSection 10: 22

For the award of ‘Pass’, the student must have passed all assessments at first, second or third attempt.

Approved by QAC Chair’s Action: 18th June 2010

Derogation for CPE/GDL

Derogations are proposed to the above for the purposes of the proposed structure of the CPE/GDL in light of the professional requirements.

(The Module). A proposed derogation from the regulation to include the credit structure of the award and professional requirements regarding content, compensation etc.

Explanation: This deals with the 30/15 credit module issue and includes the rationale as discussed: see below also) The purpose of the permitted derogation for 30 credit modules is:1. To recognise the external regulatory requirements for the Award of the Joint Academic

Stage Board (JASB) as prescribed in the Common Professional Examination/Graduate Diploma in Law Information Pack 2010.

2. To recognise the prescribed nature of the Award subject areas which require the Award to contain the seven foundations of legal knowledge subjects and the desirability of exposure to an eighth area of law by virtue of the requirements of the Joint Academic Stage Board.

3. To recognise the philosophy of the Award with its approach to the teaching, learning and assessment of cognate conjoined subject areas in accordance with the principles expressed in B.1.5.1 of these regulations (Design of Modular Awards).

4. To permit the required equal treatment in teaching, learning and assessment of the subjects.5. To permit the accumulation of 120 Credit Points for the award of Graduate Diploma as

required by these regulations.6. The Award structure (4 x 30 Credit Modules) or any part thereof will only be available to

students enrolled on the Award: enrolment is subject to JASB requirements.7. Compensation provisions will only apply to the Award as provided by JASB regulatory

requirements which require, where compensation is permitted, compensation of one marginal fail in a coursework or examination (i.e. a minimum mark of 35% in one and only one element of assessment – not a module as permitted by the University Regulations), where,

i. The (Award) examination board has considered the marks of all of the elements of the assessments; and

ii. The student has obtained a minimum of 35% in one and only one failed element of an assessment; and

iii. The examination board is satisfied that there is strength elsewhere in the student’s performance to justify compensation of the marginal fail.

CPE/GDL 30 Credit modules contain 3 elements of assessment, with a maximum permitted non-examinable element of 30%. Assessment of the examinable element is by virtue of two, two hour examinations. University compensation provisions permit the compensation of 20 credits. Compensation provisions applicable to the CPE/GDL Award permit compensation of one and one only element of assessment. An Award examination board exercising powers of compensation in relation to the CPE/GDL Award is empowered to compensate either the non-examinable element, or one examination.

Section 10: 23

The purpose of the permitted derogation for 15 credit modules84 is:1. To comply with 1, 2, 4 and 5 above2. To provide for the achievement of the Award by students enrolled onto the Award (as

permitted by JASB requirements), who have attained, as a result of prior study, a Certificate of Partial Exemption issued by either the Solicitors Regulatory Authority or the Bar Standards Board.

3. To recognise that students enrolling onto the Award with a partial exemption certificate may not be able to complete one or more of the 30 credit modules and have appropriate credit given for their exemptions.

4. The Award structure (8 x 15 Credit Modules) or any part thereof will only be available to students enrolled on the Award: enrolment is subject to JASB requirements.

5. Students admitted to and enrolled on the Award in these circumstances shall not have a marginal failure compensated, in accordance with JASB requirements.

(The Pace of Study). A proposed derogation to provide for the time limits to the Award as required by the professional body.

Explanation: Students enrolled onto the CPE/GDL award should normally complete their studies as follows:1. Full time study; one year.2. Part time study; two years.The maximum period for completion of the CPE/GDL Award is as follows:1. Full time study; normally three years from the date of enrolment.2. Part time study; normally four years from the date of enrolment.Exceptional circumstances permit, in both cases, an additional one year.

(Flexibility Within and Between Programmes). A proposed derogation to provide for the limits to transfer into the Award.

Explanation: Transfer between awards is, for the purposes of entry to the CPE/GDL award, restricted to the satisfaction of the appropriate admissions criteria for the award AND the following:1. Transfer into the CPE/GDL Award shall not be permitted after the expiration of four weeks

for full time study and five weeks for part time study from the enrolment date.2. No Credits can be carried into the Award except in the circumstances permitted where the

transferee has obtained a certificate of partial exemption.

(Guidelines for the Duration of Programmes of Study). A proposed derogation to provide for the time limits to completion of studies.

Explanation: To include CPE/GDL with a duration between 1 and 4 years (max permitted period including part time mode). To further specify periods for full time (1 & 3 years) and part 84 It is envisaged that the number of applicants/enrolees for this route will ordinarily be very small. Evidence suggests around 1 student per academic year.

Section 10: 24

time (2 & 4 years), and power (on application to JASB) and circumstances in which the grant of an additional year.

(University Minimum Admissions Requirements). A proposed derogation to provide for a higher level of English proficiency for overseas student admissions to IELTS 7. Admission is subject to the Award requirements as required by the JASB.

Explanation: To provide for higher level of English proficiency (IELTS Level 7) and recognise Award specific minimum requirements.

(The Award and Progression Assessment Board’s Discretion in the Treatment of Approved Mitigating Circumstances – Outcomes). A proposed derogation to the power to award an aegrotat pass.

Explanation: An aegrotat pass is not permitted on the CPE/GDL.

(Referred Assessments). A proposed derogation to provide for the maximum permitted mark for a referred assessment and a derogation to recognise professional requirements that a student is allowed a maximum of three attempts at any assessments.

Explanation: In considering a request to defer a referral by a student enrolled on the CPE/GDL, the award and progression assessment board must be mindful of the duration of study requirements in (Pace of Study) and (Guidelines for the duration of programmes of study). Also, Students enrolled on the CPE/GDL will be subject to a maximum mark of 40% for referred elements but may obtain a mark higher than 40% for the referred module. Students enrolled on the CPE/GDL are allowed a maximum of three attempts at an assessment as required by the JASB.

(Postgraduate Awards). A proposed derogation to provide for specific professional requirements for classification of the Award.

Explanation: “Postgraduate Awards” includes “graduate entry level awards at Level 6 (Honours) ...”. This derogation recognises the Award specific classification requirements as required by the JASB for classification of the Award as “Distinction”, “Merit” and “Pass”.

(Transfer of Credit from Other Institutions). A proposed derogation to provide for entry to the Award, studying an Award specific minimum of credits. Credits claimed are subject to approval in the first instance by either the Solicitor’s Regulatory Authority or Bar Standards Board and the issue of a Certificate of Partial Exemption.

Explanation: A student bringing credits to the university for an award is required to "...normally take the following minimum credits with the University to qualify for one of its awards ...". The 15 credit structure is for the 1 or 2 students obtaining an exemption from at least 4 of the foundation subjects, enrolling and being given credit (APCL) for those subjects already studied/achieved. These exemptions have to be approved by the professional bodies in the first instance. They will, where approved, issue a certificate (as above). The Award Leader/E&A will still have to satisfy themselves that the student meets minimum entry requirements.

