Terms Flats

Standard Higher National Assessment Regulations, Version 5 (As at September 2015)
N.B. These assessment regulations will come into operation in the 2014/15
academic year
L
STANDARD ASSESSMENT REGULATIONS FOR PROGRAMMES OF STUDY
OFFERED BY THE UNIVERSITY BUT LEADING TO THE HIGHER NATIONAL
DIPLOMA AND THE HIGHER NATIONAL CERTIFICATE AWARDED BY
PEARSON
L1 Introduction
L 1.1 These Regulations govern all programmes of study offered by the University
that lead to the following awards:
Higher National Diploma

Higher National Certificate
They also apply to all Higher National Diploma and/or Higher National
Certificate programmes of study offered under franchise agreements made
between the University and its partner institutions and notified to Pearson.
L 1.2 The awards of Higher National Diploma and Higher National Certificate are
made by Pearson.
L 1.3 The regulations reflect the arrangements defined in the licence agreement
established between Pearson and the University and applicable from 2007/08.
Under the terms of the licence agreement Pearson has delegated to the
University’s Academic Board responsibility for the delivery and quality of all
programmes of study that lead to the awards of Higher National Diploma or
Higher National Certificate.
L 1.4 Should a conflict arise between these regulations and the policies and
procedures of Pearson, the latter shall take precedence. The applicable
Pearson regulations and policies are defined in the Licence Agreement
Information Handbook. This document is available from the University’s
Academic Registry. Where the conflict cannot be resolved by reference to the
handbook the matter should be referred to the Academic Services for
resolution1.
L 1.5 Normally the Higher National Diploma will be offered in full-time mode only and
the Higher National Certificate in part-time mode only. These regulations are
designed, however, to make no distinction for assessment purposes between
students on different modes of attendance and thus may be applied to
programmes of study leading to the award of Higher National Diploma but
delivered in part-time mode.
1
Where necessary the Academic Services will seek a ruling from Pearson.
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L 1.6 Where indicated students should refer to the Student Course Guide for further
details of the assessment requirements for their particular programme of
study.
L2 Registration Periods and Registration for Assessment
L 2.1 Pearson has established a maximum period of registration for its awards as
follows:
Higher National Diploma: 5 years

Higher National Certificate: 5 years
L 2.2 Where a student is admitted to a programme of study with credit the maximum
registration period for that student will be shortened. In such cases the
maximum registration period will be calculated by deducting the maximum time
permitted to reach the point at which the student is to be admitted from the
normal maximum registration period for the award.
L 2.3 In order to comply with the requirements of a professional or statutory body the
Student Course Guide may specify a shorter maximum registration period for a
particular programme of study.
L 2.4 Exceptionally, where a student’s maximum registration period for the award
has expired that period may be extended only with the agreement of the
appropriate Officer at Pearson2.
L 2.5 There is no minimum period of registration for the awards governed by these
Regulations.
L 2.6 The Student Course Guide will describe the normal pattern of delivery for a
particular programme of study. However, subject to the delivery of the
programme and in consultation with tutors, students may vary their rate of
study to suit their individual needs and circumstances.
L 2.7 Where a student has formally interrupted his or her studies, the period of
interruption of study will be included in the student’s registration period for the
purposes of calculating his or her maximum period of registration under these
regulations. Procedures on withdrawal and interruption of studies are available
from Academic Services (see also E2.17.3).
L3 Modules
L 3.1 Programmes of study leading to the awards of Higher National Diploma and
Higher National Certificate consists of a series of modules. A module is a
discrete block of study with its own objectives, syllabus, learning outcomes
and assessment requirements. The modules which form a programme of
study are described in the Student Course Guide.
2
Pearson will charge a re-registration fee in these circumstances.
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L 3.2 Where a programme of study leads to a standard Pearson title the core
content, the designation of optional modules and the learning outcomes must
match that set out in the relevant Pearson qualification guidelines.
L 3.3 To facilitate a variety of programme structures these regulations do not

prescribe a standard module size, however, programmes leading to the award
of Higher National Diploma shall have a minimum of 240 credits and
programmes leading to the award of Higher National Certificate a minimum of
120 credits.
L 3.4 Each module is assigned a credit value and level within an individual
programme. More information about the credit rating and level of modules is
given in L 4 and L 5 below.
L 3.5 A programme of study may contain half, double or triple modules etc and the
credit ratings assigned to those modules will vary proportionately. The number
of modules a student must complete for a particular programme is defined in
the relevant Student Course Guide. The credit rating assigned to each module
is also defined in the Student Course Guide.
L 3.6 Modules must be classified as core or optional within a particular programme.

Programmes leading to the award of Higher National Diploma or Higher
National Certificate must include a mandatory core. The core modules will be
defined in the Student Course Guide. Core modules are those modules
identified as essential to the qualification and therefore they cannot be
compensated. All core modules are compulsory.
L 3.7 Core modules are modules which must be successfully completed in order to
satisfy the requirements for the award of the Higher National Diploma or the
Higher National Certificate. Where appropriate a core module may also be
specified as a pre-requisite module in accordance with the requirements laid
down in L 3.9 below.
L 3.8 An optional module is one selected by a student from a set of modules

specified in the Student Course Guide. The number of optional modules a
student must successfully complete in order to qualify for an award is also
specified in the Student Course Guide. Where appropriate an optional module
may be specified as a pre-requisite module for another optional module
provided it satisfies the criteria set out in L 3.9 below.
L 3.9 A pre-requisite module is one that must have been successfully completed
before a module or modules for which it is specified as a pre-requisite can be
taken. A module is defined as a pre-requisite because it is essential for
students to complete it successfully as preparation for study of the subsequent
module; therefore a module may not be designated as a pre-requisite for a
later module to which its subject content is not linked directly. Where a
programme contains pre-requisite modules they are identified in the Student
Course Guide.
L 3.10 A co-requisite module is one that must be taken in conjunction with another
specified module during the same semester. Co-requisite modules are
identified in the Student Course Guide.
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L 3.11 The Student Course Guide may also specify excluded combinations of
modules. Excluded combinations are modules that may not be taken together
as part of the same programme of study.
L4 The Credit Framework
L 4.1 The Higher National Diploma and Higher National Certificate programmes
offered by the University are credit rated. Awards are obtained by
accumulating a specified number of these credits (see L 7.1 below).
L 4.2 Credits are awarded in accordance with the University’s framework for credit
accumulation and transfer which accords with the systems used by many
other British universities and can be easily translated to the systems used by
European universities.
L 4.3 Each module has a credit rating. These credit points indicate the amount of
credit associated with achievement of all the module’s learning outcomes.
Details of the credit rating of each module within a programme are given in the
Student Course Guide.
L 4.4 In order to be awarded the credits associated with a module a student must
successfully complete the assessment associated with that module, satisfying
the requirements for a pass mark set out at L8 below. Where failure in a
module has been compensated, the credits associated with the compensated
module will be added to the credits achieved by the student for the purposes of
calculating eligibility for an award (see L 7 below).
L 4.5 If a student has been granted academic credit through APL these credits count
towards the total number of credits required for the award. The regulations
governing the granting of academic credit are set out in Section D of Part 1 of
the Academic Regulations and Policies.
L 4.6 Higher National programmes may be recognised for entry with academic credit
to a programme of study leading to an award of the University. The amount of
academic credit granted to a particular Higher National programme will vary
according to the subject area and the match between the content of the two
programmes. Where students from one of the Higher National programmes
governed by these regulations are regularly admitted to one of the University’s
undergraduate degree programmes the admissions regulations for the degree
programme will specify the amount of credit granted.
L5 Levels
L 5.1 Modules are also assigned a level within each programme of study. The level
represents the position of the module in the curriculum in terms of the
sophistication of the knowledge, understanding and skills that a student is
required to demonstrate to achieve the learning outcomes.
L6 Module Assessment
L 6.1 Modules are assessed by the methods and criteria described in the syllabus
provided in the Student Course Guide.
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L 6.2 A schedule of assessment will be published to students at the start of each

module or combination of modules. The schedule will provide information
about the nature and timing of assessment for the module or combination of
modules.
L 6.3 The following limits have been placed upon the number of assessments
permitted per module:
 Modules with a credit rating of less than 15 shall include one item of
assessment only; and
 Modules with a credit rating of 15 or more may include up to two items of

assessment.
The assessment method(s) for each item of assessment will be defined in the
schedule of assessment. The method used to assess each item of
assessment will vary according to the nature of the module and may include,
for example, an examination (including open-book), presentation, coursework,
log-book, project, laboratory test or clinical test etc.
L 6.4 Academic Board may accept a recommendation from a panel established to

consider the approval or review and re-approval of a programme of study to
allow a module to include more assessments than would normally be possible
under L 6.3 above. Such a proposal may also be approved through a
Faculty’s minor change processes. In these cases, the nature and size of the
additional item(s) of assessment will be explained in the Student Course
Guide.
L 6.5 The use of additional grading schemes to supplement the information provided
to students about their assessed work is permitted. Where such a scheme is
operated it will be described in the relevant Student Course Guide.
L7 Eligibility for awards
L 7.1 Credit Requirements
L 7.1.1 In order to satisfy the requirements for an award, students must have been
awarded the credits shown in the table below. Where a student has been
admitted with academic credit to a Higher National programme the amount of
credit required for an award will be reduced by the number of credits with
which the student has been admitted. The regulations governing the
admission of students with academic credit are given in Section D of Part 1 of
the Academic Regulations and Policies.
Award Minimum credit needed to satisfy the

requirements of the award
Higher National Certificate A minimum of 120 credits
Higher National Diploma 240 credits of which at least 90 must be at

level 5
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L8 Marks
L 8.1 Marks for items of assessment
L 8.1.1 Marks assigned by examiners for each item of assessment are expressed as
a percentage and in whole numbers.
L 8.2 Pass mark for a module
L 8.2.1 The pass mark for a module with one item of assessment is 40%.
L 8.2.2 In modules which have more than one item of assessment a pass will be
awarded where the overall average of the marks achieved for the items of
assessment is 40% or more. In calculating the overall average mark for a
module the marks attributed to each item of assessment will be weighted
equally unless a different weighting has been specified in the Student
Course Guide.
L 8.2.3 Where the process of calculating the overall weighted average mark for a
module results in a mark which is not a whole number, that mark will be
expressed to one decimal place except where the overall weighted average
expressed to one decimal place is between 39.5% and 39.9%. In these
cases the overall average mark will be rounded up.
L 8.2.4 Where a different pass mark is required in order to meet requirements of a

professional body this will be specified in the Student Course Guide.
L9 Notification of Marks to Students
L 9.1 Marks will remain provisional until they have been confirmed by the relevant
Examination Board.
L 9.2 Students who have failed a module or modules will be notified of their results
by email.3 Faculties are required to make appropriate arrangements to advise
students who have failed about what has to be done to retrieve the failure, the
support that will be available and the date of the re-assessment(s). Where a
student has to re-study a module or modules this requirement will be
confirmed and advice given about any new modules that can be studied
concurrently.
L 9.3 A joint University/Pearson transcript which accords with the University’s

standard template for the transcript of learning and achievement will be issued
when an award is confirmed. Where a student has been admitted with credit
on the basis of successful completion of a module or modules taken as part of
another higher national programme, or on the basis of uncertificated learning
or certificated learning not forming part of a higher national programme, the
transcript will indicate that the student has been admitted with credit in respect
3
The University’s collaborative partners may use different methods to notify students of their results in
writing and will make appropriate arrangements to advise students who have failed about what has to
be done to retrieve the failure, the support that will be available and the date of the re-assessment(s).
September 2015 L 6
of that module. No grade will be attributed to the module or recorded on the

transcript.
L 9.4 A joint University/Pearson award certificate will be issued by the University

when an award has been conferred.
L 10 LATE COURSEWORK
L 10.1 It is the responsibility of students to submit work for assessment as required.
L 10.2 Information about the nature and timing of assessment will be published to
students in accordance with L 6.1 and L 6.2 above. The Student Course
Guide will also define those items of assessment which are classified as
coursework.
L 10.3 Where a student submits his or her first attempt at an assessment up to 2

hours after the published deadline, the mark awarded will be reduced by
10% (see also L 11.13 below). For example, a mark of 60% will be reduced
by 6% so that the mark achieved is 54%. Where the process of calculating a
mark results in a mark that is not a whole number that mark will expressed to
one decimal place.
The 10% reduction in the mark will not be applied in the following two cases:
 the mark is below the pass mark for the assessment. In this case the
mark achieved by the student will stand
 where a deduction of 10% will reduce the mark from a pass to a fail. In
this case the mark awarded will be 40%.
L 10.4 Where a student submits his or her first attempt at an assessment between 2
hours and 5 working days after the published deadline the maximum mark
available will be 40% (see also L 11.3 below). Work submitted more than 5
working days after the published deadline will not be marked and the
student will be deemed to have failed an attempt at the assessment.
L 10.5 Where a student submits a re-assessment attempt after the published

deadline the student will be deemed to have failed the re-assessment and
the coursework will be returned to the student unmarked.
L 10.6 A student who is unable to meet a coursework deadline because of

exceptional circumstances may request either an extension to the
coursework deadline or to defer the assessment (see L 11).
L 11 CLAIMS TO DEFER ASSESSMENT OR TO REQUEST A COURSEWORK

EXTENSION BECAUSE OF EXCEPTIONAL CIRCUMSTANCES
L 11.1 A student who is unable to attend an examination or other form of

assessment or to meet a coursework deadline because of exceptional
circumstances may make a request either to:
 defer the attempt at the assessment(s) to a later date; or
September 2015 L 7
 be granted an extension to complete coursework.
L 11.2 The regulations and procedures for requests to defer an assessment or to be

granted an extension are described in Part II of the Academic Regulations
and Policies. Guidance for students is also published in Part II which
describes the type of circumstances that may be seen as exceptional and
the nature of evidence that will be required to determine the validity of a
request to defer an assessment or be granted an extension.
L 11.3 If a student with disabilities has a Support Summary recommending

additional time to complete coursework, the student may be granted an
alternative deadline in accordance with the policy and procedures set out in
Part II. The granting of additional time to complete the coursework does not
affect the student’s right:
 to submit a request for a deferral of assessment or an extension on

the grounds of exceptional circumstances provided the student’s
request is based on exceptional circumstances which have not
already been taken into account in the Support Summary; or
 to submit his or her first attempt at an assessment up to 2 hours

after the alternative deadline or between 2 hours and 5 working
days after the alternative deadline. The mark will be reduced by
10% if the late coursework is submitted up to 2 hours after the
alternative deadline apart from in the following cases:
 the mark is below the pass mark for the assessment. In this
case the mark achieved by the student will stand
 where a deduction of 10% will reduce the mark from a pass

to a fail. In this case the mark awarded will be 40%.
 The maximum mark available will be 40% provided the late

coursework is submitted after 2 hours but no more than 5 working
days after the alternative deadline. Work submitted more than 5
working days after the alternative deadline will not be marked and
the student will be deemed to have failed an attempt at the
assessment.
L 12 Awards
L 12.1 In order to satisfy the requirements for the award of Higher National Diploma
a student must have been awarded a minimum of 240 credits, of which at
least 90 credits must be at Level 5.
L 12.2 In order to satisfy the requirements for the award of Higher National
Certificate a student must have been awarded a minimum of 120 credits.
L 13 Awards with Merit or Distinction
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L 13.1 The award of Higher National Certificate with Merit will be made to students
who satisfy the requirements for the award and achieve an overall average
mark of 60 – 69% in all of the credits required for the award.
L 13.2 The award of Higher National Diploma with Merit will be made to students
who satisfy the requirements for the award and achieve an overall average
mark of 60 – 69% in the level 5 credits required for the award. For Higher
National Diploma programmes which still consist of 240 Level H credits, the
award of Higher National Diploma with Merit will be made to students who
satisfy the requirements for the award and achieve an overall average mark
of 60 – 69% in the marks awarded for modules equivalent to 120 credits.
The modules to be included in the calculation are specified in the Student
Course Guide.
L 13.3 The award of Higher National Certificate with Distinction will be made to
students who satisfy the requirements for the award and achieve an overall
average mark of 70% or above in all of the credits required for award.
L 13.4 The award of Higher National Diploma with Distinction will be made to
average mark of 70% or above in the level 5 credits required for award. For
Higher National Diploma programmes which still consist of 240 Level H
credits, the award of Higher National Diploma with Distinction will be made to
average mark of 70% or above in the marks awarded for modules equivalent
to 120 credits. The modules to be included in the calculation are specified in
the Student Course Guide.
L 13.6 Where module marks are averaged for the purposes of determining eligibility
for an award with Commendation or Distinction, marks to one decimal place
will be totalled for the calculation but the overall average mark will be
expressed as a whole number. In order to express the overall average mark
as a whole number fractions of .5 and above will be rounded up, anything
below .5 will be rounded down.
L 13.7 Where a student has been admitted with academic credit, eligibility for an
award with Commendation or Distinction will be based solely upon the marks
achieved in the modules the student was required to complete on the
programme in order to qualify for the award.
L 14 Progression
L 14.1 There are no progression stages defined within the Higher National Diploma
or Higher National Certificate but a module may be designated a pre-
requisite for another module. In such cases the student will not be permitted
to take the later module until credit has already been achieved for any
necessary pre-requisite modules.
L14.2 In order to progress from year 1 to year 2 a student must have successfully
completed:
modules worth 90 credits or more on a programme of study leading to

the award of a Higher National Diploma; or
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30 credits or more on a programme of study leading to an award of a

Higher National Certificate consisting of 120 credits; or
45 credits or more on a programme of study leading to an award of a

Higher National Certificate consisting of 150 credits.
L 14.3 A student who has failed modules worth more than 30 credits in year 1 will
not be permitted to progress to year 2 until the requirements laid down in
L14.2 above have been met.
L 14.4 Where a student’s assessment and/or re-assessment for a module or

modules has been deferred because a claim of exceptional circumstances
was upheld, the student will be permitted to study modules from year 2
provided s/he has not also failed modules worth more than 30 credits (see
L14.3). The student will be required to register for assessment or for referral
in the module or modules that were the subject of the claim before
registering to commence study of modules from year 2.
L 15 Compensation
L 15.1 Compensation is the process by which an Examination Board, in

consideration of a student’s overall performance, recommends that credit be
awarded for a module in which a student has failed to satisfy the assessment
criteria. Compensation is only applied when the conditions below have been
met.
L 15.2 The compensation regulations will be invoked by the Examination Board

when the student’s results are considered for an award.
L 15.3 Failure in a core module cannot be compensated. Neither can failure to

achieve a pass grade in the assessment for a common skill be
compensated.
L 15.4 Failure in optional modules equivalent to a maximum of 30 credits will be

compensated subject to the restrictions detailed below.
L 15.5 Compensation will not be permitted where a student has failed modules
worth more than 30 credits.
L 15.6 To be eligible for compensation the student must have achieved:
 an overall average mark of 45% or above in all the modules that

contribute to the award; and
 an overall weighted average mark of 29.5% or above in the module for

which compensation is being considered.
L 15.7 Where a student has elected to substitute an alternative optional module for
an optional module that has been failed, the actual mark achieved in the
assessment of the alternative module will be used to calculate the student’s
entitlement to compensation.
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L 15.8 Compensation will be applied to an optional module in which the student has
been re-assessed if the mark awarded after re-assessment is sufficient to
meet the requirements laid down in L 15.6 above.
L15.9 Where failure in a module has been compensated the credits associated
with the compensated module will be added to the credits achieved by the
student for the purposes of calculating eligibility for an award.
L15.10 A student may decline to have failure in a module or modules compensated

and may elect to be re-assessed instead with a view to improving the mark
or marks awarded to 40% for the purposes of determining the module grade.
A student electing to be re-assessed must notify the Faculty in writing within
three weeks of publication of the results.4 Where a student fails again after
such re-assessment, the marks achieved in the re-assessment will be used
to calculate the student’s eligibility for compensation unless the mark(s)
achieved after re-assessment is (are) lower than that previously achieved in
which case the higher mark will be used.
L15.13 Where failure in a module has been compensated the transcript will make
this clear.
L 16 Provisions in the Event of Failure
Flowcharts summarising the re-assessment process can be found in Annex

1 below.
L 16.1 A student on a programme of study governed by these regulations will be

permitted to be re-assessed in a failed module or modules on one occasion
provided the re-assessment can be completed within the permitted
registration period for the award.
L 16.2 Where re-assessment is permitted under L 16.1 above, the re-assessment

must be undertaken on the next occasion the module is assessed. If a
student who has been offered the opportunity to be re-assessed fails to
attend or to submit work for re-assessment at the next opportunity he or she
will be deemed to have failed the re-assessment unless a request for the
consideration of exceptional circumstances is granted (see L 11 above).
L 16.3 A student will not be permitted to repeat the assessment for an item of
assessment, module or modules he or she has already completed
successfully in order to improve the mark.
L 16.4 Where a failed module is designated an optional module within a student’s

programme the student may elect to substitute an alternative optional
module, provided one is available, in order to achieve the requisite credits for
the stage or award. The actual mark achieved for the assessment of the new
module will be used for the purposes of calculating the differentiation or
classification of an award. Failed substitute modules cannot subsequently be
substituted (see Flowchart 2 at Annex 1 below). A student who elects to
substitute an alternative optional module may be registered for assessment
in modules equivalent to a maximum of 150 credits in any one year. The
student will be required to register for assessment in the substituted optional
4
The arrangements for providing notification will be published to students affected by this regulation.
September 2015 L11

module or modules before being permitted to register for new modules.

Thus, where a student studies a substituted optional module concurrently
with new modules and there is a timetable clash between the substituted
optional module and a new module the student will be registered for the
substituted optional module.
L 16.5 A student cannot demand re-assessment in a module which is no longer

current in the programme. The Examination Board will make such special
arrangements as it deems appropriate in cases where it is not practicable for
students to be re-assessed in the same module and by the same methods as
before. In these circumstances the maximum mark which can be awarded
after re-assessment in the replacement module is 40% irrespective of the
academic merits of the re-assessed work. This mark will be used for the
purposes of determining the differentiation or classification of an award.
L 16.6 The maximum mark which can be awarded for a module after re-assessment
is 40% irrespective of the academic merits of the re-assessed work. This
mark will be used for the purposes of determining the differentiation or
classification of an award.
L 16.7 Where a module includes more than one item of assessment the mark
achieved after re-assessment of each failed item of assessment will be used
to calculate the overall weighted average mark for the module. The mark
achieved in a re-assessed item of assessment need not be 40% but must be
sufficient to raise the overall weighted average mark for the module to 40%.
Where a student has failed more than one item of assessment in a module
he or she will be registered automatically for re-assessment in the failed
items of assessment. If the mark achieved after re-assessment in an item of
assessment is lower than that achieved at the first attempt, the higher mark
achieved will be used to calculate the overall weighted average mark for the
module.
L 16.8 A student who fails a re-assessment will be withdrawn from the programme
unless the student elects to substitute an alternative optional module at that
point (see L 16.4 above).
L 16.9 A student who fails to satisfy the assessment requirements for his or her
programme within the maximum permitted registration period for the award
will also be withdrawn from the programme. If the student has already
satisfied the requirements for an interim award he or she will be given the
opportunity to accept that award.
L 17 Withdrawal from the programme
L 17.1 Withdrawal at a student’s request
L 17.1 Where a student withdraws before completing his or her programme, the
student will be entitled to receive an interim award provided that the
requirements for that award have already been met. Where an interim
award is available this will be specified in the Student Course Handbook.
L17.2 Withdrawal after exhausting the right to re-assessment
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L 17.2.1 A student who fails again after exhausting the right to re-assessment
afforded under L 16 above will be given the opportunity either:
 to accept the conferment of an interim award for which he or she has

satisfied the requirements, in which case the student will be
withdrawn from the programme; or
 to transfer his or her registration to an appropriate alternative

programme for which he or she can still satisfy the requirements,
where such a programme is available.
L 17.2.2 A student who fails to satisfy the assessment requirements for his or her
programme within the maximum permitted registration period for the award
will be withdrawn from the programme (see L 3 above).
L 18 Cheating
The procedures to be followed in cases of alleged cheating are governed by

the Student Disciplinary Procedure given in Part II of the University’s
Academic Regulations and Policies.
L 19 Claims of Error in the Conduct of Assessment Processes
The procedures to be followed by a student who wishes to make a claim that

there has been a material irregularity in the conduct of the assessment or the
examination board are described in Part II of the University’s Academic
Regulations and Policies.
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Annex 1 to Section L
MODULE
ASSESSMENT
(1st attempt)
FAIL
Pass?
PASS
Module failed.
Full mark obtained. Student referred for re-sit.
Module passed and (2nd attempt)
credit awarded.
FAIL Module failed.

Pass? Withdraw or transfer to
another programme.
PASS
Mark Capped at
40%. Module
passed and credit
awarded.
Flowchart 1: Quick Reference Flow Chart- For Re-Sit of

Failed Core Modules
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Flowchart 2: Quick Reference Flow Chart for Re-
OPTIONAL
MODULE Sit of Failed Optional Modules
ASSESSMENT.
st
(1 Attempt)
FAIL SUBSTITUTE Commence study on new

Module failed.
Pass? Re-sit or substitute substituted module. (1st
with alternative attempt not capped) Student re-
optional module? starts as if for the first time*
PASS
RE-SIT SUBSTITUTE
Full mark
obtained. Module Re-sit module
passed and credit (2nd attempt).
awarded.
DECLINE
OPPORTUNITY
Module failed. TO
SUBSTITUTE
FAIL Substitute one or more
failed optional modules Withdraw or transfer to
Pass? with alternative optional another programme.
modules
or
decline opportunity to
PASS
substitute
Mark capped at pass

mark. Module passed and
credit awarded.
* Students may elect to substitute optional modules where alternative optional modules are available. See relevant Student Course Guide for details of optional module
availability. Students may elect to subsititue optional modules on ONE occasion only (i.e. a failed substitute module cannot subsequently be substituted).
July 2014 L 15
Student Undergraduate Academic Regulations - 15 Credit Modules
1 Introduction
1.1 These regulations apply to students from the time they accept the offer of a place until their
registration ends.
1.2 They apply to all undergraduate programmes consisting of 15 credit modules, except those
where exceptions have been approved. These are listed in Appendix 1 [to follow].
1.3 Students must also comply with other University policies and procedures including those in:
• Student Programme Handbooks
• Module Guides
• Student Engagement Policy (Undergraduate Students)
• Instructions to Candidates Sitting Written Examinations of the University
• Student Disciplinary Procedure
• Academic Queries and Appeals Procedure
• Extenuating Circumstances Procedure
• Student Withdrawal and Interruption of Studies Policy
• Intellectual Property Policy
• Concerns and Complaints Procedure
1.4 These Regulations take precedence over other documents unless variations have been
approved by Academic Board.
1.5 They are maintained by Academic Services and approved by Academic Board. This version
1.0 was approved on 29 June 2016. It applies from September 2016.
2 Registration and Enrolment

2.1 Students must register at the start of their programme and enroll for each level by the
published deadlines unless an interruption of study has been approved.
2.2 Full-time students normally enroll for 120 credits at each level. They must enroll for a
minimum of 90 credits and maximum of 150 in a normal academic year.
2.3 Changes between full-time and part-time study require the approval of the Director of
Academic Services.
2.4 The University has the right to terminate the registration of students who provide false or
incomplete information.
3 Maximum Registration Periods

3.1 There are no minimum registration periods, but each award has a maximum registration
period, which includes any interruption of studies:
Award Maximum
Registration
Advanced Diploma in Professional Studies 2 years
Bachelor’s Degree 7 years
Bachelor’s Degree with Honours, 360 credits 7 years
Certificate in Professional Studies 2 years
Certificate of Higher Education 3 years
Diploma in Professional Studies 2 years
Diploma of Higher Education 5 years
Foundation Certificate 3 years
Foundation Degree 5 years
Graduate Certificate 2 years
Page 1 of 7 Part I - Section J5 - Undergraduate Academic Regulations (15 credits).docx

Graduate Diploma 3 years
3.2 For students admitted with Recognised Prior Learning, the maximum registration period is
reduced in proportion to the credit awarded and rounded to the nearest whole year.
3.3 For Top-up Degrees, the maximum registration period is three years.
3.4 Extensions of registration periods require the approval of the Director of Academic Services
in consultation with academic staff. When previous study is no longer current, students may
be required to take current versions of the nearest equivalent modules.
4 Engagement
4.1 Students are expected to participate fully in their programme of study, engage actively with
learning opportunities, take responsibility for their learning and study independently.
4.2 Some modules have specific attendance requirements, which are described in Student
Programme Handbooks.
4.3 The University monitors attendance and engagement. If there is cause for concern, students
will be offered support. Persistent failure to engage fully may result in termination of
registration. It may also lead to student loans or other funding being reclaimed and, in the
case of Tier 4 students, action being taken by UKVI. The University may pursue fee debts
for periods during which students were registered but not engaging.
4.4 See the Student Engagement Policy (Undergraduate Students) for more details.
5 Modules and Assessment

5.1 Programmes of study consist of modules. Each module has a credit rating and a level. A
level consists of 120 credits.
5.2 Modules are assessed independently of each other. A mark, or in some cases a pass/fail, is
given for each module and credit is awarded to students who pass. The pass mark for
assessments where marks are awarded is 40%.
5.3 Methods of assessment and permitted combinations of modules are described in Student
Programme Handbooks and Module Guides, which may also specify some modules as
compulsory or as pre-requisites for others.
5.4 Marks are expressed as whole-number percentages. Where marks are combined or
adjusted and the result is not a whole number, it is rounded. For example: 69.5% becomes
70%; 69.4% becomes 69%.
5.5 The pass mark for modules is a weighted average of 40% across all assessments in the
module. Module Guides specify the weighting of each assessment. They also identify any
assessments that must be passed.
5.6 Marks are provisional until they have been confirmed by Examination Boards.
5.7 Credit can also be awarded for study at overseas institutions and Recognised Prior
Learning, but marks are not awarded.
6 Academic Misconduct
6.1 Students who commit assessment offences, such as plagiarism, collusion or breach of
Instructions to Candidates Sitting Written Examinations of the University are subject to the
Student Disciplinary Procedure. This may result in failure of an assessment or module, or
termination of registration.
7 Appeals
7.1 Students who believe there has been an error in the way they have been assessed may
have the right to appeal. See the Academic Queries and Appeals Procedure.

8 Late Coursework
8.1 Students are responsible for submitting coursework on time and in the way specified in
Module Guides.
8.2 Students with disabilities may be given alternative deadlines if their Disability Support
Summaries recommend additional time for coursework.
8.3 Marks for assessments submitted up to 2 hours after the deadline will be reduced by one
tenth. For example, a mark of 60% would be reduced to 54%. This reduction is not made if
the original mark is below 40%. If the reduction creates a mark below 40%, then 40% will be
awarded.
8.4 Marks for submissions between two hours and 5 working days after the deadline will be
capped at 40%.
8.5 Assessments submitted more than 5 working days after the published deadline will be
given a mark of zero.
8.6 Reassessments submitted after the deadline will be given a mark of zero.
9 Deferral and Extension

9.1 If exceptional circumstances prevent students from attending an assessment or meeting a
coursework deadline, they may request an extension of the deadline or a deferral to the next
occasion the assessment takes place. See the Extenuating Circumstances Procedure.
10 Failed Modules
Reassessment
10.1 Students who fail modules are permitted a second attempt at each failed assessment,
provided this can be completed within their maximum registration period.
10.2 Students may not be reassessed on modules they have passed.
10.3 Reassessments must be attempted on the next occasion the assessment takes place unless
an interruption of study has been granted.
10.4 Marks for modules that include reassessments are capped at 40%.
10.5 When reassessment results in a lower mark, the original mark is used.
10.6 Students who do not attend a reassessment event or miss a coursework deadline will fail the
assessment unless a deferral or extension is granted.
10.7 If reassessment using the same methods as the initial assessment is not practicable, the
Examination Board will make special arrangements for re-assessment.
Substitute Optional Modules
10.8 Students who fail an optional module may apply to study an alternative optional module
within their programme. Approval will take account of timetabling and programme structure.
A fee may be charged for substitute modules.
10.9 Substitute optional modules are treated as first attempts. Marks are not capped at 40% and
normal reassessment regulations apply, with the exception that a substitute module cannot
subsequently be substituted.
Failure to Complete a Sandwich Placement
10.10 Where a student, for good reason, has failed to complete the full 36 weeks of a placement,
but has completed at least 30 weeks and met the objectives of the placement, the
Examination Board may recommend that the sandwich endorsement be recorded on the
award certificate.
10.11 In other cases where placements have not been completed, Examination Boards may
recommend that awards be conferred without the sandwich endorsement, providing the
other requirements have been met.

11 Progression
11.1 Progression is the process of moving from one level to the next. To progress from Level 3 to
Level 4, students need 120 credits at Level 3. To progress beyond Level 4 a minimum of 90
credits must be passed at each level.
12 Interruption of Studies
12.1 Students may apply for permission to interrupt their studies for between 20 working days
and one academic year. This requires the approval of the Director of Academic Services.
See the Student Withdrawal and Interruption of Studies Policy for more details.
12.2 Students who interrupt withdraw from all current modules and may not attend classes or
submit work for assessment.
12.3 Existing assessment marks (including failures) are carried forward when the modules are
resumed.
12.4 Students who fail to resume their studies at the time agreed with the University will have
their registration terminated.
13 Programme Transfers
13.1 Students may apply to transfer between programmes. This requires the approval of the
Programme Directors of both the old and new programmes, who will take account of the
availability of places, admissions criteria, ability to transfer credit, maximum registration
periods and timing.
14 Withdrawal and Termination

14.1 Students have the right to withdraw at any time. Those considering this should seek advice
as soon as possible from the appropriate academic staff and student support services. See
the Student Withdrawal and Interruption of Studies policy for more details.
14.2 The University may terminate a student’s registration due to assessment failure, failure to
engage, exclusion, failure to complete re-enrolment, breach of visa conditions or breach of
regulations.
14.3 After withdrawal or termination:
 students are not permitted to attend teaching sessions or take assessments;
 Library and network access are withdrawn;
 eligibility for University accommodation ceases;
 there may be a tuition fee liability.
14.4 Assessments submitted before termination or withdrawal will be considered by Examination
Boards in the normal way and may contribute to the granting of an Exit Award.
15 Credit Requirements for Awards

15.1 To qualify for awards, students need the following credits:
Award Minimum Credit Needed
Advanced Diploma in Professional Studies 60 credits at Level 6
Bachelor’s Degree with Honours, 360 credits 360 credits, at least 120 at Level 6, not more
than 120 at Level 4.
Bachelor’s Degree 300 credits, at least 60 at Level 6, not more
than 120 at Level 4
Certificate in Professional Studies 60 credits at Level 4
Certificate of Higher Education 120 credits at Level 4 or above

Diploma in Professional Studies 60 credits at Level 5
Diploma of Higher Education 240 credits, at least 120 at Level 5 or above
Foundation Certificate 120 credits at Level 3
Foundation Degree 240 credits, at least 120 at Level 5
Graduate Certificate 60 credits at Level 6
Graduate Diploma 120 credits at Level 6
16 Classification of Honours Degrees

16.1 Honours Degrees requiring 360 credits are awarded with classifications based on marks at
Levels 5 and 6, which are used to calculate a Classification Mark. The Classification Mark is
the average of the highest scoring 30 credits at Level 5 and highest scoring 90 credits at
Level 6. The average is weighted according to module credit values and rounded in the
same way as assessment marks.
Classification Mark Honours Classification

70% or above First Class
60 – 69 % Second Class Honours Division I
50 – 59% Second Class Honours Division II
40 – 49% Third Class
16.2 The classification schemes for honours degrees requiring 480 credits can be found in
Student Programme Handbooks
16.3 Where students have Recognised Prior Learning or Study Abroad that results in them
having marks for fewer than the specified credits at Levels 5 and 6, classification will be
based on the available marks.
17 Commendation and Distinction

17.1 Achievement is recognised with a Commendation for average marks between 60% - 69%
and with a Distinction for average marks of 70% or above for the following awards:
 Bachelor’s Degree (based on only the best 180 credits at Levels 5 and 6)
 Certificate of Higher Education
 Diploma of Higher Education
 Foundation Certificate
 Foundation Degree
 Graduate Diploma
17.2 Where students have more than the required number of credits, their best marks will be
used up to the number of credits required for the award.
18 Joint Degrees
18.1 Joint Degrees have titles with equal weight to given to two subjects, for example BA (Hons)
English and Drama. To qualify for a Joint Degree, students need 60 credits in each subject
at both Level 5 and Level 6.
19 Degrees with a Major or Minor

19.1 Major and minor awards have titles such as BSc (Hons) Psychology with Criminology. The
first subject is the major and the second the minor. The following credits are needed:

Award Credit Needed for Major Credit Needed for Minor
Diploma of Higher Education 75 credits at either Level 5 or 30 credits at either Level 5 or
Level 6 Level 6
Bachelor’s Degree 105 credits at either Level 5 or 60 credits at either Level 5 or
Level 6 Level 6
Bachelor’s Degree with 135 credits at either Level 5 or 75 credits at either Level 5 or
Honours Level 6 Level 6
20 Compensation
20.1 Compensation is the award of credit for failed modules with marks of 30% or more.
Compensation decisions are made at the end of each level and are based on each student’s
overall performance.
20.2 Compensation is not permitted for awards of fewer than 120 credits.
20.3 Some programmes do not allow compensation for all modules. Details are given in Student
20.4 Compensation gives credits that count towards an award, but does not change the marks
awarded for failed modules; the original mark is used for classification and other purposes,
therefore compensated modules cannot be used as pre-requisites for other modules.
20.5 To be eligible for compensation at Level 4 or 5 a student must have an average mark of at
least 45% across all modules in that level.
20.6 To be eligible for compensation at Level 6 a student must have an average mark of at least
45% across all modules at both Level 5 and Level 6.
20.7 At Levels 5 and 6, students may choose to be re-assessed rather than compensated.
21 Compensation Limits
21.1 Each award has limits on the credit for which compensation can be granted:
Award Maximum Credits to be Compensated

Bachelor’s Degree 30 at Level 4
15 across both Level 5 and Level 6
Bachelor’s Degree with Honours (360 Credits) 30 at Level 4
15 at Level 5
15 of the first 115 taken at Level 6
15 of the second 115 taken at Level 6
Certificate of Higher Education 30 at Level 4
Diploma of Higher Education 30 at Level 4
15 at Level 5
Foundation Certificate 30 at Level 3
Foundation Degree 30 at Level 4
15 at Level 5
Graduate Diploma 15 at Level 6
Top-up Degree 15 at Level 6

22 Aegrotat Awards
22.1 Students who have exceptional personal circumstances that prevent them from completing a
programme may be granted an Aegrotat Award by the Examination Board after withdrawing.
23 Posthumous Awards
23.1 Examination Boards may recommend a posthumous award, to be accepted on the student's
behalf by an appropriate individual. Posthumous awards should reflect the final award for
which the student was registered and the level of progress they have made towards it.
24 Certificates and Transcripts

24.1 Certificates and Transcripts are issued to all students who receive awards.
24.2 Transcripts are also issued on request to students who have completed part of a programme
of study.
25 Rescinding Awards
25.1 In exceptional circumstances Academic Board may rescind an award, for example as a
result of academic misconduct confirmed after the award was made.
26 Concerns and Complaints

26.1 The University is committed to valuing and learning from concerns and complaints. See the
Concerns and Complaints Procedure for more details.
27 Intellectual Property
27.1 In most cases students own the intellectual property they create during their studies and
they give the University licence to use it. Further information is in the Intellectual Property
Policy.

Student Undergraduate Academic Regulations - 20 Credit Modules
1 Introduction
1.1 These regulations apply to students from the time they accept the offer of a place until their
registration ends.
1.2 They apply to all undergraduate programmes consisting of 20 credit modules, except those
where exceptions have been approved.
1.3 Students must also comply with other University policies and procedures including those in:
• Student Programme Handbooks
• Module Guides
• Student Engagement Policy (Undergraduate Students)
• Instructions to Candidates Sitting Written Examinations of the University
• Student Disciplinary Procedure
• Academic Queries and Appeals Procedure
• Extenuating Circumstances Procedure
• Student Withdrawal and Interruption of Studies Policy
• Intellectual Property Policy
• Concerns and Complaints Procedure
1.4 These Regulations take precedence over other documents unless variations have been
approved by Academic Board.
1.5 They are maintained by Academic Services and approved by Academic Board. This version
1.0 was approved on 29 June 2016. It applies from September 2016.
2 Registration and Enrolment

2.1 Students must register at the start of their programme and enroll for each level by the
published deadlines unless an interruption of study has been approved.
2.2 Full-time students normally enroll for 120 credits at each level. They must enroll for a
minimum of 100 credits and maximum of 140 in a normal academic year.
2.3 Changes between full-time and part-time study require the approval of the Director of
Academic Services.
2.4 The University has the right to terminate the registration of students who provide false or
incomplete information.
3 Maximum Registration Periods

3.1 There are no minimum registration periods, but each award has a maximum registration
period, which includes any interruption of studies:
Award Maximum
Registration
Advanced Diploma in Professional Studies 2 years
Certificate in Professional Studies 2 years
Certificate of Higher Education 3 years
Diploma in Professional Studies 2 years
Diploma of Higher Education 5 years
Foundation Certificate 3 years
Foundation Degree 5 years

Graduate Certificate 2 years
Graduate Diploma 3 years
3.2 For students admitted with Recognised Prior Learning, the maximum registration period is
reduced in proportion to the credit awarded and rounded to the nearest whole year.
3.3 For Top-up Degrees, the maximum registration period is three years.
3.4 Extensions of registration periods require the approval of the Director of Academic Services
in consultation with academic staff. When previous study is no longer current, students may
be required to take current versions of the nearest equivalent modules.
4 Engagement
4.1 Students are expected to participate fully in their programme of study, engage actively with
learning opportunities, take responsibility for their learning and study independently.
4.2 Some modules have specific attendance requirements, which are described in Student
4.3 The University monitors attendance and engagement. If there is cause for concern, students
will be offered support. Persistent failure to engage fully may result in termination of
registration. It may also lead to student loans or other funding being reclaimed and, in the
case of Tier 4 students, action being taken by UKVI. The University may pursue fee debts
for periods during which students were registered but not engaging.
4.4 See the Student Engagement Policy (Undergraduate Students) for more details.
5 Modules and Assessment

5.1 Programmes of study consist of modules. Each module has a credit rating and a level. A
level consists of 120 credits.
5.2 Modules are assessed independently of each other. A mark, or in some cases a pass/fail, is
given for each module and credit is awarded to students who pass. The pass mark for
assessments where marks are awarded is 40%.
5.3 Methods of assessment and permitted combinations of modules are described in Student
Programme Handbooks and Module Guides, which may also specify some modules as
compulsory or as pre-requisites for others.
5.4 Marks are expressed as whole-number percentages. Where marks are combined or
adjusted and the result is not a whole number, it is rounded. For example: 69.5% becomes
70%; 69.4% becomes 69%.
5.5 The pass mark for modules is a weighted average of 40% across all assessments in the
module. Module Guides specify the weighting of each assessment. They also identify any
assessments that must be passed.
5.6 Marks are provisional until they have been confirmed by Examination Boards.
5.7 Credit can also be awarded for study at overseas institutions and Recognised Prior
Learning, but marks are not awarded.
6 Academic Misconduct
6.1 Students who commit assessment offences, such as plagiarism, collusion or breach of
Instructions to Candidates Sitting Written Examinations of the University are subject to the
Student Disciplinary Procedure. This may result in failure of an assessment or module, or
termination of registration.