Section 10: 25

Approved by Regulations and Examiners Sub-Group July 2011

PgCert TESOL

A derogation of the rules is proposed to disallow resit opportunities for the newly proposed Pg Cert TESOL (Post Graduate Certificate in Teaching English to Speakers of other Languages).

The PgCert TESOL will be an intensive postgraduate course delivered through 3 weeks of directed learning to take place in June followed by 1 month of compulsory block delivery teaching during July.

This course is a professional qualification which changes students to professionals within a short space of time. Immediately following the course students will be able to apply for well paid, graduate teaching work on a global scale.

The content of this academic course is very tight and its value is gained through the number of teaching practice hours that students undertake. This course has been benchmarked against Trinity College London, an internationally renowned deliverer of this type of course. During the 1 month of block delivery students have to undertake 10 hours of teaching observations and 6 hours of live teaching practice. This work will be achievable through collaborative work with The Centre for International Commercial Activity (CICA) housed on the Treforest campus. Pg Cert students will observe International English teachers and teach International students additional English lessons to complete the 6 hours of teaching required to give value to the certificate.

The tight organisation and the timing of this Pg Cert means arranging resits for students to re-do teaching sessions would be incredibly difficult to organise for the following reasons.1. International students may not be on campus to allow this to take place. If students are on

campus it would be problematic to arrange a group of students to volunteer to be taught outside of the core course timetabling sessions.

2. Staff teaching on this course are full time academics and teach a full timetable throughout the academic year. August will be required for leave to be taken before the new intake in September.

3. As this course is being benchmarked against Trinity College London they do not allow for resits to be undertaken. The following statement has been taken from the frequently asked questions section of the Trinity College website - http://www.british-study.com/teacher-training/courses/trinity-certtesol/faqs.php.

Can I fail?

We would not accept you onto the course if we were not convinced that you had the ability to pass. There are tutorials throughout the course when we will keep you fully informed of your progress and what you need to do to pass the course. If you do fail we will give you a certificate to say you have taken the course and a detailed report stating your progress but you won't receive your certificate from Trinity.

The Pg Cert TESOL proposal includes the following section,

Section 10: 26

Arrangements for academic counselling and pastoral supportAs this is a short intensive course students will be interviewed before the course and the intensity will be stressed. In the case of approved mitigating circumstances the student will be able to take up the course at the point where they finished on the next available course with no additional fee. Should students in this circumstance wish to repeat parts of the course then additional fees will be incurred.

An application for derogation of the rules to disallow resit opportunities has been submitted, this is considered appropriate due to the high level of organisation required with CICA to arrange for students to be taught and the position of this course in the academic year.

Approved by Regulations and Examiners Sub Group July 2011

Section 10.3: Faculty of Advanced TechnologyHNC/D Aerospace Engineering: Barry College

Proposal to offer "User" defined credits (15) for the delivery of HNC/HND awards in Aerospace Engineering at Barry College.

Approved by APC Standing Group on Regulations: November 2001

HNC Building Services Engineering: Barry College

Proposal to offer user defined 7 and 14 credit modules on the HNC Building Services Engineering award offered at Barry College.

Approved by APC Standing Group on Regulations: 12th February 2003 (Minute 9.1)

Graduate Certificate in Applied Computing/Graduate Certificate in Risk Technology

For students enrolled onto the Graduate Certificate in Applied Computing and the Graduate Certificate in Risk Technology, the standard University-wide regulations will apply, with the exception that, at the request of ISAIP-ESAIP, students will not be offered referrals in any of the modules comprising the Graduate Certificate awards. This derogation is a requirement for recognition of ISAIP-ESAIP as a ‘Grande Ecole’. These awards will only attract students from ISAIP-ESAIP.Approved by the Regulations and Examiners Committee: 11th February 2005 (Minute 87.1.1)

MEng and BEng Regulations for Level 6 Classifications

The University introduced a new regulation for the classification of Honours degrees (B.2.9.8).Section 10: 27

The derogated regulation for the IEE Accredited Bachelor of Engineering award under B.2.8.2 states:

“The classification for an IEE Accredited Bachelor of Engineering award will be calculated based on a candidate’s performance at the first attempt; repeat/referral examinations will only be permitted for the purpose of accumulating credits (see B.2.8.2 [c] and B.2.9.6/B.2.9.7)

Below is the proposed mechanism for applying these new regulations to Level 6 MEng/BEng students.

Award Board

The award board will calculate the average student mark for all Level 6 credits combined with the 40 credits brought forward from Level 5 (as appropriate) for determining the degree classification at the June Board (ie all credits with no discounts). The board will compensate one marginal failure provided that at least 80 credits of appropriate study have been achieved. All failed modules, including any narrow failures that are compensated, will be included in the average at their original score (ie not raised to 40%). It is not proposed to use the profiling system for classification purposes. However, the Board will exercise judgement at the classification borders in conjunction with the Award External Examiner(s).

Students who fail 20 credits (after applying relevant compensation rules) will be awarded a degree based upon this classification and will not be referred. As all credits are used to determine the classification the failed module will influence the final classification, students will not be further penalised by dropping one class.

Students who fail in 40-60 credits will be offered referral assessments for the purposed credit accumulation and will not be classified until the referral board. Such students may be offered the option of accepting an unclassified BEng if they have passed the project.

Referral Board

The Referral Award Board will award each student the classification determined from the June marks to students who pass 100, or more, credits post referral (after applying relevant compensation rules). Students who fail 40 credits will receive their June classification dropped by one class. Students who fail more than 40 credits will not be awarded an Honours degree but may be awarded an unclassified BEng if they have passed the project.

Approved by the Regulations and Examiners Sub-Group: 6th October 2006 (Minute 5.1)

General Chiropractic Council (GCC): Module ‘MA1S23 Quantitative Methods in Clinical Sciences’

The Faculty of Advanced Technology has requested a derogation from the regulations for the module: MA1S23 Quantitative Methods in Clinical Sciences in order to comply with the

Section 10: 28

regulations of the General Chiropractic Council (GCC). The proposed change is to replace the existing sentence within B.2.7.2 [a] (Grading performance and awarding credit):

‘Students must meet the overall module learning outcomes with no significant weaknesses to achieve a pass grade.’

with

‘Students must meet the overall module learning outcomes to achieve a pass grade. Students will be required to attain a minimum 40% pass mark in all three elements (tests and coursework).’

The Chairperson has scrutinised the module descriptor for module MA1S23 and has taken Chairperson’s action to approve the above derogation to the regulations.

Approved by the Regulations and Examiners Sub-Group: 25th January 2008 (Minute 78.1)

Royal Institution of Chartered Surveyors (RICS): Modules for the MSc in Construction Project Management

The Faculty of Advanced Technology has requested a derogation from the regulations for all modules on the MSc in Construction Project Management due to the stated requirements of the Royal Institution of Chartered Surveyors (RICS). The Chairperson has scrutinised the module descriptors and notes that the requirement is expressed in the statement included in each descriptor as follows:

‘Students on the module will be required to achieve a minimum mark of 40% in every component of their assessment.’

where ‘component’ refers to each individual piece of coursework or examination.

Chairperson’s action has been taken to approve the above derogation to the regulations.

Approved by the Regulations and Examiners Sub-Group: 25th January 2008 (Minute 78.2)

Section 10: 29

BEng / MEng

The following previously approved sections relating to BEng and MEng programmes were moved from the Academic Handbook (Volume 1, Section B – Regulations for Taught Academic Awards) on 29 September 2011:

B.2.8.1.2 Progression: Bachelor of Engineering to Master of Engineering

[a] Students are provisionally selected to follow a Level 5 (Intermediate) MEng programme of study at the completion of a Level 4 (Certificate) BEng (Hons) programme of study subject to satisfying the BEng (Hons) progression criteria and achieving a minimum of 60 credits at 60% or above and 60 credits at 40% or above, with a maximum allowable referral of 20 credits.

[b] Progression to an MEng programme of study will be confirmed at the completion of Level 5 (Intermediate) on the basis of a minimum standard of academic achievement in the Level 5 (Intermediate) assessments (phase 1) and the successful completion of phase 2, comprising a general engineering formal examination. The minimum performance normally required is: Phase 1 – a Level 5 (Intermediate) classification equivalent to an Upper

Second Class or above (overall Level 5 classification grades of 60% or above).

Phase 2 – a grade of 40% or above in the general engineering written examination.

[c] A student shall normally proceed to Year 5 of the MEng programme provided that their Year 4 studies, when classified according to the University standard regulations for BEng (Hons), is graded Upper Second Class or First Class. In arriving at this classification the individual project shall be remarked against the BEng (Hons) project criteria. In the event that the classification is lower, the student shall be awarded the BEng (Hons) classification determined and shall not proceed to the final stage). MEng candidates will receive counselling at the completion of their Year 4 studies.

B.2.8.2.2 Retrieval of failure: Bachelor of Engineering

[a] Level 6 (Honours) repeat/referral examinations will only be permitted for the purpose of accumulating credits. Once a student has achieved the necessary credit for the award after referral/repeat, the award and progression assessment board shall make the award at a classification that reflects the candidate’s performance at the first attempt.

[b] The project must normally be passed at the first attempt and may not be referred or repeated. In exceptional circumstances, the project submission date may be extended up to a maximum of three months.

Section 10: 30

B.2.8.2.3 Retrieval of failure: Master of Engineering

[a] The project must be passed at the first attempt and may not be referred or repeated.

B.2.9.4 Bachelor of Engineering award

[a] The classification for a Bachelor of Engineering award will be calculated based on a candidate’s performance at the first attempt; repeat/referral examinations will only be permitted for the purpose of accumulating credits.

B.2.9.5 Master of Engineering award

[a] A student’s Year 5 performance will be considered according to the University’s standard regulations for the award of Master’s degrees. In arriving at a classification the individual project will be marked against the MEng project criteria and must be passed at the first attempt.

[b] If a student does not gain enough credit at the first attempt for the award of Master of Engineering the student will be awarded the BEng (Hons) degree and will be permitted referral under the University’s standard regulations for the award of an MSc. In such circumstances an MSc project will be required since the individual MEng project marked at BEng (Hons) standard will have already been used to award the BEng (Hons) degree.

[c] If a student, for good reason, is forced to withdraw from his/her studies before completing the final stage, a BEng (Hons) award may be made.

Moved from the Academic Handbook (Volume 1, Section B – Regulations for Taught Academic Awards): 29 September 2011

Section 10.4: Validated ProvisionEvangelical Theological College of Wales (ETCW)

ETCW submitted a proposal to continue with their awards under the pre-Big Bang structure and submitted a satisfactory proposal detailing how they would conform to the University’s new classification regulations (see definitive document for full details).

Approved by the APC Standing Group on Regulations: 25th September 2002 (Minute 2.4)

Section 10: 31

Section 10.5: Royal Welsh College of Music and Drama (RWCMD)

Submission by the Royal Welsh College of Music and Drama to the University of Glamorgan Regulations and Examiners’ Sub-group seeking derogations to regulations

Introduction

This submission is divided into two sections. The first seeks a number of generic derogations to regulations as matters of general principle. Should these be granted, the Regulations and Examiners’ Sub-group should expect to see these generic derogations applied across several sets of programme regulations in a manner appropriate to each specific programme. The second section seeks a number of particular derogations to particular programme regulations. Should these be granted, the Regulations and Examiners’ Sub-group should not expect to see them applied to any programme other than the one(s) specified in this submission.

1. Generic derogations

a) A derogation to the regulations concerning the credit-rating of modules (see B.1.4.2 The module) is requested for a maximum period of five years, that being the maximum period between approval and quinquennial review. The College’s academic provision currently includes units of 5, 10, 15, 20, 25, 30, 40, 50 and 60 credits. Staff are keen to rationalise this and migrate towards the University’s framework. It is likely that much of this work will be completed before the first main intake of University of Glamorgan students to the College in September 2007, but it is improbable that it will all have been done. All new provision will be designed in accordance with the University’s framework and all existing provision will have completed the transition by the time of its quinquennial review, at the very latest.

b) A derogation to the regulations concerning the determination of the classification of degrees (see B.2.9.10 The classification of honours degrees for new students or students enrolling on a new programme of study post-September 2003) is requested in the light of the above request for derogation in relation to the credit-rating of modules. The University’s regulations are predicated on a degree classification profile drawn from a number of 20 credit modules. Until such time as the College is fully aligned with the University’s framework, the precise method of determining the classification of degrees may have to be adapted to existing modular structures. In all cases the methods adopted would reflect the spirit of the Glamorgan regulations even if they cannot entirely replicate the letter.

c) A further derogation to the regulations concerning the determination of the classification of undergraduate degrees (see B.2.9.10 The classification of honours degrees for new students or students enrolling on a new programme of study post-September 2003) is requested in relation to the selection of the modules which contribute to the classification profile. The University’s regulations state that the 20 credit module at Level 5 which has been awarded the lowest grade will be dropped before the mean score is calculated. They also state that, of the 8 profile grades available on completion of Level 6, the lowest grade will be dropped before the mean score is calculated. This presents the College with difficulties in

Section 10: 32

terms of academic standards. Certain modules, such as the Final Recital/Final Module for music performers or the Production Placements module for stage managers, represent the synoptic assessment of the students’ professional formation and therefore, we submit, must be included in the classification profile even if they have been awarded the lowest grade. The same principle would be need to be applied to the awards of Certificate of Higher Education with Distinction and Diploma of Higher Education with Distinction.

d) A derogation to the regulations concerning the classification of postgraduate awards (see B.2.9.12 Postgraduate awards) is requested on similar grounds. The award of a distinction at Postgraduate Diploma or Masters level, bearing the name of the College, must indicate an exceptionally high and consistent achievement in terms of professional competence.