7 Appeals
7.1 Students who believe there has been an error in the way they have been assessed may
have the right to appeal. See the Academic Queries and Appeals Procedure.
8 Late Coursework
8.1 Students are responsible for submitting coursework on time and in the way specified in
Module Guides.
8.2 Students with disabilities may be given alternative deadlines if their Disability Support
Summaries recommend additional time for coursework.
8.3 Marks for assessments submitted up to 2 hours after the deadline will be reduced by one
tenth. For example, a mark of 60% would be reduced to 54%. This reduction is not made if
the original mark is below 40%. If the reduction creates a mark below 40%, then 40% will be
awarded.
8.4 Marks for submissions between two hours and 5 working days after the deadline will be
capped at 40%.
8.5 Assessments submitted more than 5 working days after the published deadline will be
given a mark of zero.
8.6 Reassessments submitted after the deadline will be given a mark of zero.
9 Deferral and Extension

9.1 If exceptional circumstances prevent students from attending an assessment or meeting a
coursework deadline, they may request an extension of the deadline or a deferral to the next
occasion the assessment takes place. See the Extenuating Circumstances Procedure.
10 Failed Modules
Reassessment
10.1 Students who fail modules are permitted a second attempt at each failed assessment,
provided this can be completed within their maximum registration period.
10.2 Students may not be reassessed on modules they have passed.
10.3 Reassessments must be attempted on the next occasion the assessment takes place unless
an interruption of study has been granted.
10.4 Marks for modules that include reassessments are capped at 40%.
10.5 When reassessment results in a lower mark, the original mark is used.
10.6 Students who do not attend a reassessment event or miss a coursework deadline will fail the
assessment unless a deferral or extension is granted.
10.7 If reassessment using the same methods as the initial assessment is not practicable, the
Examination Board will make special arrangements for re-assessment.
Substitute Optional Modules
10.8 Students who fail an optional module may apply to study an alternative optional module
within their programme. Approval will take account of timetabling and programme structure.
A fee may be charged for substitute modules.
10.9 Substitute optional modules are treated as first attempts. Marks are not capped at 40% and
normal reassessment regulations apply, with the exception that a substitute module cannot
subsequently be substituted.
Failure to Complete a Sandwich Placement
10.10 Where a student, for good reason, has failed to complete the full 36 weeks of a placement,
but has completed at least 30 weeks and met the objectives of the placement, the

Examination Board may recommend that the sandwich endorsement be recorded on the
award certificate.
10.11 In other cases where placements have not been completed, Examination Boards may
recommend that awards be conferred without the sandwich endorsement, providing the
other requirements have been met.
11 Progression
11.1 Progression is the process of moving from one level to the next. To progress from Level 3 to
Level 4, students need 120 credits at Level 3. To progress beyond Level 4 a minimum of
100 credits must be passed at each level.
12 Interruption of Studies
12.1 Students may apply for permission to interrupt their studies for between 20 working days
and one academic year. This requires the approval of the Director of Academic Services.
See the Student Withdrawal and Interruption of Studies Policy for more details.
12.2 Students who interrupt withdraw from all current modules and may not attend classes or
submit work for assessment.
12.3 Existing assessment marks (including failures) are carried forward when the modules are
resumed.
12.4 Students who fail to resume their studies at the time agreed with the University will have
their registration terminated.
13 Programme Transfers
13.1 Students may apply to transfer between programmes. This requires the approval of the
Programme Directors of both the old and new programmes, who will take account of the
availability of places, admissions criteria, ability to transfer credit, maximum registration
periods and timing.
14 Withdrawal and Termination

14.1 Students have the right to withdraw at any time. Those considering this should seek advice
as soon as possible from the appropriate academic staff and student support services. See
the Student Withdrawal and Interruption of Studies policy for more details.
14.2 The University may terminate a student’s registration due to assessment failure, failure to
engage, exclusion, failure to complete re-enrolment, breach of visa conditions or breach of
regulations.
14.3 After withdrawal or termination:
 students are not permitted to attend teaching sessions or take assessments;
 Library and network access are withdrawn;
 eligibility for University accommodation ceases;
 there may be a tuition fee liability.
14.4 Assessments submitted before termination or withdrawal will be considered by Examination
Boards in the normal way and may contribute to the granting of an Exit Award.
15 Credit Requirements for Awards

15.1 To qualify for awards, students need the following credits:
Advanced Diploma in Professional Studies 60 credits at Level 6

Bachelor’s Degree 300 credits, at least 60 at Level 6, not more
than 120 at Level 4
Certificate in Professional Studies 60 credits at Level 4
Certificate of Higher Education 120 credits at Level 4 or above
Diploma in Professional Studies 60 credits at Level 5
Diploma of Higher Education 240 credits, at least 120 at Level 5 or above
Foundation Certificate 120 credits at Level 3
Foundation Degree 240 credits, at least 120 at Level 5
Graduate Certificate 60 credits at Level 6
Graduate Diploma 120 credits at Level 6
16 Classification of Honours Degrees

16.1 Honours Degrees requiring 360 credits are awarded with classifications based on marks at
Levels 5 and 6, which are used to calculate a Classification Mark. The Classification Mark is
the average of the highest scoring 40 credits at Level 5 and highest scoring 80 credits at
Level 6. The average is weighted according to module credit values and rounded in the
same way as assessment marks.
Classification Mark Honours Classification

70% or above First Class
60 – 69 % Second Class Honours Division I
50 – 59% Second Class Honours Division II
40 – 49% Third Class
16.2 The classification schemes for honours degrees requiring 480 credits can be found in
Student Programme Handbooks
16.3 Where students have Recognised Prior Learning or Study Abroad that results in them
having marks for fewer than the specified credits at Levels 5 and 6, classification will be
based on the available marks.
17 Commendation and Distinction

17.1 Achievement is recognised with a Commendation for average marks between 60% - 69%
and with a Distinction for average marks of 70% or above for the following awards:
 Bachelor’s Degree (based on only the best 180 credits at Levels 5 and 6)
 Certificate of Higher Education
 Diploma of Higher Education
 Foundation Certificate
 Foundation Degree
 Graduate Diploma
17.2 Where students have more than the required number of credits, their best marks will be
used up to the number of credits required for the award.
18 Joint Degrees
18.1 Joint Degrees have titles with equal weight to given to two subjects, for example BA (Hons)
English and Drama. To qualify for a Joint Degree, students need 60 credits in each subject
at both Level 5 and Level 6.

19 Degrees with a Major or Minor
19.1 Major and minor awards have titles such as BSc (Hons) Psychology with Criminology. The
first subject is the major and the second the minor. The following credits are needed:
Award Credit Needed for Major Credit Needed for Minor

Diploma of Higher Education 80 credits at either Level 5 or 40 credits at either Level 5 or
Level 6 Level 6
Bachelor’s Degree 100 credits at either Level 5 or 60 credits at either Level 5 or
Level 6 Level 6
Bachelor’s Degree with 140 credits at either Level 5 or 80 credits at either Level 5 or
Honours Level 6 Level 6
20 Compensation
20.1 Compensation is the award of credit for failed modules with marks of 30% or more.
Compensation decisions are made at the end of each level and are based on each student’s
overall performance.
20.2 Compensation is not permitted for awards of fewer than 120 credits.
20.3 Some programmes do not allow compensation for all modules. Details are given in Student
20.4 Compensation gives credits that count towards an award, but does not change the marks
awarded for failed modules; the original mark is used for classification and other purposes,
therefore compensated modules cannot be used as pre-requisites for other modules.
20.5 To be eligible for compensation at Level 4 or 5 a student must have an average mark of at
least 45% across all modules in that level.
20.6 To be eligible for compensation at Level 6 a student must have an average mark of at least
45% across all modules at both Level 5 and Level 6.
20.7 At Levels 5 and 6, students may choose to be re-assessed rather than compensated.
21 Compensation Limits
21.1 Each award has limits on the credit for which compensation can be granted:
Award Maximum Credits to be Compensated

Bachelor’s Degree 40 at Level 4
20 at Level 5
20 of the first 120 taken at Level 6
20 of the second 120 taken at Level 6
Certificate of Higher Education 40 at Level 4
Diploma of Higher Education 40 at Level 4
20 at Level 5
Foundation Certificate 40 at Level 3
Foundation Degree 40 at Level 4

20 at Level 5
Graduate Diploma 20 at Level 6
Top-up Degree 20 at Level 6
22 Aegrotat Awards
22.1 Students who have exceptional personal circumstances that prevent them from completing a
programme may be granted an Aegrotat Award by the Examination Board after withdrawing.
23 Posthumous Awards
23.1 Examination Boards may recommend a posthumous award, to be accepted on the student's
behalf by an appropriate individual. Posthumous awards should reflect the final award for
which the student was registered and the level of progress they have made towards it.
24 Certificates and Transcripts

24.1 Certificates and Transcripts are issued to all students who receive awards.
24.2 Transcripts are also issued on request to students who have completed part of a programme
of study.
25 Rescinding Awards
25.1 In exceptional circumstances Academic Board may rescind an award, for example as a
result of academic misconduct confirmed after the award was made.
26 Concerns and Complaints

26.1 The University is committed to valuing and learning from concerns and complaints. See the
Concerns and Complaints Procedure for more details.
27 Intellectual Property
27.1 In most cases students own the intellectual property they create during their studies and
they give the University licence to use it. Further information is in the Intellectual Property
Policy.

Standard Integrated Master’s Degree Assessment Regulations, Version 2 (As at September 2015)
academic year
M
THE STANDARD INTEGRATED MASTER’S DEGREE
ASSESSMENT REGULATIONS
M1 Introduction
M 1.1 These regulations are standard assessment regulations for programmes of

study leading to the awards of the University shown at M 2 below. All
programmes of study which lead to those awards are governed by these
assessment regulations, except where Senate has agreed that a particular
programme of study may be exempt from all or part of these requirements.
Where such an exemption has been granted alternative assessment regulations
will be published in the Student Course Guide.
M 1.2 Where deviation from these regulations is necessary in order to satisfy

professional requirements, for example those of a Professional, Statutory or
Regulatory Body, the relevant Student Course Guide will provide details of the
alternative regulation(s).
M 1.3 These regulations make no distinction for assessment purposes between

students on different modes of attendance.
M 1.4 These regulations only apply to assessments conducted for the purposes of
establishing credit, determining the right to progress or determining an award.
M 1.5 Where indicated, students should refer to the appropriate Student Course Guide
for further details of the assessment requirements for their programme of study.
M2 Maximum Registration Periods
M 2.1 For each award of the University there is a limit on the period for which a student
may be registered for that award, as listed below. Where a student is admitted
to a programme of study with exemption or with academic credit the maximum
registration period for that student will be shortened. In such cases the
maximum registration period will be calculated by deducting the maximum time
permitted to reach the point at which the student is to be admitted from the
normal maximum registration period for the award.
September 2015 M 1
academic year
Award Maximum Period
Certificate of Higher Education (Cert HE) 3 years
Diploma of Higher Education (Dip HE) 5 years
Bachelor’s Degree with Honours requiring 360 credits 7 years
Integrated Master’s degree 9 years
In order to comply with the requirements of a professional or statutory body the

M 2.2 There is no minimum registration period for any of the awards governed by these
regulations.
M 2.3 Where a student has formally interrupted his or her studies, the period of
from Academic Registry (see also E 2.17.3).
M3 Expiry of Maximum Registration Period
M 3.1 All students should aim to complete their programme of study within the
maximum registration period. It is acknowledged, however, that there will be
students who do not complete within that timeframe. A student whose maximum
registration period for the award has expired may request to proceed on the
programme of study on which he or she has been registered. Such a student
cannot proceed without some re-assessment of the currency of his or her previous
learning. Such re-assessment may result in no, part, or full academic credit being
granted for the student's previous study on the programme concerned. The
assessment of students for academic credit is the responsibility of the Examination
Board but, in the case of part-time students only, responsibility for a decision to
allow a student to proceed with full academic credit may be delegated to the
Course Director. Where full academic credit has been granted the student may
proceed on the programme of study. Where full academic credit is not granted the
student may not proceed on the programme until full academic credit has been
obtained, usually by undertaking further study at the same or a lower level of
attainment to that reached previously. The decision on whether to readmit a
student to an earlier stage of the same programme on which he or she was
previously enrolled in order to obtain the missing credit is a matter for the Board of
Studies or those nominated to act on its behalf.
M 3.2 The University cannot extend a maximum registration period which is specified
by a professional or statutory body for a particular programme of study.
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M4 Modules
M 4.1 All undergraduate and postgraduate programmes of study consist of a series of

modules. A module is a discrete block of study with its own objectives, syllabus,
learning outcomes and assessment requirements. The modules which form a
programme of study are described in the Student Course Guide.
M 4.2 Each module is assigned a credit value and level within an individual
programme. More information about the credit rating and level of modules is
given in M 5 and M 6 below.
M 4.3 Modules must be classified as core or optional within a particular programme.

The Student Course Guide will define whether modules are core or optional in a
M 4.4 All core modules within a student’s programme of study are compulsory.
M 4.5 Programme teams may specify modules within a programme which are essential
to the integrity of one or more of the awards governed by these regulations.
These essential modules must be completed successfully in order to satisfy the
requirements for that award and therefore they cannot be compensated. Such
modules will be identified in the Student Course Guide.
M 4.6 An optional module is one selected by a student from a set of modules specified
in the Student Course Guide. The number of optional modules a student must
successfully complete in order to qualify for the award is also specified in the
Student Course Guide. Where appropriate an optional module may be specified
as a pre-requisite module for another optional module provided it satisfies the
criteria set out in M 4.7 below.
M 4.7 A pre-requisite module is one which must have been successfully completed
before a module or modules for which it is specified as a pre-requisite can be
studied in a subsequent level. A module is defined as a pre-requisite because it
is essential for students to complete it successfully as preparation for study of
the subsequent module; therefore, a module cannot be designated a pre-
requisite for a later module to which its subject content is not linked directly.
Where a programme contains pre-requisite modules they are identified in the
M 4.8 A co-requisite module is one which must be taken in conjunction with another
specified module during the same semester. Co-requisite modules are identified
in the Student Course Guide.
M 4.9 The Student Course Guide may also specify excluded combinations of modules.
Excluded combinations are modules which may not be taken as part of the same
programme of study.
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M5 The Credit Framework
M 5.1 All programmes of study which lead to the awards governed by these regulations
are credit rated. Awards are obtained by accumulating a specified number of
these credits (see M 8.1 below).
M 5.2 Credits are awarded in accordance with the University’s framework for
credit accumulation and transfer which accords with the systems used by
many other British universities and can be easily translated to the
systems used by European universities.
M 5.3 Each module has a credit rating. A standard size module has 15 credits which
represents 150 notional learning hours. Individual students may take more or
less time to achieve the outcomes of a particular module, thus this figure is
merely indicative. A programme of study may contain double modules (30
credits) or triple modules (45 credits) etc and, exceptionally, when a programme
is approved the inclusion of modules with a lower credit rating may be agreed
where that is appropriate to the particular aims and learning outcomes. Details
of the credit rating of each module within a programme are given in the Student
Course Guide.
M 5.4 In order to be awarded the credits associated with a module a student must
successfully complete the assessment associated with that module, satisfying
the requirements for a pass mark set out at M 10 below. Where failure in a
module has been compensated, the credits associated with the compensated
module will be added to the credits achieved by the student for the purposes of
calculating eligibility for an award (see M 18 below).
M 5.5 Some undergraduate programmes of study include work-based learning which is

assessed and has a credit rating. Details of any work-based learning are given
in the Student Course Guide which will also explain the assessment process and
the amount of credit allocated to these modules.
M 5.6 If a student has been admitted with academic credit these credits count towards
the total number of credits required for the award. The regulations governing the
granting of academic credit are set out in Section D above.
M6 Levels
M 6.1 Modules are also assigned a level within each programme of study. The level
represents the position of the module in the curriculum in terms of the
sophistication of the knowledge, understanding and skills that a student is
required to demonstrate to achieve the learning outcomes. Modules which
contribute to the awards governed by these regulations are designated levels as
set out in the descriptor for each award in Section B of Part 1.
M7 Module Assessment
M 7.1 Modules are assessed by the methods and criteria described in the syllabus
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academic year
M 7.2 A schedule of assessment will be published to students at the start of each

module or combination of modules. The schedule will provide information about
the nature and timing of assessment for the module or combination of modules.
M 7.3 The following limits have been placed upon the number of assessments
permitted per module:
Module size Module level Maximum number of

assessment items
Less than 15 credits 4, 5 and 6 1
15 credits 4, 5 and 6 2
15 credits 7 1
More than 15 credits 4,5,6 and 7 2
schedule of assessment. The method used to assess each item of assessment
will vary according to the nature of the module and may include, for example, an
examination (including open-book), presentation, coursework, log-book, project,
laboratory test or clinical test etc.
M 7.4 Senate may accept a recommendation from a panel established to consider the
approval or review and re-approval of a programme of study to allow a module to
include more assessments than would normally be possible under M 7.3 above.
Such a proposal may also be approved through a Faculty’s minor change
processes. In these cases, the nature and size of the additional item(s) of
assessment will be explained in the Student Course Guide.
M 7.5 The use of additional grading schemes to supplement the information provided
to students about their assessed work is permitted. Where such a scheme is
M8 Eligibility for awards and granting of interim awards
M 8.1 In order to satisfy the requirements for an award students must have been
awarded the credits shown in the table below. Where a student has been
admitted with academic credit the amount of credit required for an award will be
reduced by the number of credits with which the student has been admitted. A
student may be admitted with academic credit to the Master’s stage of an
Integrated Master’s programme when he or she has successfully completed the
requirements of Levels 4, 5 and 6 of an appropriate Integrated Master’s
programme. The regulations governing the admission of students with academic
credit are given in Section D of Part 1 of the Academic Regulations and Policies.
September 2015 M 5
academic year

Certificate of Higher Education 120 credits at level 4 or above1

(Cert HE)
Diploma of Higher Education 240 credits of which at least 120 must be at

(Dip HE) level 5 or above1
Bachelor’s Degree 300 credits of which at least 60 must be at

level 6 or above and not more than 120 at
level1
Bachelor’s Degree with 360 credits of which at least 120 must be at

Honours level 6 or above and not more than 120 at
level1
Integrated Master’s degree 480 credits of which 120 must be at level 7
M 8.2 Students shall receive the highest award to which they are entitled. The
Examination Board shall also recommend the conferment of an interim award of
Bachelor’s Degree with Honours to a student who has successfully met the
requirements for that award and is continuing on the programme with a view to
obtaining an Integrated Master’s award.
M 8.3 It may be necessary to specify requirements that students must meet in order to
progress, either to meet a professional body requirement or because of the
particular nature of the programme. Such a progression requirement should be
considered by the programme’s approval/review panel and is subject to the
approval of the Senate.
M 8.4 All the awards covered by these regulations are available as aegrotat awards.
Where, in order to comply with the requirements of a professional or accrediting
body, an aegrotat award is not available for a particular programme of study this
will be specified in the Student Course Guide.
M9 Structure of Master’s stage
M 9.1 All programmes of study that lead to the award of an Integrated Master’s Degree
are required to include a dissertation or project. The dissertation/project forms a
significant element of the requirements for the award and must comprise at least
30 level 7 credits. Students registered on an Integrated Master’s programme
must complete the dissertation/project successfully in order to be eligible for the
award. The Student Course Guide will include details of the requirements for the
dissertation/project and will specify the number of modules that comprise the
dissertation/project.
1
When an Examination Board is considering a student’s results for an award, credits achieved for Level 5, 6
or 7 modules may be counted towards the award of a Cert HE, Dip HE, Bachelor’s Degree or Bachelor’s
Degree with Honours provided the student has met the requirements for that award.
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academic year
M 9.2 Integrated Master’s programmes of study which include a dissertation/project

must also include appropriate training in research methods to support the
dissertation/project. The Student Course Guide will explain the format and
timing of the research methods element.
M 10 Marks
M 10.1 Marks for items of assessment
M 10.1.1 Marks assigned by examiners for each item of assessment are expressed as a
percentage and in whole numbers.
M 10.2 Pass mark for a module at Levels 4, 5 and 6
M 10.2.1 The pass mark for a module with one item of assessment at Level 4, 5 and 6 is
40%.
M 10.2.2 In modules which have more than one item of assessment a pass will be
awarded where the overall average of the marks achieved for the items of
assessment is 40% or more. In calculating the overall average mark for a
module the marks attributed to each item of assessment will be weighted
equally unless a different weighting has been specified in the Student Course
Guide.
M 10.2.3 Where the process of calculating the overall weighted average mark for a
expressed to one decimal place is between 39.5% and 39.9%. In these cases
the overall average mark will be rounded up.
M 10.2.4 Where a different pass mark is required in order to meet requirements of a

M 10.2 5 If it is agreed at the point of programme approval or via a Faculty’s minor

change procedures that a module is to be marked on a pass/fail basis this will
be specified in the Student Course Guide.
M 10.3 Pass mark for a module at Level 7
M 10.3.1 The pass mark for a module with one item of assessment at level 7 is 50%.
M 10.3.2 In modules which have more than one item of assessment a pass will be
awarded where:
the overall average of the marks achieved for the items of assessment is
50% or more; and
the mark in each separate item of assessment is not less than 40%.
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academic year
In calculating the overall average mark for a module the marks attributed to
each item of assessment will be weighted equally unless a different weighting
has been specified in the Student Course Guide
M 10.3.3 Where the process of calculating the overall weighted average mark for a
expressed to one decimal place is between 49.5% and 49.9%. In these cases
the overall average mark will be rounded up.
M 10.3.4 Where a different pass mark is required in order to meet requirements of a

M 10.3.5 If it is agreed at the point of programme approval or via a Faculty’s minor

change procedures that a module is to be marked on a pass/fail basis this will
M 11 Notification of Marks to Students
M 11.1 Marks will remain provisional until they have been confirmed by the relevant
Examination Board.
M 11.2 Students who have failed a module or modules will be notified of their results by
email. Faculties are required to make appropriate arrangements to advise
student has to re-study a module or modules this requirement will be confirmed
and advice given about any new modules that can be studied concurrently.
M 11.3 A final transcript which accords with the University’s standard template for the
transcript of learning and achievement will be issued when an award is
confirmed.
M 12 Late Coursework
M 12.1 It is the responsibility of students to submit work for assessment as required.
M 12.2 Information about the nature and timing of assessment will be published to
students in accordance with M 7.1 and M 7.2 above. The Student Course Guide
will also define those items of assessment which are classified as coursework.
M 12.3 Where a student submits his or her first attempt at an assessment up to 2 hours
after the published deadline, the mark awarded will be reduced by 10% (see also
M 13.3). For example, a mark of 60% will be reduced by 6% so that the mark
achieved is 54%. Where the process of calculating a mark results in a mark that
is not a whole number that mark will be expressed to one decimal place.
 the mark is below the pass mark for the assessment. In this case the
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academic year
 where the reduction of 10% will reduce the mark from a pass to a fail. In
this case the mark awarded will be 40% for levels 4, 5 and 6. For level 7
the mark awarded will be 50%.
M 12.4 Where a student submits his or her first attempt at assessment between 2 hours
and 5 working days after the published deadline, the maximum mark available
will be 40% at levels 4, 5 and 6. At level 7 the maximum mark available will be
50%, provided it is submitted no more than 5 working days after the published
deadline (see also M 13.3 below). Work submitted more than 5 working days
after the published deadline will not be marked and the student will be deemed
to have failed an attempt at the assessment.
M 12.5 Where a student submits a re-assessment attempt after the published deadline
the student will be deemed to have failed the re-assessment and the coursework
will be returned to the student unmarked.
M 12.6 A student who is unable to meet a coursework deadline because of exceptional

circumstances may request either an extension to the coursework deadline or to
defer the assessment (see M 13 below).
M 13 Claims to defer assessment or to request a coursework extension because

of Exceptional Circumstances
M 13.1 A student who is unable to attend an examination or other form of assessment or

to meet a coursework deadline because of exceptional circumstances may make
a request either to:
 defer the attempt at the assessment(s) to a later date; or
 be granted an extension to complete coursework.
M 13.2 The regulations and procedures for requests to defer an assessment or to be

granted an extension are described in Part II of the Academic Regulations and
Policies. Guidance for students is also published in Part II which describes the
type of circumstances that may be seen as exceptional and the nature of
evidence that will be required to determine the validity of a request to defer an
assessment or be granted an extension.
M 13.3 If a student with disabilities has a Support Summary recommending additional

time to complete coursework, the student may be granted an alternative deadline
in accordance with the policy and procedures set out in Part II. The granting of
additional time to complete the coursework does not affect the student’s right:
 to submit a request for a deferral of assessment or an extension on the

grounds of exceptional circumstances provided the student’s request is
based on exceptional circumstances which have not already been taken
into account in the Support Summary; or
 to submit his or her first attempt at an assessment up to 2 hours after

the alternative deadline or between 2 hours and 5 working days after
the alternative deadline. The mark will be reduced by 10% if the late
coursework is submitted up to 2 hours after the alternative deadline
apart from in the following cases:
September 2015 M 9
academic year
 the mark is below the pass mark for the assessment. In this case the
 where the reduction of 10% will reduce the mark from a pass to a fail.
In this case, for levels 4, 5 and 6, the mark awarded will be 40%.
For level 7 the mark awarded will be 50%.
 The maximum mark available will be 40% at Levels 4 to 6 and 50% for
an item of assessment at Level 7 provided the late coursework is
submitted after 2 hours but no more than 5 working days after the
alternative deadline. Work submitted more than 5 working days after
the alternative deadline will not be marked and the student will be
deemed to have failed an attempt at the assessment.
M 14 Progression
M 14.1 In order to progress to the next level a student must have successfully
completed modules worth 90 credits or more in the level.
M 14.2 Therefore, a student who has failed modules worth more than 30 credits in a
level will not be permitted to progress to the next level until the requirements laid
down in M 14.1 above have been met.
M 14.3 Where a student’s assessment and/or re-assessment for a module or modules

has been deferred because a claim of exceptional circumstances was upheld,
the student will be permitted to study modules from the next level provided s/he
has not also failed modules worth more than 30 credits (see M 14.2). The
student will be required to register for assessment or for re-assessment in the
module or modules that were the subject of the exceptional circumstances claim
before registering to commence study of modules at the next level. A student
who has had a claim of exceptional circumstances upheld will permitted to
register for assessment in modules equivalent to a maximum of 150 credits in
any one year.
M 14.4 A student who has satisfied the requirements set out in M 14.1 above, may be
permitted to study modules from different levels concurrently provided the
limitations on module registration set down in M 14.3, M 15.4 and M 16.2 are not
exceeded.
M 14.5 A student will not be permitted to commence study of a module for which he or
she has not already completed successfully a module identified as a pre-
requisite for that module.
M 15 Provisions in the Event of Failure at Levels 4, 5 and 6
Flowcharts summarising the re-assessment process defined in Regulations M

15.1 to M 15.4 can be found in Annex 1 below.
M 15.1 A student on Levels 4, 5 or 6 of a programme of study governed by these

regulations will be permitted to be re-assessed in a failed module or modules on
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academic year
one occasion provided the re-assessment can be completed within the permitted
M 15.2 Where re-assessment is permitted under M 15.1 above, the re-assessment must
be undertaken on the next occasion the module is assessed. If a student who
has been offered the opportunity to be re-assessed fails to attend or to submit
work for re-assessment at the next opportunity he or she will be deemed to have
failed the re-assessment unless a request for the consideration of exceptional
circumstances is granted (see M 13 above).
M 15.3 A student will not be permitted to repeat the assessment for an item of
assessment, module or modules he or she has already completed successfully in
order to improve the mark.
M 15.4 Where a failed module is designated an optional module within a student’s

programme the student may elect to substitute an alternative optional module,
provided one is available, in order to achieve the requisite credits for the stage or
award. The actual mark achieved for the assessment of the new module will be
used for the purposes of calculating the differentiation or classification of an
award. Failed substitute modules cannot subsequently be substituted (see
Flowchart 2 at Annex 1 below). A student who elects to substitute an alternative
optional module may be registered for assessment in modules equivalent to a
maximum of 150 credits in any one year. The student will be required to register
for assessment in the substituted optional module or modules before being
permitted to register for new modules. Thus, where a student studies a
substituted optional module concurrently with new modules and there is a
timetable clash between the substituted optional module and a new module the
student will be registered for the substituted optional module.
M 15.5 A student cannot demand re-assessment in a module which is no longer current

in the programme. The Examination Board will make such special arrangements
as it deems appropriate in cases where it is not practicable for students to be re-
assessed in the same module and by the same methods as before. In these
circumstances the maximum mark which can be awarded after re-assessment in
the replacement module is 40% irrespective of the academic merits of the re-
assessed work. This mark will be used for the purposes of determining the
differentiation or classification of an award.
M 15.6 The maximum mark which can be awarded for a module after re-assessment is
40% irrespective of the academic merits of the re-assessed work. This mark will
be used for the purposes of determining the differentiation or classification of an
award.
M 15.7 Where a module includes more than one item of assessment the mark achieved
after re-assessment of each failed item of assessment will be used to calculate
the overall weighted average mark for the module. The mark achieved in a re-
assessed item of assessment need not be 40% but must be sufficient to raise the
overall weighted average mark for the module to 40%. Where a student has
failed more than one item of assessment in a module he or she will be registered
automatically for re-assessment in the failed items of assessment. If the mark
achieved after re-assessment in an item of assessment is lower than that
achieved at the first attempt, the higher mark achieved will be used to calculate
the overall weighted average mark for the module.
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academic year
M 15.8 A student who fails a re-assessment will be withdrawn from the programme
unless the student elects to substitute an alternative optional module at that point
(see M 15.4 above).
M 15.9 A student who fails to satisfy the assessment requirements for his or her
programme within the maximum permitted registration period for the award will
also be withdrawn from the programme. If the student has already satisfied the
requirements for an interim award he or she will be given the opportunity to
accept that award.
M 16 Provisions in the Event of Failure at Level 7
M 16.1 If a student fails the assessment for a module or modules he or she will be
permitted to be re-assessed in the failed module or modules on up to two
occasions. The re-assessment will take place on the next occasion the module is
assessed unless the student has indicated the intention to substitute an
alternative optional module where this facility is available (see M 16.8 below).
M 16.2 A student who has failed a module or modules may be registered for assessment
in modules equivalent to a maximum of 150 credits in any one year in order to
retrieve the failed module(s). The student will be required to re-register for
assessment in the failed module or modules before being permitted to register for
new modules. Thus, where a student is to re-study a module concurrently with
new modules and there is a timetable clash between the module to be re-studied
and a new module it is the module being re-studied in which the student will be
registered.
M 16.3 The maximum mark which can be awarded for a module after re-assessment is
50% irrespective of the academic merits of the re-assessed work. This mark will
be used for the purposes of calculating eligibility for an award with
Commendation or Distinction.
M 16.4 Where a module includes more than one item of assessment a student will not be
required to be re-assessed in an item he or she has passed. The mark achieved
in the passed item will be used along with the mark achieved after re-assessment
of the failed item to calculate the overall weighted average mark for the module.
The mark achieved in a re-assessed item of assessment must be 40% or more
and must be sufficient to raise the overall weighted average mark for the module
to 50%. Where a student has failed more than one item of assessment in a
module he or she will be registered automatically for re-assessment in the failed
items of assessment. If the mark achieved after re-assessment in an item of
assessment is lower than that achieved at the previous attempt, the higher mark
achieved will be used to calculate the overall weighted average mark for the
module.
M 16.5 Where a decision has been taken to cease to offer a module, the Faculty will
schedule two re-assessment opportunities for the final cohort. Students will be
eligible to submit claims to defer an assessment or claim a coursework extension
because of exceptional circumstances in respect of each attempt at assessment
in such a module (see Procedures for the Procedures for the Consideration of
Exceptional Circumstances in Part II). Students will be offered the choice of
September 2015 M 12
academic year
registering for a replacement module, rather than repeating the module which is
being phased out where this is possible. Any attempt at this alternative module
will be regarded as a re-assessment. The maximum mark which can be awarded
after re-assessment in the replacement module is 50% irrespective of the
academic merits of the re-assessed work. This mark will be used for the
purposes of calculating eligibility for an award with Commendation or Distinction.
M 16.6 A student cannot demand re-assessment in a module which is no longer current

in the programme. The Examination Board will make such special arrangements
as it deems appropriate in cases where it is not practicable for students to be re-
assessed in the same module and by the same methods as before.
M 16.7 A student will not be permitted to repeat the assessment for an item of
assessment, module or modules he or she has already completed successfully in
order to improve the mark.
M 16.8 Where a student has failed an optional module or modules he or she will be
permitted to substitute alternative optional modules, provided such modules are
available. The actual mark achieved for the assessment of the new module will
be used for the purposes of calculating eligibility for an award with
Commendation or Distinction. Failed substitute modules cannot subsequently be
substituted.
M 17 Withdrawal from the programme
M 17.1 Withdrawal at a student’s request
M 17.1.2 Where a student withdraws before completing his or her programme, the student
will be entitled to receive an interim award provided that the requirements for that
award have already been met. Where an interim award is not available this will
M 17.2 Withdrawal after exhausting the right to re-assessment
M 17.2.1 A student who fails again after exhausting the right to re-assessment afforded
under M 15 and M 16 above will be given the opportunity either:
 to accept the conferment of the highest level of interim award for which
he or she has satisfied the requirements, in which case the student will
be withdrawn from the programme; or
 to transfer his or her registration to an appropriate alternative programme

for which he or she can still satisfy the requirements, where such a
programme is available.
M 17.2.2 A student who fails to satisfy the assessment requirements for his or her
programme within the maximum permitted registration period for the award will
be withdrawn from the programme (see M 2 above).
M 18 Compensation at Levels 4, 5 and 6
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academic year
M 18.1 Compensation is the process by which an Examination Board, in consideration of

a student’s overall performance, recommends that credit be awarded for a
module in which a student has failed to satisfy the assessment criteria.
Compensation is only applied when the conditions in M 18.4 to M 18.6 below
have been met.
M 18.2 The compensation regulations will be invoked by the Examination Board when
the student’s results are considered at the end of each level and/or for an award.
M 18.3 An Examination Board is not permitted to compensate failure in any module

forming part of a programme of study that contributes to an award containing
fewer than 120 credits.
M 18.4 The maximum number of credits that may be compensated at the end of each
level of each award is stated below. Where a student has failed in modules
exceeding the volumes of credit stated below no failed module will be
compensated.
Certificate of Higher Education
Modules equivalent to a maximum of 30 credits may be compensated at the end

of level 4.
Diploma of Higher Education

of level 4.

of level 5.
Bachelor’s Degree
Modules equivalent to a maximum of 30 credits may be compensated at Level 4.
Modules equivalent to a maximum of 15 credits may be compensated at Level 5

or 6.
Compensation will not be permitted at Level 5 or 6 where a student has failed

modules worth more than 15 credits within the level.
Bachelor’s Degree with Honours
Modules equivalent to a maximum of 30 credits may be compensated at Level 4.
Modules equivalent to a maximum of 30 credits across Levels 5 and 6 may be

subject to compensation in any of the following patterns:
Level 5 modules equivalent to a maximum of 30 credits may be

compensated at the end of Level 5. Where 30 credits have been
compensated at Level 5 no Level 6 modules may be compensated;
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academic year
Where Level 5 modules equivalent to 15 credits are compensated at the

end of level 5, Level 6 modules equivalent to a maximum of 15 credits may
be compensated at the end of level 6;
Where no Level 5 modules have been compensated modules equivalent to

a maximum of 30 credits may be compensated at the end of Level 6.
Compensation will not be permitted at Level 6 where a student has failed

modules equivalent to more than 30 credits over Levels 5 and 6. This total of
failed modules must include any modules compensated at the end of Level 5.
M 18.5 To be eligible for compensation a student must have achieved:
 an overall average mark of 44.5% or above in all of the modules that

contribute to the level;2 and
 an overall weighted average mark of 29.5% or above in the module for

which compensation is being considered.
M 18.6 Compensation will be applied to a module in which the student has been re-
assessed if the mark awarded after re-assessment is sufficient to meet the
requirements laid down in M 18.5 above.
M 18.7 The Student Course Guide will identify modules in which failure cannot be
compensated. Optional modules cannot be identified as ineligible for
compensation except where the module concerned serves as a pre-requisite for
another module in a particular student’s programme.
M 18.8 Modules in which failure has been compensated cannot be used as pre-
requisites for subsequent modules.
M 18.9 Where a student has elected to substitute an alternative optional module for an
optional module that has been failed, the actual mark achieved in the
assessment of the alternative module will be used to calculate the student’s
entitlement to compensation.
M 18.10 Where failure in a module has been compensated, the credits associated with the
compensated module will be added to the credits achieved by the student for the
purposes of determining progression or calculating eligibility for an award.
M 18.11 Where failure in a module has been compensated, the actual mark achieved by
the student will be used for the purposes of calculating the differentiation or
classification of the award.
M 18.12 At Levels 5 and 6, a student may decline to have failure in a module or modules
compensated and may elect to be re-assessed instead with a view to improving
the mark or marks awarded to 40% for the purposes of calculating the
2
Where compensation is applied at Level 6 on a Bachelor’s Degree or Bachelor’s Degree with Honours
programme a student must have achieved an overall average mark of 44.5% or above in all modules that
contribute to Level 5 and Level 6 combined
September 2015 M 15
academic year
differentiation or classification of the award. A student electing to be re-assessed

must notify the Faculty in writing within three weeks of publication of the results. 3
Where a student fails again after such re-assessment, the mark(s) achieved in
the re-assessment will be used to calculate the student’s eligibility for
compensation unless the mark(s) achieved after re-assessment is lower than that
previously achieved in which case the higher mark will be used.
M 19 Compensation at Level 7
M 19.1 An Examination Board is not permitted to compensate failure in any level 7

module forming part of an Integrated Master’s programme.
M 20 The Classification of Honours Degrees
M 20.1 For candidates who have met the requirements for the award of Bachelor’s
Degree with Honours, the classification of the award will be calculated as
described below.
M 20.2 The Examination Board will consider the overall average of the best Level 5
marks achieved in modules equivalent to 30 credits and the best Level 6 marks in
modules equivalent to 90 credits.
M 20.3 In calculating the overall average mark, module marks will be weighted in
proportion to their credit value. Marks to one decimal place will be totalled for the
calculation and the overall average mark will be expressed as a whole number.
In order to express the total percentage mark as a whole number fractions of .5
and above will be rounded up, anything below .5 will be rounded down. This total
will determine the degree classification as shown in the following table:
Honours Classification Total percentage mark

First Class 70% or above
Second Class Honours Division I 60 – 69%
Second Class Honours Division II 50 – 59%
Third Class 40 – 49%
M 20.4 Where failure in a Level 5 or 6 module has been compensated (see M 18 above)
the actual mark achieved by the student will be used to calculate the
classification of the award.
M 20.5 Where a student has been admitted with academic credit partway through level
5, the degree classification will be based solely upon the marks achieved in the
modules the student is required to complete on the programme in order to qualify
for the award. Where a student has been admitted with up to 90 credits at Level
5 the degree classification will be calculated in accordance with M 20.2 to M 20.3
3
The arrangements for providing notification will be published to students affected by this
regulation.
September 2015 M 16
academic year
above. Where a student has been admitted with 105 credits at Level 5 the
classification of the award will be based solely upon the marks achieved in 120
credits at level 6. In order to determine the classification the Examination Board
will consider the overall average of the marks achieved in 120 credits at Level 6
which shall be calculated in accordance with M 20.3 above.
M 20.6 Where a student has been admitted with academic credit to the start of Level 6
the classification of the award will be based solely upon the marks achieved in
the modules the student is required to complete on the programme in order to
qualify for the award. In order to determine the classification the Examination
Board will consider the overall average of the marks achieved in 120 credits at
Level 6.
M 20.7 Where a student has undertaken approved study at an overseas institution as

part of an exchange programme, the results achieved in the modules studied
abroad will be excluded for the purposes of calculating the honours classification.
Thus the calculation of the honours classification will be based upon the student’s
performance in all other Level 5 and 6 modules calculated in accordance with M
20.2 to M 20.3 above.
M 21 Awards with Commendation or Distinction
M 21.1 Certain awards include provision for the award to be conferred with
Commendation or Distinction. The requirements which must be satisfied for an
award with Commendation or Distinction are set out at M 21.4 to M 21.6 below.
M 21.2 The following awards are available with Commendation or Distinction:
Certificate of Higher Education

Diploma of Higher Education
Bachelor’s Degree
Integrated Master’s Degree
M 21.3 An award with Commendation will be made to students who satisfy the
requirements for the award and achieve an overall average mark of between
60% - 69% at the credit value and levels specified in the table below.
M 21.4 An award with Distinction will be made to students who satisfy the requirements
for the award and achieve an overall average mark of 70% or above at the credit
value and levels specified in the table below.
M 21.5 Where module marks are averaged for the purposes of determining eligibility for
an award with Commendation or Distinction, marks to one decimal place will be
totalled for the calculation but the overall average mark will be expressed as a
whole number. In order to express the overall average mark as a whole number
fractions of .5 and above will be rounded up, anything below .5 will be rounded
down.
M 21.6 Where a student has been admitted with academic credit the differentiation of
the award will be based solely upon the marks achieved in the modules the
student was required to complete on the programme in order to qualify for the
award.
September 2015 M 17
academic year
Award Credit value used for Additional rule for particular

calculating average award
Certificate of Higher Education 120 credits at Level 4
Diploma of Higher Education 120 credits at Level 5 and/or Where completed modules from
Level 6 Level 5 and Level 6 total more
than 120 credits, the calculation
will be based upon the marks
achieved in the candidate’s best
modules equivalent to at least
120 credits.
Bachelor’s Degree requiring 180 credits at Level 5 and 6 Where completed modules at
300 credits Level 5 and Level 6 total more
than 180 credits, the calculation
will be based upon the marks
achieved in the candidate’s best
modules equivalent to at least
180 credits.
Integrated Master’s Degree 120 credits at Level 7
M 22 Cheating
The procedures to be followed in cases of alleged cheating are governed by the

Student Disciplinary Procedure given in Part II of the University’s Academic
M 23 Claims of Error in the Conduct of Assessment Processes
The procedures to be followed by a student who wishes to make a claim that

there has been a material irregularity in the conduct of the assessment or the
examination board are described in Part II of the University’s Academic
September 2015 M 18
N.B. These assessment regulations will come into operation in the 2014/15 academic year
Annex 1 to Section M
MODULE
ASSESSMENT
(1st attempt)
Module failed.
FAIL
Pass? Student required to
re-sit.
(2nd attempt)
PASS
Full mark obtained.