2. Specific derogations

In relation to the MA Music Therapy programme, the following derogations to regulations are sought:a) The College seeks a derogation to regulations (see B.2.7.3 [c] The mark scales) which

would permit a pass mark of 50%. Within the UK, the pass mark for Music Therapy programmes is 50%. Any pass mark is, of course, merely symbolic and the higher pass mark does not represent a higher standard. It does, however ensure that all UK Music Therapy students are graded on a comparable scale and would avoid a repeat of the outcry in the profession which followed the University of Wales’ insistence 2 years ago that it be reset at 40%;

b) In keeping with the above, the College seeks a derogation of regulations (see B.2.8.3 [e] Referred assessments) which would permit referrals to be capped at 50%;

c) The College seeks a derogation of regulations (see B.2.9.12 [b] Postgraduate awards) which would permit classification of this award at pass/fail only. The award of MA Music Therapy is an indication of fitness to practise as a Music Therapist. It is the view of the programme and the profession that no further discrimination is required in terms of classification of the award than pass/fail;

d) The College seeks a derogation of regulations concerning the retrieval of failure (see B.2.8.3 Referred assessments). Candidates who fail clinical placements cannot take a referral in the normal way. The nature of the work means that it is only possible to retrieve the failure of a clinical placement by repeating the module in full. In such cases, the College requests that the repeated module, which is, in effect a referral, should be capped at the bare pass mark of 50%.

In relation to the MMus/ Postgraduate Diploma Music programmes, the following derogations to regulations are sought: a) The College seeks a derogation to regulations (see B.2.7.3 [c] The mark scales) which

would permit a pass mark of 50%. Within the UK conservatoire sector, the pass mark for MMus/Postgraduate Diploma programmes is 50%. Any pass mark is, of course, merely symbolic and the higher pass mark does not represent a higher standard. It does, however ensure that all UK conservatoire sector MMus/Postgraduate Diploma students are graded on a comparable scale and would avoid a repeat of the outcry in the sector which followed the University of Wales’ insistence 2 years ago that it be reset at 40%;

b) In keeping with the above, the College seeks a derogation of regulations (see B.2.8.3 Referred assessments) which would permit referrals to be capped at 50%;

Section 10: 33

c) In relation to the Postgraduate Diploma Music only, the College seeks a derogation to the regulations concerning the classification of postgraduate awards (see B.2.9.12 Postgraduate awards) for the reasons cited above in paragraph 7. To be eligible for the award of Postgraduate Diploma Music with Distinction, a candidate shall have achieved an overall mark of not less than 70%. Performance pathway candidates who achieve a weighted average of 70% or above in their performance modules (Principal Study and Professional Studies) but not overall will be awarded the Postgraduate Diploma Music with Distinction in Performance

In relation to the BA (Hons) Stage Management and Postgraduate Diploma Stage Management programmes, the following derogation is sought:a) The College seeks a derogation to regulations concerning the retrieval of failure (see

B.2.8.2.1 [c] Retrieval of failure: general regulations) which would remove from candidates who have previously failed and retrieved a production placement the right to referral in any subsequently failed production placement. Such a student would be required to withdraw from the programme. This somewhat draconian regulation is considered vital to the subject in terms of professional and academic standards.

b) In relation to the Postgraduate Diploma Stage Management only, the College seeks a derogation to the regulations concerning the classification of postgraduate awards (see B.2.9.12 Postgraduate awards) for the reasons cited above in paragraph 7. To be eligible for the award of Postgraduate Diploma Stage Management with Distinction a candidate shall have achieved an overall mark of not less than 70%.

In relation to the Graduate Diploma Acting and the Postgraduate Diploma Theatre Design, the following derogation is sought:a) The College seeks a derogation to regulations concerning the classification of these

postgraduate awards (see B.2.9.12 Postgraduate awards) as outlined above in paragraph 7. In order to be eligible for the award of Graduate Diploma Acting with Distinction or Postgraduate Diploma Theatre Design with Distinction, a candidate shall have achieved an overall mark of not less than 70%.

Approved by the Regulations and Examiners Sub-Group: 2nd March 2007 (Minute 30) and ratified by Academic Board (on behalf of QAC): 7th March 2007 (Minute 811)

Derogation requests May 2008:

At the meeting of the University’s Regulations and Examiners Sub Group, Friday 2 May 2008 (Minute 105.2), the College requested a derogation from the University’s regulations for the award of MA Theatre Design arising from the validation of new programmes. The Sub Group asked for further clarification of the wording of the derogation in relation to the classification of distinction and modular and award pass marks. This was provided and the following has been approved by Chairperson’s action:

MA Theatre Design

Section B.2.9.9 [b] - Postgraduate Awards

Section 10: 34

“The student receives a distinction if the majority of credits comprising the award are graded at D (70%) or above on the postgraduate scale.”

Proposed derogation:

To be eligible for the award of MA with Distinction a candidate shall have achieved a mark of not less than 70% in the majority of the credits which comprise the award including a mark of 70% or more for the Part II Final Module.

Rationale:

i) Certain modules represent the synoptic assessment of the students’ professional formation and must be included in the final classification profile.

ii) Similarly, the award of distinction must indicate exceptionally high and consistent achievement in terms of professional competence

NBThis derogation approved and ratified by the University in March 2007, also applies for the following awards,

PG Diploma Theatre DesignPG Diploma Stage ManagementPG Diploma Acting for Stage, Screen and RadioMMusPG Diploma Music

Approved by the Chairperson of the Regulations and Examiners Sub-Group: 18th July 2008

Derogation requests for 2009/10:

MA Theatre Design

Section B 2.9.9b - Postgraduate Awards

“The student receives a distinction if the majority of credits comprising the award are graded at D (70%) or above on the postgraduate scale.”

Requested derogation:

To be eligible for the award of MA with Distinction a candidate shall have achieved a mark of not less than 70% in the majority of the credits which comprise the award including a mark of 70% or more for the Part II Final Module.

Section 10: 35

Rationale:i)                 Certain modules represent the synoptic assessment of the students’ professional

formation and must be included in the final classification profile. ii)               Similarly, the award of distinction must indicate exceptionally high and consistent

achievement in terms of professional competence

MA Music Performance

Requested derogations:

1. Section B 2.7.3c - The mark scales (postgraduate scale)

The postgraduate scale used for all taught Master’s level programmes sets the pass mark at 40%. The following proposed derogation sets the pass mark for each module at 50% and caps the pass mark for referrals at 50%:

The pass mark for each module comprising this award is 50%. Any referred elements will be capped at 50%. Rationale:

i)                 To reflect current practice within the UK conservatoire sector, where the pass mark for MMus/Postgraduate Diploma programmes is 50%.

ii)               The derogation will ensure that students recruited to the programme are graded on a comparable scale to those pursuing the University’s existing MMus and Postgraduate Diploma in Music awards.

2. Section B 2.9.9b - Postgraduate Awards

“The student receives a distinction if the majority of credits comprising the award are graded at D (70%) or above on the postgraduate scale.”

Requested derogation:

To be eligible for the award of MA with Distinction a candidate shall have achieved a mark of not less than 70% in the majority of the credits which comprise the award which must include a mark of 70% or more in each of the Part II Performance Studies, Concert Platform Module and Final Module.