Module passed and
credit awarded.
FAIL
Module failed.
Pass? Withdraw or transfer to another
programme
PASS
Mark capped at
pass mark.
Module passed
and credit
awarded.
Flowchart 1: Quick Reference Flow Chart- For Re-Sit of

Failed Core Modules at Levels 4, 5 and 6
September 2015 M 19
N.B. These assessment regulations will come into operation in the 2014/15 academic year
OPTIONAL Flowchart 2: Quick Reference Flow Chart-

MODULE For Re-Sit of Failed Optional Modules at
ASSESSMENT.
st
(1 Attempt)
Levels 4, 5 and 6
SUBSTITUTE
FAIL Module failed. Commence study on new
Pass? Re-sit or substitute substituted module. (1st
with alternative attempt not capped) Student re-
optional module?
starts as if for the first time*
PASS
RE-SIT
SUBSTITUTE
Full mark Re-sit module (2nd attempt).

obtained. Module
passed and credit
awarded.
DECLINE
Module failed. OPPORTUNITY
TO SUBSTITUE
FAIL Substitute one or more Withdraw or transfer
failed optional modules
Pass? to another
with alternative optional
modules programme.
or
PASS decline opportunity to
substitute
Mark capped at pass

mark. Module passed
and credit awarded.
* Students may elect to substitute optional modules where alternative optional modules are available. See relevant Student Course Guide for details of optional module availability.
Students may elect to subsitite optional modules on ONE occasion only (i.e. a failed subsitute module cannot subsequently be substituted).
September 2015 M 20
Standard Postgraduate Assessment Regulations Version 2 (as at September 2015)
In 2013/14 these regulations (Version 2) apply to:
 Students who enrolled for the first time on or after 1st September 2010 on a postgraduate programme
which has modules with a pass mark of 50%; and
 Continuing students who have moved on or after 1st September 2010 to a postgraduate programme
which has modules with a pass mark of 50%.
K
THE STANDARD POSTGRADUATE ASSESSMENT REGULATIONS
K1 Introduction
K 1.1 These regulations are standard assessment regulations for programmes of study
leading to the awards of the University shown at K 2 below. All programmes of
study which lead to those awards are governed by these assessment regulations,
except where Academic Board has agreed that a particular programme of study
may be exempt from all or part of these requirements. Where such an exemption
has been granted alternative assessment regulations will be published in the
K 1.2 Where deviation from these regulations is necessary in order to satisfy professional
requirements, for example those of a Professional, Statutory or Regulatory Body,
the relevant Student Course Guide will provide details of the alternative
regulation(s).
K 1.3 These regulations make no distinction for assessment purposes between students
on different modes of attendance.
K 1.4 These regulations only apply to assessments conducted for the purposes of
establishing credit, determining the right to progress or determining an award.
K 1.5 Where indicated, students should refer to the appropriate Student Course Guide for
further details of the assessment requirements for their programme of study.
K2 Maximum Registration Periods
K 2.1 For each award of the University there is a limit on the period for which a student
may be registered for that award, as listed below. Where a student is admitted to a
programme of study with exemption or with academic credit the maximum
registration period for that student will be shortened. In such cases the maximum
registration period will be calculated by deducting the maximum time permitted to
reach the point at which the student is to be admitted from the normal maximum
September 2015 K 1
Award Maximum Period
Postgraduate Certificate 2 years
Postgraduate Diploma 3 years
Master’s Degree 5 years
In order to comply with the requirements of a professional or statutory body the

K 2.2 There is no minimum registration period for any of the awards governed by these
regulations.
K 2.3 Where a student has formally interrupted his or her studies, the period of
from Academic Services (see also E2.17.3).
K3 Expiry of Maximum Registration Period
K 3.1 All students should aim to complete their programme of study within the maximum
registration period. It is acknowledged, however, that there will be students who do
not complete within that timeframe. A student whose maximum registration period
for the award has expired may request to proceed on the programme of study on
which he or she has been registered. Such a student cannot proceed without some
re-assessment of the currency of his or her previous learning. Such re-assessment
may result in no, part, or full academic credit being granted for the student's previous
study on the programme concerned. The assessment of students for academic
credit is the responsibility of the Examination Board but, in the case of part-time
students only, responsibility for a decision to allow a student to proceed with full
academic credit may be delegated to the Course Director. Where full academic
credit has been granted the student may proceed on the programme of study.
Where full academic credit is not granted the student may not proceed on the
programme until full academic credit has been obtained, usually by undertaking
further study at the same or a lower level of attainment to that reached previously.
The decision on whether to readmit a student to an earlier stage of the same
programme on which he or she was previously enrolled in order to obtain the missing
credit is a matter for the School Academic Board or those nominated to act on its
behalf.
K 3.2 The University cannot extend a maximum registration period which is specified by a
professional or statutory body for a particular programme of study.
September 2015 K 2
K4 Modules
K 4.1 All postgraduate programmes of study consist of a series of modules. A module is

a discrete block of study with its own objectives, syllabus, learning outcomes and
assessment requirements. The modules which form a programme of study are
described in the Student Course Guide.
K 4.2 Each module is assigned a credit value and level within an individual programme.
More information about the credit rating and level of modules is given in K 5 and K
6 below.
K 4.3 Modules must be classified as core or optional within a particular programme. The
Student Course Guide will define whether modules are core or optional in a
K 4.4 All core modules within a student’s programme of study are compulsory.
K 4.5 An optional module is one selected by a student from a set of modules specified in
the Student Course Guide. The number of optional modules a student must
successfully complete in order to qualify for the award is also specified in the
Student Course Guide. Where appropriate an optional module may be specified as
a pre-requisite module for another optional module provided it satisfies the criteria
set out in K 4.6 below.
K 4.6 A pre-requisite module is one which must have been successfully completed before
a module or modules for which it is specified as a pre-requisite can be studied
subsequently. A module is defined as a pre-requisite because it is essential for
students to complete it successfully as preparation for study of the subsequent
module; therefore, a module cannot be designated a pre-requisite for a later
module to which its subject content is not linked directly. Where a programme
contains pre-requisite modules they are identified in the Student Course Guide.
K 4.7 A co-requisite module is one which must be studied in conjunction with another
specified module at the same time. Co-requisite modules are identified in the
K 4.8 The Student Course Guide may also specify excluded combinations of modules.
Excluded combinations are modules which may not be taken together as part of the
same programme of study.
September 2015 K 3
K5 The Credit Framework
K 5.1 All programmes of study which lead to the awards governed by these regulations
are credit rated. Awards are obtained by accumulating a specified number of these
credits (see K 7 below).
K 5.2 Credits are awarded in accordance with the University’s framework for credit
accumulation and transfer which accords with the systems used by many other
British universities and can be easily translated to the systems used by universities
elsewhere in Europe.
K 5.3 Each module has a credit rating. A standard size module has 15 credits which
represents 150 notional learning hours. Individual students may take more or less
time to achieve the outcomes of a particular module, thus this figure is merely
indicative. A programme of study may contain double modules (30 credits) or triple
modules (45 credits) etc. Details of the credit rating of each module within a
programme are given in the Student Course Guide.
K 5.4 In order to be awarded the credits associated with a module a student must have
successfully completed the assessment associated with that module, satisfying the
requirements for a pass mark set out at K 10 below.
K 5.5 Some postgraduate programmes of study permit students to include negotiated

modules within their programme. The content of negotiated modules may be
proposed by the student or the Faculty and may be undertaken in association with
employers. Where negotiated modules are permitted within a particular
programme of study the regulations governing the maximum number of negotiated
modules which can be included and the procedures for approving the content of
negotiated modules are defined in the relevant Student Course Guide.
K 5.6 Negotiated modules are subject to the approval of the Faculty Committee
designated in the Student Course Guide. In approving negotiated modules the
Committee shall have regard to the coherence of the combination and sequence of
modules which will form the student’s total programme. It shall also ensure that the
student’s proposed programme satisfies the Academic Board’s requirements in
terms of standards, credits and level for the award for which he or she is registered.
K 5.9 Some programmes of study include work-based learning which is assessed and
has a credit rating. Details of any work-based learning are given in the Student
Course Guide, which will also explain the assessment process and the amount of
credit allocated to these modules.
K 5.10 If a student has been granted academic credit through APL these credits count
towards the total number of credits required for the award. The regulations
governing the granting of academic credit are set out in Section D of Part 1 of the
Academic Regulations and Policies.
September 2015 K 4
K6 The Inclusion of Level 6 Modules
K 6.1 Normally, modules that contribute to the awards governed by these regulations are
designated level 7 but the requirements for an individual programme of study may
permit the substitution of a small number of credits from level 6 modules for the
same number of level 7 credits. The minimum number of level 7 credits that must
contribute to an award governed by these regulations is set out in the table at K7
below.
K6.2 The Student Course Guide will indicate the number of level 6 modules which may
be substituted for level 7 modules within the particular programme and will provide
details of those modules.
K7 Eligibility for awards and granting of interim awards
K 7.1 In order to satisfy the requirements for an award students must have been awarded
the credits shown in the table below. Where a student has been admitted with
academic credit to a postgraduate programme the amount of credit required for an
award will be reduced by the number of credits with which the student has been
admitted. The regulations governing the admission of students with academic
credit are given in Section D of Part 1 of the Academic Regulations and Policies.

Postgraduate Certificate 60 credits of which at least 40 must be at level 7
Postgraduate Diploma 120 credits of which at least 90 must be at level 7
Master’s Degree 180 credits of which at least 150 must be at level 7.
K 7.2 Students shall receive the highest award to which they are entitled. Exceptionally,
the Examination Board shall recommend the conferment of an interim award for the
purpose of professional body recognition to a student who is continuing on the
programme with a view to obtaining a higher award. Where an interim award is
available to a continuing student this will be specified in the Student Course Guide.
K 7.3 A student will be permitted to study concurrently modules which contribute to the
award of Postgraduate Certificate and Postgraduate Diploma provided credit has
already been awarded for any necessary pre-requisite modules.
K 7.4 It may be necessary to specify requirements that students must meet in order to
progress, either to meet a professional body requirement or because of the
September 2015 K 5
particular nature of the programme. Such a progression requirement should be

considered by the programme’s approval/review panel and is subject to the
approval of the Academic Board.
K 7.5 All the awards covered by these regulations are available as aegrotat awards.
Where, in order to comply with the requirements of a professional or accrediting
body, an aegrotat award is not available for a particular programme of study this
will be specified in the Student Course Guide.
K8 Structure of Postgraduate Programmes
K 8.1 All programmes of study that lead to the award of a Master’s Degree are required
to include a dissertation or project. The dissertation/project forms a significant
element of the requirements for the award and must comprise at least 30 level 7
credits. Students registered on a Master’s programme must complete the
dissertation/project successfully in order to be eligible for the award. The Student
Course Guide will include details of the requirements for the dissertation/project
and will specify the number of modules that comprise the dissertation/project.
K 8.2 Programmes of study which lead to the award of a Postgraduate Diploma may be
designed so as to include a compulsory dissertation or project. Students registered
on such programmes must complete the dissertation/project successfully in order
to be eligible for the award. The Student Course Guide will include details of the
requirements for the dissertation/project and will specify the number of modules
that comprise the dissertation/project.
K 8.3 Postgraduate programmes of study which include a dissertation/project must also

include appropriate training in research methods to support the dissertation/project.
The Student Course Guide will explain the format and timing of the research
methods element.
K9 Module Assessment
K 9.1 Modules are assessed by the methods and criteria described in the syllabus
K 9.2 A schedule of assessment will be published to students at the start of each module
or combination of modules. The schedule will provide information about the nature
and timing of assessment for the module or combination of modules.
K 9.3 The following limits have been placed upon the number of assessments permitted
per module:
Modules with a credit rating of 15 credits shall include one item of

assessment only; and
September 2015 K 6
Modules with a credit rating of more than 15 credits may include up to two
items of assessment.
schedule of assessment. The method used to assess each item of assessment will
vary according to the nature of the module and may include, for example, an
examination (including open-book), presentation, coursework, log-book, project,
laboratory test or clinical test etc.
K 9.4 Academic Board may accept a recommendation from a panel established to

consider the approval or review and re-approval of a programme of study to allow a
module to include more assessments than would normally be possible under K 9.3
above. Such a proposal may also be approved through a Faculty’s minor change
processes. In these cases, the nature and size of the additional item(s) of
assessment will be explained in the Student Course Guide.
K 9.5 The use of additional grading schemes to supplement the information provided to
students about their assessed work is permitted. Where such a scheme is
K 10 Marks
K 10.1 Marks for items of assessment
K10.1.1 Marks assigned by examiners for each item of assessment are expressed as a
percentage and in whole numbers.
K 10.2 Pass mark for a module
K10.2.1 The pass mark for a module with one item of assessment is 50%.
K10.2.2 In modules which have more than one item of assessment a pass will be awarded
where:
the overall average of the marks achieved for the items of assessment is 50%
or more; and
the mark in each separate item of assessment is not less than 40%.
In calculating the overall average mark for a module the marks attributed to each
item of assessment will be weighted equally unless a different weighting has been
specified in the Student Course Guide
September 2015 K 7
K10.2.3 Where the process of calculating the overall weighted average mark for a module
results in a mark which is not a whole number, that mark will be expressed to one
decimal place except where the overall weighted average expressed to one
decimal place is between 49.5% and 49.9%. In these cases the overall average
mark will be rounded up.
K 10.2.4 The same pass mark requirements apply to Level 6 and Level 7 modules forming
part of a postgraduate programme.1
K10.2.5 Where a different pass mark is required in order to meet requirements of a

K10.2.6 If it is agreed at the point of programme approval or via a Faculty’s minor change
procedures that a module is to be marked on a pass/fail basis this will be specified
in the Student Course Guide.
K 11 Notification of Marks to Students
K 11.1 Marks will remain provisional until they have been confirmed by the relevant
Examination Board.
K 11.2 Students who have failed a module or modules will be notified of their results by
email.2 Faculties are required to make appropriate arrangements to advise
student is recommended or required to re-study a module or modules this will be
confirmed and advice given about any new modules that can be studied
concurrently.
K 11.3 A final transcript which accords with the University’s standard template for the
transcript of learning and achievement will be issued when an award is confirmed.
K 12 Late Coursework
K 12.1 It is the responsibility of students to submit work for assessment as required.
1
Where it is planned to deliver the same Level 6 module as part of an undergraduate and postgraduate
programme, advice should be sought from Academic Registry.
2
The University’s collaborative partners may use different methods to notify students of their results in writing
and will make appropriate arrangements to advise students who have failed about what has to be done to
retrieve the failure, the support that will be available and the date of the re-assessment(s). Where a student
has to re-study a module or modules this requirement will be confirmed and advice given about any new
modules that can be studied concurrently.
September 2015 K 8
K 12.2 Information about the nature and timing of assessment will be published to
students in accordance with K 9.1 and K 9.2 above. The Student Course Guide will
also define those items of assessment which are classified as coursework.
K 12.3 Where a student submits his or her first attempt at an assessment up to 2 hours
after the published deadline the mark that will be awarded will be reduced by 10%
(see also K13.3 below). For example, a mark of 60% will be reduced by 6% so that
the mark that the student will receive is 54%. Where the process of calculating the
mark results in a mark which is not a whole number, that mark will be expressed to
one decimal place.
 The mark is below the pass mark for the assessment. In this case, the mark
achieved by the student will stand
 Where a deduction of 10% will reduce the mark from a pass to a fail. In this
case the mark awarded will be 50%.
K12.4.1 Where a student submits his or her first attempt at an assessment between 2 hours
and 5 working days after the published deadline the maximum mark available will
be 50% (see also K13.3 below). Work submitted more than 5 working days after
the published deadline will not be marked and the student will be deemed to have
failed an attempt at the assessment.
K 12.4.2 Where a student submits a re-assessment attempt after the published deadline the
student will be deemed to have failed the re-assessment and the coursework will
be returned to the student unmarked.
K 12.5 A student who is unable to meet a coursework deadline because of exceptional

circumstances may request either an extension to the coursework deadline or to
defer the assessment (see K 13).
K 13 Claims to defer assessment or to request a coursework extension because of

Exceptional Circumstances
K 13.1 A student who is unable to meet a coursework deadline because of exceptional

circumstances may request either:
 an extension to the coursework deadline or

 to defer the assessment
K 13.2 The regulations and procedures for requests to defer an assessment or to be

granted an extension are described in Part II of the Academic Regulations and
Policies. Guidance for students is also published in Part II which describes the
type of circumstances that may be seen as exceptional and the nature of evidence
September 2015 K 9
that will be required to determine the validity of a request to defer an assessment or

be granted an extension.
K 13.3 If a student with disabilities has a Support Summary recommending additional time
to complete coursework, the student may be granted an alternative deadline in
accordance with the policy and procedures set out in Part II. The granting of
additional time to complete the coursework does not affect the student’s right:
 to submit a request for a deferral of assessment or an extension on the

grounds of exceptional circumstances provided the student’s request is
based on exceptional circumstances which have not already been taken
into account in the Support Summary;
or
 to submit his or her first attempt at an assessment up to 2 hours after the

alternative deadline or between 2 hours and 5 working days after the
alternative deadline. The mark will be reduced by 10% if the late
coursework is submitted up to 2 hours after the alternative deadline apart
from in the following cases:
 the mark is below the pass mark for the assessment. In this case the
mark achieved by the student will stand;
 where a deduction of 10% will reduce the mark from a pass to a fail.
In this case the mark awarded will be 50%.
The maximum mark available will be 50% provided the late coursework is submitted
after 2 hours but no more than 5 working days after the alternative deadline. Work
submitted more than 5 working days after the alternative deadline will not be
marked and the student will be deemed to have failed an attempt at the assessment.
K 14 Provisions in the Event of Failure
K 14.1 Re-assessment opportunities
K14.1.1 If a student fails the assessment for a module or modules he or she will be
permitted to be re-assessed in the failed module or modules on up to two
occasions. The re-assessment will take place on the next occasion the module is
assessed unless the student has indicated the intention to substitute an alternative
optional module where this facility is available (see K 14.1.7 below).
K14.1.2 The maximum mark which can be awarded for a module after re-assessment is
50% irrespective of the academic merits of the re-assessed work. This mark will be
used for the purposes of calculating eligibility for an award with Commendation or
Distinction.
September 2015 K 10
K14.1.3 Where a module includes more than one item of assessment a student will not be
required to be re-assessed in an item he or she has passed. The mark achieved in
the passed item will be used along with the mark achieved after re-assessment of
the failed item to calculate the overall weighted average mark for the module. The
mark achieved in a re-assessed item of assessment must be 40% or more and
must be sufficient to raise the overall weighted average mark for the module to
50%. Where a student has failed more than one item of assessment in a module
he or she will be registered automatically for re-assessment in the failed items of
assessment. If the mark achieved after re-assessment in an item of assessment is
lower than that achieved at the previous attempt, the higher mark achieved will be
used to calculate the overall weighted average mark for the module.
K14.1.4 Where a decision has been taken to cease to offer a module, the Faculty will
schedule two re-assessment opportunities for the final cohort. Students will be
eligible to submit claims to defer an assessment or claim a coursework extension
because of exceptional circumstances in respect of each attempt at assessment in
such a module (see Procedures for the Procedures for the Consideration of
Exceptional Circumstances in Part II). Students will be offered the choice of
registering for a replacement module, rather than repeating the module which is
being phased out where this is possible. Any attempt at this alternative module will
be regarded as a re-assessment. The maximum mark which can be awarded after
re-assessment in the replacement module is 50% irrespective of the academic
merits of the re-assessed work. This mark will be used for the purposes of
calculating eligibility for an award with Commendation or Distinction.
K14.1.5 A student cannot demand re-assessment in a module which is no longer current in

the programme. The Examination Board will make such special arrangements as it
deems appropriate in cases where it is not practicable for students to be re-
assessed in the same module and by the same methods as before.
K14.1.6 A student will not be permitted to repeat the assessment for an item of assessment,
module or modules he or she has already completed successfully in order to
improve the mark.
K14.1.7 Where a student has failed an optional module or modules he or she will be
permitted to substitute alternative optional modules, provided such modules are
available. The actual mark achieved for the assessment of the new module will be
used for the purposes of calculating eligibility for an award with Commendation or
Distinction. Failed substitute modules cannot subsequently be substituted.
K 15 Withdrawal from the programme
K 15.1 Where a student withdraws before completing his or her programme, the student
will be entitled to receive an interim award provided that the requirements for that
September 2015 K 11
award have already been met.3 Where an interim award is not available this will be
specified in the Student Course Guide.
K 15.2 A student who fails again after exhausting the right to re-assessment afforded
under K14 above will be given the opportunity either:
 to accept the conferment of the highest level of interim award for which he
or she has satisfied the requirements, in which case the student will be
withdrawn from the programme;3 or
 to transfer his or her registration to an appropriate alternative programme

for which he or she can still satisfy the requirements, where such a
programme is available.
K 15.3 An Examination Board may withdraw a student who, despite warnings, has failed to
meet the requirements to attend/engage in the module. If the student has already
satisfied the requirements for an interim award he or she will be given the
opportunity to accept that award.
K 15.3 A student who fails to satisfy the assessment requirements for his or her
programme within the maximum permitted registration period for the award will be
withdrawn from the programme (see K 3 above).
K 16 Compensation
K 16.1 An Examination Board is not permitted to compensate failure in any module

forming part of a programme of study that contributes to any of the awards
governed by these regulations.
K 17 Awards with Commendation or Distinction
K 17.1 The award of Postgraduate Certificate is not available with Commendation or

Distinction.
K 17.2 The award of Postgraduate Diploma with Commendation will be made to students
who satisfy the requirements for the award and achieve an overall average mark of
60 – 69% in the 120 credits required for the award.4
3
When an Examination Board is considering a student’s results for an interim award, credits achieved
for modules which form part of the Postgraduate Diploma programme may be counted towards the
award of a Postgraduate Certificate and credit achieved for the Master’s stage may be counted
towards the award of a Postgraduate Certificate or Postgraduate Diploma.
4
For students who were awarded marks for work on their programme before the start of 2010/11 awards with
commendation and distinction will continue to be calculated according to the method described in Version 1 of
the Standard Postgraduate Assessment Regulations. Where students have a mixture of module sizes the total
September 2015 K 12
K 17.3 The award of Postgraduate Diploma with Distinction will be made to students who
satisfy the requirements for the award and achieve an overall average mark of 70%
or above in the 120 credits required for award.4
K 17.4 The award of Master’s Degree with Commendation will be made to students who
satisfy the requirements for the award and achieve an overall average mark of 60 -
69% in the 180 credits required for award.4
K 17.5 The award of Master’s Degree with Distinction will be made to students who satisfy
the requirements for the award and achieve an overall average mark of 70% or
above in the 180 credits required for award.4
K 17.6 Where module marks are averaged for the purposes of determining eligibility for an
award with Commendation or Distinction, marks to one decimal place will be
totalled for the calculation but the overall average mark will be expressed as a
whole number. In order to express the overall average mark as a whole number
fractions of .5 and above will be rounded up, anything below .5 will be rounded
down.
K 17.7 Where a student has been admitted with academic credit, eligibility for an award
with Commendation or Distinction will be based solely upon the marks achieved in
the modules the student was required to complete on the programme in order to
qualify for the award.
K 18 Cheating
The procedures to be followed in cases of alleged cheating are governed by the

Student Disciplinary Procedure in Part II.
K 19 Claims of Error in the Conduct of Assessment Processes
The procedures to be followed by a student who wishes to make a claim that there
has been a material irregularity in the conduct of the assessment or the examination
board are described in Part II of the University’s Academic Regulations and
Policies.
number of credits achieved may amount to slightly more or less than 60 credits in a Stage of the programme.
An adjustment will be made to take this difference into account in the calculation.
September 2015 K 13
Version 2 - This version of the regulations applies to research degrees students
enrolled FROM September 2014 onwards. For students enrolled BEFORE
September 2014 please see Section G version 1 of these regulations.
G
REGULATIONS FOR THE AWARD OF THE UNIVERSITY’S DEGREES OF
MASTER OF PHILOSOPHY, DOCTOR OF PHILOSOPHY
AND DOCTOR IN AN AREA OF PROFESSIONAL PRACTICE
G 1. INTRODUCTION
G 1.1 This section of the regulations governs the award of the degrees of Doctor of
Philosophy and Master of Philosophy.
G 1.2 The Research Committee of the Senate (hereinafter referred to as 'RC') acts
on behalf of the Senate in matters relating to the development, monitoring and
review of the University’s strategies and procedures relating to research
degree candidates.
The RC acts on behalf of Senate on overseeing the monitoring of progress of

research degree students undertaken by faculties and in matters relating to the
registration and examination of research degree candidates.
G1.2.1 The Faculty Research Committee (hereinafter referred to as ‘FRC’) shall

ensure that the University’s regulations and procedures for research degrees
are complied with and that regular reports on the monitoring and progress of
research degree candidates are submitted to RC.
G 2. PRINCIPLES
G 2.1 The University shall award the degrees of Doctor of Philosophy (PhD) and
Master of Philosophy (MPhil)) to registered candidates who successfully
complete approved programmes of supervised research. Applications to
register will be considered for the award of Doctor of Philosophy only, although
the University may require a candidate to transfer to the award of Master of
Philosophy at any stage in their progression (see section G 7).
G 2.2 Programmes of research may be proposed in any field of study subject to the
requirements that the proposed programme is capable of leading to scholarly
research, that the proposed programme is related to a research area in line
with a faculty’s specified area of research focus, and to its presentation for
assessment by appropriate examiners. The written thesis may be
supplemented by material in other than written form. 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.
September 2014 Page 1 of 28

G 2.3 The 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 demonstrated an understanding of research
methods appropriate to the chosen field, has presented and defended a thesis
by oral examination (see section G 8 below) to the satisfaction of the
examiners. Throughout the regulations where the term 'oral examination' is
used it should be deemed to apply equally to an 'approved alternative
examination'.
G 2.4 The MPhil shall be awarded to a candidate who, having critically investigated
and evaluated an approved topic and demonstrated an understanding of
research methods appropriate to the chosen field, has presented and
defended a thesis by oral or approved alternative examination (see section G
8. below), to the satisfaction of the examiners. Throughout the regulations
where the term 'oral examination' is used it should be deemed to apply equally
to an 'approved alternative examination'.
G 2.5 The University shall encourage co-operation with industrial, commercial,

professional or research establishments for the purposes of research leading
to research degree awards. Such co-operation shall be intended:
2.5.1 to encourage outward-looking and relevant research;
2.5.2 to extend the candidate's own experience and perspectives on the

work;
2.5.3 to provide a wider range of experience and expertise to assist in the

development of the project;
2.5.4 to be mutually beneficial; and,
2.5.5 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 degrees regulations these bodies
shall be referred to as Collaborating Establishments. Formal collaboration
shall normally involve the candidate's use of facilities and other resources,
including supervision, 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
NERC/SERC CASE awards). The name(s) of the Collaborating
Establishment(s) shall appear on the candidate's thesis and degree certificate.
In cases where the candidate’s research project is supported by an external

establishment in terms of access to data/resources only, then this will not be

classed as a formal Collaborating Establishment, but will be classed as a
supporting establishment. In such cases a letter of support from the
establishment concerned should be provided with the application, but the
name of the supporting establishment will not appear on the candidate’s thesis
or degree certificate.
G 2.6 Registration is the process through which the University approves a research
degree candidate’s proposed research programme. Registration may only
take place following approval by the FRC of the following:
2.6.1 the suitability of the candidate to undertake research;
2.6.2 the programme of research; and
2.6.3 the supervision arrangements and research facilities.
Since this approval requires appropriate academic judgement to be brought to

bear on the viability of each research proposal, the FRC shall include persons
who are or have recently been engaged in research and who have appropriate
experience of successful research degrees supervision and of examining for
research degrees. The FRC shall also include at least one person representing
another faculty to ensure breadth of research experience and knowledge.
G 2.7 In order to ensure that research degrees awarded by the University are
comparable in standard with those of other Higher Education institutions, the
University will seek to secure membership of the RC and FRCs by individuals
with appropriate experience of supervisory procedures operated by other
universities and of research degree examinations conducted within other
Universities. In addition, faculties will be encouraged to involve colleagues
from other institutions in the supervision of candidates.
G 3. APPLICATION AND QUALIFICATIONS FOR REGISTRATION
G 3.1 An applicant may apply to register for the degree of:
3.1.1 Doctor of Philosophy (PhD), or
3.1.2 Doctor in an Area of Professional Practice
The University does not register candidates for Master of Philosophy (MPhil)
directly, although a student who has initially been registered for PhD may
subsequently be registered for MPhil as a result of the outcomes of the
University’s procedures for research student progress review (see section G7).
G 3.2 Applications to register for a research degree must be considered by the FRC
of the relevant Faculty. In proposing to FRC an application for registration, the
Faculty shall satisfy itself that:

3.2.1 the candidate is suitably qualified and holds an English language

qualification which meets the University’s entry requirements for
international students (see section G3.5 below and the Higher
Degrees by Research Handbook);
3.2.2 the candidate is embarking on a viable research programme;
3.2.3 supervision is adequate, meets regulatory requirements and likely to

be sustained; and
3.2.4 the University is able to provide appropriate facilities for the conduct
of scholarly research in the area of the research programme.
G 3.4 Applications to register are considered by the relevant FRC before an offer to
study is made to an applicant. Registration is formally confirmed on
subsequent enrolment as a research degree student. All new research
students will also be enrolled on the University’s Postgraduate Certificate in
Research Practice (PgCert), unless the relevant Faculty has assessed an
existing qualification as being equivalent through the University’s procedures
for accreditation of prior learning.
G3.5 The Faculty will seek academic references for candidates and may seek
advice from an independent expert on the viability of the proposed research.
G 3.5 Competence in English Language
G 3.5.1 The FRC shall satisfy itself that the candidate has sufficient command of the
English language to complete satisfactorily the programme of work and to
prepare and defend a thesis in English.
G 3.5.2 Where the applicant’s first language is not English, they will be required to
fulfil the following conditions in order to provide evidence that they have a
sufficient knowledge of both written and spoken English, as follows:
Applicants for admission to a programme leading to a research degree award
of the University must, before they can be admitted to the University, provide
evidence that they have attained normally at least a band score of 6.5 (with
not less than 6.0 in any component) in the British Council IELTS or
equivalent qualifications, which have been approved by the University. Some
Faculties / Schools may require English language qualifications above this
stipulated minimum.
G 3.5.3 Minimum standards for entry to higher degrees, together with a list of
recognised tests such as IELTS, will be approved by Senate.
G 3.6 Qualifications for Registration
3.6.1 An applicant for registration shall normally hold a minimum of a first or second
class Honours degree awarded by a University in the UK (or an overseas
degree of equivalent standard), in a discipline which is appropriate to the

proposed research.
3.6.2 In the case of some research degree programmes, for example those which
are funded by particular research councils, an applicant for registration for the
degree of PhD may additionally be required to hold a relevant Masters degree
awarded by a University in the UK, or an overseas Master's degree of
equivalent standard.
3.6.3 Applicants whose work forms part of a larger group project may register for a
research degree. 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.
3.6.4 Where a research degree project is part of a piece of funded research, the
FRC 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 degree.
3.6.5 The FRC may approve an application from a person proposing to work outside
the UK, provided that:
there is satisfactory evidence as to the facilities available for the research

both in the University and abroad;
the arrangements 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);
a supervisor resident in the candidate's country of domicile and approved

by the FRC is appointed.
A statement of the supervisory arrangements must be included on the

application form when submitted to the FRC.
G 4. THE REGISTRATION PERIOD
G 4.1 The maximum periods of registration shall be as follows:
PhD MPhil
full-time 4 years 2 years
part-time 7 years 3 years
G 4.2 A full-time candidate shall be expected to reach the standard for PhD within
three years of registration, with a maximum of 4 years permitted. A part-time
candidate shall be expected to reach the standard for PhD within 4 years of
registration, with a maximum of 7 years permitted.
G 4.3 Where a research degree candidate’s registration is, following a progress

review, transferred to that of Master of Philosophy (please refer to section G 7

below), the maximum period of registration shall be 2 years from the point of
transfer (if the transfer occurred in the candidate’s first year of registration) or
shall be a maximum of 1 year (if the transfer occurred thereafter).
G 4.4 Where a candidate changes from full-time to part-time study or vice versa, the
maximum registration period shall be calculated as if he/she were a part-time
candidate (noting that FT years elapsed would count as pro rata PT years,
allowing a maximum of 2 additional years of PT registration following 3 years
of FT registration).Notification of such a change shall be made on the
appropriate form to the FRC and RC shall receive regular summary reports
from FRC which shall include any changes of mode of study.
G 4.5 Where a student has formally interrupted his or her studies, the period of
interruption of study will not be included in the student’s registration period
for the purposes of calculating his or her maximum period of registration
under these regulations.
G 4.6 In order to remain registered as a research degree candidate, the candidate

must enrol as a student of the University each year and pay the relevant tuition
fees. Continuation of registration is subject to satisfactory progress and at least
once a year the RC shall receive reports from FRCs on the progress of the
Faculty’s research students.
G 4.7 Changes to Registered Research Degree Programme
A candidate seeking a change to his or her registered programme of work shall

apply in writing to the Faculty for subsequent approval by the FRC.
G 4.8 Absence for Research Field Work
In appropriate circumstances a candidate for a research degree (who is a

full-time student) may undertake a limited amount of research away from the
University, either on approved fieldwork or in approved academic institutions
or scientific, clinical or industrial locations, whilst remaining under the
direction of the University. Permission to spend between 21 days and 6
months studying outside the University during the period of study determined
under paragraph 5.1 above will be at the discretion of the FRC; periods in
excess of this must be approved by the relevant committee unless specified
in the prescribed programme of study.
Detail of any authorised absence must be recorded and reported in the

faculty and with Academic Registry in line with the University’s Authorised
Absence Procedure.
G 4.9 Suspension of Registration
Where the candidate is prevented by good and valid cause from making
progress with the research, the registration may be suspended by the FRC,

normally for not more than one year at a time. A candidate seeking a
suspension of registration should apply on the appropriate form to the FRC.
The RC shall receive regular summary reports on suspensions of registration.
Financial hardship will not normally be accepted as a valid reason for

suspension.
A candidate may apply for a suspension of six months and a maximum of 12

months at any one time. Only two periods of suspension may be applied for
and no more than a total of 12 months suspension will normally be approved.
G 4.10 Extension of Registration
The FRC may, exceptionally extend a candidate's period of registration,

normally for not more than one year at a time. A maximum extension of six
months only may be applied for initially, but a further application may be made
up to a maximum of 12 months in total. A candidate seeking such an extension
shall apply on the appropriate form to the FRC. The RC shall receive regular
summary reports on extensions to registration.
G 4.11 Withdrawal of Registration
Where a candidate has discontinued the research, the withdrawal of

registration shall be notified to the Faculty on the appropriate form. The RC
shall receive regular summary reports on withdrawals of registration.
G 4.12 A candidate shall pay such fees as may be determined from time to time by
the University. The University retains the right to withdraw the registration of
any candidate who has not paid the required fees.
G 4.13 The University reserves the right to terminate the registration of a candidate
who has neglected their studies, fails to meet deadlines and/or required
standards, or who has contravened the University’s Handbook for Research
Degrees, responsibilities set out in this document or University regulations. A
candidate may appeal against termination of their registration through the
University’s Appeals Procedure for Research Degree Students.
G 5. DURING THE PERIOD OF RESEARCH DEGREE REGISTRATION
G 5.1 Programme of Related Studies
A candidate shall follow a programme of related studies 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:
5.1.1 to provide the candidate with the skills and knowledge necessary for
the pursuit of the proposed research;

5.1.2 to provide a body of knowledge normally associated with a degree in

the field of study of the proposed research; and
5.1.3 to provide breadth of knowledge in the related subjects.
Where the programme of related studies includes an approved programme of

studies leading to another award and a candidate is registered for that
programme and fulfils all its requirements, he/she may be recommended for
that award in addition to the degree of PhD or MPhil (see also paragraph G 4.9
below).
G 5.2 Creative Work as a Significant Part of the Research Programme
A programme of research may be undertaken in a field which allows the

candidate to submit evidence of creative achievement as well as academic
evidence. Thus 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, provided that the elements are mutually supportive.
The creative work shall be set in its relevant theoretical, historical, critical or
design context. The submission itself shall conform to the usual scholarly
requirements and be of an appropriate length (see paragraph G 11.9 below).
It could provide, for example, a commentary upon the structure of the creative
work and an exposition of the methods employed. The final submission shall
include a permanent record (for instance, video, photographic record, musical
score, and diagrammatic representation) of the creative work, where
practicable, bound with the thesis (see paragraph G 11.13. below).
The Year 1 progression panel (see section G 7) shall set out the form of the
candidate's intended submission and of the proposed methods of assessment.
G 5.3 Ethical considerations
Any ethical considerations relating to the proposed programme of research will

be detailed by candidates in the application to register the register the
research degree and must be approved by FRC. This will include any ethical
approval that has been sought/obtained at faculty level or by external bodies
(where appropriate)
In a case where a research programme requires external ethical approval and

where the external body requires that the programme of research is approved
by the University prior to this being sought, then the FRC may approve (where

appropriate) the programme of research subject to the requisite external

ethical approval subsequently being granted. In such a case, the candidate
must provide evidence to the FRC that this ethical approval has been granted
within 6 months of the research registration.
In cases where ethical approval has not been confirmed after 6 months, the
matter will be referred back to FRC. Depending on the circumstances of the
particular case FRC may agree to an extension to the period for confirming
ethical approval or may require that the candidates’ registration be withdrawn.
G 5.4 Preparation of Scholarly Edition
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 G 10.8 below).
G 5.5 Integrated Programmes of Work
A candidate for a PhD may undertake an integrated programme of work which,

as well as the research element, shall include a programme of postgraduate
study on which his/her performance shall be formally assessed. Such a
programme of study shall not occupy more than one third of the total period of
registration and shall complement the research.
G 5.6 Mode of Study
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.
G 5.7 Concurrent Registration
The FRC may permit a candidate to register for another programme of study,
other than an approved programme of related studies, concurrently with the
research degree registration, provided that either the research degree
registration or the other programme of study is by part-time study and that, in
the opinion of the FRC, the dual registration will not detract from the research.
The FRC will not permit concurrent registration on a third programme of study
while a research degree candidate remains enrolled on the University’s PgCert
Research Practice.

G 5.8 Confidential Research
Where a candidate, the University or a collaborating establishment wishes the

thesis to remain confidential for a period of time after completion of the work,
application for approval shall normally be made to the RC. The period
approved shall not exceed, normally, two years from the date of the oral
examination. The RC is only likely to approve an application for confidentiality
in order to enable a patent application to be lodged or to protect commercially
or politically sensitive material. Theses may not be restricted in this way in
order to protect research leads. While the normal maximum period of
confidentiality is 2 years, in exceptional circumstances the RC may approve a
longer period.
G 6. SUPERVISION
G6.1 Each programme of supervised research arranged by the University is the

overall responsibility of the Faculty’s Associate Dean with responsibility for
Research. Where two or more Faculties contribute to a programme of
supervised research, the Associate Dean with responsibility for Research
exercises this in consultation with the other Associate Deans/Heads of
Schools concerned. The arrangements made for the resourcing, conduct and
management of each programme of supervised research are subject to
scrutiny and approval by the relevant FRC
G 6.2 A research degree candidate shall have at least two and normally not more
than three supervisors.
G 6.3 At least one supervisor shall have had experience of supervising candidates to
successful completion of a UK research degree. A supervision team shall
normally have had a combined experience of supervising not fewer than two
candidates to successful completion. In the case of a PhD at least one of the
supervisors shall have successfully supervised at PhD level.
In cases where a supervisory team has combined experience of supervising

only one candidate to successful completion FRC may agree that the
proposed supervision arrangements should be approved, subject to the
supervisory team being supplemented by an appropriately experienced
supervisory mentor and subject to approval of the arrangements for mentoring
by the FRC.
It is expected that members of a supervisory team will attend the University’s

Research Supervisor Training programme as appropriate. It is also expected
that mentors will have attended the training programme.
G 6.4 One supervisor shall be the Director of Studies (first supervisor) with primary
responsibility for supervising the candidate on a regular and frequent basis
and for the candidate’s academic progression
G 6.5 At least one (and not more than two) further supervisor(s) shall be appointed to

the supervisory team. The Second Supervisor will normally have primary
responsibility for providing pastoral advice to the student in addition to
providing academic advice.
G 6.6 In addition to the supervisors, an adviser or advisers may be proposed to

contribute some specialised / technical knowledge or a link with an external
organisation.
G 6.7 A candidate for a research degree shall be ineligible, normally, to act as

Director of Studies for another research degree candidate but may act as a
second supervisor or adviser. Exceptionally, however, the FRC may approve
such an appointment where it can be demonstrated beyond doubt that the
individual concerned has the expertise and competence to act as Director of
Studies and that the individual's own candidacy will not compromise his or her
ability to fulfil that role adequately.
G 6.8 A proposal for a change in supervision arrangements shall be made to the

FRC on the appropriate form. The RC shall receive regular summary reports
on any changes to supervisory arrangements.
G.7 PROGRESSION AND MONITORING
G 7.1 A formal review of research candidate progress will be undertaken every

six months, commencing six months after the student’s initial registration.
Detail of the nature and purpose of these specific reviews are shown in the
table below:
Timing of Potential
Review Review Primary Purpose Outcome/s
(regardless of
mode of study)
Initial No later than 6 To review induction, progress on Satisfactory.
months post the Pg Cert Research Practice
registration. and other training needs. At Risk.
Progression No later than 12 Review research progress and
Assessment months post confirm, or otherwise, registration
Panel registration. of PhD. Satisfactory –
Research paper submitted to proceed with PhD.
progression assessment panel
and examined via viva voce with Proceed At Risk.
candidate.
Revise
registration to
MPhil.
Withdraw.

Interim / At months 18, To review research progress and

Regular 24 and 30 (and confirm, or otherwise, registration
thereafter if of PhD.
registration was
suspended or
extended).
Final No later than 6 To assess readiness for thesis Progress to
months prior to submission Submission.
expected
registration Proceed At Risk.
end date.
Revise
registration to
MPhil.
Withdraw.
G 7.2 For each research degree candidate, all reviews, with the exception of the
Progression Assessment Panel (see paragraph 7.3 below) will be
undertaken by the candidate’s supervisory team, and will follow the
procedures and deploy templates as detailed in the Handbook for
Research Students.
G 7.3 For each research degree candidate, the FRC shall appoint three or more
persons to fulfil the role of a Progression Assessment Panel, The
Progression Assessment Panel meet in accordance with the timetables
outlined by Senate, and determine student progress in line with guidance
provided by Senate.
G 7.4 The Faculty’s Associate Dean with responsibility for Research, (or nominated
Director of Research Degrees) is normally a member of the Progression
Assessment Panel; where this person also happens to be a member of the
candidate’s supervisory team, then an alternative nominee shall be
appointed. Other members are normally independent of the student’s day-to-
day management and study, but will be experienced in the supervision of
research degrees in the candidate’s field of study.
G 7.4.1 The Progression Assessment has two components:
(a) A research paper submitted by the candidate.