Rationale:i)                 Certain modules represent the synoptic assessment of the students’ professional

formation and must be included in the final classification profile. ii)                 Similarly, the award of distinction must indicate exceptionally high and consistent

achievement in terms of professional competence

MMus in Creative Music Technology by Distance Learning

Section 10: 36

Requested derogations:

1. Section B 2.7.3c - The mark scales (postgraduate scale)

The postgraduate scale used for all taught Master’s level programmes sets the pass mark at 40%. The following proposed derogation sets the pass mark for each module at 50% and caps the pass mark for referrals at 50%:

The pass mark for each module comprising this award is 50%. Any referred elements will be capped at 50%.

2. Section B 2.9.9b - Postgraduate Awards

“The student receives a distinction if the majority of credits comprising the award are graded at D (70%) or above on the postgraduate scale.”

Requested derogation:

To be eligible for the award of MMus with Distinction a candidate shall have achieved a mark of not less than 70% in the majority of the credits which comprise the award including a mark of 70% or more for Creative Portfolio 2

Rationale:i)                 Certain modules represent the synoptic assessment of the students’ professional

formation and must be included in the final classification profile. ii)                 Similarly, the award of distinction must indicate exceptionally high and consistent

achievement in terms of professional competence

Approved by the Quality Assurance Committee 9th February 2009 (Minute 797.2.3)

RWCMD Derogation requests 2009/10

Derogation for the BMus Jazz

1. Derogation from the regulations set out in Academic Handbook section B.1.3 The Credit Accumulation and Transfer System.

In line with the approved programme regulations for the BMus (Hons), the College requests derogation for the four year BMus (Hons) Jazz to set minima within the 480 credits for the award of BMus Jazz (120 at Level 4, 180 at Level 5, and 180 at Level 6). Its exit awards will be set at a minimum of 240 credits for the Diploma of Higher Education, and a minimum of 120 credits for the Certificate of Higher Education.

Requested derogations:

Section 10: 37

a. To be eligible for the University of Glamorgan award of BMus Jazz at the Royal Welsh College of Music and Drama, a candidate shall:a) have pursued the approved programme for a period of four years at the College;b) have attained a minimum of 480 credits including a minimum of 120 at Level 4, 180

at Level 5 and 180 at Level 6.1

b. To be eligible for the University award of Diploma of Higher Education a candidate shall:a) have pursued the approved programme for a period of two years at the College:b) have attained a minimum of 240 credits including a minimum of 120 at Level 5 or

above.1

c. To be eligible for the University award of Certificate of Higher Education a candidate shall:a) have pursued the approved programme for a period of one year at the College;b) have attained a minimum of 120 credits at Level 4 or above.1

d. A candidate exiting a degree scheme with a Certificate of Higher Education shall be eligible for the award of Distinction where 80 credits out of the 120 are graded at 70% or above, provided the remaining 40 credits are graded at Pass by Compensation (PC) or above.

e. A candidate exiting a degree scheme with a Diploma of Higher Education shall be eligible for the award of Distinction where 80 credits out of the 120 are graded at 70% or above, provided the remaining 40 credits are graded at Pass by Compensation or above.

DEROGATION APPROVED

1 Derogation from the regulations of the University of GlamorganSection 10: 38

2. Derogation from the regulations set out in Academic Handbook section B.2.9.8 the classification of honours degrees.

As approved for the existing BMus award and for the reasons set out in the extract in Appendix A, that certain modules represent the synoptic assessment of the students’ professional formation and must be included in the final classification profile.

Requested derogation:

Determining the Award

61. The classification is determined by the student’s “classification profile”. Three identical profile scores are awarded for Level 5. Nine individual profile scores are awarded for Level 6.

62. In order to determine the three identical profile scores for Level 5, the marks achieved for the following modules are added up and a mean score calculated:

Jazz Repertoire & Style II (40 credits) Professional Development Option (20 credits) The Session Player in the Community (20 credits) The highest scoring 60 credits of the remaining 100 credits. These may be a

combination of 10 or 20 credit modules.

63. The marks achieved for each 20 credit unit of the Level 6 modules produce the nine individual profile scores for Level 6, for each mode as follows:

mode 1: Jazz Repertoire & Style III (40 credits) – 2 profile scores Performance Planning (20 credits) – 1 profile score Performance Option (40 credits) - 2 profile scores Performance Option (40 credits) – 2 profile scores Professional development option (40 credits) – 2 profile scores

mode 2 Jazz Repertoire & Style III (40 credits) – 2 profile scores Performance Planning (20 credits) – 1 profile score Performance Option (40 credits) - 2 profile scores Performance Option (20 credits) – 1 profile score Professional development option (40 credits) - 2 profile scores Professional development option (20 credits) – 1 profile score

mode 3 Jazz Repertoire & Style III (40 credits) – 2 profile scores Performance Planning (20 credits) – 1 profile score Performance option (40 credits) - 2 profile scores Professional development option (40 credits) - 2 profile scores

Section 10: 39

Professional development option (40 credits) - 2 profile scores

64. The final classification profile comprises ten of the twelve profile scores. It must include:

For mode 1: the four level 6 Performance Option scores and the two level 6 Professional Development Option scores.

For mode 2:the three level 6 Performance Option scores and the three level 6 professional development option scores.

For mode 3:the two level 6 Performance Option scores and the four level 6 professional development option scores.

Of the remaining six Level 5 and Level 6 profile scores, the four with the highest marks are included in the final classification profile and the two with the lowest marks are excluded. A mean % is calculated.

65. The classification profile of ten grades is interpreted as below:

Either:Mean % over 200 credits Classification70-100% First Class Honours Degree60-69.9% Upper Second Class Honours Degree50-59.9% Lower Second Class Honours Degree40-49.9% Third Class Honours Degree

DEROGATION APPROVED. THE WEIGHTING OF LEVEL 5 TO LEVEL 6 MODULES IS THE SAME AS THE GENERIC UNIVERSITY CLASSICATION WEIGHTING (1:3) AND THE INCLUSION OF SOME SPECIFIC MODULES IN THE CLASSIFICATION IS IN LINE WITH OTHER RWCMD DEROGATIONS. NOTE THIS IS BASED ON AVERAGES ONLY AND NOT A PROFILE.

Derogation for the MA Jazz and MA Choral Conducting

1. Section B 2.7.3c - The mark scales (postgraduate scale)

The pass mark for each module comprising this award is 50%. Any referred elements will be capped at 50%.

The postgraduate scale used for all taught Master’s level programmes sets the pass mark at 40%. The following proposed derogation sets the pass mark for each module at 50% and caps the pass mark for referrals at 50%. This reflects current practice within the UK conservatoire sector and will ensure that students recruited to the programme are graded on a comparable scale to those pursuing the University’s existing MA Music Performance.

Section 10: 40

 DEROGATION APPROVED.

2. Section B 1.3.5.6 – Postgraduate Awards without embedded awards

The University sets the credit weighting for a Masters degree as follows

180 credits with at least 150 at Level 7 (Masters) or above and no more than 30 credits at level 6 (Honours).

Derogation is requested to ensure consistency with the College’s existing MA Music Performance by setting a minimum of 160 credits at Level 7 and a minimum of 20 credits at level 6. The Postgraduate diploma is set at a minimum of 20 credits at Level 6 and 100 credits at Level 7.