The candidate will submit a paper of between 3,000 – 6,000 words in
length drawn from their research to date. It will be based on the
appropriate template as detailed in the Handbook for Research Students
and should contain some reflection on the research process and detail
of the current and proposed methodology/ies. The paper must also be
appropriately referenced and detail the experience of the supervisory
team and facilities available for the study.
(b) A viva voce examination.

The viva voce will permit the Progression Assessment Panel to discuss
in depth the research with the candidate and any issues that may arise
from it. The Progression Assessment Panel may request that the
student presents the research papers orally as well as in writing.
G 7.5 The primary responsibilities of the Progression Assessment Panel shall

include:
7.5.1 receiving the candidate’s Progression Assessment Report (see

paragraph 7.4.1) and assessing this via viva voce with the candidate,
to assess the candidate’s suitable progress through his / her research
programme and to confirm, or otherwise, the registration on the award
of PhD.
7.5.2 recommending to the relevant FRC whether or not the student should
remain registered on his/her intended degree, and advising on whether
the scheduled registration period remains appropriate;
7.5.3 producing any formal Progression Assessment Panel documentation in

line with University procedures;
7.5.4 attending relevant School and Faculty committees as required.
G 7.6 The Progression Assessment Panel is entitled to receive and ask for
evidence from the candidate, from the Supervisor/s and from other persons
providing learning support to the candidate to determine whether or not the
candidate is making appropriate academic progress. The Progression
Assessment Panel reports to the relevant FRC on the progress of individual
candidates and recommends corresponding changes to registration.
G.7.7 The FRC is responsible for giving appropriate scrutiny to the review reports
from all types of postgraduate research review. Where the FRC has
concerns about the progress of particular students, these should be referred
to the Faculty’s Associate Dean with responsibility for Research for
resolution. Where necessary, the Faculty’s Associate Dean with
responsibility for Research should refer to the Director of Studies and/or
candidate as appropriate before advising on an appropriate course of action.
In the event that the Faculty’s Associate Dean with responsibility for
Research is a member of the candidate’s supervisory team then the Pro Vice
Chancellor Research, Enterprise and Business Engagement should be
consulted instead.
G 7.8 The Faculty’s Associate Dean with responsibility for Research is expected to
oversee the procedures for annual monitoring and to provide annual reports
to the RC on the outcomes of the Faculty’s monitoring of postgraduate
research provision. This will include analysis of admission, progression and
completion information for postgraduate research candidates as well as
identification of areas of good practice and of any areas of concern. The
report compiled by the Associate Dean with responsibility for Research

should be considered and approved by FRC and Faculty Academic Board

before being submitted to the RC.
G 8. EXAMINATIONS - GENERAL
G 8.1 The examination for the award of PhD or MPhil shall have two stages: firstly
the submission and preliminary assessment of the thesis and secondly its
defence by oral examination.
G 8.2 A candidate whose programme of work includes formally assessed course

work in a programme of work leading to the degree of PhD (see paragraph G
5.5 above) 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 by the Research Degrees
Officer.
G 8.3 The Faculty will make arrangements for the candidate to undergo a
preparative (or ‘mock’) viva voce examination in advance of the planned viva
voce examination.
G 8.4 The oral examination will be chaired by a member of University academic

staff who is independent of the candidate, has experience in the supervision
and examination of research degrees and an understanding of the
University’s research degree regulations and policies. The chair may be
nominated by the FRC from a Faculty other than that in which the
candidate’s study is located.
G 8.5 A candidate shall be examined orally on the programme of work and on the
field of study in which the programme lies. However, where for reasons of
sickness, disability or comparable valid cause the FRC 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 by the FRC
and ratified by the Pro Vice Chancellor, Research, Enterprise and Business
Engagement.
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.
G 8.6 An oral examination shall normally be held in the UK. In special cases the RC
may give approval for the examination to take place abroad.
G 8.7 A supervisor may, with the consent of the candidate, attend the oral
presentation as an observer but must withdraw prior to the deliberations of the
examiners on the outcome of the examination.
G 8.8 The Pro Vice Chancellor, Research, Enterprise and Business Engagement,
shall make a decision on the reports and recommendation(s) of the examiners
in respect of the candidate.

G 8.9 The degree of MPhil or PhD may be awarded posthumously on the basis of a
thesis completed by a candidate which is ready for submission for
examination.
G 8.10 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 RC shall consider the matter, if
necessary in consultation with the examiners, and take appropriate action in
accordance with the procedures defined in Part II of the University’s Academic
Regulations and Policies
G 8.11 The FRC 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 FRC 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.
G 9. EXAMINATION PROCEDURES
G 9.1 The Faculty shall propose on the appropriate form the arrangements for the
candidate's examination to the FRC for approval (see section G 12 below) and
the arrangements should also be considered by Academic Registry to approve
compliance with regulatory and policy issues. This should be done not less
than three months before the expected date of the examination. The
examination may not take place until the examination arrangements have been
approved. In special circumstances the FRC may act directly to appoint
examiners and arrange the examination of a candidate.
G 9.2 The Research Degrees Officer 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.
G 9.3 The Research Degrees Officer shall notify the candidate, all supervisors and
the examiners of the date of the oral examination.
G 9.4 The Research Degrees Officer shall send a copy of the thesis to each
examiner, together with the examiner's preliminary report form, the guidance
notes for examiners and the University's regulations, and shall ensure that the
examiners are properly briefed as to their duties.
G 9.5 The Research Degrees Officer shall ensure that all the examiners have
completed and returned the preliminary reports to the University before the
oral examination takes place.
G 10. THE CANDIDATE'S RESPONSIBILITIES IN THE EXAMINATION PROCESS
G 10.1 The candidate is required to present an Intention to Submit form approximately

6 months prior to the anticipated thesis submission date / end of registration

date.
G 10.2 The candidate shall ensure that the thesis is submitted to the Research
Degrees Officer before the expiry of the registration period. The candidate is
responsible for ensuring that the thesis complies with the University’s
regulations.
G10.3 The submission of the thesis for examination shall be at the sole discretion of
the candidate, although supervisors will provide advice and guidance. While a
candidate would be unwise to submit the thesis for examination against the
advice of their supervisors, it is their right to do so. Conversely, candidates
should not assume that supervisors’ agreement to submission guarantees a
successful outcome.
G 10.4 The candidate shall satisfy any conditions of eligibility for examination required
by the regulations.
G 10.5 The candidate shall take no part in the arrangement of the examination and
shall have no formal contact with the examiner(s) between the appointment of
the examiners and the oral examination / conferment of award..
G 11. SUBMISSION OF THESIS FOR EXAMINATION
G 11.1 The candidate shall confirm, through the submission of a declaration form that
the thesis has not been submitted for a comparable academic award. A
candidate shall not be precluded from incorporating, in a 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.
G 11.2 The candidate shall ensure that the thesis format is in accordance with the
requirements of the University's regulations. Theses may be submitted for
examination in a temporarily bound form such as spiral binding which is
sufficiently secure to ensure that pages cannot be added or removed. A thesis
submitted in a temporarily bound form shall be in its final form in all respects
save the binding. The requirements for submission of the thesis after the
award has been confirmed are set out in section G16.
G 11.3 The thesis must be presented in English.
G 11.4 The thesis must include a statement of the candidate's objectives and must
acknowledge published or other sources of material consulted (including an
appropriate bibliography) and any assistance received.
G 11.5 There shall be an abstract (of approximately 300 words) bound into the thesis
which provides a synopsis of the thesis stating the nature and scope of the
work undertaken and of the contribution made to the knowledge of the subject
treated.

G 11.6 Where a candidate's research programme is part of a collaborative group

project, the thesis must indicate clearly the candidate's individual contribution
and the extent of the collaboration.
G 11.7 The copyright of the thesis is normally vested in the candidate. Any variation
must be codified in a written agreement and must be notified to the FRC at
the time of initial application.
G 11.7 The candidate is free to publish material in advance of the thesis but reference
must be made to any such work in the thesis. Copies of published material
should either be bound in with the thesis or placed in an adequately secured
pocket at the end of the thesis.
G 11.8 While theses are normally in A4 format, the FRC may give permission for a
thesis to be submitted in another format where it is satisfied that the contents
of the thesis can be better expressed in that format. However, candidates
using a format larger than A4 should note that the production of microfiche
copies and full-size enlargements may not be feasible.
G 11.9 The text of the thesis should not normally exceed the following length
(excluding ancillary data):
for MPhil 40,000 words

for PhD 80,000 words
This maximum shall be reduced in certain study areas which require the
submission of extensive ancillary data, or where the thesis includes material in
other than written form (see paragraph G 5.2 above), or where the research
involves creative writing or the preparation of a scholarly edition (see
paragraph G 5.4 above).
G 11.10 At least three copies of the thesis are normally required for examination. The
number of copies must be sufficient for each of the examiners plus the
Independent Chair. Further guidance is available in the Handbook for
Research Students.
G 11.11 Where the FRC has agreed that the confidential nature of the candidate's work
is such as to preclude the thesis being made freely available in the library of
the University (and Collaborating Establishment, if any) and in the case of a
PhD, the British Library, the thesis shall, immediately on completion of the
programme of work, be held by the University on restricted access and only be
available to those who were directly involved in the project for a time not
exceeding the approved period (see paragraph G 5.8 above).
G11.12 The candidate is required to check the text-based components of their thesis,
prior to submission for assessment, using a plagiarism detection service which
is approved by the University. It is an essential requirement that a paper copy
of the plagiarism detection report, signed by the researcher and their

supervisors, accompanies the hard copy version of the thesis which is

submitted for assessment.
G11.13 The Thesis must conform to the requirements listed below:
G11.13.1 Copies of the thesis shall be presented in a permanent and legible

form either in typescript or print. Where copies are produced by any
photocopying processes, these must be of a permanent nature.
Where word processor and printing devices are used, the printer
must be capable of producing text of a satisfactory quality.
G11.13.2 The thesis may be printed on one side of the paper or on both sides
of the paper. Where both sides of the paper are used, the paper
must be sufficiently thick to avoid show through.
G11.13.3 Double or one-and-a-half spacing must be used in typescript except

for indented quotations or footnotes where single spacing may be
used.
G11.13.4 The title page of every volume shall give the following information.
(a) the full title of the thesis and any subtitle;

(b) the full name of the author;
(c) the award for which the degree is submitted in partial
fulfilment of its requirements;
(d) that the degree is awarded by Birmingham City
University;
(e) the Faculty in which the research was conducted and the
Collaborating Establishment, if any;
(f) the month and year of submission. (In the case of a
resubmission, the date of original submission applies).
A specimen title page is provided at Appendix 1.
Where a candidate submits creative work (see G 5.2 above) that cannot be
bound into the thesis or stored in a pocket attached to the inside back cover of
the thesis, then the material should be gathered into another volume and
stored in a rigid container of the same size and colour as that of the bound
thesis.
G 12. EXAMINERS
G 12.1 A candidate shall initially be examined by at least two and normally not more
than three examiners, of whom at least one shall be an external examiner. In
the case of a re-examination, an additional external examiner may be
appointed (see regulations G13.7, G14.2 and G14.9).
G 12.2 An internal examiner shall be defined as an examiner who is:

12.2.1 a member of staff of the University; or
12.2.2 a member of staff of the candidate's Collaborating Establishment.
G 12.3 A candidate’s supervisor may not be proposed as an internal examiner. Where

there are two external examiners, only one internal examiner may be
proposed.
.G 12.4 Examiners shall be experienced in research in the general area of the

candidate's thesis and, where practicable, have experience as a specialist in
the topic(s) to be examined.
G 12.5 When proposing an examining team for approval by the FRC, a Faculty will
take into account the research degree examining experience of all proposed
external and internal examiners. It is expected that there will be an
appropriate balance of experience across the examining team. If an internal
examiner with minimal experience is proposed, an additional experienced
examiner (external or internal) should be proposed.
At least one external examiner shall normally have had experience of
examining two or more research degree candidates. In cases where it is
impossible to secure the services of an external examiner with both the
relevant subject expertise and experience of examining two research degree
candidates, the FRC may waive the latter requirement in the case of MPhil
examinations, provided it is satisfied that sufficient examining experience
exists within the team of examiners. In an examination for PhD, at least one
external examiner shall have had experience of examining two or more PhD
candidates.
G 12.6 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 a
supervisor of another candidate in the same department at the University.
The FRC shall seek to ensure the independence of the external examiner(s)
and ensure that the same external examiner is not approved so frequently that
his/her familiarity with the department might prejudice objective judgement.
G 12.7 No candidate for a research degree shall act as an examiner.
G 13. EXAMINATION OF THE THESIS
G 13.1 The examination shall be held in two parts:
13.1.1 the examiners' scrutiny of the thesis, and
13.1.2 the candidate's defence of the thesis, by oral examination.
G 13.2 The Examiners' Preliminary Scrutiny of the Thesis

13.2.1 Each examiner shall read and examine the thesis and submit on the
appropriate form an independent preliminary report on it to the Research
Degrees Officer before any oral examination is held. In completing the
preliminary report, each examiner shall consider whether the thesis
provisionally satisfies the requirements of the degree (as set out in paragraphs
G 2.3 and G 2.4 above) and where possible make an appropriate provisional
recommendation subject to the outcome of any oral examination.
13.2.2 Once the candidate has submitted the thesis to Academic Registry for
examination, the examination process must be completed.
G 13.3 The Oral Examination
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 of the degree to the Research Degrees Officer. 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 FRC to satisfy itself that the recommendation is appropriate.
Where the examiners are not in agreement, separate reports and

recommendations shall be submitted. The recommendations shall be made
on the appropriate form.
The oral examination will take place on University premises unless alternative
arrangements have been approved by FRC. It is expected that the candidate
and examiners will normally be present at the University for the viva. However,
the participation of the student or an examiner remotely may be permitted by
FRC in exceptional circumstances. In such cases the proposed arrangements
for remote attendance must be approved by FRC.
G 13.4 The Recommendation of the Examiners
Following the completion of the examination the examiners may recommend

that:
13.4.1 the candidate be awarded the degree;
13.4.2 the candidate be awarded the degree subject to minor amendments

being made to the thesis (see paragraph G 13.6 below);
13.4.3 the candidate be not awarded the degree but be permitted to

re-submit for the degree and be re-examined, with or without an oral
examination (in the case of a PhD examination the candidate may
elect to be re-examined for the award of an MPhil. Such a candidate
will be required to confirm in writing that he/she agrees to waive the
right to be re-assessed for the award of PhD); (see paragraph 13.7
below)

13.4.4 In the case of a PhD examination the candidate be not awarded the
degree of PhD but be invited to submit for the award of MPhil. The
examiners may recommend that the degree of MPhil be awarded
subject to the presentation of the thesis amended to the satisfaction
of the examiners. The candidate must confirm in writing his/her
agreement to waive the right to be re-assessed for the award of a
PhD provided under G 13.4.3 above. (see paragraph 13.7 below)
G13.5 Following the oral examination the Independent Chair may indicate informally
the examiners’ recommendation on the result of the examination to the
candidate but they shall make it clear that the recommendations are submitted
to the Pro Vice Chancellor Enterprise and Business Engagement who is
responsible for final decisions on research degree awards.
G13.6 Where the examiners are satisfied that the candidate has in general reached
the standard required for the degree, but consider that the candidate's thesis
requires some minor amendments and corrections not so substantial as to call
for the submission of a revised thesis, and recommend that the degree be
awarded subject to the candidate amending the thesis to the satisfaction of the
internal and/or the external examiner(s) (see sub-paragraph G 13.4.2 above),
they shall submit a report in writing indicating what amendments and
corrections are required and the reason for their recommendation. This report
should be submitted to the Research Degrees Officer within two weeks of the
date of the oral examination. The report will then be forwarded to the
candidate, who should submit the amended thesis to the Research Degrees
Officer within six weeks of the date of the oral examination. The examiners
may, where there are good reasons, recommend that the student be permitted
up to a maximum of 6 months from the date of the oral examination to make
the amendments.
G13.7 Where the examiners recommend that the degree be not awarded they shall,
within one month of the date of the oral examination, prepare an agreed
statement of the deficiencies of the thesis and the reason for their
recommendation, which shall be forwarded to the candidate by Research
Degrees Officer.
G 13.8 Where the examiners' recommendations are unanimous the Pro Vice
Chancellor Research Enterprise and Business Engagement, may confirm the
recommendation of the examiners and instruct the Research Degrees Officer
to act accordingly. If the Pro Vice Chancellor Research Enterprise and
Business Engagement declines to exercise his/her authority in this respect, the
recommendations must be put to the next meeting of the RC.
G 13.9 Where the examiners' recommendations are not unanimous, Pro Vice
Chancellor Research Enterprise and Business Engagement acting on behalf of
the RC may:
13.9.1 accept a majority recommendation (provided that the majority

recommendation includes at least one external examiner);

13.9.2 accept the recommendation of the external examiner;
13.9.3 require the appointment of an additional external examiner; or
13.9.4 require that a further examination be held with a new set of

examiners
13.9.5 refer the matter to RC
13.9.6 if in accordance with regulation G 13.9.3 or G 13.9.4 above the Chair

of RC decides to appoint an additional examiner or to hold a further
examination the recommendations of the new examiner(s) shall be
referred to RC together with those of the original examiners for
decision.
G 13.10 Where an additional external examiner is appointed under sub-paragraph G

13.9.3 above, he/she 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 Pro Vice Chancellor Research Enterprise and Business Engagement shall
make a decision on the recommendations of the examiners or refer the matter
to RC for decision.
G 13.11 Where the Pro Vice Chancellor Research Enterprise and Business
Engagement declines to exercise authority as described above, and the
examiners’ recommendation is referred to RC, the Committee may:

13.11.2 accept the recommendation of the external examiner; or
13.11.3 require the appointment of an additional external examiner

examiners
13.11.5 if in accordance with regulation G 13.11.3 or G 13.11.4 above RC

decides to appoint an additional examiner or to hold a further
referred to RC together with those of the examiners for decision.
G 14. RE-EXAMINATION OF THE THESIS
G 14.1 One re-examination will be permitted, subject to the following requirements:
14.1.1 a candidate who fails to satisfy the examiners at the first

examination, including where appropriate the oral examination may,

on the recommendation of the examiners and with the approval of
the Pro Vice Chancellor Research Enterprise and Business
Engagement, be permitted to revise the thesis and be re-examined;
14.1.2 the examiners shall provide the candidate, through the Research
Degrees Officer, with written guidance on the deficiencies of the first
submission; and
14.1.3 the candidate shall submit for re-examination within the period of one
calendar year from the date of the latest part of the first examination.
The Pro Vice Chancellor Research Enterprise and Business
Engagement may, where there are good reasons, approve an
extension of this period.
G 14.2 The Pro Vice Chancellor Research Enterprise and Business Engagement may
require that an additional external examiner be appointed to the existing
examining team for the re-examination.
G 14.3 There are three forms of re-examination:
14.3.1 where the candidate's performance in the first oral examination was
satisfactory but the thesis was unsatisfactory and the examiners on
re-examination certify that the thesis as revised is satisfactory, the
RC may exempt the candidate from an oral re-examination;
14.3.2 where the candidate's performance in the first oral examination was
unsatisfactory and the thesis was also unsatisfactory, any
re-examination shall include a re-examination of the thesis and an
oral examination;
14.3.3 where on the first examination the candidate's thesis was satisfactory
but the performance in the oral examination was not satisfactory the
candidate shall be re-examined in the oral examination, subject to
the time limits prescribed in sub-paragraph G 14.1.3 above, without
being requested to revise and re-submit the thesis.
G 14.4 The Examiners' Scrutiny of the Revised Thesis
in the case of a re-examination under sub-paragraphs G 14.3.1 or G 14.3.2

above, each examiner shall read and examine the thesis and submit, on the
appropriate form an independent preliminary report on it to the Research
Degrees Officer before any oral examination is held. In completing the
preliminary report, each examiner shall consider whether the thesis
provisionally satisfies the requirements of the degree (as set out in paragraphs
G 2.3 and G 2.4 above) and where possible make an appropriate provisional
recommendation subject to the outcome of any oral examination.
G 14.5 The Oral Re-examination

Following the re-examination of the thesis under sub-paragraph G 14.3.1

above or following an oral examination under G 14.3.2 or G 14.3.3, above 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 Research Degrees Officer. 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 RC to satisfy
itself that the recommendation is appropriate.
Where the examiners are not in agreement, separate reports and

recommendations shall be submitted. The recommendations shall be made
on the appropriate form.
G 14.6 The Recommendation of the Examiners Following Re-examination
Following the completion of the examination the examiners may recommend

that:
14.6.1 the candidate be awarded the degree;
14.6.2 the candidate be awarded the degree subject to minor amendments

being made to the thesis (see paragraph G 14.7 below);
14.6.3 the candidate be not awarded the degree (see paragraph G 14.8
below); or
14.6.4 in the case of a PhD examination the candidate be not awarded the
degree of PhD but be invited to submit for the award of MPhil. The
examiners may recommend that the degree of MPhil be awarded
subject to the presentation of the thesis amended to the satisfaction
of the examiners.
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 RC.
G 14.7 Where the examiners are satisfied that the candidate has in general reached
the standard required for the degree, but consider that the candidate's thesis
requires some minor amendments and corrections and recommend that the
degree be awarded subject to the candidate amending the thesis to the
satisfaction of the internal and/or the external examiner(s) (see sub-paragraph
G 14.6.2 above), they shall submit a report in writing indicating what
amendments and corrections are required and the reason for their
recommendation. This report should be submitted to the Research Degrees
Officer within one month of the date of the oral examination. The report will
then be forwarded to the candidate, who should submit the amended thesis to
the Research Degrees Officer within six weeks of the date of the oral
examination. The RC may, where there are good reasons, approve an

extension of this period.
G 14.8 Where the examiners recommend that the degree be not awarded they shall,
within one month of the date of the oral examination, 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 Research
Degrees Officer.
G 14.9 Where the examiners' recommendations are unanimous the Chair of the RC,
acting on behalf of the Committee, may confirm the recommendation of the
examiners and instruct the Research Degrees Officer to act accordingly. If the
Chair of the RC declines to exercise his/her authority in this respect, the
recommendations must be put to the next meeting of the RC.
G 14.10 Where the examiners' recommendations are not unanimous, the Chair of the
RC acting on behalf of the Committee may:

14.10.2 accept the recommendation of the external examiner; or
14.10.3 require the appointment of an additional external examiner;

examiners;
14.10.5 if in accordance with regulation G 14.10.3 or G 14.10.4 above RC

decides to appoint an additional examiner or to hold a further
referred to RC together with those of the examiners for decision.
G 14.11 Where an additional external examiner is appointed under sub-paragraph G

14.10.3 above, he/she 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 Chair of RC shall make a decision on the recommendations of the
examiners or refer the matter to RC for decision.
G 15. REVIEW OF AN EXAMINATION DECISION
G 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.
G 15.2 A request for a review may be made only in relation to a decision of the RC on
the recommendation of the examiners. Given the existence of procedures for
complaint and grievance during the study period, alleged inadequacy of
supervisory or other arrangements during the period of study shall not

constitute grounds for requesting a review of the examination decision.
G 15.3 A request for a review may only be made on the following grounds:
15.3.1 that there were circumstances affecting the candidate's performance

in the oral examination of which the examiners were not aware at the
time; and/or
15.3.2 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
15.3.3 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.
G 15.4 A candidate shall give notice, in a letter to the Head of Student Complaints,
Appeals and Conduct, within ten days of receipt of notification of the result that
he/she wishes to request a review and shall submit the case for review within a
further four weeks from the date of giving notice. Exceptionally, where good
cause is demonstrated, the Head of Student Complaints, Appeals and
Conduct may exercise discretion to extend the period for request of a review.
G 15.5 The request for a review shall first be considered by the Pro Vice Chancellor
Research Enterprise and Business Engagement who shall determine whether
there is a prima facie case for a review. If it is decided that a prima facie case
has not been established, a recommendation to this effect shall be submitted
to the Chair of Senate for decision. The Chair of Senate may support the
recommendation or require further investigation or action on the review. There
shall be no appeal from the decision of the Chair of Senate.
G 15.6 If it is considered that there is a prima facie case for a review the Pro Vice
Chancellor Research Enterprise and Business Engagement shall ask the
Complaints and Appeals office to gather such evidence as is considered
appropriate and likely to assist a panel in reviewing the case. This may include
seeking written or oral testimony from the examiners, from the Independent
Chair of the examination, from supervisors or other members of the academic
staff, or further evidence or statements by way of elucidation from the
candidate.
G 15.7 The request for a review shall be considered by a panel constituted by the Pro
Vice Chancellor Research Enterprise and Business Engagement 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. The Chair of
the panel shall be a senior member of staff who is not a member of the RC.

G 15.8 If the review panel decides that a candidate has valid grounds for a review, it
shall require that the RC take one or more of the following courses of action:
- reconsider its decision;
- invite the examiners to reconsider their decision; or
- appoint new examiners.
G 15.9 There shall be no appeal against the decision of the review panel.
G 15.10 A review panel shall not be constituted as an examination board and shall not
have the authority to set aside the decision of the RC and thereby to
recommend the award of the degree.
G 15.11 If an appeal has been upheld under paragraph G 15.3.2 above and the RC
has declined to alter its original decision the Pro Vice Chancellor, Research,
Enterprise and Business Engagement may refer the matter to the Senate for
resolution.
G 16 SUBMISSION OF THESIS FOLLOWING AWARD
G16.1 Following the award of the degree, research degree graduates are required to
submit one, permanently hard-bound copy of their thesis to the University for
lodging with the library and an electronic copy for e-deposit in the University’s
e-repository. If appropriate, a hard copy should also be placed in the library of
any Collaborating Establishment. The thesis should be submitted with
confirmation that the contents of the permanently bound version are identical
to the version approved through the examination process.
G16.2 In addition to the requirements which apply for submission of the thesis for
examination (see Section G 11.13), the following shall apply to the final version
of the thesis submitted after the award:
G16.2.1 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.
G16.2.2 The outside front board shall bear the title of the work in at least 24pt
type. The name and initials of the candidate, the qualification and
the year of submission shall also be shown on the front board. The
same information (excluding the title of the work) shall be shown on
the spine of the work together with the volume number, where
applicable. The information should be printed either across the spine
or along the spine in such a way as to be readable when the volume
is lying flat with the front cover uppermost.

APPENDIX 1: SPECIMEN THESIS TITLE PAGE
THE ORIGINS OF THE FARMERS' CO-OPERATIVE IN WESSEX
JOHN SMITH
A thesis submitted in partial fulfilment of the requirements of

Birmingham City University
for the degree of Doctor of Philosophy
September 2014
The Faculty of Agricultural Studies, Birmingham City University,

in collaboration with the Borchester Farmers' Club

Extenuating Circumstances Procedure
Introduction
This procedure applies only to students who are currently enrolled on a programme
of study offered directly by us or at selected partner organisations. Your student
handbook will tell you if you need to use a different procedure for your programme of
study. It is important that you read the whole of this procedure.
We will assume that you are fit and well enough to take your assessments (‘fit to sit’)
unless you tell us otherwise by making a claim for extenuating circumstances (see
below for an explanation). We will ask you to declare that you are fit to sit each time
you take an assessment that makes up part of your module mark. You must make
sure you organise your time so that you can complete your assessments by the
deadline set or be prepared for your exam. You need to build in some extra time in
case everything does not go according to plan. You must also back up your work in
case your computer fails or you lose it.
What are extenuating circumstances?

Extenuating circumstances are personal circumstances that:
 you could not have predicted would happen;
 you have no control over; and
 have seriously affected your ability to do your assessment.
The following are valid reasons for making a claim for extenuating circumstances if
you are able to show that they are preventing you from completing your
assessments as planned.
 Illness or injury which lasts for more than one week that is serious enough to
stop you from researching, rehearsing, writing, or revising for your
assessment.
 Significant illness or injury on the day of or during a ‘live assessment’ such as
an exam or performance.
 Serious illness of a close family member which means you need to provide
significant caring support that you had not planned for.
 Death of someone close to you or the significant, ongoing effects of grief
following the death of someone close to you.
 Unexpected and significant increase in your employment workload that is
beyond your control (if you are a part-time student).
 Being the victim of a crime.
 Being called for jury service or as a witness in a trial.
 Requirements of military service.
Example 1
You become ill with food poisoning the day before you are due to sit an exam. You could
not have predicted you would be ill, you have no control over becoming ill, and you will be
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too ill to go to your exam. As long as your medical note confirms the dates of your food
September 2015
poisoning, your claim is likely to be successful.
Claims based on any of the following will not be successful.
 Assessments that took place in a previous academic year.
 Going through our disciplinary or fitness-to-practise proceedings.
 A long-term health condition that we have already made reasonable
adjustments for under a disability support summary or occupational health
assessment.
 A holiday (you must make sure that you do not take holidays that affect your
learning or assessment).
 A computing, IT, or printing failure (unless a relevant part of the University
network is affected).
 Theft or loss of computing equipment.
 Failing to allow for reasonable delay (for example, not allowing enough time to
print your assessment work or for moderate travel delays).
 Making a mistake in reading the exam timetable or location details.
 Stress or anxiety caused by the assessment (unless your claim is supported
by medical evidence) as this is a common experience of many students.
 Employment or voluntary work (unless you are a part-time student and there
is an unexpected and significant increase in your workload).
 The death or illness of a family pet.
Example 2
You receive your lecture and assessment schedule at the beginning of the academic year.
You then book a holiday overseas. Your flight leaves three days before you are due to
submit your coursework. Your claim will not be successful as you had control of when
you went on holiday, knew you would be out of the country on the date your coursework
was due in, and could have submitted your coursework ahead of the deadline before you
travelled.
Example 3
Your coursework is due at 12.00 noon. You arrive at University at 11.00am to print and
submit your coursework. The printers you usually use are all busy so you go to another
building to print there, but that printer is not working. You print your work at 11.55am and
are ready to submit it at 12.10pm but are told your work is late. Your claim will not be
successful as you did not allow enough time to print and submit your work.
Example 4
You have been diagnosed with diabetes and given a disability support summary. This
entitles you to extra time to complete your assessments. You are due to start your exam
at 2pm, and this allows you extra time. On the way to the exam you suffer a hypoglycaemic
attack. You could not have predicted you would be ill, you have no control over becoming
ill, and you will be too ill to sit your exam. As long as your medical note confirms the date
of your hypoglycaemic attack, your claim is likely to be successful.
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When should I think about taking a formal break from my studies?
You cannot keep claiming extenuating circumstances again and again for the same
reasons. So, if it is going to be difficult for you to study properly for more than a few
weeks, it may be best for you to take a formal break from your studies and come
back when you are able to manage better.
If this happens, you can ask for an interruption of studies (IoS). This is an approved
leave of absence from all study for a set period and may be taken for a number of
reasons including ill health, financial, academic or personal reasons. You will need to
look carefully at the rules for an interruption of studies including when you are
allowed to take it. If you are considering asking for an interruption of studies, you
should discuss this with a relevant member of staff, usually your personal tutor or
programme leader, who can help you make this decision. You will need to read the
extra information that is available at www.icity.bcu.ac.uk/Academic-
Registry/Information-for-Students/Interruption-Transfer-and-Withdrawal/Interruption-
of-Studies
Example 5
You are due to sit exams in January. You suffer a painful injury to your arm which stops
you revising. You make a successful claim for extenuating circumstances and are
allowed to sit your exams at the next available opportunity, which is in May. Your arm
injury continues to cause you problems and you have a disability support summary put in
place. Despite the reasonable adjustments that are made, you do not feel you are able
to fully prepare for your exams and you submit an extenuating circumstances claim.
Your claim will not be successful as your condition is ongoing, is covered by a disability
support summary, and you could have taken an interruption of studies to allow you time
to recover.
What happens if I submit my coursework after the deadline but don't have
extenuating circumstances?
Meeting deadlines is an essential employability skill so if you do not meet the
deadline you will be given a reduced mark. This makes sure that students who
submit their work late do not have an advantage of extra time over students who
submit theirs on time.
We apply the following penalties if you are late submitting work at the first attempt.
You submit your coursework Mark awarded
Before the deadline Your work is marked using the full scale (it
is marked out of 100%)
Up to two hours after the deadline Your mark is reduced by 10% of the
awarded mark
Between two hours and five working Your work is capped at the pass mark for
days after the deadline your programme of study
If you submit your re-sit work after the deadline you will have failed the
assessment.
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September 2015
Example 6
Your dissertation deadline is 12.00 noon. You submit your work at 1.15pm. The mark
awarded to your work is 60%, but this is reduced because you were late submitting your
work. As your work was submitted within two hours of the deadline, the mark awarded is
reduced by 10% of 60% which is 6%, so you are given 54%.
Example 7
Your coursework deadline is 12.00 noon on a Monday. You submit your work at 10am on
the following Wednesday. As this is between two hours and five working days after the
deadline and you are an undergraduate student, your work is marked but your mark is
capped at 40%.
What happens if I believe I have extenuating circumstances?

If you believe you have extenuating circumstances and can provide evidence of this,
you can make a claim using the Extenuating Circumstances Claim Form as
described below under 'How to claim'. You must submit your claim as soon as you
know you will not be able to attend your assessment or submit your coursework. Do
not wait to submit your claim form for any reason, including if you do not yet have all
your evidence.
Unless there are exceptional circumstances, you must submit your claim before
the planned assessment date or deadline. We will only consider a claim made
after this if there is a good reason (for example, if you were ill on the day of the
exam). As completing coursework should not be a 'last minute' process there are
very few circumstances in which we will accept an extenuating circumstances claim
for coursework made after the deadline.
If your extenuating circumstances do happen on the day, you must submit your claim
no later than five working days after the assessment date or the deadline, with
evidence that shows why you were not able to attend your assessment or submit
your work on time. If you submit your claim later than this, you will also need to
provide evidence that shows why you could not have submitted your claim within the
five days.
When making a claim you can either ask for:
 an extension − if your claim is successful, you will be given an extra 10

working days after your original deadline to submit your work (this is only
available for coursework and some presentations); or
 a deferral − if your claim is successful, you will complete the assessment at

the next available opportunity. Please be aware that this may be a few weeks
or up to a year following the original assessment date. You must check with
your faculty before asking to defer your assessment. (This is the only option
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September 2015
for most live assessments which include an examination, viva, placement,
recital or performance, and some presentations.)
You must carefully think through whether you need an extension or a deferral as,
once you have received a decision on your claim, you cannot change your request.
If you have already been given an extension but you are still experiencing the
extenuating circumstances at the time of your new deadline, you will have to make a
new claim for a deferral. You cannot ask for a further extension.
The following flowchart is designed to help you decide whether you should apply for
an extension or a deferral.
Your claim will need to be supported by evidence (see below). Once we receive your
claim form and evidence, it will usually take up to five working days for Complaints
and Appeals to issue a decision. The sooner you make a claim the sooner you will
know the outcome. If your claim is not successful you will know that, unless you
complete your work on time, you will be given a fail or possibly a penalty for missing
a deadline. If your claim is successful you will know that you have extra time or that
you can take the assessment later.
What if I attempt an assessment, either coursework or a live assessment, and

then find out later that I wasn't 'fit to sit'?
If you are claiming because you attempted the assessment but now realise that you
were ill at the time, you can only ask for a deferral not an extension. As you
originally told us that you were fit to sit the assessment, you are responsible for
providing evidence that confirms:
 you were ill when you took the assessment, and your performance would
have been significantly affected; and
 you did not know you were ill or ill enough for it to affect your performance
significantly, meaning you did not realise you were not fit to sit the
assessment.
You should not wait to submit your claim form for any reason, including if you do not
currently have your evidence. You must make the claim within 10 working days of
the assessment date or deadline.
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September 2015
If your claim is successful, you will complete the assessment at the next available
opportunity. Your faculty can confirm when this would be. This means that your first
attempt will not count so, if you get a lower mark next time, you cannot ask for the
first mark to be used instead.
What if I submit some coursework or take a live assessment and am then

diagnosed with a disability that affected my performance?
If you are diagnosed with a disability after you have done your assessment and the
disability affected your performance in the assessment, you will have different
options depending on the circumstances.
 For any disability and any type of assessment you may ask to repeat the
assessment. The first assessment attempt will not count and you will do the
assessment again with the reasonable adjustments from your disability
support summary in place. This means that, as your first attempt will not
count, if you get a lower mark next time you cannot ask for the first mark to be
used instead.
 If you are diagnosed as having a specific learning difficulty and the type of
assessment is anything other than a placement, you could instead ask to
have your assessment marked again, taking into account the reasonable
adjustments in your disability support summary.
If you are claiming for a placement you cannot ask to have the assessment
remarked because there is a requirement for reasonable adjustments to be in place
for the assessment of your placement. You are only allowed to repeat the
assessment as set out above.
How to claim
You must use the current version of the Extenuating Circumstances Claim Form
available on iCity (insert hyperlink). When you have filled in your form, email it to
complaintsandappeals@bcu.ac.uk. Or you can take your claim form to Complaints
and Appeals or to your faculty office. If you hand in your form at your faculty office,
they will send it to the Complaints and Appeals team by secure internal post. You
must make arrangements to submit your supporting evidence (see below) as soon
as possible.
Evidence
You are responsible for getting and submitting all evidence you want to use to
support your claim. If possible, submit your evidence at the same time as you
submit your claim. If you do not have your evidence but have filled in your claim
form, submit your claim form anyway and send us your evidence as soon as it is
available.
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September 2015
As a guide, we accept the following evidence.
Extenuating circumstance Evidence includes:
You have a serious illness or  Letter from a doctor, hospital or nurse
accident  Must be on official, headed paper
 Must be written at the time of the illness or accident
 Must say that you are or will be unfit to study at the time of the
assessment
A very close relative is  Letter from a doctor, hospital or nurse confirming the
seriously ill circumstances and the effect these are having on your ability
to do the assessment
 Must be on official, headed paper or have an official stamp
 Must confirm the dates of the illness
A very close family member or  Medical letter explaining how your grief is affecting your ability
friend dies to do the assessment
 Death certificate
You face an unexpected or  Letter from a transport or motoring organisation, or a garage
serious difficulty on the day of  Must be on official, headed paper
a live assessment, such as a
severe transport delay
You have a serious personal  Letter from a doctor, solicitor or other professional person
problem confirming the circumstances and dates, and how the problem
is affecting your ability to do the assessment
 Must be on official, headed paper
You have a long-standing  Letter from a doctor, hospital or nurse
health condition which  Must be on official, headed paper or have an official stamp
suddenly gets worse  Must be written at the time
 Must say that you are or will be unfit to study
There is a sudden, significant  Letter from your employer outlining the changes and the dates
change to your employment these will apply from
(part-time students only)  Must be on official, headed paper
You are the victim of a crime  Police report giving the date of the crime
 Must be on official, headed paper.
We do not accept crime reference numbers alone without
further information.
You are called for jury duty  Jury summons letter
You are diagnosed as having  Evidence that confirms:
a disability during the current o you have been diagnosed with a disability that would
academic year have affected your performance in the assessment
o the disability diagnosis was made after you attempted
the assessment
In all cases, you may be able to support your claim with a statement of support from
a University member of staff such as your personal tutor or programme leader. This
is known as a staff statement of support.
We do not accept photographs as evidence.
Evidence must be:

 genuine – we will reject your claim if we find that any of the evidence you
submit is false, forged or has been tampered with in any way;
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September 2015
 independent – we do not accept letters from relatives or friends;
 written in English − if the evidence was written in a language other than
English, you must also supply an officially translated copy; and
 on official, headed paper or have an official stamp or seal of the issuing
authority.
The evidence you provide does not have to be an original document. We will accept
photocopied or scanned documents, but we may decide that we need to see the
original document as well.
Complaints and Appeals regularly check the evidence they receive to make sure it is
genuine. By submitting your claim, you are giving us permission to carry out these
checks. If you submit evidence which we find is false, forged or has been tampered
with in any way, we may start a disciplinary investigation and your claim will not be
allowed.
How do you make the claim decision?

Members of staff in Complaints and Appeals will assess your claim using the
following criteria.
 Are you a current student?
 Could you have predicted the circumstances?
 Did you have any control over the circumstances and could you reasonably
have avoided them?
 Has your ability to do the assessment been seriously affected?
 Have you provided relevant evidence?
 Is the evidence genuine or has it been tampered with?
 Is the evidence independent?
 Does the evidence support your claim?
 Does the evidence cover the date (or dates) of the assessment?
Claim decision
Once we receive your claim form and evidence it usually takes up to five working
days for Complaints and Appeals to issue a decision on your claim. We will email the
decision to you using your University email address.
If your claim is successful, and was for:

 an extension, you must make sure you complete your assessment within 10
working days of the original assessment deadline;
 a deferral, you must contact your faculty for your new assessment deadline
date;
 a re-mark, you must contact your faculty about resubmitting your work; or
 for a repeat of the assessment, you must contact your faculty about repeating
the work with any reasonable adjustments in place.
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September 2015
If your claim is not successful we will explain why. If you do not understand or are
not satisfied with the outcome, you should use the Academic Queries and Appeals
Procedure to raise a query on the outcome.
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September 2015
Student Disciplinary Procedure

Introduction
This procedure allows us to meet our responsibilities relating to caring for and protecting our
community and others, and to maintain the standards of our awards. It gives us the power to
discipline our students, issue formal warnings and apply suitable penalties where there is a
good reason to do so.
Our aim is to encourage acceptable behaviour and academic practices, and prevent
behaviour which falls short of our expectations. We expect you to behave in a way that does
not disrupt or disturb the learning of others. The procedure is designed to discourage
unacceptable behaviour and make sure everyone is treated fairly by applying appropriate
penalties for unacceptable behaviour. It also encourages improvement by identifying and
agreeing positive actions if your behaviour falls short of the standards we expect. For minor
incidents of poor behaviour we will let you know we are not satisfied with your behaviour and
may put in place a formal action plan. For poor behaviour that is more serious, we will refer
the matter for investigation and we may give you a warning and a penalty. In rare cases,
your misconduct may be so serious that we can exclude you from the University and prevent
you from applying for further study for up to five years. As part of this Student Disciplinary
Procedure, we may need to suspend you from the University, and there is more information
about this in the 'Guidance on Suspensions' which is available on iCity.
This procedure applies to all students who are enrolled directly with Birmingham City
University and to students enrolled through some of our partner organisations. Your student
handbook will tell you if this procedure applies. This procedure meets the 'General principles
applying to Birmingham City University student procedures’.
Our Articles of Government state that the Vice-Chancellor is responsible for “the
maintenance of student discipline and within the rules and procedures provided for within
these Articles for the suspension and expulsion of students on disciplinary grounds or other
urgent cause and for implementing decisions to expel students for academic reasons”. The
Vice-Chancellor may delegate responsibilities relating to student discipline to appropriate
members of staff as explained in this procedure. There is information on the circumstances
and process we will use when suspending a student from the University in the Guidance on
Suspensions which is available on iCity.
What is misconduct?
We define two types of misconduct - academic and general.
Academic misconduct is any behaviour which is likely to give you an unfair advantage
in an assessment. Academic misconduct threatens the standards of awards we make as
it is an attempt to gain credit for work which is not completely your own. Here are some
examples of academic misconduct.
· Cheating in a live assessment (for example, an examination, viva, placement, recital
or performance). This includes copying or trying to copy from someone else,
communicating or trying to communicate with another student, having notes that are
not allowed or having electronic devices, such as mobile phones, that are not
allowed.
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o Exam invigilators will tell you at the beginning of the assessment what items
you are allowed to have with you and if there are any conditions for having
those items (for example, you may be allowed to have a copy of a specific
book but it must be ‘clean’ and have no markings in it made by you or anyone
else). After the exam invigilator has announced that the assessment has
started, it is misconduct for you to have anything with you that is not allowed.
If you don’t know what you can have with you during an assessment, you
must ask the exam invigilator before the assessment begins.
· Trying to see an exam paper or trying to get confidential information about an exam
paper before the exam.
· Getting someone else to take or try to take an assessment for you.
· Not following the instructions issued by the exam invigilator.
· Plagiarism. This means submitting any item of assessment which contains work
produced by someone else in a way which makes it look as though it is your own
work. This includes copying material in any medium (for example, written work,
video, sound recording and so on) and from any source such as websites, books or
journals, failing to reference the work of others, copying work from sources such as
essay banks or asking someone else to write an assessment for you. This includes
'self-plagiarism' - you are not allowed to re-use work, or significant sections from
work, that you have already submitted for assessment . This work has already been
given academic credit and you can't get more credit for the same work. Guidance on
plagiarism is available on iCity.
· Collusion. This means working with at least one other person to produce a piece of
work which you then pass off as your own. Unless the assessment brief clearly states
that the work can be produced jointly, the work you submit for an assessment must
be your own. You can discuss ideas for the work with other students, but you must
not work with them to produce a piece of work together, you must not copy or share
another student's work, and you must not lend your work (including drafts) to another
student to allow them to copy your work. If your piece of work is very similar to that
of another student, you are likely to be accused of collusion. If you are found to have
made your work available for another student to copy all or part of it, you may be
referred for disciplinary action even after you have completed your award and are no
longer a student of the University.
· Falsifying information, resources or data. This includes making up research
responses, inventing or changing someone else’s work to fit your assessment or
theory, or forging a signature on an assessment document.
· Failing to get the necessary permission before carrying out research.
General misconduct applies to any other type of misconduct that does not involve an
assessment. Here are some examples of general misconduct.
· Any behaviour which is a criminal offence. Some criminal offences will result in
you being automatically suspended from the University. More information is
included in the University Guidance on Suspensions which is available on iCity.
· Possessing an offensive weapon or replica weapon on University premises, or
when doing an off-site activity for the University (such as site visits, or field trips)
unless you have our permission.
· Threatening, bullying, harassing, or indecent or violent behaviour (either in
person, in writing or online), whether or not actual harm is caused.
· Any form of discriminatory behaviour. This includes using certain language or
gestures, or behaviour which is likely to break current discrimination laws or
which fails to respect other people’s rights to freedom of speech and belief.
· Stealing or attempting to steal or misusing or attempting to misuse our property
or the property of another member of the University.
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· Damaging or trying to damage our property or the property of another member of
the University.
· Not following a reasonable instruction we have issued. This includes failing to
change inappropriate behaviour after we have asked you to do so.
· Stopping, or unreasonably delaying, us (or any of our members) from carrying out
any of our work, duties or activities.
· Bribing or attempting to bribe any member of University staff.
· Fraud, deception or dishonesty relating to the University. This includes making a
false claim for money that you are not entitled to or dishonestly preparing a
reference about yourself that makes it seem as though it was written by a
member of the University.
· Behaviour which harms or could harm our reputation. This includes using social
media for this purpose.
The above are only examples and other types of misconduct may also result in disciplinary
action being taken. If you are on a programme of study covered by the Fitness to Practise
Procedure and an academic misconduct allegation against you relates to either falsifying
information, buying or trying to buy someone else’s work, or repeated academic misconduct,
we may investigate the matter under the Fitness to Practise Procedure rather than this
Student Disciplinary Procedure.
Levels of concern
We consider all misconduct to be a serious matter. Most types of misconduct (either

academic or general) can range from being minor to major in nature, and we will respond in
a way that is in proportion to the seriousness of the particular issue raised. For academic
misconduct we have set out categories of offences and appropriate penalties which will help
you understand what may happen in any academic misconduct case. You will find these in
the tables at the end of this document.
Proving the allegation
It is our responsibility to prove the allegation against you. We will accept the explanation that
is most likely to be true. This is known as the balance of probability.
Disability and misconduct
This procedure applies to all students equally. We do not accept disability as a reason for
your misconduct. However, we may reasonably adjust the process we follow to take
account of any disability you have disclosed to us. For example, this could involve an extra
person being present during an investigation and panel meetings to provide sign language
interpretation, or more breaks during an investigation or panel meeting.
Time limits
We will raise concerns that may relate to your behaviour as soon as possible so that you can
take action to correct your behaviour. We aim to complete the formal stage, including any
panel meeting, within 45 working days. To help us achieve this you must meet any deadlines
we set for providing further information or documents and attending meetings. There will
occasionally be circumstances when we need to extend the timeframe for different stages.
(We will only do this is there is a good reason, for example if we need to wait for a key
witness to be available to speak to us.) If this is the case, we will tell you and will explain the
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reasons for the delay and tell you the new timescales. We will provide regular updates on
progress where appropriate.
Student representation
You have the right to take someone with you to meetings. This person is not there to act in a
legal capacity. They are there to provide advice and support to you, not to act on your
behalf. The Students’ Union Advice Centre can help you with this.
Confidentiality
We will not share any information about you or any case against you unless we need to as
part of our procedures or if there is good reason and urgent cause to do so. This could
include passing information about your case to external agencies such as the police. Our
‘Guidance on the production of references for students', which is available on iCity, explains
what information we will share if we are asked for a reference.
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Flowchart of stages
Formal stage:
Review stage:
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Stages of the procedure (please see the flowchart)
This procedure aims to provide a quick process that is proportionate to the concerns being
raised. There is a strong focus on staff having the power to deal with concerns as soon as
possible. The Student Disciplinary Procedure has an informal stage, a three-step formal
stage, and a review stage (see the flowchart).
Informal stage - guidance and advice
This stage is for minor misconduct concerns. These would include poor scholarly activity (for
example, incorrect or confused referencing) due to lack of experience and, for general
misconduct, situations where you were probably not aware of how your behaviour was
affecting others and where you could quickly change your behaviour to avoid it happening
again. During the informal stage, issues are dealt with quickly and locally, often by the
relevant University tutor. In most cases, a conversation with you about your behaviour and
how to improve will be enough to deal with the matter. To help with your ongoing
development, we may put an action plan in place. If you do not make the necessary
progress or if the issue is serious, it may move on to the formal stage.
Formal stage – triage, investigation and recommendation, and faculty or University

panel
The formal stage is to be completed within 45 working days of the disciplinary concerns
being raised using the Student Disciplinary Concerns form. It involves assessing the
concerns being raised and, where appropriate, carrying out a formal investigation. We may
hold a faculty or University panel to consider very serious or complicated cases. The formal
stage will involve the following three stages.
(1) Triage
For concerns that are felt to be anything more than minor concerns that can be dealt
with effectively through guidance and advice, the person raising the concerns must
fill in the ‘Student Disciplinary Concerns’ form. This person must provide all
supporting evidence within two weeks of sending us the Student Disciplinary
Concerns form. If we do not receive the evidence within two weeks, we will not
investigate the concerns but may still discuss them with you to provide you with
relevant guidance and advice.
For academic misconduct, the programme leader (or someone nominated by the
Dean) will consider the filled-in Student Disciplinary Concerns form and the relevant
evidence to decide whether there is a case to answer.
For general misconduct, an associate dean, head of school or director of service

(or someone nominated by the Student Complaints, Appeals and Discipline
Committee) will consider the filled-in Student Disciplinary Concerns form and the
relevant evidence to decide whether there is a case to answer.
If we feel there is no case to answer, we will tell you about the concerns that were
raised and, where relevant, put an action plan in place for you.
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If we feel there is a case to answer, we will refer the matter to a suitably trained case
officer who will carry out an investigation. We will tell you if we do this and will give
you information about the case officer who will investigate your case.
(2) Investigation and recommendation:

The case officer will have no knowledge of you or of any previous disciplinary or
fitness to practise matters you have been involved in.
The case officer will provide specific information about the concerns being raised,
and will give you a copy of the evidence. We will invite you to a meeting with the
case officer to discuss the concerns and evidence. You have the right to take a
companion with you to the meeting. This may be a friend, relative or member of the
Students’ Union. As the meeting will be held during normal working hours on any of
the University campuses, we will expect you to attend. The meeting will only be
rescheduled if the case officer decides there is a good or urgent reason for this.
The case officer will consider the disciplinary concerns and may talk to relevant staff
or students and refer to documents and other evidence. At the meeting, we expect
you to give the case officer any evidence that it is reasonable for you to have. This
may include copies of emails or letters, or statements from witnesses if it is safe and
helpful to provide these. In exceptional circumstances, the case officer may ask you
or any other relevant person to provide evidence after the meeting. For academic
misconduct where there are concerns about whether work is really yours or research
data is genuine, we may also ask you to attend a viva with at least two members of
academic staff to test your knowledge of the work you submitted. You will receive
copies of all the evidence the case officer has considered during the investigation.
The case officer will produce a report based on their investigation, which will outline
the process they have followed, the information they have gathered, the evidence
they have considered, their conclusions and their recommendations.
The case officer can make any of the following recommendations.

· There is no case to answer, so we will not hold a panel and will not take any
further action.
· There is a case to answer, but it does not need to be considered by a panel.
We may issue you with any of the following.
o A guidance note about your future behaviour or requirements you must
meet.
o An academic penalty in line with the table of penalties for academic
misconduct.
o A written warning about your future behaviour or requirements you must
meet.
o A final written warning about your future behaviour or requirements you
must meet.
o A conditional learning agreement. You must meet the conditions set out
in the agreement to be allowed to continue on the programme of study.
· There is a case to answer that needs to be considered by a panel.
The associate dean, head of school or director of service (or other approved person)
that made the referral will consider the case officer's recommendation. At this stage,
the associate dean, head of school or director of service may take into account any
previous disciplinary or relevant fitness to practise matters against you when deciding
whether to accept the case officer’s recommendation. The associate dean, head of
school or director of service can make the following decisions.
7
· To accept the case officer’s recommendation without change.
· To accept the case officer’s recommendation with minor changes.
· Not to accept the case officer’s recommendation, but take a different course
of action instead.
In all cases, we will tell you the outcome of the investigation and what action, if any,
we have decided to take.
If the concerns are very serious and it is possible that we may decide to exclude you
from the University, your case will be considered by a University panel.
This stage must be completed within 15 working days of the concerns being referred
for investigation.
(3) Faculty or University panel

We will hold a faculty or University panel in line with our standard procedures for
such panels.
The disciplinary faculty panel can make the following decisions as appropriate.
· You will receive no formal warning or penalty. We may give you a guidance
note about your future behaviour.
· For academic misconduct, we may give you an academic penalty in line with
the academic misconduct table.
· We may give you an action plan or a learning agreement (or both) which you
will need to keep to and show how you are making progress. If you do not
meet the conditions we may give you a written warning or a final written
warning.
· We may give you a written warning which we will keep on your student file for
a set time. If you commit another offence we will take this written warning into
account when agreeing on any further penalty.
· We may give you a final written warning which means that if you commit
another offence you are likely to be excluded from the University.
.
A University panel is authorised to make any of the above decisions, and also to exclude you
from the University or any of our partner institutions for up to five years.
When the panel decides on the penalty it will not normally take account of penalties you
have already been given for a different type of misconduct. For example, if you had received
a written warning for academic misconduct and then went on to commit general misconduct,
the panel would not normally take the previous warning into account when deciding on the
new penalty.
Extending the time limit
If there are clear and justifiable reasons for extending the time limit, we will set new time
limits. The Complaints and Appeals Office will tell you the new time limits and the reasons
for the extension.
Closing the disciplinary action at the formal stage
We will give you a clear explanation of the outcome of the formal stage of the disciplinary
action in writing, setting out the reasons for each decision in simple, straightforward
language. We will record the outcome on our disciplinary record system.
8
We will tell you about:
· your right to take the case to the review stage;

· the grounds on which you can do this (see below);
· the time limit for moving to the review stage (20 working days of receiving the
outcome of the formal stage);
· the appropriate procedure to follow; and
· where and how to access advice and support, for example the Students’ Union or
Student Services.
If you do not take the case to the review stage within the time limit for doing so, we will close
the matter.
Review stage – to be completed within 20 working days of receiving your request for
a review
If you are not satisfied with the outcome of the formal stage, you have 20 working days to
ask for a review. There are limited grounds for asking for a review, which are as follows.
· There is new evidence which you were unable, for valid reasons, to provide earlier in
the process, and which would have had a significant effect on the outcome of the
formal stage.
· The correct procedure was not followed during the formal stage and this has had a
significant effect on the outcome.
· The outcome was unreasonable given all the circumstances and the evidence
considered.
The purpose of a review is to consider whether the outcome was reasonable. At the review
stage, we will not usually consider the issues again or investigate the matter further. Your
case must have been considered at the formal stage before it can move to the review stage.
If your expectations appear to be beyond what can be achieved at the review stage, we will
tell you this as soon as possible in writing to manage your expectations about possible
outcomes.
You must submit a request for a review electronically, by email or through our website, by
filling in the appropriate form. We will only accept a form submitted by someone else on your
behalf if you have given the other person written permission to act as your representative for
the review stage. You must set out your concerns clearly and briefly and provide evidence,
where possible, of the issues raised. Only evidence that is clearly referenced in the form will
be considered. We will acknowledge the request for a review within five working days.
The Complaints and Appeals Office will assess your request for a review and the Director of
Student Services, or someone they nominate to act on their behalf, will use this assessment
to decide between the following two possible outcomes.
· There are no grounds for taking the matter further. If this is the case, the Complaints
and Appeals Office will tell you in writing and also let you know about any right you
may have to ask the Office of the Independent Adjudicator (OIA) to review your case.
· There are grounds for reconsidering the case.
If there are grounds for reconsidering the case, the Director of Student Services, or someone
they nominate to act on their behalf, will consider the following.
9
· Was the outcome reasonable in all the circumstances?
· Was there a mistake in how we used this procedure to assess your case and the
outcome has been less favourable to you as a result?
· Have you received clear reasons for the outcome at the formal stage?
· If you have provided new evidence, have you provided valid reasons for not providing
it earlier?
· Would any new evidence you have provided have affected the outcome (if there were
valid reasons for not providing this earlier)?
The Director of Student Services, or someone they nominate to act on their behalf, will
decide between the following two options.
· The case will be referred back to the formal stage with a recommendation.
· The issues are complicated and so it would be better to deal with them through a
review panel.
We will hold a review panel in line with our standard procedures for such panels.
If there are clear and justifiable reasons for extending the time limits, the Assistant Director
of Student Services (Complaints and Appeals), or someone they nominate to act on their
behalf, will set new time limits. The maximum extension will be 10 working days (that is, not
more than 30 working days in total from the date we receive your request for a review).
Closing the case at the review stage
We will give you a clear explanation of the outcome of the review in writing. This explanation
will set out the reasons for each decision in simple, straightforward language and clearly
state any action to be taken (if appropriate). We will record the outcome on our disciplinary
record system. We will also let you know about any right you may have to ask the OIA to
review your case.
10
Academic misconduct tables
We will take into account the seriousness of the offence when deciding on the right type of penalty. This includes looking at the level of unfair advantage you could have
gained. Occasionally there may be circumstances beyond your control which have contributed in some way to your academic misconduct. These are called ‘mitigating
circumstances’. If you are able to provide evidence of mitigating circumstances and how they affected your behaviour we will take this into account when deciding on an
appropriate penalty.
We use three levels of concern - minor, moderate and major. Table 1 shows the level of concern that each of the offences shown above under 'What is misconduct?' falls into
and table 2 indicates the penalties for each level of offence.
Table 1: Levels of concern
Type of offence Indicative level of concern

Cheating in a live assessment. Major
Trying to see an exam paper or trying to get confidential information about an exam paper before the exam. Major
Getting someone else to take or try to take an assessment for you. Major
Not following the exam invigilator’s instructions. Moderate
Poor scholarly activity (for example, incorrect or confused referencing) due to inexperience or misunderstanding, including plagiarism up to 10%. Minor
This only applies to students in the early stages of their programmes, usually at level 4.
.
Plagiarism and collusion where the plagiarised, copied or shared work is less than or equal to 30% of the assignment. This includes Moderate
self-plagiarism where you re-use work you have already been given credit for.
Plagiarism and collusion where the plagiarised, copied or shared work is more than 30% of the assignment. This includes self-plagiarism where Major
you re-use work you have already been given credit for.
Buying assignments or answers from others. Major
Helping another student to cheat, including allowing them to copy your work. Moderate
Falsifying information, resources or data. This includes making up research responses, inventing or changing someone else’s work to fit your Major
assessment or theory or forging a signature on an assessment document.
Failing to get the necessary permission before carrying out research. Moderate or major
Repeating any of the above offences. Major
11
Table 2: Indicative penalties
Level of First offence Second offence
concern Type of Penalty Type of Penalty
warning warning
Minor Guidance Conditional learning agreement Written Conditional learning agreement and failure of the assessment in
note warning which the offence took place.
You have lost an assessment attempt and will have to resit the
assessment. The resit attempt must be a new item of assessment
and the result will be capped at the pass mark for your programme of
study.
If you have no more assessment attempts left so cannot resit, you

may fail the module. If the module is a core module, you will have to
withdraw from the programme or transfer to another programme (if
this is allowed). If the module is an optional module you may be able
to switch to a different option module.
Your academic transcript will show that you failed a module for
academic misconduct reasons.
Moderate Written Conditional learning agreement and failure of all Final Conditional learning agreement and failure of all assessments
warning assessments for the module in which the offence took written for the module in which the offence took place plus 0% to be
place. This includes any assessments you have already passed warning used as your result for that module when calculating your award
for that module. classification. This includes any assessments you have already
passed for that module.
You have lost an assessment attempt and will have to resit all
assessments for that module. The resits must be new items of You have lost an assessment attempt and will have to resit all
assessment and the results will be capped at the pass mark for assessments for that module. The resits must be new items of
your programme of study. You must still take any assessments assessment. You must still take any assessments you have not yet
you have not yet attempted for the module but these results will attempted for the module.
also be capped at the pass mark for your programme of study.
We will record 0% on your record as your result for that module, and
If there are mitigating circumstances or the unfair advantage will use 0% to calculate your award classification but, as long as you
gained would be small, we may decide to give you a conditional pass the module, you will be awarded the credits.
learning agreement and failure of the assessment in which
the offence took place. If there are mitigating circumstances or the unfair advantage gained
would be small, we may decide to give you a conditional learning
You have lost an assessment attempt and will have to resit the agreement and failure of all assessments for the module in
assessment. The resit attempt must be a new item of which the offence took place. This includes any assessments you
assessment and the result will be capped at the pass mark for have already passed for that module.
your programme of study.
12
For both of the above, if you have no more assessment attempts You have lost an assessment attempt and will have to resit all
left so cannot resit, you may fail the module. If the module is a assessments for that module. The resits must be new items of
core module, you will have to withdraw from the programme or assessment and the results will be capped at the pass mark for your
transfer to another programme (if this is allowed). If the module programme of study. You will still have to take any assessments you
is an optional module, you may be able to switch to a different have not yet attempted for the module but the results for these will
option module. also be capped at the pass mark for your programme of study.
If the module is level 5 or higher, we will use it to calculate your For both of the above, if you have no more assessment attempts left
award classification. so cannot resit, you may fail the module. If the module is a core
module, you will have to withdraw from the programme or transfer to
Your academic transcript will show that you failed a module for another programme (if this is allowed). If the module is an optional
academic misconduct reasons. module, you may be able to switch to a different option module.
If the module is level 5 or higher, we will use it to calculate your

award classification.
Major Final Conditional learning agreement and failure of all Does Exclusion from the University for up to five years. This may be
written assessments for the module in which the offence took place not with or without academic credits that you have already gained and
warning plus 0% to be used as your result for that module when apply which have been confirmed by the relevant exam board.
calculating your award classification. This includes any
assessments you have already passed for that module.
assessments for that module. The resits must be new items of
assessment. You must still take any assessments you have not
yet attempted for the module.
We will record 0% on your record as your result for that module

and will use 0% to calculate your award classification but, as
long as you pass the module, you will be awarded the credits.
If there are mitigating circumstances or the unfair advantage

gained would be small, we may decide to give you a conditional
learning agreement and failure of all assessments for the
module in which the offence took place. This includes any
assessments you have already passed for that module.
assessments for that module. The resits must be new items of
assessment and your results will be capped at the pass mark for
13
your programme of study. You will still have to take any
assessments you have not yet attempted for the module but
your results for these will also be capped at the pass mark for
your programme of study.
For both of the above, if you have no more assessment attempts

left so cannot resit, you may fail the module. If the module is a
core module, you will have to withdraw from the programme or
transfer to another programme (if this is allowed). If the module
is an optional module, you may be able to switch to a different
option module.
If the module is level 5 or higher, we will use it to calculate your

award classification.
14
Student disciplinary concerns form
A member of University staff must fill in this form.
Name
Miss/Ms/Mrs/Dr/Prof
Job title
Faculty
Student name
Miss/Ms/Mrs/Dr/Prof
Student ID number
Course of study
Academic misconduct ü
Cheating in a live assessment.
Trying to see an exam paper or trying to get confidential information about an exam
paper before the exam.
Getting someone else to take or try to take an assessment.
Not following the exam invigilator’s instructions.
Poor scholarly activity due to inexperience or misunderstanding, including plagiarism up

to 10%. This only applies to students in the early stages of their programmes, usually at
level 4.
Plagiarism, including self-plagiarism.
Collusion
Buying assignments or answers from others.
Helping another student to cheat, including by allowing them to copy your work.
Falsifying information, resources or data. This includes making up research responses,

inventing or changing someone else’s work to fit your assessment or theory or forging a
signature on an assessment document.
Failing to get the necessary permission before carrying out research.
Other
General misconduct
Any behaviour which is a criminal offence. Some criminal offences will result in you
being automatically suspended from the University.
Possessing an offensive weapon or replica weapon on University premises, or when
doing an off-site activity for the University (such as site visits or field trips).
Threatening, bullying, harassing, or indecent or violent behaviour (either in person, in
writing or online), whether or not actual harm is caused.
Any form of discriminatory behaviour.
Stealing or attempting to steal or misusing or attempting to misuse our property or the

property of another member of the University.
15
Damaging or trying to damage our property, or the property of another member of the
University.
Not following a reasonable instruction we have issued.
Stopping, or unreasonably delaying, us (or any of our members) from carrying out any of
our work, duties or activities.
Bribing or attempting to bribe any member of University staff.
Fraud, deception or dishonesty relating to the University. This includes making a false
claim for money that you are not entitled to or dishonestly preparing a reference about
you that makes it seem as though it was written by a member of the University.
Behaviour which harms or could harm our reputation.
Other
If ‘other’ please give details.
My knowledge of the events relevant to this matter is as follows.
[List events in date order. Please refer to any relevant documents which support the account, and
attach the documents to this statement with reference numbers. Please make sure that your
statement could be read and understood by someone with no knowledge of the case so that they
would be left understanding what the allegation was and how the evidence you have provided is
relevant to the allegation.]
I am attaching (or will provide within two weeks) the following evidence to support this statement.
Document Attached or to follow

reference Brief description of document
Example 1 Submitted assignment – plagiarised material highlighted Attached
I have read the Student Disciplinary Procedure and understand that:

· within two weeks of sending this statement to the University I must provide all evidence
referred to in this statement;
· you may provide this statement to the student named above in the course of any University
investigation into the concerns being raised; and
· due to confidentiality restrictions, you may not keep me informed of the progress of your
investigation.
16
Your signature: Date:
Send your filled-in form and any queries to [name, email address].
Notes to consider:
1. Try to make sure the statement covers all relevant issues and only those that you have direct
knowledge of.
2. Make sure that the statement does not include details that are not relevant or could be unfair,
such as earlier offences or evidence about other similar offences.
3. Wherever possible, try to avoid any second-hand (hearsay) evidence, although we will accept
hearsay evidence if there is no better evidence available.
4. Consider whether the witness statement is an important part of the case or whether it adds little to
it or simply duplicates other evidence. Although it can be helpful to include more than one account
supporting the same events, there will be a point at which duplicating evidence will just
unnecessarily extend the time needed to deal with the case.
Date student started the current programme Level of study Has the student interrupted their
study?
4 5 6 7 Yes □ No □
17
Referral for investigation
For academic misconduct – the programme leader (or someone nominated by the Dean)
should fill in this section.
For general misconduct – the associate dean, head of school, director of service (or
someone nominated by the Student Complaints, Appeals and Discipline Committee) should
fill in this section.
Recommendations made by the case officer will be returned to the person named below.
Name
Miss/Ms/Mrs/Dr/Prof
Job title
Faculty
Student name
Student ID
number
Course of study
Reason for referral (tick all that apply):
Damage or threat of damage to our reputation ☐
A serious concern has been raised ☐
A sustained or repetitive pattern of behaviour ☐
A criminal offence ☐
Other – please give details. ☐
18
Concerns and Complaints Procedure
Introduction
This procedure reflects our commitment to valuing, and learning from, concerns and
complaints. If we can deal with complaints early, we can help make sure we provide a
positive experience for our students and members of the public. We aim to deal with issues
as soon as they arise, where possible, and to carry out thorough and fair investigations
where needed to make sure we are able to make decisions based on the facts of each case.
The procedure applies to all enrolled students of the University, applicants and members of
the public. It does not apply to our staff unless they are enrolled students of the University
and the issue is to do with their learning experience.
The procedure meets the 'General principles applying to all Birmingham City University
student procedures’ and is in keeping with the 'Good Practice Framework for Handling
Complaints and Academic Appeals' published by the Office of the Independent Adjudicator
(OIA).
What is a concern or a complaint?
As in any organisation, we sometimes make mistakes or the service we provide does not
meet expectations. We need to know when things go wrong so that we can put things right.
If you are not satisfied with our service, there are three stages you should follow.
• First, you should raise a concern, which we can often deal with quickly and
informally. You should do this as soon as the concern arises.
• If we cannot resolve your concern, you can submit it as a complaint, which we will
deal with formally. You must make the complaint within 40 working days of the issue
arising.
• If you are still not happy with our response to your complaint, you can ask for a
review.
This procedure sets out the steps involved in all three stages.
What concerns and complaints are covered by this procedure?
For the purposes of this procedure, a concern or complaint is as defined in the OIA Good
Practice Framework:
'an expression of dissatisfaction … about the University’s action or lack of action, or about
the standard of service provided by or on behalf of the University.'
This definition is in line with the QAA Quality Code, and covers matters that affect the quality
of a student’s learning opportunities.
1
If you are a student, the best way to deal with many concerns is often through the
student feedback arrangements in place for your programme as shown in the Student
Handbook. These arrangements allow us to record issues and track and tell you about
our actions.
A concern or complaint may (but not always) relate to the following.
• Our failure to meet our obligations, including those set out in your course or the
student handbooks or the Student Partnership Agreement.
• The quality and standard of our service, including the way in which we (or a partner
institution) provide, teach or manage a programme.
• Our failure to provide a service.
• The poor quality of facilities, learning resources or services provided directly by us.
• Misleading or incorrect information in prospectuses or promotional material and other
information we provide.
• The way you have been treated by, or the attitude of, a staff member, student or
contractor.
• Inappropriate behaviour by a staff member, student or contractor.
• Our failure to follow an appropriate administrative process.
• Complaints involving other organisations or contractors providing a service on our
behalf.
It may be more appropriate to consider some issues under processes other than this
Concerns and Complaints Procedure. For example, the following issues are not classed as
concerns or complaints under this procedure.
• Not being satisfied with a decision made by an examination board regarding student
progression, academic assessment and awards (see Academic Queries and Appeals
Procedure).
• Not being satisfied about the outcome of an academic misconduct or disciplinary
process.
• Not being satisfied with a decision made under other specific regulations such as
fitness to practise or disciplinary processes.
• An academic decision relating to admission to a course of the University.
• An issue related to a staff member or student which falls within our staff or student
disciplinary policies.
• A routine, first-time request for a service.
• A request under the Freedom of Information Act or Data Protection Act.
• A request for information or an explanation of policy or practice.
• A response to an invitation to provide formal feedback (for example, through a
questionnaire or committee membership) will generally not be treated as a complaint.
• An insurance claim.
• An issue which is being, or has been, considered by a court or tribunal.
• A grievance by a member of staff which should be handled through the Grievance
Procedure.
• An attempt to have a complaint reconsidered after our Concerns and Complaints
Procedure has been completed and a decision has been issued.
We will deal with these issues under the appropriate processes rather than under this
Concerns and Complaints Procedure. Some situations can involve a combination of issues,
2
where some are concerns or complaints and others are not, and we will assess each case
individually.
Who can raise a concern or complaint?
Anyone who receives, requests or is affected by our services can raise a concern or
complaint. This includes:
• students who have a concern or complaint that relates to their experience during
their time at the University;
• members of the public who have a concern or complaint about matters which are (or
which were at the time the issue arose) our responsibility; and
• members of the public who are applying for a place at the University and whose
concern or complaint relates to the way the application has been handled, not to an
academic judgement regarding their suitability to study a programme.
The basic processes for investigating concerns and complaints are the same for students,
members of the public and applicants to the University. In this procedure, we refer to the
person raising the concern or making the complaint as 'you'.
We will only accept concerns or complaints we receive from third parties (for example, a
relative) if they are acting as your representative and you have given them permission to act
for you under the requirements of the Data Protection Act (1998). This means that you must
give clear written authority at each stage of the process for the third party to act on your
behalf. All communication we have concerning the issue will then be with your representative
not with you. The same timescales will apply as with other cases.
If the issues raised affect a number of people, you can submit a ‘group concern’. In these
circumstances, so that we can manage the concern, the group should nominate one person
to act as group representative.
We will only consider concerns that are submitted anonymously in exceptional

circumstances, when there is a compelling case - supported by evidence - for the matter to
be investigated. If you decide to raise a concern anonymously, you should be aware that this
could delay the investigation and the outcome.
Concerns and complaints involving more than one issue
Students sometimes raise issues which do not fall neatly into the category of this or other
procedures such as academic appeals. If this applies to you, we will tell you which issues we
will consider under which procedure and will direct you to the other appropriate procedures
(for example, the Academic Appeals Procedure) for the other issues. We will tell you about
the effects, if any, of following two procedures at once, particularly where one procedure
may be suspended until the other is completed.
Where there is significant overlap, we may decide to consider matters together, as long as
you agree to this in writing. For example, if a concern or complaint covers issues that could
3
also be dealt with under other procedures such as the Academic Appeals Procedure, we can
carry out a joint investigation. We will tell you where responsibility for the overall
investigation lies and who will issue the final decision.
Concerns and complaints involving more than one faculty or professional

service
If your concern or complaint relates to the actions of two or more faculties or professional
services, the faculties and services will agree between them who will take the lead and you
will be given the lead person’s contact details. This lead person will then co-ordinate the
different faculties and services to make sure that the concern or complaint is fully dealt with
in a single response.
Partner institutions
If we are working with one or more partners to provide learning opportunities, the Student
Handbook will make it clear which partner’s procedures apply and how students can access
these procedures. This includes making it clear to students where they should send any
concerns or complaints, and how far each partner will be involved in considering these.
In line with the QAA Quality Code, if you are a student studying with a partner institution on a
programme leading to a Birmingham City University award, and you have a complaint about
an academic matter, you have the right to appeal to us. If you have followed the partner
institution’s complaints procedure and you are not satisfied with the outcome, we will review
your complaint.
In the case of a joint degree which we offer with another awarding body, the Student
Handbook will make it clear which institution is responsible for the final review if you make a
complaint, and which national body (if relevant) is responsible for the external review.
If a programme must be assessed by an external organisation, for example by a

professional, statutory or regulatory body, the Student Handbook will make it clear which
body will deal with specific issues.
Concerns and complaints involving other organisations or contractors who

provide a service on our behalf
If another organisation has provided a service on our behalf, for example student
accommodation, and you want to raise a concern about the service, please contact the
appropriate organisation direct.
You can raise a concern direct with us about a service another organisation has provided on
our behalf, if the concern relates directly to matters which have affected your learning
experience.
Concerns and complaints about staff
4
Concerns and complaints students make about staff can be particularly sensitive. You will
not be disadvantaged as a result of raising legitimate concerns or complaints, and raising
such an issue will not influence the outcome of any marking or grading. If you raise a
concern or make a complaint about a member of staff, the investigation will be carried out by
someone who is independent of the situation.
If we receive a concern or complaint about a member of staff, that person will be entitled to
receive appropriate support and advice. This will include the right to ask someone to go with
them to meetings about the matter to act as their advisor and supporter.
Concerns and complaints about Birmingham City Students’ Union
If you have a concern or complaint about the services of the Students' Union, you must
follow the Students’ Union’s own complaints procedure.
Time limits
You should raise any concerns with us as soon as they arise to allow us to investigate and
deal with the matter as soon as possible. Although individual faculties and professional
services may accept concerns raised at a local level some time after the event, the formal
complaint stage is only available if we receive the complaint form within 40 working days of
you first becoming aware of the issue. This period of 40 working days will include the time
needed to carry out the initial assessment and to try to resolve the matter as soon as
possible. If we receive your complaint form more than 40 working days after the event you
are complaining about, we will only be able to take it to the formal complaint stage if you
have evidence to show there is a good reason for the delay. When deciding whether there is
a good reason for a delay, we will consider things such as our obligations under the Equality
Act or whether you need a reasonable adjustment to the procedure being used. Our
Disability Support team will give advice where appropriate.
The Director of Student Services (or someone they nominate to act on their behalf) will
consider cases and, if they feel the delay is justified, will allow us to deal with the complaint
under the formal complaint stage. Within 10 working days of receiving your complaint, the
Complaints and Appeals Office will write to you with their decision to either accept or dismiss
the late complaint. If we accept your complaint, the normal timescales will apply starting from
the date of our decision to accept it.
We aim to process a formal complaint (made under the formal complaint stage) and any
associated review within 90 calendar days. This is in line with OIA guidance. Under the 90-
calendar-day timeframe you must meet any deadlines we set for providing further
information or documents and attending meetings. There will occasionally be circumstances
when we need to extend the timeframe for different stages. (We will only do this is there is a
good reason, for example if we need to wait for a key witness to be available to speak to us.)
If this is the case, we will tell you and will explain the reasons for the delay and tell you the
new timescales. We will provide regular updates on progress where appropriate.
5
Flowchart of stages
Early resolution of concern:
Formal complaint stage:
Review stage:
6
Concerns and complaints procedure
This procedure aims to provide a quick, simple process with a strong focus on well-trained
staff having the power to deal with concerns and complaints as soon as possible. The
Concerns and Complaints Procedure has three stages.
(1) Initial assessment and early resolution: at this stage, straightforward concerns are
dealt with quickly and locally, for example by the relevant school, faculty or
professional service. This might include, for example, face-to-face discussions with
you, or asking an appropriate member of staff to deal with the matter.
This stage should be completed within 10 working days of the concern being raised.
(2) Formal complaint: your concern or complaint can move to this stage if you are not
satisfied with the outcome of the early resolution stage, or if the case is too serious or
too complicated to be dealt through early resolution. The formal complaint stage will
usually be dealt with by staff who were not involved directly at the early resolution
stage.
This stage should be completed within 20 working days of us receiving the formal
complaint and we will give you our decision in writing.
(3) Review: you can ask us to review the way we have handled a formal complaint to
make sure that we followed the appropriate procedures and that our decision was
reasonable. At this stage we will not normally reconsider the issues raised, but will
consider significant new evidence that you were unable to provide at an earlier stage
for valid reasons.
If you have already made a complaint to a partner institution about an academic

matter and you are not satisfied with the way it has been dealt with under their own
complaints procedure, you can refer the complaint to us and we will consider it under
this stage. This will include a review of the way in which the partner institution
handled the matter.
This stage should be completed within 20 working days of us receiving the request
for a review and we will give you our decision in writing.
Mediation
Mediation is a voluntary process where someone who is impartial and independent helps
settle issues confidentially. Using mediation can help both you and us to understand the
reason for the concern or complaint, and may help to reach a conclusion that you and we
are satisfied with, as soon as possible.
If both we and you agree to mediation, we will agree revised timescales with you in writing. If
mediation is used in the formal complaint or review stages, we will make it clear how the
arrangement fits with more formal procedures, the details of the mediation and whether you
and we must agree beforehand whether to accept the solution offered or the findings
reached. The formal process may need to be restarted if an agreement cannot be reached
using mediation.
8
If you are a student enrolled on a course at the University, you have the right to take
someone with you to meetings. This person is not there to act in a legal capacity. They are
there to provide advice and support to you, not to act on your behalf.
Stages of the process (refer to flowchart)
Initial assessment and early resolution – to be completed within 10 working days

of receiving your concern
The purpose of the initial assessment and early resolution stage is to understand the
concern and, if it is straightforward and needs a limited amount of investigation, resolve it as
quickly as possible. If you have a concern you should raise it with the relevant school, faculty
or professional service as soon as possible after becoming aware of the issue. You can raise
a concern at this stage face-to-face, by phone, in writing or by email.
The member of staff you raise the concern with will consider some key questions as part of
the initial assessment, including the following.
• What specifically is the concern about and which area (or areas) of the University is
involved?
• What outcome are you hoping for and can it be achieved?
• Is the concern straightforward and likely to be settled with little or no investigation?
• Can we settle the matter on the spot by providing an apology or explanation, or a
different solution?
• Can another member of staff help to settle the matter quickly?
• Is confidential mediation likely to help?
• Is the issue you have raised covered by the Concerns and Complaints Procedure or
should we refer you to another procedure such as academic appeals?
• If you are a student, what help or support can we provide to you?
A small number of concerns may be moved immediately to the formal complaint stage. We
will move an issue to the formal complaint stage for investigation if:
• the issues raised are complicated and will require detailed investigation; or
• the concern relates to issues that we have identified as high risk. (See the Formal
complaint section below for more details.)
If either of these criteria applies, the member of staff dealing with the concern will ask the
local complaints and appeals 'champion' for advice. The champion will then make a
recommendation to the Assistant Director of Student Services (Complaints and Appeals) or
the person they have nominated to act on their behalf. If the Assistant Director of Student
Services (Complaints and Appeals) decides to move the concern straight to the formal
complaint stage, we will give you information about the appropriate procedure, including
information on time limits and support that is available.
9
We can deal with most concerns at the initial assessment and early resolution stage.
Concerns at this stage of the process may be dealt with by any relevant member of our staff,
who may handle it by having a face-to-face discussion with you, or by asking an appropriate
member of staff or trained mediator to help with the matter. It is important that you should
have an opportunity to tell us your concerns and feel that we have listened to you. We can
often deal with a concern by explaining why the issue happened, apologising when
appropriate and, where possible, explaining what we will do to prevent a similar situation
from happening again.
If the member of staff you raise a concern with is responsible for the matter, they will try to
resolve the issue. If responsibility lies elsewhere, the staff member you raise the concern
with will work with the relevant areas so that the concern can be dealt with quickly rather
than simply pass you on to another office. If the person you raise the concern with does
need to pass responsibility for dealing with it on to another member of staff, they will give
you that member of staff's details and, if possible, introduce you to them or give you an
appointment to meet them.
Closing the concern after the early resolution stage
We will tell you the outcome of the early resolution stage either face-to-face, by phone, in
writing or by email. We will look at all areas of the concern and explain the reasons for the
agreed actions. We will add details of the concern, the actions we have taken to consider
and deal with it, and what we told you to our concerns and complaints system. This will help
us to learn and improve and also provides an important record if the concern goes forward to
the formal complaint stage.
Formal complaint – to be completed within 20 working days of receiving the formal

complaint
Formal complaints will either have been considered at the early resolution stage or will have
been identified through the initial assessment stage as needing to move straight to the
formal complaint stage. You must raise a formal complaint within 40 working days of first
becoming aware of the issue. We will only consider a formal complaint if:
• it has already been through the early resolution stage but you are not satisfied with
the outcome; or
• the Assistant Director of Student Services (Complaints and Appeals), or someone

they have nominated to act on their behalf, has approved a request to move the
complaint to the formal complaint stage because:
o the issues raised are complicated and will need detailed investigation; or o
the complaint relates to issues that we have identified as high risk.
We will give special attention to identifying complaints that may need particularly quick
action. These may include the following.
• Complaints involving a threat of serious harm

• Cases where the effects of the issues raised may have harmed a person's mental
health or led to significant distress
10
• Cases where external time limits apply, for example in meeting regulatory
requirements for completing professional courses • Complaints relating to disability
support
• Issues of serious and repeated service failure or significant delay
• Issues of a highly sensitive nature
You must submit a formal complaint to the Complaints and Appeals Office electronically, by
email or through our website, using our formal complaint form. We will only accept a form
submitted by someone else on your behalf if you have given the other person written
permission to act as your representative. You must set out your concerns clearly and briefly,
and provide evidence, where possible, of the issues raised. Only evidence that is clearly
referenced in the complaint will be considered.
When we receive a complaint or appeal we will consider some key questions, including the
following.
• Has the concern or complaint already been through the early resolution stage? If not,
unless it meets the conditions set out above for moving straight to the formal
complaint stage, we will refer it back to the early resolution stage.
• Have you set out clearly what the complaint is about and which area (or areas) of the
University is involved?
• Have you provided evidence to support the complaint and is there a clear reference
to this in the complaint?
• What outcome are you hoping for and can it be achieved?
• Is the complaint suitable for mediation?
• Is the complaint covered by the Concerns and Complaints Procedure or should we
refer you to another procedure?
• If you are a student, what help or support can we provide to you?
When we receive a formal complaint, we must decide whether it meets the conditions to be
considered under this Concerns and Complaints Procedure. If not, we will tell you our
decision and the reasons for this, and give you details of the correct procedure to use, if
appropriate.
If your complaint is eligible to be considered under the Concerns and Complaints Procedure,
we will send you a dated acknowledgement of receipt within five working days of receiving
the formal complaint form and will record the date we received the complaint in our concerns
and complaints system.
We will pass the complaint to a suitably trained case officer to investigate. This person will
have had no previous involvement in the matter. The purpose of the investigation is to find
out all the facts that are relevant to the points made in the complaint and to provide a full, fair
and proportionate response that sets out our position clearly.
We will tell you the name and contact details of the case officer. It is important to be clear
from the start of the investigation stage exactly what is being investigated, and to make sure
that both you and the case officer understand the scope of the investigation. The case officer
will discuss the matter with you, usually face-to-face or by phone, and will consider the
following three questions.
• What is the complaint?
11
• What do you want to achieve by complaining?
• Do your expectations appear to be reasonable and achievable?
If you are expecting more than we can reasonably provide, we will tell you this as soon as
possible to manage expectations about possible outcomes.
You may tell us that you want all or part (for example, a statement from a witness) of your
complaint to remain confidential. Although we will manage all complaints in a confidential
and sensitive way, there will be staff who need to consider the complaint and who we may
ask to comment on or respond to the statements made.
The case officer will consider the complaint and may talk to relevant staff or students and
consider documents and other evidence. A case conference approach (where all those
involved meet together) will be used where this would be helpful. We expect you to provide
all evidence that it is reasonable for you to have gathered. This may include, for example,
copies of emails or letters, financial information such as evidence of lost income (if this is
relevant to the complaint), or statements from witnesses if it is safe and helpful to provide
these. The case officer will produce a report based on their investigations which will outline
the process they have followed, the information they have gathered, their conclusions and
their recommendations. The case officer will also consider whether the complaint is suitable
for mediation.
To help make sure we are consistent and fair when considering complaints, the case officer
will send the report to the Assistant Director of Student Services (Complaints and Appeals),
or someone they have nominated to act on their behalf, for the recommendations to be
agreed. Everyone involved will receive copies of the information considered and a copy of
the investigation report. We will provide a full response to your complaint within 20 working
days of receiving the formal complaint form.
If there are clear and justifiable reasons for extending the time limit, the case officer will set
new time limits. The maximum extension will be 10 working days (that is, not more than 30
working days in total from the date we receive the formal complaint form).
Closing the complaint at the formal complaint stage
We will give you a clear explanation of the outcome of your formal complaint in writing,
setting out the reasons for each decision in simple, straightforward language. If we find that
your complaint is partly or fully justified, we will explain how and when we will put in place
actions to put the issue right, and apologise where appropriate. We will record the outcome
on our concerns and complaints system.
• your right to take the complaint to the review stage;