DEROGATION APPROVED (already in line with University credit framework but no 10 credit modules)

3. Section B 2.9.9b - Postgraduate Awards

The student receives a distinction if the majority of credits comprising the award are graded at D (70%) or above on the postgraduate scale.

Rationale: Certain modules represent the synoptic assessment of the students’ professional formation and must be included in the final classification profile.  Similarly, the award of distinction must indicate exceptionally high and consistent achievement in terms of professional competence

Regulations for the award of MA Jazz as follows:

8. To be eligible for the University of Glamorgan award of MA Jazz at the Royal Welsh College of Music and Drama, a candidate shall:

a) have pursued the approved programme for a period of two years part-time at the College

b) have attained a minimum of 20 credits at Level 6 and 160 credits at Level 7, at least 60 of which shall be for Part II, the Final Module.

9. To be eligible for the award of MA with Distinction a candidate shall have achieved a mark of at least 70% in the majority of the credits which comprise the award including a mark of 70% or above in the Jazz Performance Studies: Final module.2

10. To be eligible for the University of Glamorgan award of Postgraduate Diploma a candidate shall:a) have pursued the approved programme for a period of two years.b) have attained a minimum of 20 credits at Level 6 and 100 credits at Level 7.

Section 10: 41

11. To be eligible for the award of Postgraduate Diploma with Distinction a candidate must achieve a mark of at least 70% in the majority of credits comprising the award including a mark of 70% or above for the Jazz Performance Studies: First Performance module.2

Regulations for the MA Choral Conducting award

8. To be eligible for the University of Glamorgan award of Postgraduate Diploma a candidate shall:a) have pursued the approved programme for a period of two years.b) have attained a minimum of 20 credits at Level 6 and 100 credits at Level 7.

9. To be eligible for the award of MA with Distinction a candidate shall have achieved a mark of at least 70% in the majority of the credits which comprise the award including a mark of 70% or above in each of the Part II Performance Studies, Concert Platform Module and Final Module.2

10. To be eligible for the University of Glamorgan award of Postgraduate Diploma a candidate shall:a) have pursued the approved programme for a period of two years:b) have attained a minimum of 20 credits at Level 6 and 100 credits at Level 7.

11. To be eligible for the award of Postgraduate Diploma with Distinction a candidate must achieve a mark of at least 70% in the majority of credits comprising the award including a mark of 70% or above for the Performing Musician module or Performing Musician (choral conducting) module.2

DEROGATION APPROVED

Derogation for the MA Acting for Stage, Screen, and Radio; MA Events Production; MA Scenic Arts and Construction for Stage and Screen

1. Section B 1.3.5.6 – Postgraduate Awards without embedded awards

180 credits with at least 150 at Level 7 (Masters) or above and no more than 30 credits at level 6 (Honours).

Derogation is requested to ensure consistency with the College’s existing Masters awards in drama by setting a minimum of 180 credits at Level 7. The Postgraduate diploma is set at a minimum of 120 credits at Level 7.

DEROGATION APPROVED (already in line with University credit framework but no 10 credit modules)

2. Section B 2.9.9b - Postgraduate Awards

Section 10: 42

“The student receives a distinction if the majority of credits comprising the award are graded at D (70%) or above on the postgraduate scale.”

Regulations for MA Acting for Stage, Screen and Radio

11. To be eligible for the University of Glamorgan award of Postgraduate Diploma Acting for Stage, Screen and Radio, at the Royal Welsh College of Music and Drama, a candidate shall:

a) have pursued the approved programme for a period of one academic year full-time at the College;

b) have attained a minimum of 120 credits at Level 7.1

12. To be eligible for the award of Postgraduate Diploma Acting for Stage, Screen and Radio, with distinction a candidate shall have achieved an overall mark of at least 70% in the majority of the credits which comprise the award, including a mark of 70% or above for the Public Performance Module.

13. To be eligible for the award of MA Acting for Stage, Screen and Radio, a candidate shall:a) have pursued the approved programme for a period of fourteen months

full-time at the College;b) have attained a minimum of 180 credits at Level 7.1

14. To be eligible for the award of MA Acting for Stage, Screen and Radio with distinction a candidate shall have achieved a mark of at least 70% in the majority of the credits which comprise the award including a mark of 70% or above for Part II Independent Performance Project.

Rationale:i)          Certain modules represent the synoptic assessment of the students’ professional

formation and must be included in the final classification profile. ii)        Similarly, the award of distinction must indicate exceptionally high and consistent

achievement in terms of professional competence

DEROGATION APPROVED

Regulations for the MA Events Production award

11. To be eligible for the University of Glamorgan award of Postgraduate Diploma Events Production at the Royal Welsh College of Music and Drama, a candidate shall have attained a minimum of 120 credits at Level 7.1

DEROGATION APPROVED (already in line with University credit framework but no 10 credit modules)

12. To be eligible for the award of Postgraduate Diploma Events Production with Distinction, a candidate shall have achieved an overall mark of at least 70% in the majority of the

1 Derogation from the regulations of the University of Glamorgan1 Derogation from the regulations of the University of Glamorgan

Section 10: 43

credits which comprise the award, including a mark of 70% or above for the work placement module.1

13. To be eligible for the award of MA Events Production, a candidate shall have attained a minimum of 180 credits at Level 7.1

14. To be eligible for the award of MA with Distinction a candidate shall have achieved a mark of at least 70% in the majority of the credits which comprise the award including a mark of 70% or above for Part II Professional Practice Journal.

DEROGATION APPROVED.

Regulations for the MA Scenic Arts and Construction for Stage and Screen Award

11. To be eligible for the University of Glamorgan award of Postgraduate Diploma Events Production at the Royal Welsh College of Music and Drama, a candidate shall have attained a minimum of 120 credits at Level 7.1

12. To be eligible for the award of Postgraduate Diploma Events Production with Distinction, a candidate shall have achieved an overall mark of at least 70% in the majority of the credits which comprise the award, including a mark of 70% or above for the work placement module.1

13. To be eligible for the award of MA Events Production, a candidate shall have attained a minimum of 180 credits at Level 7.1

14. To be eligible for the award of MA with Distinction a candidate shall have achieved a mark of at least 70% in the majority of the credits which comprise the award including a mark of 70% or above for Part II Professional Practice Journal.

Rationale:i)          Certain modules represent the synoptic assessment of the students’ professional

formation and must be included in the final classification profile. ii)        Similarly, the award of distinction must indicate exceptionally high and consistent

achievement in terms of professional competence

DEROGATION APPROVED.

Regulations for the MA Stage Management Award

11. To be eligible for the University of Glamorgan award of Postgraduate Diploma Stage Management at the Royal Welsh College of Music and Drama, a candidate shall have attained a minimum of 120 credits at Level 7.1

1 Derogation from the regulations of the University of Glamorgan1 Derogation from the regulations of the University of Glamorgan1 Derogation from the regulations of the University of Glamorgan1 Derogation from the regulations of the University of Glamorgan

Section 10: 44

DEROGATION APPROVED (already in line with University credit framework but no 10 credit modules)

12. To be eligible for the award of Postgraduate Diploma Stage Management with Distinction, a candidate shall have achieved an overall mark of at least 70% in the majority of the credits which comprise the award, including a mark of at least 70% for the public production/external work placement/employment based experience module.1

13. To be eligible for the award of MA Stage Management, a candidate shall have attained a minimum of 180 credits at Level 7.1

14. To be eligible for the award of MA with Distinction a candidate shall have achieved a mark of at least 70% in the majority of the credits which comprise the award including a mark of at 70% or above for Part II Professional Practice Journal.