• the grounds on which you can do this (see below);
• the time limit for moving to the review stage (20 working days of receiving the
outcome of the formal complaint);
• the appropriate procedure to follow; and
• where and how to access advice and support if you are a student, for example the
Students’ Union or Student Services.
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If you do not take the complaint to the review stage within the time limit for doing so, we will
close the matter.
Review – to be completed within 20 working days of receiving the request for a review
If you are not satisfied with the outcome of the formal complaint stage, you have 20 working
days to ask for a review. There are limited grounds for asking for a review, which are as
follows.
• There is new evidence which you were unable, for valid reasons, to provide earlier in
the process that would have had a significant effect on the outcome of the formal
complaint stage.
• The correct procedure was not followed during the formal complaint stage and this
has had a significant effect on the outcome.
• The outcome was unreasonable given all the circumstances and the evidence
considered.
The purpose of a review is to consider whether we followed the correct procedure during the
formal complaint stage and whether the outcome was reasonable. At the review stage, we
will not usually consider the issues again or investigate the matter further. A complaint must
have been considered at the formal complaint stage before it can move to the review stage.
If your expectations appear to be beyond what can be achieved at the review stage, we will
tell you this as soon as possible in writing to manage your expectations about possible
outcomes.
be considered. We will acknowledge the request for a review within five working days.
The Complaints and Appeals Office will assess the request for a review and the Director of
• There are no grounds for taking the matter further. If this is the case, the Complaints
and Appeals Office will tell you in writing and, if you are a student, also let you know
about any right you may have to ask the OIA to review your complaint.
• There are grounds for reconsidering the case.
If there are grounds for reconsidering the case and further investigation, the Director of
Student Services, or someone they nominate to act on their behalf, will consider the
following.
• Were the relevant procedures followed during the formal complaint stage?
• Was the outcome reasonable in all the circumstances?
• Have you received clear reasons why we rejected the complaint at the formal
complaint stage?
13
• If you have provided new evidence, have you provided valid reasons for not
providing it earlier?
• Would any new evidence you have provided have affected the outcome (if there
were valid reasons for not providing this earlier)?
• The complaint will be referred back to the formal complaint stage with a
recommendation. The issues are complicated and so it would be better to deal with
them through a review panel.
A review panel will be held in line with our standard procedures for such panels.
Extending the time limits
Closing the complaint at the review stage
We will give you a clear explanation of the outcome of the review in writing, setting out the
reasons for each decision in simple, straightforward language. If the review finds that a
complaint is partly or fully justified, we will explain how and when we will put in place actions
to put the issue right, and apologise where appropriate. We will record the outcome on our
concerns and complaints system. If you are a student who is enrolled on one of our courses,
we will also let you know about any right you may have to ask the OIA to review your
complaint.
14
Academic Queries and Appeals Procedure

Introduction
This procedure reflects our commitment to dealing with issues as early as possible and to
carrying out thorough and fair investigations where needed to make sure we are able to
make decisions based on the facts of each case.
The procedure applies to all enrolled students of the University including any staff who are
also enrolled as students. The procedure meets the 'General principles applying to all
Birmingham City University student procedures’ and is in keeping with the 'Good Practice
Framework for Handling Complaints and Academic Appeals' published by the Office of the
Independent Adjudicator (OIA).
What is an academic query or appeal?
We believe it is important that you can check and ask for extra information about decisions
relating to your assessment, progression and award. As in any organisation, we sometimes
make mistakes or do not provide clear enough information. We need to know when things go
wrong so that we can put things right.
If you think we have got a decision wrong, there are three stages you should follow.
· First, you should raise a query, which we can often deal with quickly and effectively
at a local level. You should do this as soon as the query arises.
· If we cannot resolve your query, and if there are relevant grounds for taking the
matter further, you can submit an academic appeal, which we will deal with formally.
You must submit your academic appeal within 20 working days of the decision that
you are questioning being published or received.
· If you are still not happy with our response to your academic appeal, you can ask for
a review.
This procedure sets out the steps involved in all three stages.
What academic queries and appeals are covered by this procedure?
For the purposes of this procedure, and in line with the UK Quality Code, an academic query
or appeal is defined as:
'a request for a review of a decision on student assessment, progress and awards.'
An academic query or appeal relates to the mark or grade you are given for an assessment,
or a decision about your progression. You can only raise a query or submit an academic
appeal if:
· we have not followed our procedures properly and this has clearly affected the
outcome (this is called a procedural irregularity); or
· there were circumstances beyond your control which meant you did not perform as
well as you expected in your coursework or exams and which, for good reason, you
1
did not tell us about before we made our original decision but which have significant
relevance to your assessment. These are known as ‘extenuating circumstances’.
The following are not legitimate grounds for an academic query or appeal.
· If you are questioning academic judgment, that is, the decision made by academic
staff on the quality of the work itself or the criteria being applied to mark the work
(rather than the marking process).
· If you disagree with the way we considered extenuating circumstances, unless you
have clear evidence that we did not follow the correct procedures or that the
examination board did not consider the recommendations properly.
It may be more appropriate to consider some issues under processes other than this
Academic Queries and Appeals Procedure. Some situations can involve a combination of
issues, where some are academic queries and appeals and others are not, and we will
assess each case individually. You must raise, at the time, any concerns you have about the
support you receive to prepare for your assessment using the Concerns and Complaints
Procedure, as these cannot be considered later as grounds for an academic query or
appeal.
Who can raise a query or make an academic appeal?
The procedure is only for enrolled students of the University. In this procedure, we refer to
the student making a query or submitting an academic appeal as 'you'.
We will only accept academic queries or appeals from you and not from someone else on
your behalf.
If there are valid reasons why you are unable to take part in the process, and you can
provide evidence of the reasons, we may, in exceptional circumstances, agree to accept
academic queries or appeals from a third party if they are acting as your representative and
you have given them permission to act for you under the requirements of the Data Protection
Act (1998). This means that you must give clear written authority at each stage of the
process for the third party to act on your behalf. All communication we have concerning the
issue will then be with your representative not with you. The same timescales will apply as
with other cases.
If the issues raised affect a number of people, you can submit a group academic query or
appeal. In these circumstances, so that we can manage the academic query or appeal, the
group should nominate one person to act as group representative.
Academic queries and appeals involving more than one issue

Students sometimes raise issues which do not fall neatly into the category of this or other
procedures such as concerns and complaints. If this applies to you, we will tell you which
issues we will consider under which procedure and will direct you to the other appropriate
procedure (for example, the Concerns and Complaints Procedure) for the other issues. We
will tell you about the effects, if any, of following two procedures at once, particularly where
one procedure may be suspended until the other is completed.
Where there is significant overlap, we may decide to consider matters together, as long as
you agree to this in writing. For example, if an academic appeal covers issues that could
also be dealt with under other procedures such as the Concerns and Complaints Procedure,
2
we can carry out a joint investigation. We will tell you where responsibility for the overall
investigation lies and who will issue the final decision.
Academic queries or appeals involving more than one faculty
If your academic query or appeal relates to the actions of two or more faculties, the faculties
will agree between them who will take the lead and you will be given the lead person’s
contact details. This lead person will then co-ordinate the different faculties to make sure that
the academic query or appeal is fully dealt with in a single response.
Partner institutions
If we are working with one or more partners to provide learning opportunities, the Student
Handbook will make it clear which partner’s procedures apply and how students can access
these procedures. This includes making it clear to students where they should send any
academic queries or appeals, and how far each partner will be involved in considering these.
In line with the QAA Quality Code, if you are a student studying with a partner institution on a
programme leading to a Birmingham City University award, you have the right to make an
academic appeal to us.
In the case of a joint degree which we offer with another awarding body, the Student
Handbook will make it clear which institution is responsible for the final review and which
national body (if relevant) is responsible for the external review.
If a programme is assessed by an external organisation, for example by a professional,

statutory or regulatory body, the Student Handbook will make it clear which body will
deal with specific issues.
Time limits
You should raise any academic queries with us as soon as they arise to allow us to
investigate and deal with them as soon as possible. Although individual faculties may
respond to queries raised at a local level some time after the event, the formal academic
appeal stage is only available if we receive the academic appeal form within 20 working days
of the results being published if the appeal relates to procedural irregularity, or within 20
working days of you getting our decision if it relates to extenuating circumstances. This
period of 20 working days will include the time needed for a query to be raised first. If we
receive your academic appeal form more than 20 working days after either event, we will
only be able to take it to the formal academic appeal stage if there is a good reason for the
delay. When deciding whether there is a good reason for a delay, we will consider things
such as our obligations under the Equality Act or whether you need a reasonable adjustment
to the procedure being used. Our Disability Support team will give advice where appropriate.
The Director of Student Services (or someone they nominate to act on their behalf) will
consider cases and, if they feel the delay is justified, will allow us to deal with the academic
appeal under the formal academic appeal stage. Within 10 working days of receiving your
academic appeal, the Complaints and Appeals Office will write to you with their decision to
either accept or dismiss the late academic appeal. If we accept your academic appeal, the
normal timescales will apply starting from the date of our decision to accept it.
3
We aim to process a formal academic appeal and any associated review within 90 calendar
days. This is in line with OIA guidance. Under the 90-day timeframe you must meet any
deadlines we set for providing further information or documents and attending meetings.
There will occasionally be circumstances when we need to extend the timeframe for different
stages. (We will only do this if there is a good reason, for example if we need to wait for a
key person to be available to speak to us.) If this is the case, we will tell you and will explain
the reasons for the delay and tell you the new timescales. We will provide regular updates
on progress where appropriate.
Academic queries and appeals process

This Academic Queries and Appeals Procedure is intended to provide a quick and simple
process with a strong focus on early resolution by well-trained staff who have the power to
take necessary action. The Academic Queries and Appeals Procedure has three stages.
Query and early resolution: at this stage, straightforward queries dealt with quickly and
locally, for example by the relevant course team or school. This can help you understand
why you were given a particular assessment mark or grade, or help you understand why an
extenuating circumstances request was not successful. This might include, for example,
face-to-face discussions with you to explain the assessment result, your options for making
academic progress or the reasoning behind the decision. This will also help you decide
whether it is appropriate to submit a formal academic appeal.
This stage should be completed within 10 working days of the query being raised.
Formal academic appeal: if you are not satisfied with the response to the query and if there
are relevant grounds for taking the matter further, it can move to the formal academic appeal
stage. The formal academic appeal stage will usually be dealt with by staff who were not
involved directly at the query and early resolution stage.
This stage should be completed within 20 working days of us receiving the academic appeal
and we will give you our decision in writing.
Review: you can ask us to review the way we have handled a formal academic appeal to
make sure that we followed the appropriate procedures and that our decision was
reasonable. At this stage we will not normally reconsider the issues raised, but will consider
significant new evidence that you were unable to provide at an earlier stage for valid
reasons.
If you have already made an academic appeal to a partner institution and you are not
satisfied with the way it has been dealt with under their own academic appeals procedure,
you may be able to refer the academic appeal to us and we will consider it under this stage.
This will include a review of the way in which the partner institution handled the matter. Your
Student Handbook will explain if this applies to your course.
This stage should be completed within 20 working days of us receiving the request for a
review and we will give you our decision in writing.
4
Early resolution of query:
Formal academic appeal stage:
Review stage:
5
Mediation
Mediation is a voluntary process where someone who is impartial and independent helps
settle issues confidentially. Using mediation can help both you and us to understand the
reason for the academic query or appeal, and may help to reach a conclusion that you and
we are satisfied with, as soon as possible.
If both we and you agree to mediation, we will agree revised timescales with you in writing. If
mediation is used in the formal academic appeal or review stages, we will make it clear how
the arrangement fits with more formal procedures, the details of the mediation and whether
you and we must agree beforehand whether to accept the solution offered or the findings
reached. The formal process may need to be restarted if an agreement cannot be reached
using mediation.
behalf.
Stages of the process (refer to flowchart)

Query and early resolution – to be completed within 10 working days of receiving
your query
If your query relates to procedural irregularity, where you think we have not followed the
procedures properly and this has clearly affected the outcome, the purpose of the query and
early resolution stage is to help you understand the reasons for the assessment, progression
or award decision, or for you to tell us about a possible error in the process, such as marks
not being recorded correctly. You should raise your query with your course team or school
as soon as possible after becoming aware of it.
If your query relates to extenuating circumstances, the purpose of the query and early
resolution stage is to help you understand why your application was not successful. You
should raise your query with the Complaints and Appeals Office as soon as possible after
becoming aware of it.
You can raise a query at this stage face-to-face, by phone, in writing or by email.
We can deal with most queries at this stage and your Student Handbook will explain the
process that you should follow. This may include, for example, 'results clinics' following
publication of results, meetings with the course leader or meetings with your personal tutor.
If the person you raise the query with needs to pass responsibility for dealing with it to
another member of staff, they will give you that member of staff's details and, if possible,
introduce you to them or give you an appointment to meet them.
It is important that you have an opportunity to raise your queries and feel that we have
listened to you. We can often deal with a query by explaining things to you and talking
through your options. If we do find that we made a mistake, we will try to understand how
this happened, apologise to you and try to make sure you are not disadvantaged because of
this. We will also explain what we will do to prevent a similar situation from happening again.
6
Closing the query at the early resolution stage
We will tell you the outcome of the early resolution stage either face-to-face, by phone, in
writing or by email. We will look at all areas of the query and explain the reasons for the
agreed actions. We will add details of the query, the actions we have taken to consider and
deal with it, and what we told you to our academic queries and appeals system. This will
help us to learn and improve and also provides an important record if the query goes forward
to the formal academic appeal stage
Formal academic appeal – to be completed within 20 working days of receiving the

formal academic appeal
We will only consider a formal academic appeal for investigation when the query and early
resolution stage has been attempted first. You must make a formal academic appeal within
20 working days of the results being published if the appeal relates to procedural irregularity,
or within 20 working days of you receiving the decision if it relates to extenuating
circumstances.
We will give special attention to identifying academic appeals that may require particularly
quick action. These may include the following.
· Cases where the effects of the issues raised may have harmed a person's mental
health or led to significant distress
· Cases where external time limits apply for example in meeting regulatory
requirements for completing professional courses
You must submit a formal academic appeal to the Complaints and Appeals Office
electronically, by email or through our website, using our formal academic appeal form. You
must set out your concerns clearly and briefly and provide evidence, where possible, of the
issues raised. Only evidence that is clearly referenced in the academic appeal will be
considered.
When we receive your formal academic appeal we will consider some key questions,
including the following.
· Has the academic appeal already been through the query and early resolution stage?
If not, we will refer it back to the query and early resolution stage.
· Have you set out clearly what the academic appeal is about and which area (or
areas) of the University is involved?
· Have you provided evidence to support the academic appeal and is there a clear
reference to this in the academic appeal?
· For extenuating circumstances, have you provided new evidence and explained
clearly why this was not available when you made your first application?
· What outcome are you hoping for and can it be achieved?
· Is the academic appeal suitable for mediation?
· Is the academic appeal covered by the Academic Queries and Appeals Procedure or
should we refer you to another procedure?
· What help or support can we provide to you?
When we receive an academic appeal, we must decide whether it meets the conditions to be
considered under this Academic Queries and Appeals Procedure. If not, we will tell you our
decision and the reasons for this, and give you details of the correct procedure to use, if
appropriate.
7
If your academic appeal is eligible to be considered under the Academic Queries and
Appeals Procedure, we will send you a dated acknowledgement of receipt within five
working days of receiving the formal academic appeal form and will record the date we
received the appeal in our academic queries and appeals system.
Our Complaints and Appeals Office will tell the chair and secretary of the relevant
Examination Board that you have made an academic appeal and that it is being investigated.
If you have received an examination board decision of ‘cannot proceed’ or ‘fail withdraw’,
you will be allowed to attend classes until we decide on the outcome of your academic
appeal.
If the formal academic appeal is eligible to be considered under this procedure and
relates to a procedural irregularity in the assessment process where 'we have not
followed our procedures properly and this has clearly affected the outcome', the
following will apply.
We will pass the academic appeal to a suitably trained case officer in the relevant faculty to
investigate. This person will have had no previous involvement in the matter. The purpose of
the investigation is to find out all the facts that are relevant to the points made in the
academic appeal and to provide a full, fair and proportionate response that sets out our
position clearly.
We will tell you the name and contact details of the case officer. It is important to be clear
from the start of the investigation stage exactly what is being investigated, and to make sure
that both you and the case officer understand the scope of the investigation. The case officer
will discuss the matter with you, usually face-to-face or by phone, and will consider the
following three questions.
· What specifically is the academic appeal about?

· What do you want to achieve by appealing?
· Do your expectations appear to be reasonable and achievable?
If you are expecting more than we can reasonably provide, we will tell you this as soon as
possible to manage expectations about possible outcomes.
The case officer will consider the academic appeal and may talk to relevant staff and
consider documents and other evidence. We expect you to provide all evidence that it is
reasonable for you to have gathered. This may include, for example, module guides,
assignment briefs and examination board letters. The case officer will consult with the
relevant associate dean to agree, where appropriate, any action that should be taken and
will produce a report based on their investigations which will outline the process they have
followed, the information they have gathered, their conclusions and their recommendations.
To help make sure we are consistent and fair when considering academic appeals, the case
officer will send the report to the Complaints and Appeals Office.
The report will state either that:
· the academic appeal is partly or fully justified (and suggest actions to put the matter
right); or
· the academic appeal is not justified and should be rejected.
If the report states that your academic appeal is not justified, the Complaints and Appeals
Office will ask a member of staff who is not a member of your school or college to consider
your appeal and the response. This member of staff will be on the SCAD Register, a list of
8
staff approved by the Student Complaints, Appeals and Discipline Committee to investigate
and hear student disciplinary cases, student complaints, claims of material error and appeals
within the University. If they agree that the academic appeal is not justified and should be
rejected, we will confirm the decision.
If they decide that the academic appeal should be considered further, the Complaints and
Appeals Office will bring together a panel to consider the academic appeal. The panel will be
held in line with the University's standard procedures for such panels and will consist of
three members of staff from the SCAD Register who have no previous knowledge of you or
this case, and who are not from the same school or college as you. The panel will decide
whether the academic appeal is justified, and whether any action is required.
If the formal academic appeal is eligible to be considered under this procedure and
relates to 'circumstances beyond your control which meant you did not perform as
well as you expected in your coursework or exams and which, for good reason, you
did not tell us about before we made our original decision but which have significant
relevance to your assessment’ (extenuating circumstances), the following will apply.
If the Assistant Director Student Services (Complaints and Appeals), or someone they
nominate to act on their behalf, is satisfied that you have provided enough further evidence
that you could not have provided when you made your original application for us to consider
extenuating circumstances, they can decide that the academic appeal is justified.
Acceptable further evidence includes an original medical note or doctor’s letter confirming
that you were unable to work or study on the dates of the assessments concerned.
In any other circumstances, an academic appeals panel will consider the academic appeal.
The panel will consist of three members of staff from the SCAD Register who have no
previous knowledge of you or this case, and who are not from the same school or college as
you. The panel will not normally need to meet you or representatives of your school or
college, but may ask for a meeting if they feel this would be useful. The panel will decide
whether the academic appeal is justified, and whether any action is required.
At all stages, the Complaints and Appeals Office will also consider whether the academic
appeal is suitable for mediation.
Everyone involved will receive copies of the information considered and a copy of the
investigation report and panel report where appropriate. We will provide a full response to
the academic appeal within 20 working days of receiving the academic appeal form (except
in cases where a panel is used, in which case it will be 30 working days).
If there are clear and justifiable reasons for extending the time limits the case officer will set
new time limits. The maximum extension will be 10 working days (that is, not more than 30
working days in total from the date we receive the academic appeal form).
Closing the academic appeal at the formal academic appeal stage
We will give you a clear explanation of the outcome of your formal academic appeal in
writing, setting out the reasons for each decision in simple, straightforward language. If we
find that your academic appeal is partly or fully justified, we will explain how and when we
9
will put in place actions to put the issue right, and apologise where appropriate. We will
record the outcome on our academic queries and appeals system.
· your right to take the academic appeal to the review stage;

outcome of the academic appeal);
Student Services.
If you do not take the academic appeal to the review stage within the time limit for doing so,
we will close the matter.
The Complaints and Appeals Office will also inform the chair and secretary of the relevant
examination board of the decision.
Review – to be completed within 20 working days of receiving the request for a review
If you are not satisfied with the outcome of the formal academic appeal stage, you have 20
working days to ask for a review. There are limited grounds for asking for a review which are
as follows.
the process that would have had a significant effect on the outcome of the formal
academic appeal stage.
· The correct procedure was not followed during the formal academic appeal stage
and this has had a significant effect on the outcome.
considered.
formal academic appeal stage and whether the outcome was reasonable. At the review
stage, we will not usually consider the issues again or investigate the matter further. An
academic appeal must have been considered at the formal academic appeal stage before it
can move to the review stage. If your expectations appear to be beyond what can be
achieved at the review stage, we will tell you this as soon as possible in writing to manage
your expectations about possible outcomes.
You must submit a request for review electronically, by email or through our website by filling
in the appropriate form. You must set out your concerns clearly and briefly and provide
evidence, where possible, of the issues raised. Only evidence that is clearly referenced in
the form will be considered. We will acknowledge the request for a review within five working
days.
The Complaints and Appeals Office will assess the request for a review and the Director of
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and Appeals Office will tell you in writing and also let you know about any right you
may have to ask the OIA to review your appeal.
If there are grounds for reconsidering the case and further investigation, the Complaints and
Appeals Office will provide a report to the Director of Student Services, or someone they
nominate to act on their behalf, which considers the following.
· Were the relevant procedures followed during the formal academic appeal stage?
· Have you received clear reasons why we rejected the academic appeal at the formal
academic appeal stage?
it earlier?
· If there were valid reasons for not providing this evidence earlier, would it have had a
significant effect on the outcome?
· The academic appeal will be referred back to the formal academic appeal stage
together with a recommendation.
review panel.
A review panel will be held in line with our standard procedures for such panels and will
consist of a member of the Vice-Chancellor's Office as chair and two members of staff drawn
from the SCAD Register who have no previous knowledge of you or this case, and who are
not from the same school or college as you.
Extending the time limits
Student Services (Complaints and Appeals), or someone they nominate to act on their
Closing the academic appeal at the review stage
We will give you a clear explanation of the outcome of the review in writing, setting out the
reasons for each decision in simple, straightforward language. If the review finds that an
academic appeal is partly or fully justified, we will explain how and when we will put in place
actions to put the issue right, and apologise where appropriate. We will record the outcome
on our academic queries and appeals system. We will also let you know about any right you
may have to ask the OIA to review your appeal.
11
Fitness to Practise Procedure

Introduction
This procedure reflects our commitment to prepare our students to become effective, safe
qualified practitioners. We aim to help students understand the requirements for entry to
their chosen profession and help them to develop good practice and behaviour from the very
beginning of their studies. Students will meet the requirements relating to behaviour and
fitness to practise through academic and vocational studies, and, if there are any issues
relating to meeting the requirements, we will deal with these as quickly as possible in an
appropriate way.
This policy applies to all enrolled students of the University on a course which could lead to
or allow registration with a professional, statutory and regulatory body (PSRB). There is a
list of PSRBs on iCity.
This procedure meets the 'General principles applying to all Birmingham City University
student procedures’.
What is fitness to practise?
Being ‘fit to practise’ means being competent, responsible and having the characteristics
needed to work in a particular profession. We have a duty to make sure you are fit to
practise in your chosen profession. In assessing your fitness to practise, we give careful and
ongoing consideration to your skills and ability, character, behaviour and physical and
mental health. Although we recognise that you are still learning, you must make sure you
are actively trying to meet the required standards and are not doing anything which might
damage the public’s impression of the profession you are studying to enter.
What is covered by this procedure?
We will tell you what standards we expect of you as a student and we will tell you at the
earliest opportunity if our assessments show you are failing to meet these standards. In
most cases there will be no need to refer you to a formal investigation − we expect that
informal discussions with you and clear target-setting will be appropriate to make sure you
are fit to practise. However, a formal investigation will sometimes be necessary if we have
concerns about your fitness to practise. This could be because of ongoing concerns being
raised about your fitness to practise, a safeguarding matter or because of a single incident
which threatens the safety of a service user or which could harm the public’s view of the
profession. A safeguarding matter is one which affects the human rights, health, or
well-being of another person, particularly a child, young person or vulnerable adult.
The following will apply if we have concerns about your fitness to practise.
· For concerns that do not involve safeguarding matters or the safety of a service user,
or concerns that only arise occasionally, you can expect to receive feedback on the
things that have caused concern. This will usually involve setting targets for you to
meet, and may be through a formal action plan.
· For concerns that involve safeguarding matters or the safety of a service user, or
which may damage the public’s view of the profession, or concerns which suggest a
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pattern of repeated behaviour that does not change after we set targets for you, we
will refer the matter for investigation.
We will not normally refer the following for investigation in relation to your fitness to practise.
· Your performance in an assessment.
· Concerns that cannot be directly linked to the relevant code of practice.
We will normally consider academic misconduct allegations under the Student Disciplinary
Procedure. However, if the allegation against you relates to either altering information,
buying or trying to buy someone else’s work, or repeated academic misconduct, we may
refer the matter for a fitness to practise investigation. This is because PSRB expect certain
types of behaviour and characteristics which include the need for you to be honest and act
with integrity at all times.
Who can raise a concern regarding your fitness to practise?
Anyone who receives or is affected by your services (‘service user’) can raise a concern
about your fitness to practise, including:
· University staff;
· practitioners or placement staff;
· other students; and
· members of the public.
Only in exceptional circumstances will we consider concerns that we receive anonymously,

when there is a strong case – supported by evidence – that means that the matter should be
investigated.
If University staff, practitioners or placement staff have concerns, they must send them to us
using a reporting form (‘Raising Concerns Regarding Fitness to Practise’). We will make
the final decision as to whether the matter will be referred for investigation. We may need to
agree conditions you must keep to before you are able to continue your studies.
Disability and fitness to practise
We will review our standards if a disabled student may be at a significant disadvantage

during an assessment. Although we will normally consider making reasonable adjustments
during an assessment if you have told us you have disclosed a disability to the University,
we do not have to make reasonable adjustments if we are assessing whether you are
meeting a competency standard or if the adjustment would have a negative effect on the
standard you are achieving. A competency standard is defined as an academic, medical or
other standard which we apply to assess whether you have met the required standard in
terms of competence or ability. We will make sure that the competency standards are
objectively justifiable and an appropriate way of making sure you have the skills and ability
needed for your chosen profession.
If your disability develops or is identified during your programme of study, or if you knew
about the disability before starting your programme but it becomes worse and needs new or
revised adjustments, we will consider the following.
· What could we reasonably do to make it easier for you to continue on the programme
with your disability?
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· Could you be putting yourself or others at risk of harm by continuing on the
programme?
· Will placement providers or relevant professional bodies be prepared or able to make
the required alterations to their part of the teaching and learning or assessment
process?
· Did we tell you during the admissions process that the circumstances of your
disability could lead to you needing to withdraw from the programme?
· Is it possible for you to transfer to another programme of study?
If it is not possible to make a reasonable adjustment, or to find you a suitable placement
opportunity, it may be necessary for you to withdraw from a programme of study.
Criminal behaviour and fitness to practise
You must tell us if you receive a criminal conviction or caution during your programme of
study. Your student handbook or your programme director will tell you how to do this.
Receiving a criminal conviction or caution will not automatically mean you will be withdrawn
from your programme. After you tell us about a criminal conviction or caution, we will
consider:
· the nature of the offence;
· any history of offending or similar behaviour;
· any circumstances that might explain your behaviour; and
· any unreasonable delay in telling us about the conviction or caution.
We will consider all factors, including the above, before deciding whether you are fit to
practise.
Time limits
If anyone has any concerns that may relate to your fitness to practise, they should raise
these as soon as possible so that we can take action as necessary. If the concerns being
raised are serious or need a formal investigation, you may be suspended from your
placement with little or no notice. We aim to complete the formal stage, including any panel
meeting, within 45 working days. To help us achieve this you must meet any deadlines we
set for providing further information or documents and attending meetings. There will
occasionally be circumstances when we need to extend the timeframe for different stages.
(We will only do this is there is a good reason, for example if we need to wait for a key
witness to be available to speak to us.) If this is the case, we will tell you and will explain the
reasons for the delay and tell you the new timescales. We will provide regular updates on
progress where appropriate.
It is our responsibility to prove the allegation against you. We will base decisions on the
balance of probability so will accept the explanation that is most likely to be true.
3
behalf. The Students’ Union can help with this.
Confidentiality
We will not share any information about you or any case against you unless we need to as
part of our procedures or if there is good reason and urgent cause to do so. This could
include passing information about your case to external agencies such as the police. Our
‘Guidance on the production of references for students', which is available on iCity, explains
what information we will share if we are asked for a reference.
4
Flowchart of stages
Formal stage:
Review stage:
5
possible. The Fitness to Practise Procedure has an informal stage, a three-step formal stage
followed by the review stage (see the flowchart).
Informal stage − guidance and advice
This stage is for concerns that do not involve the safety of a service user, or for issues which
arise only occasionally. During the informal stage, issues are dealt with quickly and locally,
often by the relevant University tutor, practitioner or placement staff member. In most cases,
a conversation with you about your practice and how to improve will be enough to deal with
the matter. To help with your ongoing development, we may put an action plan in place. If
you do not make the necessary progress or if the issue is serious, it may move on to the
formal stage.
Formal stage – triage, investigation and recommendation, and faculty or University

panel
The formal stage is to be completed within 45 working days of the fitness to practise
concerns being raised. It involves assessing the concerns being raised and, where
appropriate, carrying out a formal investigation. We may hold a faculty or University panel to
consider very serious or complicated cases. The formal stage will involve the following three
stages.
(1) Triage
For concerns that involve safeguarding matters or the safety of a service user, or
concerns which may damage the public’s view of the profession or show a pattern of
repeated behaviour that the student has not changed after we have set targets, the
person raising the concern should fill in the ‘Raising concerns about a student’s
fitness to practise’ form. This person must provide all supporting evidence within two
weeks of sending us the form. If we do not receive the evidence within two weeks,
we will not investigate the concerns but may still discuss them with you to provide
you with relevant guidance and advice.
An associate dean or head of school (or someone nominated by the Student

Complaints, Appeals and Discipline Committee) will consider the ‘Raising concerns
about a student’s fitness to practise’ form and the relevant evidence to decide
whether there is a case to answer.
raised and, where relevant, put an action plan in place to help you.
(2) Investigation and recommendation

The case officer will have no knowledge of you or of any previous fitness to practise
or disciplinary matters you have been involved in.
6
The case officer will consider the fitness to practise concerns and may talk to
relevant staff or students and refer to documents and other evidence. At the meeting,
we expect you to give the case officer any evidence that it is reasonable for you to
have. This may include copies of emails or letters, or statements from witnesses if it
is safe and helpful to provide these. In exceptional circumstances, the case officer
may ask you or any other relevant person to provide evidence or information after the
meeting. You will receive copies of all evidence the case officer has considered
during the investigation. The case officer will produce a report based on their
investigation, which will outline the process they have followed, the information they
have gathered, the evidence they have considered, their conclusions and their
recommendations.

· There is no case to answer, so we will not hold a panel and will not take any
further action.
· There is a case to answer, but it does not need to be considered by a panel.
meet.
meet.
must meet.
o An action plan. You must keep to the action plan to be allowed to
continue on the programme of study.
· There is a case to answer that needs to be considered by a panel.
The associate dean or head of school (or other approved person) that made the
referral will consider the case officer’s recommendation. At this stage, the associate
dean or head of school may take into account any previous fitness to practise or
relevant disciplinary matters against you when deciding whether to accept the case
officer’s recommendation. The head of school or associate dean can make the
following decisions.
· To accept the case officer’s recommendation without change.
· To accept the case officer’s recommendation with minor changes.
· Not to accept the case officer’s recommendation, but take a different course
of action instead.
This stage must be completed within 15 working days following concerns being
referred for investigation.
7
We will hold a faculty or University panel in line with our standard procedures for
such panels.
The fitness to practise faculty panel can make the following decisions as appropriate.
· You are fit to practise, and we will not set any conditions which you must
meet before continuing with your studies.
· You are fit to practise but you must meet certain conditions. We will set out
these conditions in an action plan or learning agreement. If you do not meet
the conditions set by the faculty panel, you will no longer be fit to practise and
we may withdraw you from the programme of study. You may also receive a
written warning or final written warning.
· You are not fit to practise and we may withdraw you from the programme of
study. A faculty panel is not authorised to exclude you from the University.
If we find that you are unfit to practise, we will consider whether there is any other
programme of study that you may be able to transfer or apply to. You will not be
eligible to transfer or apply to a programme of study that has a fitness to practise
requirement within five academic years of the decision to find you unfit to practise. If
you apply to a new programme of study, the University’s admission policy and criteria
that are in force at the time of the application will apply. For information about what
details we are allowed to share about you in any reference request, please see our
‘Reference Policy’ <to be confirmed>.
from the University or any of our partner institutions.
for the extension.
Closing the fitness to practise action at the formal stage
We will give you a clear explanation of the outcome of the formal stage of the fitness to
practise action in writing, setting out the reasons for each decision in simple, straightforward
language. We will record the outcome on our fitness to practise record system.
· your right to take the case to the review stage;

Student Services.
the matter.
8
Review stage – to be completed within 20 working days of receiving your request for
a review
formal stage.
· The correct procedure was not followed during the formal complaint stage and this
considered.
formal stage and whether the outcome was reasonable. At the review stage, we will not
usually consider the issues again or investigate the matter further. Your case must have
been considered at the faculty or University panel stage before it can move to the review
stage. If your expectations appear to be beyond what can be achieved at the review stage,
we will tell you this as soon as possible in writing to manage your expectations about
possible outcomes.
be considered. We will acknowledge your request for a review within five working days.
and Appeals Office will tell you in writing and let you know about any right you may
have to ask the OIA to review your case.

· Was there a mistake in how we used this procedure to assess your case and the
· Have you received clear reasons for the outcome at the formal stage?
it earlier?
· Would any new evidence you have provided have affected the outcome (if there were
9
· The case will be referred back to the formal stage with a recommendation.
review panel.
state any action to be taken (if appropriate). We will record the outcome on our fitness to
practise system. We will also let you know about any right you may have to ask the OIA to
review your case.
10
List of professional, statutory and regulatory bodies
Some of our programmes of study lead to registration or eligibility for registration with the
following PSRBs.
Health and Care Professions Council (HCPC)
Nursing and Midwifery Council (NMC)
Solicitors’ Regulation Authority (SRA)
Teachers’ Standards
11
Raising concerns about a student’s fitness to practise
A registered professional should fill in this section to raise concerns about a Birmingham City
University student’s fitness to practise.
Name
Miss/Ms/Mrs/Dr/Prof
Job title
Employer
Location of
employment For example, Ward 6 Russell’s Hall, or Old Tree Primary School
Member of
professional body List all that apply
Governing code Must not be left blank
Section or criteria
of code felt to have
been broken List all that apply. Must not be left blank
Student name
Miss/Ms/Mrs/Dr/Prof
Student ID number
Course of study
My knowledge of the events relevant to this matter is as follows:
[List events in date order. Please refer to any relevant documents which support the account, and
attach the documents to this statement with reference numbers. Please make sure that your
statement could be read and understood by someone with no knowledge of the case so that they
would be left understanding what the allegation was and how the evidence you have provided is
relevant to the allegation.]
12
I am attaching (or will provide within two weeks) the following evidence to support this statement.
Document Attached or to follow

reference Brief description of document
Example 1 Hospital incident report form dated 1 June 2015 Attached
I am giving this statement in connection with my concerns that the student named above may have
broken the relevant code governing the profession (which applies to their programme of study). I
understand that:
· within two weeks of sending this statement to the University I must provide all evidence
referred to in this statement;
· you may provide this statement to the student named above in the course of any University
investigation into the concerns being raised; and
· due to confidentiality restrictions, you may not keep me informed of the progress of your
investigation.
Notes to consider
1. Try to make sure the statement covers all relevant issues and only those that you have direct
knowledge of.
2. Make sure that the statement does not include details that are not relevant or could be unfair, such
as earlier offences or evidence about other similar offences.
3. Wherever possible, try to avoid any second-hand (hearsay) evidence, although we will accept
hearsay evidence if there is no better evidence available.
4. Consider whether your witness statement is an important part of the case or whether it adds little
to it or simply duplicates other evidence. Although it can be helpful to include more than one
account supporting the same events, there will be a point at which duplicating evidence will just
unnecessarily extend the time needed to deal with the case.
To be filled in by University staff:

Date student started the current programme Level of study Has the student interrupted their
study?
4 5 6 7 Yes □ No □
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The relevant associate dean or head of school should fill in this section. Recommendations
made by the case officer will be returned to the person named below.
Name
Miss/Ms/Mrs/Dr/Prof
Job title
Faculty
Student name
Student ID
number
Course of study

Section or criteria
of code felt to
have been broken List all that apply. Must not be left blank
A complicated concern has been raised ☐
Harm or threat of harm to a service user or client ☐
Damage or threat of damage to the reputation of the profession ☐
The student is diagnosed with a disability after starting the programme ☐
The student receives a criminal charge or conviction after starting the programme ☐
14
General principles applying to
Birmingham City University student procedures
These general principles apply to all our procedures which directly affect students. They are
supported and characterised by our values which are as follows.
· “Excellence – We take pride in ensuring the highest quality standards of academic

achievement and professional service delivery.
· People Focused – We value everyone, recognising that what we do is for the benefit
of all those connected with the University.
· Partnership Working – We work constructively with each other, fellow students and
wider University community to create strong and successful working relationships.
· Fairness and Integrity – We take a fair and balanced approach to our activities and
are mindful of the impact of our actions.”
Our procedures will be clear and easy to access
· We will write our procedures in plain English and make them easy to follow.
· We will tell you how to access advice and support.
· We will help you understand which process you should follow.
· We will explain what each procedure does and does not cover.
· We will include clear information about time limits.
· We will respond to your needs as an individual.
· We will review our procedures regularly to make sure they are still relevant and working
well.
· We will tell you who you will deal with and make sure that different parts of the University
work together effectively.
· We will keep clear and effective records.
Our procedures will be fair and impartial
· We will make sure that staff who make decisions have the necessary training, resources
and support to make fair and consistent decisions.
· We will give all those involved an equal opportunity to present their case honestly and
clearly.
· We will give clear reasons for our decisions.
· We will make sure that you are not disadvantaged as a result of raising a legitimate issue.
· We will base decisions on the balance of probability (this means we will accept the
explanation that is most likely to be true).
· We will make sure that staff who make decisions do not have a conflict of interests.
· We will provide the opportunity for an independent review of a decision where there is
good reason for this.
Our procedures will be flexible and timely
· We aim to deal with issues informally and quickly wherever possible and will encourage
the use of mediation where it will help. Mediation is a voluntary process where someone
who is impartial and independent helps settle issues confidentially.
· We are flexible about which approach to use when you raise issues which fall under more
than one procedure.
· We will set clear time limits within which we normally expect to complete each process.
· We will identify issues which require fast action and respond quickly.
· We will keep you informed of our progress at all stages.
Our procedures will include support for students
· We will tell you about the support services available to you, for example the Students’
Union and Student Services, which can provide helpful independent support and advice.
· You have the right to take someone with you to meetings to provide you with advice and
support, but not to act on your behalf or in a legal capacity. This person cannot be a
member of staff.
· We will make reasonable adjustments where appropriate to make sure that if you have
specific needs, including disabilities, you will be able to use our procedures.
· We will make sure that if you have disclosed mental-health issues which you have
formally told us about, we will tell you about specific support services that are available
to you within the University (for example, counselling services) and outside the
University if needed.
· If you appear to be unable to effectively take part in a procedure, we will suspend the
procedure until you get appropriate support. Or, we may allow you to appoint a
representative to act on your behalf.
We will use our procedures to improve the student experience
· We will learn from issues raised, act to deal with them and avoid them happening again.
· We will use the information we gather to do things better in the future and so improve
your experience as a student.
We will maintain an appropriate level of confidentiality
· We will only release information to people who need it for the purposes of investigating or
responding to the issues raised.
· We will only share information with others if we need to do this to get relevant information
from them.
· We are not able to share information about another student or a member of staff if this
would affect their right to confidentiality.
· We will make sure that information we hold in our record systems about your use of our
procedures is only available to those who need to see it.
· We will only share the outcome of a procedure with others if there is a good reason for
this. We will tell you when this is the case.
We expect everyone involved to behave appropriately
· We expect everyone involved to take part fully in the process, to act reasonably and fairly
towards each other, and to treat each other and the processes themselves with respect.
· We have a responsibility to protect our staff and students against unacceptable
behaviour, but we recognise that people may act out of character in times of trouble or
distress. We accept that a person acting in an unacceptable way may still have a
legitimate concern. We will treat all issues seriously and assess them properly.
We will not allow our procedures to be misused
· We will not tolerate frivolous or vexatious use of our procedures. In line with guidance
from the Office of the Independent Adjudicator this includes:
o actions which are obsessive, harassing or repetitive;

o people insisting that we consider unreasonable claims or reach unrealistic and
unreasonable outcomes;
o people insisting that we consider reasonable claims in an unreasonable manner;
o actions which are designed to cause disruption or annoyance; and
o demands for action which lack any serious purpose or value.
· We will stop considering any matter we believe is frivolous or vexatious. In such cases,
we will write to you explaining why we have stopped and how you can ask us to review
this decision.
Panel guidance
Introduction
During your studies we may ask you to attend a panel meeting as part of one of the
University’s procedures. This information explains what panels are for and tells you
what you can expect if you are invited to attend a panel meeting.
Why are panels held?

Panels are held where we need to reach a decision on a complicated matter related
to you or your studies. They are an opportunity for us to hear directly from you and
other relevant people, and to ask questions about a particular matter. Depending on
the issues being considered, the panel may reach a number of different decisions in
line with the relevant University procedure.
What types of panel are there?

We have three different types of panel that we might ask you to attend, depending
on which stage of the relevant procedure you have reached or, in some cases, how
severe the matter being considered is.
Faculty panel – We hold a faculty panel to consider a matter in detail. This is either
a formal academic appeal or part of the formal stage of either a
fitness to practise or disciplinary matter.
University panel – We hold a University panel only in relation to fitness to practise

or disciplinary matters where you may be excluded from the University.
Review panel – We may hold a review panel if your request for a review shows that
we should reconsider an earlier decision. As such, a review panel allows us
to review a decision made at an earlier stage relevant to a particular
University procedure or policy.
Where necessary, academic appeals panels consider academic appeals and are
made up of three members of staff from the register of staff approved by the Student
Complaints, Appeals and Discipline Committee (‘SCAD Register’) who have no
previous knowledge of you or your case, and who are not from the same school or
college as you. The panel will not normally need to meet you or representatives of
your school or college, but may ask for a meeting if it feels this would be useful. The
panel will decide whether the academic appeal is justified, and whether any action is
necessary.
Panel guidance 1
Membership
All panel members will be impartial. Although it is normal practice for panellists to
have no previous knowledge of either you or the matter being considered, it may be
necessary to hold a panel if you or the matter being considered is known to one or
more of the panellists. We will invite a member of the Students’ Union Executive to
serve as a fourth panellist on all panels we hold. However, the panel will still go
ahead if a member of the Students’ Union Executive is not available to attend.
Faculty panels have at least three members.

· An executive dean, an associate dean, or a head of school will chair the
meeting.
· Two senior members of University staff with experience of dealing with the
type of matter being reviewed. Where appropriate, the chair may agree that a
practising professional (practitioner) from a related area or profession can
replace one member of staff on the panel.
· A member of the Students’ Union Executive.
University panels have at least three members.

· A member of the Vice-Chancellor’s Office (or someone they nominate) will
chair the meeting. The Student Complaints, Appeals and Discipline
Committee will approve and keep under review details of senior members of
University staff who are nominated to chair University panels.
· Two senior members of University staff who have experience of dealing with
the type of matter being reviewed. Where appropriate, the chair may agree
that a practising professional (practitioner) from a related area or profession
can replace one member of staff on the panel.
Review Panels have at least three members.

· A member of the Vice-Chancellor’s Office (or someone they nominate) will
chair the meeting. The Student Complaints, Appeals and Discipline
Committee will approve and keep under review details of senior members of
University staff who are nominated to chair review panels.
· Two senior members of University staff who have experience of dealing with
the type of matter being reviewed. Where appropriate, the chair may agree
that a practising professional (practitioner) from a related area or profession
can replace one member of staff on the panel.
Who will attend the panel meetings?

The following people may attend the panel meeting for different reasons. These
people do not form part of the panel for the purpose of reaching a decision, but the
panel may ask them for information during the meeting.
Panel guidance 2
Clerk – Faculty panels are clerked by a member of support staff from the relevant
faculty. The clerk arranges the panel meeting, attends the meeting to take
notes of the main discussion points, gives procedural advice to the panel and
writes up the panel’s decision. University and review panels are clerked by a
member of staff from the Complaints and Appeals Team. The clerk is allowed
to be present during all private meetings of the panel.
Observers – Up to two observers may attend any panel for training purposes.
Observers are allowed to be present during all private meetings of the panel.
Faculty and service department representatives – Up to two representatives of

the relevant faculty or service department may be present during the panel
meetings. The chair of the panel may decide which members of University
staff are required to attend − a written statement may be accepted if the
representative is unable to attend. Faculty and service department
representatives may take a companion to the panel meeting for support.
Faculty and service department representatives do not have to wear the
uniform of their relevant profession or training at the meeting.
Witnesses – Up to two witnesses may be present during the panel meetings. If

there is a choice of witnesses that may attend, the chair of the panel will
decide which witnesses are required to attend. Each witness may take a
companion to the panel meeting for support. Witnesses do not have to wear
the uniform of their relevant profession or training at the meeting.
Companions – Each of the following people at a panel meeting may take one
companion to panel meetings for support.
· You
· Each faculty and service department representative
· Each witness
Companions must not be acting in a legal capacity during the panel meeting.
The companion may ask for a comfort break to be called, and may talk quietly
with the person they are accompanying, as long as this does not interfere with
the panel meeting. Apart from this, it is not expected that the companion will
need to speak during the panel meeting as everyone at the meeting will be
expected to speak for themselves.
Personal representative – In exceptional circumstances, and as long as you

arrange this beforehand, if you are unable to attend a panel meeting you may
be able to ask another person to represent you. The representative must not
be acting in a legal capacity, but may speak on your behalf. In these cases we
will assume that your representative is familiar with your case and is
authorised to give the panel information about you and make decisions on
Panel guidance 3
your behalf. You are responsible for your representative’s behaviour during
the panel meeting.
Scheduling meetings
Where possible, we will arrange panel meetings at a time when it is possible for you
to attend and they may take place on any of the University’s campuses. Panels are
authorised to go ahead without you if any of the following apply.
· You have failed to respond to our requests for details of your availability or
other communications we have sent you about holding a panel meeting. In
these circumstances, the clerk is responsible for demonstrating to the panel
chair that we have made all reasonable efforts to contact you using the
contact details we have for you, and that there has been no indication that you
have not received the communications.
· The panel meeting is scheduled to take place during your normal term time,
and you have not given us a valid reason for rescheduling the meeting. Valid
reasons for rescheduling a panel meeting are limited to the following.
o You have a sudden and severe illness, and have independent medical
evidence to confirm this.
o Your dependant has a sudden illness and you are the usual or main
caregiver.
o Your dependant’s usual caring facilities are unexpectedly unavailable.
o Lectures, exams or assessments are taking place at the time of the panel
meeting.
o You have employment or placement commitments that cannot be avoided.
Your companion not being available at the time of the meeting is not a valid reason
for rescheduling a panel meeting. We will reschedule a panel meeting only once, and
only if we accept a valid reason.
Panel duties and possible outcomes

Each panel’s duties depend on the level of the panel and also the matter being
considered. Faculty and University panels will need to consider the matter in detail
and full information is provided in each of the University’s procedures.
All decisions will be reached based on the balance of probabilities – a panel will
decide whether it is more likely than not, based on the evidence considered, that the
case is or is not justified.
The panel clerk will have access to any previous cases you have been involved in.
They will only reveal information about these if a case against you is found to be
justified and if the penalty the panel intends to set could be affected by knowledge of
the previous case.
The panel will have no knowledge of or right to consider any other matter that may
be ongoing with the University, and may limit reference to other such matters as
Panel guidance 4
necessary. On rare occasions, information is revealed during the course of a panel
that is outside that panel’s area of responsibility but which is likely to affect the
panel’s decision. In these circumstances the meeting should be immediately
adjourned while we decide how to proceed. The chair of the panel may take advice
from the clerk and Assistant Director of Student Services (Complaints and Appeals)
if necessary. However, if it is possible for the panel to disregard the information, it
may choose to continue at that time. If we need to investigate the information before
the panel can continue, the meeting will be closed until we have dealt with the
matter.
Proceedings
As proceedings may vary depending on the nature of the matter being considered,
the panel will give you, and everyone else who will be attending, specific information
on the likely proceedings before the panel meeting. In all cases, panels meet
privately both before and after meeting with you and the other people who are invited
to attend. However, the panel will usually offer you and the faculty or service
department representative enough opportunities to give comment and respond to
queries related to the panel’s duties. Unless the chair tells you otherwise, if you
have any questions you want to ask anyone else at the panel meeting, you should
raise these with the chair.
The following is a guide to both fitness to practise and disciplinary panel

proceedings.
· The panel meets privately.
· You, your companion, faculty and service department representatives, and
witnesses are invited to join the meeting.
· The chair will welcome everyone to the meeting, and will:
o introduce all those present;
o explain the purpose of the meeting including the panel’s duties;
o explain the procedural matters the panel will consider, including the order
these will be considered in, and how to request a comfort break; and
o tell you when you can expect the panel’s decision.
· The chair will invite the faculty and service department representatives to set
out a brief summary of the investigation they have carried out and the
evidence being considered by the panel.
· The panel may ask you or the faculty and service department representatives
questions to clarify the information they have presented.
· The chair will invite any witnesses to set out a brief summary of what they are
witness to.
· The panel may ask you, the witnesses or the faculty and service department
representatives questions to clarify the information you or they have
presented.
Panel guidance 5
· The chair will invite you to respond to the evidence against you and any
justification of your actions as presented to the case officer during the
investigation.
· The panel may ask you, the witnesses or the faculty and service department
representatives more questions until it has enough information to reach a
decision.
· The faculty and service representatives will have the opportunity to make any
final comments.
· You will have the opportunity to make any final comments.
· You, your companion, the witnesses and the faculty and service
representatives will be asked to leave the meeting.
· The panel meets privately to reach a decision.
The following is a guide to review panel proceedings.

· The panel meets privately.
· You, your companion, and faculty and service department representatives are
invited to join the meeting.
· The chair will welcome everyone to the meeting, and will:
o introduce all those present;
o explain the purpose of the meeting including the panel’s duties;
o explain the procedural matters the panel will consider, including the order
these will be considered in, and how to request a comfort break; and
o tell you when you can expect the panel’s decision.
· The chair will invite you to explain why you are not satisfied with the outcome
of the earlier stage that has been completed.
· The panel may ask you or the faculty and service representatives questions to
clarify the information you or they have presented.
· The chair will invite the faculty and service representatives to respond to your
explanation of why you are not satisfied with the outcome of the earlier stage.
· The panel may ask the faculty and service representatives or you more
questions until it has enough information to reach a decision.
· The faculty and service department representatives will have the opportunity
to make any final comments.
· You will have the opportunity to make any final comments.
· You, your companion, and the faculty and service department representatives
will be asked to leave the meeting.
· The panel meets privately to reach a decision.
Panel documents
You will receive an identical copy of the documents the panel is considering at least
five working days before the meeting. As you are responsible for providing all
evidence you feel is relevant to your case at the most appropriate time, we expect
you to have supplied the evidence either during the investigation or at an earlier
Panel guidance 6
stage. Or, if you request a review on the grounds of new evidence, we expect you to
have provided the evidence with your request for a review.
You, the faculty or service department, or any witnesses cannot provide any further
evidence once the clerk has distributed the panel documents. If the panel chair
agrees, certain information may be removed from the evidence if including it would
otherwise break the confidentiality of someone who is not at the panel meeting or
which could affect the panel’s ability to carry out its duties. The panel may ask for
more information or documents after the meeting if this would help it reach a
decision either on the case, or any remedy being offered. In these circumstances,
the clerk will record in the panel outcome what information the panel asked for and
how this affected the decision reached or remedy offered.
Panel decision
Not everyone on the panel has to agree on the panel decision – the panel can issue
a majority decision. If there are four panellists and the decision is tied, the chair has
authority to make a binding decision on behalf of the panel. You will receive the
panel’s decision in a letter within 10 working days of the panel meeting. The letter is
the official record of the meeting and is not intended to be a word-for-word report of
the meeting, but will set out the relevant details about the meeting, including:
· the names of everyone who attended;
· the matters considered (and, if relevant, the matters the panel decided not to
consider);
· relevant facts on which a decision has been based;
· the finding for each matter or allegation considered (justified or not justified);
and
· if relevant, specific information about any offer being made, any penalty being
set or any conditions that will apply to any ongoing or future studies with the
University.
A review panel decision completes the University’s procedure for a matter and will
contain information about the Office of the Independent Adjudicator for Higher
Education (OIA).
Panel guidance 7
Declaration of Criminal Convictions, Cautions, and Matters Effecting
Applicant Suitability to Enrol on a Programme Giving Access to Regulated
Activity
1 Introduction
1.1 Birmingham City University (BCU) offers a range of programmes which have both as a
condition of initial entry and of remaining on the programmes the requirement that the
applicant/student enrolled:
1.1.1 Provides a clear / satisfactory Enhance DBS check with a check of the Barred List;
1.1.2 Declares that they are not currently under investigation by any government agency,
such as but not limited to Police, Department for Work and Pensions or Social
Services;
1.1.3 Declares that they have not been subject to Fitness to Practise sanctions by any
organisation, and/or that they are not currently under a Fitness to Practise or other
disciplinary investigation; and for programmes giving rise to QTS
1.1.4 Receives a clear check against the Disqualification by Association List.
1.2 Such programmes require students to demonstrate the highest standard of honesty,
integrity and professionalism in line with the expectations of the specific Professional,
Statutory, or Regulatory Body.
1.3 We require applicants intending to enrol on such programmes to receive satisfactory
clearances in advance of enrolling / re-enrolling on our programmes.
1.4 For the majority of students this does not cause any difficulty as they have applied for
their DBS check in a timely way and receive clear checks.
1.5 However some applicants, who apply for a programme through Clearing, or who are
otherwise late in applying, may not have received back all relevant clearances at the
point of enrolment.
1.6 Whilst BCU is reluctant to allow ANY student to enrol on programmes giving access to
Regulated Activity, without having those checks completed, we recognise that from
time to time this situation may arise.
1.7 As you wish to enrol on a programme which requires the checks noted above but do
not yet have those relevant checks completed you must choose from two courses of
action:
1.7.1 If you faithfully believe that you do not have any matters to declare and that all
checks will be clear then you are REQUIRED to confirm this fact by reviewing the
information in this document and ticking the relevant box on the online enrolment
webpages.
1.7.2 If you have a matter to declare and/or believe that any matter will be reported in the
relevant checks then you are REQUIRED to indicate this fact by ticking the relevant
box; you will be invited to a meeting to discuss the matter(s) and its/their impact on
your ability to enrol on your chosen programme.
2 Declaration
2.1 In completing the declaration, I formally state that I am providing full, complete and
accurate information to Birmingham City University in support of my enrolment and
that I am not attempting to hide, obscure or misrepresent any aspect of my application
to study at the University.
2.2 In completing the declaration I understand that it is my responsibility to recall and
understand the relevance of any matters which may be referred to in the checks
undertaken and that my inability to recall a matter or to understand the relevance of a
matter will not be accepted as a valid reason for omitting that information from the
declaration.
2.3 I understand and accept that demonstrating my honesty, integrity and good standing is
an essential component of my enrolment and my eligibility for study.
2.4 I understand that the programme for which I have applied and wish to enrol requires
the checks and declarations set-out in 1.1 and sub clauses above.
2.5 I understand that this is an essential requirement for studying on this programme.
2.6 I understand and agree to accept that if I cannot demonstrate when asked that I have
applied promptly for my DBS check, this may lead to my summary termination from the
programme.
2.7 I understand and accept that if I fail to provide promptly my DBS check to the University
once I receive it, this may lead to my summary termination from the programme.
2.8 I understand and accept that if I fail to receive my DBS check in advance of the
commencement of any placement this may leave to my summary termination from the
programme.
2.9 I understand and accept that if the checks conducted show any variance from the
information I provide to the University in this declaration and during my enrolment,
and/or that information comes to light which contradicts my declarations, this will lead
automatically to my summary termination from the programme.
2.10 In the event of 2.8 above, I understand that the reason for my termination from the
programme will not relate to the materiality or otherwise of the difference but of my
failure to provide honest and complete information when required by the University.
Fitness to Practise Procedure

Introduction
This procedure reflects our commitment to prepare our students to become effective, safe qualified
practitioners. We aim to help students understand the requirements for entry to their chosen
profession and help them to develop good practice and behaviour from the very beginning of their
studies. Students will meet the requirements relating to behaviour and fitness to practise through
academic and vocational studies, and, if there are any issues relating to meeting the requirements,
we will deal with these as quickly as possible in an appropriate way.
This policy applies to all enrolled students of the University on a course which could lead to or
allow registration with a professional, statutory and regulatory body (PSRB). There is a list of
PSRBs on iCity.
This procedure meets the 'General principles applying to all Birmingham City University student
procedures’.
What is fitness to practise?
Being ‘fit to practise’ means being competent, responsible and having the characteristics needed to
work in a particular profession. We have a duty to make sure you are fit to practise in your chosen
profession. In assessing your fitness to practise, we give careful and ongoing consideration to
your skills and ability, character, behaviour and physical and mental health. Although we
recognise that you are still learning, you must make sure you are actively trying to meet the
required standards and are not doing anything which might damage the public’s impression of the
profession you are studying to enter.
What is covered by this procedure?
We will tell you what standards we expect of you as a student and we will tell you at the earliest
opportunity if our assessments show you are failing to meet these standards. In most cases there
will be no need to refer you to a formal investigation − we expect that informal discussions with you
and clear target-setting will be appropriate to make sure you are fit to practise. However, a formal
investigation will sometimes be necessary if we have concerns about your fitness to practise. This
could be because of ongoing concerns being raised about your fitness to practise, a safeguarding
matter or because of a single incident which threatens the safety of a service user or which could
harm the public’s view of the profession. A safeguarding matter is one which affects the human
rights, health, or well-being of another person, particularly a child, young person or vulnerable
adult.
The following will apply if we have concerns about your fitness to practise.
• For concerns that do not involve safeguarding matters or the safety of a service user, or
concerns that only arise occasionally, you can expect to receive feedback on the things that
have caused concern. This will usually involve setting targets for you to meet, and may be
through a formal action plan.
• For concerns that involve safeguarding matters or the safety of a service user, or which
may damage the public’s view of the profession, or concerns which suggest a pattern of
repeated behaviour that does not change after we set targets for you, we will refer the
matter for investigation.
We will not normally refer the following for investigation in relation to your fitness to practise.
• Your performance in an assessment.
• Concerns that cannot be directly linked to the relevant code of practice.
We will normally consider academic misconduct allegations under the Student Disciplinary
Procedure. However, if the allegation against you relates to either altering information, buying or
trying to buy someone else’s work, or repeated academic misconduct, we may refer the matter for
a fitness to practise investigation. This is because PSRB expect certain types of behaviour and
characteristics which include the need for you to be honest and act with integrity at all times.
Who can raise a concern regarding your fitness to practise?
Anyone who receives or is affected by your services (‘service user’) can raise a concern about your
fitness to practise, including:
• University staff;
• practitioners or placement staff;
• other students; and
• members of the public.
Only in exceptional circumstances will we consider concerns that we receive anonymously, when
there is a strong case – supported by evidence – that means that the matter should be
investigated.
If University staff, practitioners or placement staff have concerns, they must send them to us using
a reporting form (‘Raising Concerns Regarding Fitness to Practise’). We will make the final
decision as to whether the matter will be referred for investigation. We may need to agree
conditions you must keep to before you are able to continue your studies.
Disability and fitness to practise
We will review our standards if a disabled student may be at a significant disadvantage during an
assessment. Although we will normally consider making reasonable adjustments during an
assessment if you have told us you have disclosed a disability to the University, we do not have to
make reasonable adjustments if we are assessing whether you are meeting a competency
standard or if the adjustment would have a negative effect on the standard you are achieving. A
competency standard is defined as an academic, medical or other standard which we apply to
assess whether you have met the required standard in terms of competence or ability. We will
make sure that the competency standards are objectively justifiable and an appropriate way of
making sure you have the skills and ability needed for your chosen profession.
If your disability develops or is identified during your programme of study, or if you knew about the
disability before starting your programme but it becomes worse and needs new or revised
adjustments, we will consider the following.
• What could we reasonably do to make it easier for you to continue on the programme with
your disability?
• Could you be putting yourself or others at risk of harm by continuing on the programme?
• Will placement providers or relevant professional bodies be prepared or able to make the
required alterations to their part of the teaching and learning or assessment process?
• Did we tell you during the admissions process that the circumstances of your disability
could lead to you needing to withdraw from the programme?
• Is it possible for you to transfer to another programme of study?
2
If it is not possible to make a reasonable adjustment, or to find you a suitable placement
opportunity, it may be necessary for you to withdraw from a programme of study.
Criminal behaviour and fitness to practise
You must tell us if you receive a criminal conviction or caution during your programme of study.
Your student handbook or your programme director will tell you how to do this. Receiving a
criminal conviction or caution will not automatically mean you will be withdrawn from your
programme. After you tell us about a criminal conviction or caution, we will consider:
• the nature of the offence;
• any history of offending or similar behaviour;
• any circumstances that might explain your behaviour; and
• any unreasonable delay in telling us about the conviction or caution.
We will consider all factors, including the above, before deciding whether you are fit to practise.
Time limits
If anyone has any concerns that may relate to your fitness to practise, they should raise these as
soon as possible so that we can take action as necessary. If the concerns being raised are serious
or need a formal investigation, you may be suspended from your placement with little or no notice.
We aim to complete the formal stage, including any panel meeting, within 45 working days. To help
us achieve this you must meet any deadlines we set for providing further information or documents
and attending meetings. There will occasionally be circumstances when we need to extend the
timeframe for different stages. (We will only do this is there is a good reason, for example if we
need to wait for a key witness to be available to speak to us.) If this is the case, we will tell you and
will explain the reasons for the delay and tell you the new timescales. We will provide regular
updates on progress where appropriate.
It is our responsibility to prove the allegation against you. We will base decisions on the balance of
probability so will accept the explanation that is most likely to be true.
You have the right to take someone with you to meetings. This person is not there to act in a legal
capacity. They are there to provide advice and support to you, not to act on your behalf. The
Students’ Union can help with this.
Confidentiality
We will not share any information about you or any case against you unless we need to as part of
our procedures or if there is good reason and urgent cause to do so. This could include passing
information about your case to external agencies such as the police. Our ‘Guidance on the
production of references for students', which is available on iCity, explains what information we will
share if we are asked for a reference.
3
Flowchart of stages
Formal stage:
Review stage:
4
possible. The Fitness to Practise Procedure has an informal stage, a three-step formal stage
followed by the review stage (see the flowchart).
Informal stage − guidance and advice
This stage is for concerns that do not involve the safety of a service user, or for issues which
arise only occasionally. During the informal stage, issues are dealt with quickly and locally,
often by the relevant University tutor, practitioner or placement staff member. In most cases,
a conversation with you about your practice and how to improve will be enough to deal with
the matter. To help with your ongoing development, we may put an action plan in place. If
you do not make the necessary progress or if the issue is serious, it may move on to the
formal stage.
Formal stage – triage, investigation and recommendation, and faculty or

University panel
The formal stage is to be completed within 45 working days of the fitness to practise
concerns being raised. It involves assessing the concerns being raised and, where
appropriate, carrying out a formal investigation. We may hold a faculty or University panel to
consider very serious or complicated cases. The formal stage will involve the following three
stages.
(1) Triage
For concerns that involve safeguarding matters or the safety of a service user, or
concerns which may damage the public’s view of the profession or show a pattern of
repeated behaviour that the student has not changed after we have set targets, the
person raising the concern should fill in the ‘Raising concerns about a student’s
fitness to practise’ form. This person must provide all supporting evidence within two
weeks of sending us the form. If we do not receive the evidence within two weeks,
we will not investigate the concerns but may still discuss them with you to provide
you with relevant guidance and advice.
An associate dean or head of school (or someone nominated by the Student

Complaints, Appeals and Discipline Committee) will consider the ‘Raising concerns
about a student’s fitness to practise’ form and the relevant evidence to decide
whether there is a case to answer.
raised and, where relevant, put an action plan in place to help you.
(2) Investigation and recommendation

The case officer will have no knowledge of you or of any previous fitness to practise
or disciplinary matters you have been involved in.
5
The case officer will consider the fitness to practise concerns and may talk to
relevant staff or students and refer to documents and other evidence. At the meeting,
we expect you to give the case officer any evidence that it is reasonable for you to
have. This may include copies of emails or letters, or statements from witnesses if it
is safe and helpful to provide these. In exceptional circumstances, the case officer
may ask you or any other relevant person to provide evidence or information after the
meeting. You will receive copies of all evidence the case officer has considered
during the investigation. The case officer will produce a report based on their
investigation, which will outline the process they have followed, the information they
have gathered, the evidence they have considered, their conclusions and their
recommendations.

• There is no case to answer, so we will not hold a panel and will not take any
further action.
• There is a case to answer, but it does not need to be considered by a panel.
meet.
meet.
must meet.
o An action plan. You must keep to the action plan to be allowed to
continue on the programme of study.
• There is a case to answer that needs to be considered by a panel.
The associate dean or head of school (or other approved person) that made the
referral will consider the case officer’s recommendation. At this stage, the associate
dean or head of school may take into account any previous fitness to practise or
relevant disciplinary matters against you when deciding whether to accept the case
officer’s recommendation. The head of school or associate dean can make the
following decisions.
• To accept the case officer’s recommendation without change.
• To accept the case officer’s recommendation with minor changes.
• Not to accept the case officer’s recommendation, but take a different course
of action instead.
This stage must be completed within 15 working days following concerns being
referred for investigation.
6
We will hold a faculty or University panel in line with our standard procedures for such panels.
The fitness to practise faculty panel can make the following decisions as appropriate.
• You are fit to practise, and we will not set any conditions which you must
meet before continuing with your studies.
• You are fit to practise but you must meet certain conditions. We will set out
these conditions in an action plan or learning agreement. If you do not meet
the conditions set by the faculty panel, you will no longer be fit to practise and
we may withdraw you from the programme of study. You may also receive a
written warning or final written warning.
• You are not fit to practise and we may withdraw you from the programme of
study. A faculty panel is not authorised to exclude you from the University.
If we find that you are unfit to practise, we will consider whether there is any other
programme of study that you may be able to transfer or apply to. You will not be
eligible to transfer or apply to a programme of study that has a fitness to practise
requirement within five academic years of the decision to find you unfit to practise. If
you apply to a new programme of study, the University’s admission policy and criteria
that are in force at the time of the application will apply. For information about what
details we are allowed to share about you in any reference request, please see our
‘Reference Policy’ <to be confirmed>.
from the University or any of our partner institutions.
for the extension.
Closing the fitness to practise action at the formal stage
We will give you a clear explanation of the outcome of the formal stage of the fitness to
practise action in writing, setting out the reasons for each decision in simple, straightforward
language. We will record the outcome on our fitness to practise record system.
• your right to take the case to the review stage;

• the grounds on which you can do this (see below);
• the time limit for moving to the review stage (20 working days of receiving the
• the appropriate procedure to follow; and
• where and how to access advice and support, for example the Students’ Union or
Student Services.
the matter.
7
Review stage – to be completed within 20 working days of receiving your
request for a review
• There is new evidence which you were unable, for valid reasons, to provide earlier in
formal stage.
• The correct procedure was not followed during the formal complaint stage and this
• The outcome was unreasonable given all the circumstances and the evidence
considered.
formal stage and whether the outcome was reasonable. At the review stage, we will not
usually consider the issues again or investigate the matter further. Your case must have
been considered at the faculty or University panel stage before it can move to the review
stage. If your expectations appear to be beyond what can be achieved at the review stage,
we will tell you this as soon as possible in writing to manage your expectations about
possible outcomes.
be considered. We will acknowledge your request for a review within five working days.
• There are no grounds for taking the matter further. If this is the case, the Complaints
and Appeals Office will tell you in writing and let you know about any right you may
have to ask the OIA to review your case.
• There are grounds for reconsidering the case.
• Was the outcome reasonable in all the circumstances?

• Was there a mistake in how we used this procedure to assess your case and the
• Have you received clear reasons for the outcome at the formal stage?
• If you have provided new evidence, have you provided valid reasons for not providing
it earlier?
• Would any new evidence you have provided have affected the outcome (if there were
8
• The case will be referred back to the formal stage with a recommendation.
• The issues are complicated and so it would be better to deal with them through a
review panel.
state any action to be taken (if appropriate). We will record the outcome on our fitness to
practise system. We will also let you know about any right you may have to ask the OIA to
review your case.
9
List of professional, statutory and regulatory bodies
Some of our programmes of study lead to registration or eligibility for registration with the
following PSRBs.
Health and Care Professions Council (HCPC)
Nursing and Midwifery Council (NMC)
Solicitors’ Regulation Authority (SRA)
Teachers’ Standards
10
Raising concerns about a student’s fitness to practise
A registered professional should fill in this section to raise concerns about a Birmingham City
University student’s fitness to practise.
Name
Miss/Ms/Mrs/Dr/Prof
Job title
Employer
Location of
employment For example, Ward 6 Russell’s Hall, or Old Tree Primary School
Member of
professional
body List all that apply
Section or criteria
of code felt to
Student name
Miss/Ms/Mrs/Dr/Prof
Student ID
number
Course of study
My knowledge of the events relevant to this matter is as follows:
[List events in date order. Please refer to any relevant documents which support the
account, and attach the documents to this statement with reference numbers. Please make
sure that your statement could be read and understood by someone with no knowledge of
the case so that they would be left understanding what the allegation was and how the
evidence you have provided is relevant to the allegation.]
11
I am attaching (or will provide within two weeks) the following evidence to support this
statement.
Document Attached or to
reference Brief description of document follow
Example 1 Hospital incident report form dated 1 June 2015 Attached
I am giving this statement in connection with my concerns that the student named above
may have broken the relevant code governing the profession (which applies to their
programme of study). I understand that:
• within two weeks of sending this statement to the University I must provide all
evidence referred to in this statement;
• you may provide this statement to the student named above in the course of any
University investigation into the concerns being raised; and
• due to confidentiality restrictions, you may not keep me informed of the progress of
your investigation.
Notes to consider
1. Try to make sure the statement covers all relevant issues and only those that you have
direct knowledge of.
2. Make sure that the statement does not include details that are not relevant or could be
unfair, such as earlier offences or evidence about other similar offences.
3. Wherever possible, try to avoid any second-hand (hearsay) evidence, although we will
accept hearsay evidence if there is no better evidence available.
4. Consider whether your witness statement is an important part of the case or whether it
adds little to it or simply duplicates other evidence. Although it can be helpful to include
more than one account supporting the same events, there will be a point at which
duplicating evidence will just unnecessarily extend the time needed to deal with the case.
To be filled in by University staff:

Date student started the current programme Level of study Has the student interrupted
their study?
4 5 6 7 Yes □ No □
12
The relevant associate dean or head of school should fill in this section. Recommendations
made by the case officer will be returned to the person named below.
Name
Miss/Ms/Mrs/Dr/Prof
Job title
Faculty
Student name
Student ID
number
Course of study

Section or criteria
of code felt to
A complicated concern has been raised ☐
Harm or threat of harm to a service user or client ☐
Damage or threat of damage to the reputation of the profession ☐
The student is diagnosed with a disability after starting the programme ☐
The student receives a criminal charge or conviction after starting the programme ☐
13
Guidance Notes for the Use of Computer Systems
& Networks at Birmingham City University
Guidance Notes
This guidance expands on the principles set out in the Policy for Use of Computer Systems &
Networks at Birmingham City University. It gives many examples of specific situations and is
intended to help you relate your everyday use of the IT facilities to the do’s and don’ts in the Policy
for Use of Computer Systems & Networks at Birmingham City University.
Where a list of examples is given, these are just some of the most common instances, and the list
is not intended to be exhaustive.
Where the terms similar to Authority, Authorised, Approved or Approval appear, they refer to
authority or approval originating from the person or body identified in section 3, Authority, or anyone
with authority delegated to them by that person or body.
1. Scope
1.1 Users
These regulations apply to anyone using Birmingham City University’s IT facilities. This means
more than students and staff. It could include, for example:
● Visitors to Birmingham City University’s website, and people accessing the institution’s
online services from off campus;
● External partners, contractor and agents based onsite and using Birmingham City University
network, or offsite and accessing the institution’s systems;
● Visitors using the institution’s wifi services;
● Students and staff from other institutions logging on to the eduroam wifi service.
1.2 IT facilities
The term IT facilities include:
● IT hardware that Birmingham City University provides, such as PCs, laptops, tablets, smart
phones and printers;
● Software that the institution provides, such as operating systems, office application
software, web browsers etc. It also includes software that the institution has arranged for
you to have access to, for example, special deals for students on commercial application
packages;
● Data that Birmingham City University provides, or arranges access to. This might include
online journals, data sets or citation databases;
Wednesday, 15 June 2016 Page 1 of 13

Content in this publication is drawn from the UCISA publication [Model regulations for the use of institutional IT facilities and systems,
http://www.ucisa.ac.uk/modelregs] which is available under the Creative Commons Attribution-NonCommercial 4.0 International licence. We
would like to thank UCISA (www.ucisa.ac.uk) for their permission to use this material.
Guidance Reference: G0001, IT Security Manager, November 2015 Version: 1.2 Classification: Public
● Access to the network provided or arranged by the institution. This would cover, for
example, network connections in halls of residence, on campus wifi, connectivity to the
internet from University PCs.
● Online services arranged by the institution, such as Office 365 and Google Apps, JSTOR, or
any of the Jisc online resources;
● IT credentials, such as the use of your institutional login, or email address issued by
Birmingham City University to identify yourself when using IT facilities. For example, you
may be able to use drop in facilities or wifi connectivity at other institutions using your usual
username and password through the eduroam system. While doing so, you are subject to
these regulations, as well as the regulations at the institution you are visiting.
2. Governance
It is helpful to remember that using IT has consequences in the physical world.
Your use of IT is governed by IT specific laws and regulations (such as these), but it is also subject
to general laws and regulations such as your institution’s general policies.
2.1 Domestic law
Your behaviour is subject to the laws of the land, even those that are not apparently related to IT
such as the laws on fraud, theft and harassment.
There are many items of legislation that are particularly relevant to the use of IT, including:
 Obscene Publications Act 1959 and Obscene Publications Act 1964

 Protection of Children Act 1978
 Police and Criminal Evidence Act 1984
 Copyright, Designs and Patents Act 1988
 Criminal Justice and Immigration Act 2008
 Computer Misuse Act 1990
 Human Rights Act 1998
 Data Protection Act 1998
 Regulation of Investigatory Powers Act 2000
 Prevention of Terrorism Act 2005
 Terrorism Act 2006
 Police and Justice Act 2006
 Freedom of Information Act 2000
 Freedom of Information (Scotland) Act 2002
 Equality Act 2010

 Privacy and Electronic Communications (EC Directive) Regulations 2003 (as amended)
 Defamation Act 1996 and Defamation Act 2013
 Counter-Terrorism and Security Act 2015 – Prevent Duty
Links to the full text of each Act can be found in Annex A.
So, for example, you may not:

 Create or transmit, or cause the transmission, of any offensive, obscene or indecent
images, data or other material, or any data capable of being resolved into obscene or
indecent images or material;
 Create or transmit material with the intent to cause annoyance, inconvenience or needless
anxiety;
 Create or transmit material with the intent to defraud;
 Create or transmit defamatory material;
 Create or transmit material such that this infringes the copyright of another person or
organisation;
 Create or transmit unsolicited bulk or marketing material to users of networked facilities or
services, save where that material is embedded within, or is otherwise part of, a service to
which the user or their user organisation has chosen to subscribe;
 Deliberately (and without authorisation) access networked facilities or services.
There is an excellent set of overviews of law relating to IT use available at

www.jisclegal.ac.uk/LegalAreas.
2.2 Foreign law

If you are using services that are hosted in a different part of the world, you may also be subject to
their laws. It can be difficult to know where any particular service is hosted from, and what the
applicable laws are in that locality.
In general, if you apply common sense, obey domestic laws and the regulations of the service you
are using, you are unlikely to go astray.
2.3 General institutional regulations

You should already be familiar with Birmingham City University general regulations and policies.
These are available at http://bcu.ac.uk/about-us/corporate-information/policies-and-procedures

2.4 Third party regulations
If you use Birmingham City University IT facilities to access third party service or resources you are
bound by the regulations associated with that service or resource. (The association can be through
something as simple as using your institutional username and password).
Very often, these regulations will be presented to you the first time you use the service, but in some
cases the service is so pervasive that you will not even know that you are using it.
Two examples of this would be:
 Using Janet, the IT network that connects all UK higher education and research
institutions together and to the internet
When connecting to any site outside Birmingham City University you will be using Janet, and
subject to the Janet Acceptable Use Policy, https://community.ja.net/library/acceptable-use-
policy the Janet Security Policy, https://community.ja.net/library/janet-policies/security-policy and
the Janet Eligibility Policy https://community.ja.net/library/janet-policies/eligibility-policy
The requirements of these policies have been incorporated into these regulations, so if you
abide by these regulations you should not infringe the Janet policies.
 Using Chest agreements

Eduserv is an organisation that has negotiated many deals for software and online resources on
behalf of the UK higher education community, under the common banner of Chest agreements.
These agreements have certain restrictions, that may be summarised as: non-academic use is
not permitted; copyright must be respected; privileges granted under Chest agreements must
not be passed on to third parties; and users must accept the User Acknowledgement of Third
Party Rights, available at www.eduserv.org.uk/services/Chest-Agreements/about-our-
licences/user-obligations
There will be other instances where Birmingham City University has provided you with a piece of
software or a resource.
 Licence agreements
The unauthorised usage or copying or distribution of any material including software in breach of
licensing agreements may result in disciplinary action and may be reported to the relevant
authorities.
Birmingham City University reserves its right to take legal action against individuals who cause it
to be involved in legal proceedings as a result of violation of its licensing agreements.

3. Authority
These regulations are issued under the authority of the Chief Information Officer (CIO) who is also
responsible for their interpretation and enforcement, and who may also delegate such authority to
other people.
Authority to use the institution’s IT facilities is granted by a variety of means:
 The issue of a username and password or other IT credentials

 The explicit granting of access rights to a specific system or resource
 The provision of a facility in an obviously open access setting, such as an Institutional website;
a self-service kiosk in a public area; or an open wifi network on the campus.
If you have any doubt whether or not you have the authority to use an IT facility you should seek
further advice from the IT Help Desk by emailing ithelp@bcu.ac.uk
Attempting to use the IT facilities without the permission of the relevant authority is an offence
under the Computer Misuse Act.
4. Intended use
IT facilities, and the Janet network that connects institutions together and to the internet, are funded
by the tax paying public. They have a right to know that the facilities are being used for the
purposes for which they are intended.
4.1 Use for purposes in furtherance of institution’s mission

The IT facilities are provided for use in furtherance of the institution’s mission. Such use might be
for learning, teaching, research, knowledge transfer, public outreach, the commercial activities of
the institution, or the administration necessary to support all of the above.
4.2 Personal use

You may currently use the IT facilities for personal use provided that it does not breach the
regulations, and that it does not prevent or interfere with other people using the facilities for valid
purposes (for example, using a PC to update your Facebook page when others are waiting to
complete their assignments).
However, this is a concession and can be withdrawn at any time.
Employees using the IT facilities for non-work purposes during working hours are subject to the
same management policies as for any other type of non-work activity.

4.3 Commercial use and personal gain
Use of IT facilities for non-institutional commercial purposes, or for personal gain, such as running a
club or society, requires the explicit approval of Chief Information Officer (CIO). The provider of the
service may require a fee or a share of the income for this type of use. For more information,
contact the IT Help Desk by emailing ithelp@bcu.ac.uk.
Even with such approval, the use of licences under the Chest agreements for anything other than
teaching, studying or research, administration or management purposes is prohibited, and you must
ensure that licences allowing commercial use are in place.
5. Identity
Many of the IT services provided or arranged by the institution require you to identify yourself so
that the service knows that you are entitled to use it.
This is most commonly done by providing you with a username and password, but other forms of IT
credentials may be used, such as an email address, a smart card or some other form of security
device.
5.1 Protect identity

You must take all reasonable precautions to safeguard any IT credentials issued to you.
You must change passwords when first issued and at regular intervals as instructed. Do not use
obvious passwords, and do not record them where there is any likelihood of someone else finding
them. Do not use the same password as you do for personal (i.e. non-institutional) accounts. Do not
share passwords with anyone else, even IT staff, no matter how convenient and harmless it may
seem.
If you think someone else has found out what your password is, change it immediately and report
the matter to the IT Help Desk by emailing ithelp@bcu.ac.uk
Do not use your username and password to log in to websites or services you do not recognise,
and do not log in to websites that are not showing the padlock symbol.
Do not leave logged in computers unattended, and log out properly when you are finished.
Don’t allow anyone else to use your building access card or other security hardware. Take care not
to lose them, and if you do, report the matter to IT immediately.
5.2 Impersonation
Never use someone else’s IT credentials, or attempt to disguise or hide your real identity when
using the institution’s IT facilities.
However, it is acceptable not to reveal your identity if the system or service clearly allows
anonymous use (such as a public facing website).
5.3 Attempt to compromise others’ identities

You must not attempt to usurp, borrow, corrupt or destroy someone else’s IT credentials.

6. Infrastructure
The IT infrastructure is all the technology that makes IT function. It includes servers, the network,
PCs, printers, operating systems, databases and a whole host of other hardware and software that
has to be set up correctly to ensure the reliable, efficient and secure delivery of IT services.
You must not do anything to jeopardise the infrastructure.
6.1 Physical damage or risk of damage

Do not damage, or do anything to risk physically damaging the infrastructure, such as being
careless with food or drink at a PC.
6.2 Reconfiguration
Do not attempt to change the setup of the infrastructure without authorisation, such as changing the
network point that a PC is plugged in to, connecting devices to the network (except of course for
wifi or ethernet networks specifically provided for this purpose), or altering the configuration of the
institution’s PCs. Unless you have been authorised, you must not add software to or remove
software from PCs.
Do not move equipment without authority.
6.3 Network extension

You must not extend the wired or Wifi network without authorisation. Such activities, which may
involve the use of routers, repeaters, hubs or Wifi access points, can disrupt the network and are
likely to be in breach of the Janet Security Policy.
6.4 Setting up servers

You must not set up any hardware or software that would provide a service to others over the
network without permission. Examples would include games servers, file sharing services, IRC
servers or websites.
6.5 Introducing malware

You must take all reasonable steps to avoid introducing malware to the infrastructure.
The term malware covers many things such as viruses, worms and Trojans, but is basically any
software used to disrupt computer operation or subvert security. It is usually spread by visiting
websites of a dubious nature, downloading files from untrusted sources, opening email attachments
from people you do not know or inserting media that have been created on compromised
computers.
If you avoid these types of behaviour, keep your antivirus software up to date and switched on, and
run scans of your computer on a regular basis, you should not fall foul of this problem.
6.6 Subverting security measures

Birmingham City University has taken measures to safeguard the security of its IT infrastructure,
including things such as antivirus software, firewalls, spam filters and so on. You must not attempt
to subvert or circumvent these measures in any way.