DEROGATION APPROVED.

Additional derogation MA Stage Management

Section B 2.8.2 – Retrieval of Failure.

To ensure consistency with the existing undergraduate and postgraduate awards in stage management the College requests derogation from.

Where students have previously failed and retrieved a production placement they lose the right to referral in any subsequent failed production placement and will be required to withdraw from the programme. 1

DEROGATION APPROVED. THIS DEROGATION HAS ALREADY BEEN APPROVED FOR THE OTHER AWARDS IN STAGE MANAGEMENT. THE SERIES OF PLACEMENTS TAKE PLACE IN ONE MODULE.

1 Derogation from the regulations of the University of GlamorganSection 10: 45

Appendix A: University Terminology – Glossary of Acronyms and Terms

Appendix A: 1

Appendix A: 2

Glossary of Acronyms

AP(E)L Accreditation of prior (experiential) learning:A process by which individuals can claim and gain credit towards qualifications based on their prior learning and, sometimes, experience.

CATS Credit Accumulation and Transfer Scheme CeLL Centre for Lifelong LearningCELT Centre for Excellence in Learning and TeachingDfES Department for Education and Skills (DfES) of the Welsh

GovernmentFQAC Faculty Quality Assurance CommitteeFRPC Faculty Research Programmes CommitteeFE Further educationHE Higher educationHEFCE The Higher Education Funding Council for England. See

http://www.hefce.ac.uk/HEFCW The Higher Education Funding Council for Wales. See

http://www.hefcw.ac.uk/ MLE Managed Learning Environment (See Blackboard, (Glossary of

Terms) below)QAC Quality Assurance CommitteeQAA The Quality Assurance Agency for Higher Education. See

http://www.qaa.ac.uk/RTS Recognised Teacher StatusUCAS Universities Central Admissions System. See

http://www.ucas.ac.uk/

Appendix A: 3

Glossary of Terms

Approved Terminology DescriptionAccreditation The process by which the University gives wide authority to another

institution to exercise powers and responsibility for academic provision.Approval Approval is the formal outcome of the process by which the University has

judged that an award (or awards, or a new collaborative arrangement) meets the requirements of its regulations and nationally recognised standards.

Award An individual student’s pattern of modules leading to a University of Glamorgan qualification.

Award Leader An award leader is a manager of an award. Award and

Progression Assessment Board

Award and progression assessment boards exist for every programme of study leading to an academic award of the University, in order to determine the students’ progression and completion of their awards.

Award External Examiner

An award external examiner is appointed primarily because of their experience of assessment board functions in higher education. Their role is to ensure that the conduct of the award and progression assessment board is appropriate, the regulations of the University are adhered to and all decisions are properly made.

Benchmarks Produced by QAA and/or professional bodies to define explicit national statements of academic standards or outcomes for most subject areas.

Blackboard The University’s flexible blended learning software platform. See also MLE in acronyms.

Blended LearningEncompasses any activity from the simple use of e-mail and PowerPoint presentations delivered on campus, through to sophisticated multimedia simulations for use in stand-alone study at any location in the world.

Clearing The final period of the admissions cycle for new UCAS students aiming to match unplaced applicants with remaining places.

Collaboration An approved arrangement to deliver an award, or other objectives, with another organisation/college.

Collaborative Provision The University’s learning opportunities, of whatever scale and level, that are delivered at a partner institution.

Confirmation The process, normally via UCAS, of confirming conditional offers made to applicants for places on a programme.

Course Instance In the University’s MIS, course instances are an occurrence of an award in a particular academic year. Course instances also have a series of attributes including, location, start and end date and stream. If any of these attributes vary from an existing course instance then a new instance is created.

Credit A unit of academic ‘currency’ based on notional learning hours.Department A department is a unit within a faculty which can be further divided into

subjects for management and administrative purposes. Disability/Dyslexia

Distributed Learning Where learning and teaching takes place primarily at a distance and can include some elements of face to face contact but is primarily delivered

Appendix A: 4

via online or paper based distance delivery methods or a blend of the same (see e-intensive).

Division An academic unit.E-enhanced Teaching and learning is supplemented with access to some online

resources on Blackboard, such as announcements and lecture notes. E-focussed This includes the use of discussion boards, online assessment tests and

interactive learning materials alongside some face-to-face delivery.E-intensive Complete awards delivered almost entirely online.Erasmus The European Community action scheme for the mobility of university

students.Faculty A faculty is a group of similar or subject-related teaching sections of the

University, which is further divided into departments and subjects for management and administrative purposes. Each faculty is headed by a dean.

Generic Content Bundle

Content (eg learning objects, case studies etc) that may be used by more than one faculty. This might include induction materials, study skills, careers, research methods, engineering applications etc.

Induction Special introductory sessions held upon commencement of an award to familiarise students with a range of topics.

Learning Outcomes Statements that predict what learners should gain as a result of learning. They can be specific (eg detailing competencies) or general (eg a broad appreciation of a particular culture or working environment).

Level An indicator of the relative demand, complexity, depth of study and autonomy of learning. A typical first degree has three levels, Level 4 (Certificate level), Level 5 (Intermediate level), Level 6 (Honours level). Refer to section B1 the Framework for Academic Awards.

Module A credit rated unit of work, with specific learning outcomes, syllabus and assessment scheme (modules belong to subjects).

Module Descriptor A description of a module’s aims; synopsis of module content; teaching methods; learning outcomes; assessment requirements; concise indicative reading list; key skills delivered by this module; and validation details.

Module Instances A module instance is created for each academic session in which the module is offered as part of the University’s portfolio.

Module Leader Module leaders are normally based at the University and they have overall responsibility for the operation of the modules delivered both on-campus and in partner colleges.

Partner Institution Another institution which has been approved to offer a University validated programme, award or module. This includes those partnership arrangements deemed ‘validated’ whereby the University acts as the awarding body and quality auditor for an award designed, managed and offered by another institution (see ‘Validated’ below). A partnership between the University and another institution or organisation may also be for other objectives eg advanced standing, development of shared ownership awards, or research.

Partnership Liaison Officers

His/her task is to act as a link person between the University and partners, and to oversee the operation of partnerships.

Professional Bodies Organisations which approve or recognise specific programmes in the

Appendix A: 5

context of professional qualifications eg the Law Society.Programmes Programmes are collections of cognate awards which are grouped

together for management purposes only. Programme

SpecificationProgramme specifications provide a description of one or more awards leading to a University of Glamorgan qualification. This description, should include reference to the programme’s Educational Aims; Intended Learning Outcomes; Award Requirements and Delivery; Programme Structure; Support for Students and their Learning; Criteria for Admission; Methods for Evaluating and Improving the Quality and Standards of Teaching and Learning; Regulation for Assessment; Indicators of Quality and Standards and Validation Details.

Review The process whereby the progress of an existing award is critically appraised by the University, at least every seven years (normally five years), to ensure that it continues to be valid and meets its requirements in accordance with regulations and nationally recognised standards. A review can be at the level of an award, or grouped awards, or even a review of the whole of a faculty’s provision.

Shared Ownership Awards

The arrangement through which the University, together with another institution, prepares a joint submission for a University approved award, subject or module

Subject A collection of cognate modules located in and organised by one faculty. It is the locus for the academic development of the discipline(s) it contains.

Subject Leader All subjects have subject leaders nominated by and responsible to the HoF to lead the academic development of the subject within the University. Subject leaders are managers in addition to academic lecturers.

Subject External Examiner

Subject external examiners are appointed because of their subject expertise. There may be only one examiner per subject or a team of examiners depending on the size of the subject. Examiners are responsible for a number of specified modules within a subject.

Subject Assessment Board

Ratifies marks of student assessment, to decide candidates’ grades for modules and to ensure grades and recommendations are recorded accurately on University systems, to relay these grades to the appropriate award and progression assessment board, to record decisions and proceedings of the board including those cases of mitigating circumstances eligible to be considered by the board, to receive reports of disability and dyslexia including language matters relating to any candidate.

Validated A type of partnership arrangement whereby the University acts as the awarding body and quality auditor for an award designed, managed and offered by another institution.

NB These glossaries are intended for general reference purposes. Other useful glossaries, which cover specific topics, can be found within the sections of QAA’s Code of Practice. See http://www.qaa.ac.uk/academicinfrastructure/default.asp.

Appendix A: 6

Appendix B: Sources of Help and Advice

Appendix B: 1

Appendix B:Sources of help and advice

The colleagues named in this appendix are generally the secretaries and/or administrative support of the policy-making committees of the University. You are also encouraged to seek advice directly from other officers, or members, of the committees as they will have up-to-date knowledge of policies and procedures. Details of their terms of reference and membership are available in the University’s Calendar. A copy is downloadable from http://www.glam.ac.uk/academic.

For help and guidance on: Contact detailsAcademic Handbook updates

Stephanie Williams: Ext 2017, email swilli11@glam.ac.uk

Annual monitoring (taught awards)

Hayley Burns: Ext 2725, email hburns@glam.ac.uk

Appeals against assessment decisions

▪ taught awards Samantha Green, Ext 4225, email sjgreen@glam.ac.uk

▪ research awards Elaine Huntley: Ext 4484, email ehuntley@glam.ac.uk

Awards congregations Morwenna Holdsworth: Ext 2906, email awards@glam.ac.uk

Collaborative activity: ▪ policy matters ▪ contracts▪ University collaborative

strategy▪ Recognised Teacher Status

Siobhan Coakley: Ext 2448, email scoakley@glam.ac.uk Gareth Beach: Ext 2910, email gbeach@glam.ac.uk

Appendix B: 2

Committee servicing Formatting & submitting papers

Servicing committees Elections to committees

Stephanie Williams: Ext 2017, email swilli11@glam.ac.ukLucy FitzGerald: Ext 4493, e-mail lfitzger@glam.ac.uk

Complaints ▪ taught awards Samantha Green, Ext 4225, email sjgreen@glam.ac.uk▪ research awards Elaine Huntley: Ext 4484, email ehuntley@glam.ac.uk

Edexcel: ▪ management and contracts Amanda Phillips: Ext 4350, email aphilli1@glam.ac.uk▪ course registrations Amanda Phillips: Ext 4350, email aphilli1@glam.ac.uk

Ethical issues Elaine Huntley: Ext 4484, email ehuntley@glam.ac.uk

Examination procedures and timetables

Andrea Davies: Ext 4511, email adavies6@glam.ac.uk

External data returns ▪ ongoing credit Liam Bryson: Ext 3670, email ljbryson@glam.ac.uk ▪ overall student recruitment

performance against targetsLiam Bryson: Ext 3670, email ljbryson@glam.ac.uk

External examiners: ▪ appointments Samantha Green, Ext 4225, email sjgreen@glam.ac.uk

▪ payments Samantha Green, Ext 4225, email sjgreen@glam.ac.uk

External quality developments

Hayley Burns: Ext 2725, email hburns@glam.ac.uk

Good practice / How to do … guides

Denize McIntyre: Ext 2791, email dmcintyr@glam.ac.uk

Appendix B: 3

Invigilation duties/responsibilities

Hywel Nash: Ext 2016, email hnash@glam.ac.uk

Performance measurement and external data returns

Liam Bryson: Ext 3670, email ljbryson@glam.ac.uk

Professional bodies accreditation

Hayley Burns: Ext 2725, email hburns@glam.ac.uk

Professorial inaugural lectures

Jane Garrett: Ext 3345, email jgarrett@glam.ac.uk

Quality assurance procedures and policy (taught awards)

Hayley Burns: Ext 2725, email hburns@glam.ac.uk

Quercus Plus / HESA / Course Information / Modules & Programmes

Anthony Clements: Ext 2007, email aclemen1@glam.ac.uk

Regulations: ▪ higher academic awards Dr Louise Bright, Ext 2011, email lbright@glam.ac.uk▪ taught awards Samantha Green, Ext 4225, email sjgreen@glam.ac.uk▪ research awards Elaine Huntley: Ext 4484, email ehuntley@glam.ac.uk

Research: ▪ Research Assessment Exercise

Dr Sarah Oldfield, Ext 4484, email sfoldfie@glam.ac.uk

▪ degree administration (including QA procedures)

Elaine Huntley: Ext 4484, email ehuntley@glam.ac.uk

▪ Research Programmes Sub-Group (of QAC)

Elaine Huntley: Ext 4484, email ehuntley@glam.ac.uk

Appendix B: 4

Strategic planning issues: ▪ strategic planning conferences

Leanne Richards: Ext 3568, email lrichar1@glam.ac.uk

▪ monitoring the University’s performance against goals

Leanne Richards: Ext 3568, email lrichar1@glam.ac.uk

▪ faculty and departmental planning

Leanne Richards: Ext 3568, email lrichar1@glam.ac.uk

▪ University’s strategic plans Leanne Richards: Ext 3568, email lrichar1@glam.ac.uk

Student related issues: ▪ admissions Ioan Evans: Ext 2886, e-mail ievans@glam.ac.uk ▪ enrolment Gill Strangeway: Ext 2923, e-mail gmstrang@glam.ac.uk▪ appeals, disciplinary

procedures and assessment infringements

Samantha Green, Ext 4225, email sjgreen@glam.ac.uk

▪ funding enquiries Student Money Service: Ext 2080, e-mail stufin@glam.ac.uk

Student retention Denize McIntyre: Ext 2791, e-mail dmcintyr@glam.ac.uk

University Calendar Lucy FitzGerald: Ext 4493, e-mail lfitzger@glam.ac.uk

Appendix B: 5