7. Information
7.1 Personal, sensitive and confidential information

During the course of their work or studies, staff and students (particularly research students) may
handle information that comes under the Data Protection Act 1998, or is sensitive or confidential in
some other way. For the rest of this section, these will be grouped together as protected
information.
Safeguarding the security of protected information is a highly complex issue, with organisational,
technical and human aspects. The institution has policies on Data Protection and Information
Management https://icity.bcu.ac.uk/Library-and-Learning-Resources/Information-Management, and
if your role is likely to involve handling protected information, you must make yourself familiar with
and abide by these policies.
Additional guidance on the provisions of the Data Protection Act 1998 and how Birmingham City
University ensures compliance with it is available at https://ico.org.uk/for-organisations/guide-to-
data-protection/.
7.1.1 Transmission of protected information

When sending protected information electronically, you must use a method with appropriate
security. Email is not inherently secure. Advice about how to send protected information
electronically is available through contacting the IT Help Desk by emailing ithelp@bcu.ac.uk.
7.1.2 Removable media and mobile devices

Protected information must not be stored on removable media (such as USB storage devices,
removable hard drives, CDs, DVDs) or mobile devices (laptops, tablet or smart phones) unless it is
encrypted, and the key kept securely.
If protected information is sent using removable media, you must use a secure, tracked service so
that you know it has arrived safely. Advice on the use of removable media and mobile devices for
protected information is available through contacting the IT Help Desk by emailing
ithelp@bcu.ac.uk.
7.1.3 Remote working

If you access protected information from off campus, you must make sure you are using an
approved connection method that ensures that the information cannot be intercepted between the
device you are using and the source of the secure service.
You must also be careful to avoid working in public locations where your screen can be seen.
Advice on working remotely with protected information is available through contacting the IT Help
Desk by emailing ithelp@bcu.ac.uk.

7.1.4 Personal or public devices and cloud services
Even if you are using approved connection methods, devices that are not fully managed by
Birmingham City University cannot be guaranteed to be free of malicious software that could, for
example, gather keyboard input and screen displays. You should not therefore use such devices to
access, transmit or store protected information.
Advice on the use of personal devices to access institutional services is available through
contacting the IT Help Desk at ithelp@bcu.ac.uk.
7.2 Copyright information

Almost all published works are protected by copyright. If you are going to use material (images,
text, music, software), the onus is on you to ensure that you use it within copyright law. This is a
complex area, and training and guidance are available at https://icity.bcu.ac.uk/Library-and-
Learning-Resources/Enquiry-Service/Study-Support/Copyright, and the UK Copyright Law fact
sheet: https://www.copyrightservice.co.uk/ukcs/docs/edupack.pdf. The key point to remember is
that, the fact that you can see something on the web, download it or otherwise access it does not
mean that you can do what you want with it.
7.3 Others’ information

You must not attempt to access, delete, modify or disclose restricted information belonging to other
people without their permission, unless it is obvious that they intend others to do this, or you have
approval from the Chief Information Officer (CIO).
Where information has been produced in the course of employment by Birmingham City University,
and the person who created or manages it is unavailable, the responsible line manager may give
permission for it to be retrieved for work purposes and place an information access request to the
Chief Information Officer (CIO). In doing so, care must be taken not to retrieve any private
information in the account (although it is against university policy for staff to use university systems
such as email, PC hard disks and network drives for personal purposes), nor to compromise the
security of the account concerned.
7.4 Inappropriate material

You must not create, download, store or transmit unlawful material, or material that is indecent,
offensive, defamatory, threatening or discriminatory.
Birmingham City University has procedures to approve and manage valid activities involving such
material for valid research purposes where legal with the appropriate ethical approval. For more
information, please refer to the Ethical Principals and Practice Policy http://bcu.ac.uk/about-
us/corporate-information/policies-and-procedures/ethical-principles-and-practice-policy
[Universities UK has produced guidance on handling sensitive research materials, available at

http://www.universitiesuk.ac.uk/highereducation/Pages/OversightOfSecuritySensitiveResearchMate
rial.aspx]
There is also an exemption covering authorised IT staff involved in the preservation of evidence for
the purposes of investigating breaches of the regulations or the law.

7.5 Publishing information
Publishing means the act of making information available to the general public, this includes
through websites, social networks and news feeds. Whilst Birmingham City University generally
encourages publication, there are some general guidelines you should adhere to:
7.5.1 Representing the institution

You must not make statements that purport to represent Birmingham City University without the
approval of the Birmingham City University’s Marketing & Communications Media Relations team,
who are contactable via email press@bcu.ac.uk
7.5.2 Publishing for others

You must not publish information on behalf of third parties using the institution’s IT facilities without
the approval of Birmingham City University’s Marketing & Communications Media Relations team,
who are contactable via email press@bcu.ac.uk
8. Behaviour
The way you behave when using IT should be no different to how you would behave under other
circumstances. Abusive, inconsiderate or discriminatory behaviour is unacceptable.
8.1.1 Conduct online and on social media
Birmingham City University’s policies concerning staff and students also apply to the use of social
media. These include the Policy for Use of Computer Systems & Networks at Birmingham City
University, Student and Staff Disciplinary Procedures and the Birmingham City University Social
Media Policy itself which can be reviewed at: https://icity.bcu.ac.uk/Document/Social-Media-Policy-
25-August-2015-Final-version
8.2 Spam
You must not send unsolicited bulk emails or chain emails other than in specific circumstances.
Advice on this is available through contacting the IT Help Desk by emailing ithelp@bcu.ac.uk.
8.3 Denying others access

If you are using shared IT facilities for personal or social purposes, you should vacate them if they
are needed by others with work to do. Similarly, do not occupy specialist facilities unnecessarily if
someone else needs them.
8.4 Disturbing others

When using shared spaces, remember that others have a right work without undue disturbance.
Keep noise down (turn phones to silent if you are in a silent study area), do not obstruct
passageways and be sensitive to what others around you might find offensive.
8.5 Excessive consumption of bandwidth/resources

Use resources wisely. Don’t consume excessive bandwidth by uploading or downloading more
material (particularly video) than is necessary. Do not waste paper by printing more than is needed,
or by printing single sided when double sided would do. Don’t waste electricity by leaving
equipment needlessly switched on.
9. Monitoring
9.1 Institutional monitoring

Birmingham City University monitors and logs the use of its IT facilities for the purposes of:
 Detecting, investigating or preventing misuse of the facilities or breaches of the University’s

regulations;
 Monitoring the effective function of the facilities;
 Investigation of alleged misconduct;
Birmingham City University will comply with lawful requests for information from law enforcement
and government agencies for the purposes of detecting, investigating or preventing crime, and
ensuring national security.
9.2 Unauthorised monitoring

You must not attempt to monitor the use of the IT without the explicit permission of the Chief
Information Officer (CIO).
This would include:
 Monitoring of network traffic;

 Network and/or device discovery;
 Wifi traffic capture;
 Installation of key logging or screen grabbing software that may affect users other than
yourself;
 Attempting to access system logs or servers or network equipment.
Where IT is itself the subject of study or research, special arrangements will have been made, and
you should contact your course leader/research supervisor for more information.
10. Infringement
10.1 Disciplinary process and sanctions

Breaches of these regulations will be handled by the Birmingham City University’s disciplinary
processes, defined at https://icity.bcu.ac.uk/Student-Services/Complaints-and-Appeals/Student-
Disciplinary-Procedure for students, and
https://hub.bcu.ac.uk/sites/hr/Documents/Policies%20and%20Procedures/Disciplinary%20Policy.pd
f for staff members.
This could have a bearing on your future studies or employment with the institution and beyond.
Sanctions may be imposed if the disciplinary process finds that you have indeed breached the
regulations, for example, imposition of restrictions on your use of IT facilities; removal of services;
withdrawal of offending material; fines and recovery of any costs incurred by Birmingham City
University as a result of the breach.

10.2 Reporting to other authorities
If the institution believes that unlawful activity has taken place, it will refer the matter to the police or
other enforcement agency.
10.3 Reporting to other organisations

If the institution believes that a breach of a third party’s regulations has taken place, it may report
the matter to that organisation.
10.4 Report infringements

If you become aware of an infringement of these regulations, you must report the matter to the
relevant authorities.
11. Guidance Notes Review
These guidance notes will be reviewed on an annual basis, or if there is a change in legal or other
business related requirement.
Review Date Description Reviewer

Guidance notes for Use of Computer
09/03/2017 Systems & Networks at Birmingham City IT Security Manager
University
12. Document History
Version Date Description Authors

Guidance notes for Use of Computer
09/03/2016 Systems & Networks at Birmingham City IT Security Manager
University v1.0
Policy approved and accepted, by
22/03/2016 UEG approval
University Executive Group (UEG)

Annex A
Links to the full text of Acts listed in the Governance section of the Guidance notes
 Obscene Publications Act 1959 www.legislation.gov.uk/ukpga/Eliz2/7-8/66/contents and

 Obscene Publications Act 1964 www.legislation.gov.uk/ukpga/1964/74
 Protection of Children Act 1978 www.legislation.gov.uk/ukpga/1978/37/contents
 Police and Criminal Evidence Act 1984 www.legislation.gov.uk/ukpga/1984/60/contents
 Copyright, Designs and Patents Act 1988 www.legislation.gov.uk/ukpga/1988/48/contents
 Criminal Justice and Immigration Act 2008 www.legislation.gov.uk/ukpga/2008/4/contents
 Computer Misuse Act 1990 www.legislation.gov.uk/ukpga/1990/18/contents
 Human Rights Act 1998 www.legislation.gov.uk/ukpga/1998/42/contents
 Data Protection Act 1998 www.legislation.gov.uk/ukpga/1998/29/contents
 Regulation of Investigatory Powers Act 2000
www.legislation.gov.uk/ukpga/2000/23/contents
 Prevention of Terrorism Act 2005 www.legislation.gov.uk/ukpga/2005/2/contents
 Terrorism Act 2006 www.legislation.gov.uk/ukpga/2006/11/contents
 Police and Justice Act 2006 www.legislation.gov.uk/ukpga/2006/48/contents
 Freedom of Information Act 2000 www.legislation.gov.uk/ukpga/2000/36/contents
 Freedom of Information (Scotland) Act 2002 www.legislation.gov.uk/asp/2002/13/contents
 Equality Act 2010 www.legislation.gov.uk/ukpga/2010/15/contents
 Privacy and Electronic Communications (EC Directive) Regulations 2003 (as amended)
www.legislation.gov.uk/uksi/2003/2426/contents/made
 Defamation Act 1996 www.legislation.gov.uk/ukpga/1996/31/contents and Defamation Act
2013 www.legislation.gov.uk/ukpga/2013/26/contents
 Counter-Terrorism and Security Act 2015 – Prevent Duty
https://www.gov.uk/government/publications/prevent-duty-guidance

Policy for Use of Computer Systems and
Networks at Birmingham City University
1. Introduction
The University provides computer workstations and communications network access to a variety of
services which are hosted either by the University or by external agencies via wide area network
facilities, e.g. JANET for Internet access. The conditions of use are: Computer systems and
networking facilities shall be used only for work and activity approved by the University.
2. Scope
This policy applies to all the following groups of staff and students at Birmingham City University:
Anyone accessing the Birmingham City University computer network

Anyone using computer equipment that is the property of Birmingham City University
All Birmingham City University Staff
All Birmingham City University Students
Associate Staff (Visiting Lecturers, KTP Associates)
Visitors to the University who are issued with temporary guest accounts
3. Access
Access to University information systems, networks or databases is only permitted if the University
has authorised this.
No attempt shall be made to access the systems and networks of other establishments either within
the United Kingdom or elsewhere unless:
The service required is a public or open access facility.
Authorisation has been obtained from the system/network service provider.
Policy Reference: P0002, IT Security Manager, November 2015

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4. Usage
Systems and networks are not to be used for commercial purposes, nor to obtain external funding
unless written permission has been obtained from the Director of Information Technology (IT).
Computer systems and networks shall not be used to engage in any activity liable to cause offence
or to obstruct other users of Birmingham City University systems or users elsewhere. This includes
the deliberate introduction of viruses into University systems and networks.
Computer systems and networks may not be used to access, display, print or distribute slanderous,
libellous or knowingly untruthful information or material of an illegal nature.
The University has a statutory duty under Section 26(1) of the Counter-Terrorism and Security Act
2015, known as the Prevent duty, to have due regard to prevent people from being drawn into and
supporting terrorism.
Computer systems and networks shall not be used to create, download, store or transmit
extremism-related material with the intention of supporting or spreading terrorism. The University
reserves the right to block or monitor access to such material.
Copyrights and intellectual property rights must be respected by all Birmingham City University
computer system users and used only in accordance with the copyright protection conditions set
out below.
5. Protection of Copyright
The users of any software, computer readable dataset or courseware or other similar material,
hereafter referred to as "the material” shall:
 Ensure that all the requirements of the agreements, contracts and licences under which the
material is held by the University will be maintained (Copies of the relevant agreements,
contracts and licences may be seen by application to the Faculty / Department / Central
Service which made the material available);
 Adhere to the regulations governing the use of any service involved in the provision of
access to the material whether these services are controlled by Birmingham City University
or by some other organisation;
 Not remove or alter the Copyright Statement on any copies of the material;
 Ensure the security and confidentiality of any copy released to the user(s) and not make any
further copies from it or knowingly permit others to do so, unless permitted to do so under
the relevant licence;
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 Use the material only for purposes defined, and only on computer systems covered, by the
agreement, contract or licence;
 Only incorporate the material, or part thereof, in any work, program or article produced by
the user(s) where this is permitted by the licence or by "Fair Dealing" 1 ;
 Only incorporate some part or version of the material in any work produced by the user(s)
with the express permission of the Licensor or unless this is permitted under the agreement;
 Not reverse engineer or decompile the software products or attempt to do so unless this
is explicitly permitted within the terms of the agreement for the use of the material; and
 Return or destroy all copies of the material at the end of the module / unit / course/year or
when requested to do so.
The unauthorised usage or copying or distribution of any material including software in breach of
licensing agreements may result in disciplinary action and may be reported to the relevant
authorities.
The University reserves its right to take legal action against individuals who cause
it to be involved in legal proceedings as a result of violation of its licensing agreements.
6. Security
A password is the personal property and responsibility of the individual to whom it is issued. When
issued with a password allowing access to information on systems and networks, a user must not
share the details of this password information with any other person whomsoever.
Computer systems and networks which are used to hold personal information which is subject to
the Data Protection Act, should not be set up without prior authorisation from the University
Secretary.
7. Data Backup
The University is not responsible for students own data and students should maintain their own
backups. Although, the University will attempt to restore lost data it will not be held responsible
if unable to do so.
1 The wording of section 4.1 has been derived from the CHEST (Combined Higher Education Software Team) Code of Conduct (Copyright
Acknowledgement). The University has also sought assistance from CHEST in the clarification of the term “Fair Dealing”. The following
clarification of “Fair Dealing” has been recommended by CHEST and accepted by the University. In providing this clarification CHEST
acknowledge their debt to the work by Professor Charles Oppenheim entitled “The Legal and Regulatory Environment for Electronic
Information” from which this clarification has been derived.
“Fair Dealing means that an individual, or a friend or colleague of the individual, if sued for infringement, has as his/her defence the
argument that he/she made the copy (or copies) of not too substantial a part of the literary work and that the copying did not damage the
legitimate interests of the copyright owner. The legislation gives specified purposes where Fair Dealing applies, e.g. private research,
commercial research, private study, criticism and book reviewing, reporting current events and educational purposes.”

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Policy Review
This policy will be reviewed on an annual basis, or if there is a change in legal or other business
related requirement.

Policy for Use of Computer
29/11/2016 Systems & Networks at IT Security Manager
8. Document History

Policy for Use of Computer
Systems & Networks at
29/11/2015 IT Security Manager
Birmingham City University 1.2
(Prevent Duty inclusion)

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Copyright and File Sharing Policy
1. Introduction
The purpose of this policy is to set out the appropriate use of peer-to-peer (P2P) file sharing
applications used on or across the university network. File sharing technology provides the ability
to share electronic file content among users, and examples include, but are not limited to
BitTorrent, KaZaA, and Freenet. Although there are legitimate P2P applications and uses for this
type of technology, it is frequently misused for the illegal downloading and sharing of electronic
content including music, films, software and other materials which are copyrighted. The
downloading or sharing of such copyrighted content without the permission of the copyright owner
is illegal.
Infringement notices are issued by copyright agencies, working on behalf of the copyright owners,
and the user in question responsible for the illegal download or sharing undertaken may be subject
to legal action.
Users of the Birmingham City University network are responsible for adhering to the legal
requirements set out in UK Copyright Law, and also the university’s internet service provider
Janet’s Acceptable Use Policy (AUP). Details of which can be found under the Related Documents
& Resources section at the end of this document.
2. Scope
This policy applies to all the following groups at Birmingham City University:
Anyone using computer equipment that is the property of Birmingham City University.
Anyone accessing the Birmingham City University network remotely
All Birmingham City University Staff
All Birmingham City University Students
Associate Staff (Visiting Lecturers, KTP Associates)
Visitors from other educational institutions using their home organisation accounts
Policy Reference: P0005, IT Security Manager, March 2016

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3. Issues caused through the use of illegal peer-to-peer file sharing
In addition to the legal copyright law requirements set out previously in this document there are
several concerns around the use of peer-to-peer applications on the University network. These
include:
 Peer-to-peer file sharing applications have the ability to share the user’s data stored on their
machine or device, where the file sharing application has been installed. As a result this could
lead to the user unknowingly sharing personal, and other sensitive information with others
inadvertently.
 Peer-to-peer file sharing applications can introduce security threats to the university network
and systems through viruses, malware, spyware, in addition to potential password and identity
theft.
 Peer-to-peer file sharing applications can consume large amounts of bandwidth, through user’s
knowingly or otherwise hosting or downloading material. As this may impact legitimate
university network activities, the university reserves the right to undertake bandwidth limiting or
‘bandwidth throttling’ as this is known, for file sharing traffic as deemed necessary to preserve
network resources for business purposes.
4. University policy may be violated through peer-to-peer file sharing activities
Birmingham City University’s Copyright & File Sharing Policy prohibits the use of its computer
network and internet connections for the downloading, sharing or distribution of copyrighted
material; be it in the form of music, films, software or other electronic content. Failure to adhere to
this requirement would be a clear breach of the policy and may result in both legal action through
the associated copyright agencies, in addition to disciplinary measures enforced by the university.
The university has taken a balanced approach to peer-to-peer file sharing to ensure adequate
security, whilst not unduly inconveniencing users who are using this type of technology legitimately.
It is currently therefore Birmingham City University’s policy not to block peer-to-peer file sharing
applications, however the university reserves the right to do so in the future.
Through the implementation of technology based control measures the university will endeavour to
limit any negative effects of peer-to-peer file sharing. This will include the monitoring of traffic
where there is concerns over legitimate usage of university bandwidth and resources, and apply
bandwidth limiting controls where necessary.
There may be occasions when a user has unintentionally visited a web site or online resource
hosting such peer-to-peer services. As a result the university has decided that raising of user
awareness in such instances should be undertaken to promote the risks involved. When users of
the university network attempt to access resources hosting peer-to-peer file sharing content they
will be presented with a challenge page. This will inform the user of their obligations around
copyright material through a link to this policy, and additionally provide the option to continue (with
notification of activity being logged), or to not proceed in accessing the resource in question.

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5. Advice on how to comply with copyright law
The easiest way to ensure compliance with the copyright law is to simply avoid installing peer-to-
peer applications on your computer or device. These applications have a tendency to start running
by default on installation, which the user may not be aware of initially. As a result they can easily
be overlooked, and as a result user data shared unintentionally.
Although the University network may appear to provide attractive amounts of available bandwidth
for file sharing activities users should be aware that both the internal and internet connections may
be subject to be monitoring where there is a belief that there may be illegal activity being
undertaken?
If you have intentionally or otherwise downloaded or shared copyrighted material and received a
copyright notification on behalf of the copyright owner the following web resource provides some
useful guidelines on ‘what to do now’, and ‘how do I know what is and isn’t legal’
6. Legal online digital services
There are a number of online resources including the Content Map Project which is designed to
showcase available legal services for accessing films, TV, Music, Games, eBooks and Sports.
7. Disciplinary measures
You agree to abide by the Policy for Use of Computer Systems & Networks at Birmingham City
University and Janet’s Acceptable Use Policy (AUP). Failure to comply with these policies will result
in action being taken under the Birmingham City University Staff or Student Disciplinary Processes.
8. Definitions
P2P – Peer-to-peer file sharing is a technology used to download and share and electronic file
content across networks.
AUP – An Acceptable Use Policy defines the set of rules in which a network, system or service may
be used and sets the guidelines on this this is achieved.
Bandwidth throttling – Is the intentional slowing of targeted network or internet based traffic to
preserve overall traffic activity, which may otherwise be impeded by bandwidth consumption of an
individual’s usage, or application type.

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9. Exceptions
There are currently no policy exceptions, however any queries related to the policy may be
forwarded to the IT Security Manager at itsecurityhelp@bcu.ac.uk
10. Related Policies & Resources
Janet acceptable use policy. https://community.jisc.ac.uk/library/acceptable-use-policy
UK Copyright Law fact sheet: https://www.copyrightservice.co.uk/ukcs/docs/edupack.pdf
Digital Economy Act 2010: http://www.legislation.gov.uk/ukpga/2010/24/contents
Respect Copyrights: http://www.respectcopyrights.org/
11. Policy Review
This policy will be reviewed on an annual basis, or if there is a change in legal or other business
related requirement.

02/03/2017 Copyright File Sharing Policy IT Security Manager
12. Document History

02/03/2016 Copyright File Sharing Policy version 1.0 IT Security Manager

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Information Security Policy
1. Introduction
The University has a duty to protect its information assets, ensure business continuity and maximise
the flow of information, internally and externally. Information security is vital to ensure effective data
sharing, at the same time protecting the information infrastructure from security incidents.
The Birmingham City University Information Security Policy is intended to safeguard the University,
University staff, students and owners of intellectual property rights from information security related
incidents and any consequential action, loss of income or damage.
The Policy also aims to establish control requirements on network systems, based on the International
Standards ISO/IEC 27001 and ISO/IEC 27002.
2. Scope
This Policy applies to all the following groups of staff and students at Birmingham City University.
Anyone accessing information that is the property of Birmingham City University
Anyone accessing the Birmingham City University computer network
Anyone using computer equipment that is the property of Birmingham City University
All Birmingham City University staff
All Birmingham City University students
Associate staff (Visiting Lecturers, KTP Associates)
3. Responsibilities
It is the responsibility of all users of University information sources and systems to comply with
statutory, University, Faculty and Departmental instructions regarding the safeguarding of information
and information media.

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It is the responsibility of all users of the University’s IT equipment, sources, systems and platforms to
comply with the Prevent Duty and the related guidance.
The University will make a summary of this Policy available to all new staff and students at induction
and enrolment. The University routinely uses the intranet to make staff aware of the Policy and to
inform them of any significant revisions to the Policy.
The University understands its responsibility for managing information correctly. Such information
management promotes business efficiency (recognising information as a primary asset, worthy of
protection), effective risk management, legal compliance (especially in relation to the Data Protection
Act) and sound corporate governance.
4. Information Security
Information security management has three basic components:
Confidentiality: Protecting sensitive information from unauthorised disclosure
Integrity: Safeguarding the accuracy and completeness of information and information

processes; practically, this involves identifying key data and rigorously
maintaining version control
Availability: Ensuring that information key to the business of the University is accessible in a
timely fashion
5. Access
All staff having access to sensitive data (particularly personal data) are responsible for ensuring that
access controls are not compromised by: revealing or allowing access to information by persons not
authorised to have it and failing to take reasonable precautions against unauthorised access.
The University provides computer workstations and communications network access to a variety of
services hosted either by the University, or by external agencies. Such services shall be used only for
work purposes or activities approved by the University.
Access to University information systems is only legitimate if the University has authorised this.
6. Systems Use
All computer systems and network access provided for use by University staff and students are subject
to the Conduct and Use of Computer Systems and Networks at Birmingham City University within the
Related Policies section of this document.

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7. Risk management and information security incidents
All security incidents must be reported to minimise loss and damage to data. Anyone who encounters
an information security breach must report it immediately to the IT Help Desk.
Information Technology (IT) will be responsible for giving guidance to the rest of the University
regarding a breach, or potential breach of the University’s information systems.
With regard to personal data (i.e. data relating to an identifiable living individual) any suspected
unauthorised disclosure should be reported to the Information Manager, responsible for the University’s
compliance with the Data Protection Act.
8. Business continuity
Information security forms part of a wider business continuity context within the University. Information
Technology (IT) will ensure all information systems are documented so that should they fail, or if there
is a breach from external sources, recovery can be done promptly.
All University information systems are subject to potential loss of data due to failure of hardware or
software media. It is the responsibility of Information Technology (IT) (in the case of central systems)
and users (for local systems), to regularly make back-up copies of essential data and store it in a safe
location, remote from the main system. Computer media should not be carelessly stored.
You can make a request for the backing up of business critical data on central servers at the same time
as when you request any new servers or storage arrangements; due to the sizeable overhead
associated with data storage, data is not automatically backed up unless you make a formal request.
We will dispose of removable magnetic and optical media containing key business data in a controlled
and secure way when it is no longer required, please contact Information Technology (IT) in these
instances for advice. We will dispose of redundant computer equipment of in line with the Waste
Electrical and Electronic (WEEE) Regulations.
For more information regarding the approach to and the Business Continuity documentation see the
links in the Related Polices section
9. Legal compliance
This Policy is a key component in ensuring compliance with a wide range of legislation governing
information. Therefore, the University will try to ensure that its information systems are used within the
framework of the law and that the information itself remains lawful.
Section 26(I) of the Counter-Terrorism and Security Act 2015 requires the University to have due
regard to the need to prevent people from being drawn into terrorism. In implementing the Duty, the
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University will strive to do so in a proportionate manner and to maintain its commitment to the Freedom
of Speech (Education Act 1986), the Academic Freedom (Education Reform Act 1988) and the Equality
Act 2010.
The Data Protection Act 1998 sets out the University’s legal obligations in relation to personal data; this
Policy deals specifically with that principle within it regarding data security. Any particular rules of use
of and access to data referred to in this Policy are informed by the Act.
10. Consequences of not following this Policy
All users, including any third parties with access to the University’s information or computing systems,
must comply with the University’s Information Security Policy as well as all other related Information
Technology (IT) policies, including the Policy for Use of Computer Systems Networks at BCU. This
requirement is included in the Conditions of Employment and where appropriate compliance will be
monitored.
After investigation if a user is found to have violated the University’s Information Security Policy and/or
procedures, they may be disciplined in line with the relevant University’s disciplinary policy and
potentially subject to legal proceedings.
In the case of a student(s) failure to comply with the conditions set out in the University’s Information
Security Policy and Code of Conduct this may result in suspension or withdrawal of access to
University computer systems and network facilities, and may also render them liable to disciplinary
proceedings.
In accepting employment with the University, employees are agreeing that confidential or sensitive
documents and data to which they will be given access as part of their duties must be kept confidential.
As part of the induction process for new staff, managers must ensure that they draw this to the
attention of new staff who will be involved in handling confidential information.
11. Exemptions
Exempt Groups or Individuals

None.
Exempt Equipment
None.
Exempt Circumstances
None.

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ANNEX 1: Information to Supplement the Policy
Specific Security Measures
i. The University will provide unique identifiers for every user of the University’s information
systems
ii. Secure logon procedures and password management systems will be used to access the
University’s information systems. Passwords: a password is the personal property and
responsibility of the individual to whom it is issued; a user must not divulge such password
information to any other person unless authorised to do so by the Director of Information
Technology (IT). The full User Password Policy is available via this link in the related Policies
section of this document.
iii. Only licensed and authorised software provided by Information Technology (IT) may be used on
University System’s information.
iv. Computer media must not be carelessly stored in offices. Removable media must be stored
discretely in a secure environment where it cannot be obtained by any unauthorised persons.
v. University data classified as legally or contractually restricted must be encrypted.
vi. Staff using any personal data derived from University systems at home must take the
appropriate measures to ensure that the data is secure. For instance machines used to access
data University information on privately owned computer equipment, whether portable or static,
are to be protected by a firewall, operate anti-virus software, and be kept up to date with
security patches.
vii. Computer systems and networks which are used to hold personal information and therefore
subject to the Data Protection Act should not be created without prior advice from the
Information Manager.
viii. Information Technology (IT) supplies virus protection to the University’s information systems.
ix. Where devices, such as laptops, that contain University data are taken offsite (including
overseas) appropriate measures must be taken to ensure that data is secure and not
accessible. For instance devices must be password protected, be kept up to date with security
patches with data encrypted as appropriate. If a device containing University data is lost or
stolen, then the IT Help Desk should be contacted as a matter of urgency, so that the network
can be protected from the device and to enable it to be remotely wiped where that functionality
exists.
IT Systems
All IT purchases should be managed by the Information Technology (IT) department to ensure that
software and equipment is fit for purpose, purchased through the correct vendor at the lowest possible
price, and the support and on-going costs are fully understood and accounted for.
In some circumstances it is recognised that external services or suppliers will be required for bespoke
systems or services by faculties and departments. In this situation Information Technology (IT) will
need to be involved; so as to understand and identify where the universities resources are utilised, and
the implications on any other services or systems.
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The point of contact is your IT Business Partner who will be able to offer advice on the following:
 Impact on other systems or services
 Support costs
 On-going costs
 Details of existing university systems/solutions
 Details of current development and future plans for software and hardware
The IT Business Partners should be involved at the beginning of any faculty or department IT resource
planning, system or service purchase.
All users must also be aware of the terms and conditions that they are agreeing to when installing and
updating any software for use with university information. Any queries should be directed to the IT
Business Partners. Information Technology (IT) is unable to guarantee ongoing support of systems or
equipment that has not received their approval before purchase. Information Technology (IT) will not
accept any risk or cost implications of systems that are purchased without their consultation.
Physical Access Control
The university access control system is managed by Information (IT) to control who is allowed to enter
and use university facilities. The entry system allows staff, students and associates access to the
buildings and subsequent restricted rooms on campus via a card entry system.
Data Protection Act
The Data Protection Act Manual is available via the link in the Related Polices section. Below is a
summary and the key principles of the Data Protection.
Data Protection Act Summary
The 1998 Data Protection Act imposes statutory conditions for the maintenance of personal data in
both manual and computer files, including data held by individual staff. Most of the personal data
processed by the University relates to its staff and students. However where necessary it also
processes the personal data of other clients and users of the University’s services. The University is a
registered Data Controller under the Data Protection Act. It is an offence to collect, keep, use or
disclose personal data in any manner that is not consistent with the University’s registration. Staff may
use or store personal data derived from the University’s systems (e.g. the personal data of students or
staff) at home for University purposes only.
It is the responsibility of the creators of any database or manual filing system to ensure that the data
held is consistent with the Birmingham City University Data Protection Register entry and in a manner
that is consistent with the eight data protection principles. If in doubt contact the Information
Management Team (Library and Learning Resources Department).

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Data Protection Principles
As a Data Controller the University must comply with the eight enforceable principles of good practice.
These principles stipulate that the personal data processed by the University must be:
1. fairly and lawfully obtained;
2. processed for limited purposes;
3. adequate, relevant and not excessive in relation to the purposes for which they are processed;
4. accurate;
5. not kept longer than necessary;
6. processed in accordance with the data subject’s rights;
7. secure;
8. not transferred to countries without adequate protection.
This summary of the data protection principles has been derived from the website of the Officer of the
Information Commissioner. A copy of the full text of the Principles of Data Protection may be obtained
from the Information Manager within Library and Learning Resources.
Equality Impact Analysis Statement

Birmingham City University’s commitment to equality means that this policy has been screened, paying
due regard to the general duty in relation to the relevant protected characteristics, the use of
comprehensible, inclusive language, and the avoidance of stereotypes. This document is available in
alternative formats on request.

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Related Policies and Documents
Code of Conduct for Use of Computer Systems and Networks
Data Protection Act Manual
User Password Policy
I.T. Business Continuity - Strategy
Finance Systems Rules and Training Manuals
University Financial Rules
Identification Card Information
Working at Home
Storage of Electronic Files (Staff)
Storage of Electronic Files (Students)
Information Security Policy Review
This policy will be reviewed on an annual basis, or if there is a change in legal or other business related
requirement.
25/11/2016 Information Security Policy IT Security Manager
Document History

Information Security Policy version 1.4
25/11/2015 IT Security Manager
(Prevent Duty inclusion)

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Laptop Loans
Terms and Conditions
 Laptops can only be loaned by current BCU students with their ID card
 The borrowed laptop is your responsibility - you are liable for any damage,
loss or theft
 If the laptop is lost or stolen whilst in your possession, you will be fined £500
and further criminal action may be taken
 If the laptop is damaged whilst in your possession this may result in a fine
 While we test all loan equipment regularly, we recommend you test the laptop
on borrowing to ensure that it is working properly and report any issues to the
IT Help Desk as soon as possible
 Do not save your work on this laptop - only save to your Z drive or OneDrive
 When using the laptops, you must adhere to:

 Policy for Use of Computer Systems and Networks at BCU
 Guidance Notes for Use of Computer Systems and Networks at BCU
 Copyright File Sharing Policy
 Information Security Policy
LIBRARY AND LEARNING RESOURCES
1. The Regulations
The regulations aim to ensure that users can make the best use of Birmingham City
University’s library resources and to ensure fairness.
2. Access to library facilities
2.1 Library card
2.1.1 Your University ID card is the key to accessing library services. It is your personal
property and responsibility. You should not allow any other person to use your card. You
will be held responsible for all items borrowed with your card even if they were borrowed
by or on behalf of another user. Should your card be used by anyone other than yourself
to gain access to any of our libraries, the card will be held by the Library until you claim it.
If your card is lost or stolen you should inform Library and Learning Resources
immediately. You will be held responsible for material borrowed on the card until Library
and Learning Resources is informed officially.
You must carry your University ID card with you at all times and be prepared to show it
on request. Services may not be provided without it.
2.1.2 Acceptable alternatives must include:
 Two official proofs of name with at least one of these providing proof of address.
 One form of ID with photograph.
2.2 Access to Reference and Borrowing facilities
2.2.1 All current members of the University may use the libraries for reference and
study. Members of the public may also use the libraries for reference on application up to
5 times a year.
2.2.2 All current members of the University, whether staff or students, full or part-time, are
entitled to borrow from the libraries.
2.2.3 Borrowing rights will also be available to teaching staff and research, postgraduate, part-
time, distance and placement students from other Universities and reference access for
full time students as defined in the SCONUL Access Scheme. All SCONUL Access
students are required to register with the libraries.
2.3 Electronic Information Services
The Library catalogue is available without restriction. Only current members of the
University have access to our full range of electronic resources
3. Conduct in the library
3.1 Library and Security staff have authority to maintain good order in the library. If you
behave in an unacceptable manner, or infringe the regulations, Library Management may
suspend you from its use.
3.2 You are expected to behave professionally and to treat the library environment with
respect and the library staff and other users with respect and courtesy. Should any
incident be reported, Library and Learning Resources may pursue the matter under the
University Student Disciplinary procedures.
3.3 You should be silent in the silent areas. Quiet group working is allowed in appropriate
designated areas.
3.4 You are not permitted to smoke in the Libraries.
3.5 Only drinks in sealed containers and snacks may be consumed in the libraries. No take
away food is permitted. All rubbish must be placed in the bins provided.
3.6 You should switch your mobile phones to silent at all times. Holding a phone
conversation in a designated Silent study area is not permitted in the Libraries.
3.7 You may bring children (under 18) into any of the University Libraries. However you must
supervise them at all times to ensure their safety and to prevent other users being
disadvantaged. In addition, children are not allowed to use Library PCs.
4. Library users' personal property
4.1 Neither Library and Learning Resources nor the University accepts responsibility for the
loss of any personal property left in the libraries.
4.2 You may not leave property on chairs and tables to reserve a place in your absence. Any
such property may be removed by University staff to make room for other Library users.
5. Registration
5.1 Students will have access to their library account within 30 minutes of receiving their
University ID card.
5.2 University staff will automatically register when they are issued with a University ID card.
5.3 Visiting teaching staff will be required to produce evidence of their post in the University,
for example, a letter from their Faculty.
5.4 External Library Users are required to register at the Library Help Desks during staffed
hours.
6. Borrowing
6.1 Borrowing entitlement
6.1.1 Staff and students may normally borrow up to 20 books at any one time
6.1.2 External borrowers (BCU alumni and SCONUL) may borrow up to 4 items at any one
time.
6.2 Recording of loans
6.2.1 All material borrowed from a University library must be issued and returned via the self-
service machines or by a member of Library staff. Receipts, where given, should be
retained.
6.2.2 It is an offence to vandalise or to remove library material that has not been issued
officially. The following actions may be taken:
 Proceedings under the University Student Disciplinary procedures.

 Prosecution for criminal damage to property.
 Charging for damage caused to publications.
6.2.3 You must return or renew material on or before the date due for return to avoid fines.
6.2.4 It is your responsibility to make certain that material borrowed is returned to the Library.
6.3 Period of loan
6.3.1 Loan period information is available on iCity.

6.3.2 High demand material is restricted to shorter periods of loan.
6.3.3 Fines will be charged if items are not returned by the given due date.
6.3.4 Library materials on loan may be renewed provided the item is not a short loan or high
demand item or seriously overdue and that it has not been reserved by another library
user. You may renew loans in person, via telephone, e-mail or the Library catalogue.
6.4 Overdue books
6.4.1 If you retain overdue items you will be invoiced by the University for the cost of replacing
the item.
6.4.2 Library borrowing rights may be withdrawn in certain circumstances, for example, when
you have incurred fines or when library material is very overdue. If you have lost your
borrowing rights, you will be unable to borrow library materials until you return overdue
items.
6.4.3 It is a condition of enrolment and re-enrolment that you accept full responsibility for the
payment of all fees you incur while registered as a student at the University including
Library fees and services. By signing your enrolment form you indicated that you
accepted this responsibility and agreed to be bound by the University’s regulations.
6.5 Return of library material at the end of each session
6.5.1 Term loans must be returned to one of the University’s libraries by the end of term.
6.5.2 You may borrow library materials for the summer vacation provided that you are returning
to continue studying on an organised course.
6.5.3 If you fail to return library materials on completion of the course, your qualification
certificate may be withheld.
7. Special categories of material
7.1 You must use reference material, including journals and newspapers, in the libraries
only.
7.2 For material in short-term loan or High Demand collections special regulations apply and
these are available in the libraries concerned.
8. Inter-library loans
In addition to the general rules governing the loan of library materials, items borrowed
from other libraries may also be subject to special conditions imposed by the library
which owns them.
9. Care of books and other library materials
9.1 You are responsible for all library materials taken out on your ticket. Annotation and
marking of library materials is prohibited.
9.2 You should report the loss or damage to material at once to the University Library
concerned, and you may be asked to pay for the replacement or repair of the item.
9.3 In no event will Library and Learning Resources be liable for any indirect, incidental or
consequential damages which arise out of the use of or inability to use software
accompanying books.
9.4 If disks accompanying books are lost or damaged, the replacement cost of the whole
book will be charged.
10. Copyright
10.1 You should ensure that any copying of material done on Library photocopiers is carried
out in compliance with current Copyright Acts, the terms of which are outlined alongside
all photocopying machines. Users of electronic services should ensure that any material
obtained is required solely for their own use for non-commercial research or private
study, and they will not supply a copy to any other person.
The amount which may be copied is indicated below:
 one article from any one journal issue or in a set of conference proceedings
 one chapter or up to 10% (whichever is greater) of a book or similar publication
 one poem or short story of up to 10 pages from an anthology
 the report of one case in law reports.
 no photocopying of sheet music is allowed.
10.2 Under the EU directive on Copyright any copying for commercial research purposes has
been removed from the so called "exceptions to copyright". If you require a copy for
research for commercial purposes, you must pay a copyright royalty as well as pay the
cost of making a copy.
11. Library Closing
Library and Learning Resources reserves the right to close libraries at times other than
those published, for example, in periods of adverse weather conditions.
12. Emergency Procedures
Birmingham City University has established procedures to deal with emergencies. For
your own safety and the safety of other clients, please obey instructions issued by Library
and Learning Resources staff either face to face or via the public address system.
Senior Management Team

August 2016
Your Student ID card
You will be issued with a student ID card as part of the enrolment process for your course. There
are some terms and conditions to the use of your student ID card. Please take a few moments to
read these as outlined below:
1. The card remains the property of Birmingham City University.

2. The card is valid until the completion of your course or the date of withdrawal from your
course, whichever is the earlier.
3. The card must be handed to an authorised person*, on request.
4. The card is your ID card and should be carried with you at all times, on all University
Campuses, and produced to confirm your identity at the request of an authorised
person*.
5. Your card is for your personal use only and must not be used by anyone else.
6. Your card must be presented when using the Library.
7. Your card must be displayed when attending an examination in accordance with the
University’s Academic Regulations and Policies.
8. The barcode printed on the card is issued by the Library and its use is subject to the
Rules and Regulations that the Library may impose.
9. You must only use your own card to gain access to areas which are controlled by the
Access Management System. Do not allow anyone to follow or tailgate behind you into
an access controlled area without using their card. Do not let anyone into an access
controlled area.
10. Should you fail to use your card when entering an access controlled area, other areas in
the building may become restricted to you and you will experience difficulties when
leaving the building.
11. Failure to use your card to gain access through an access controlled area on any 6
occasions within a standard academic year (1 August to 31 July) will result in access
being refused and you will be required to purchase a replacement card before entry will
be permissible.
12. ID cards cannot be transferred to other students and therefore you must only use your
own ID card to record your attendance at University teaching sessions or examinations.
13. If you have opted to become a member of the Students’ Union your ID card is also a
proof of membership and its use is subject to any Rules and Regulations the Students’
Union may impose.
14. You should report the loss or theft of your card immediately to Security Services in order
that your card access validations (e.g. Library and building access) can be cancelled.
15. A replacement card can be obtained from Ask upon payment via the BCU Online Store.
The store is available 24/7 via the link http://store.bcu.ac.uk. Once payment is complete,
confirmation of the payment will be sent to iAsk and you will be emailed details of
replacement ID card printing locations.
16. Please ensure you have a copy of the e-mail confirmation as proof of payment when you
collect your ID card from Ask. The replacement card fee has been set by the University
and may be varied from time to time.
17. The full replacement card fee will be charged where cards have been lost, damaged
through lack of care or misuse or where you have failed to use your card to gain access
in the access managed areas on 6 consecutive occasions.
18. Data recorded on University systems as a result of using the card may be used by the
University in accordance with the terms of the Data Protection Act 1998.
19. Misuse of the card may lead to action under the Disciplinary Code of the University.
*An authorised person may be a member of staff of the University or a colleague who is
authorised to act on behalf of the University.
BIRMINGHAM CITY UNIVERSITY
Intellectual Property Policy

Page 1 of 25
Approved 22nd July 2013
Contact: Director, Research, Innovation & Enterprise
Date: 1st August 2013
Issue 2.0
Contents
1. Introduction..................................................................................................................6
2. IP right ownership ......................................................................................................7
2.1 Staff ..........................................................................................................................7
2.2 Consultants working for BCU .............................................................................7
2.3 Taught Student rights (undergraduate, postgraduate and other taught
students)............................................................................................................................8
2.4 Research Students rights ....................................................................................9
2.5 Copyright statement for Students.................................................................... 10
2.6 Reproduction of Student Materials for educational, training, research,
promotional and non-commercial purposes............................................................ 11
2.7 Image rights .......................................................................................................... 11
2.8 Performance rights ............................................................................................. 12
2.9 Course Materials and Teaching Support Materials ...................................... 12
2.10 Publication ........................................................................................................ 13
2.11 Moral rights ....................................................................................................... 13
3. Disclosure of IP rights ............................................................................................. 13
3.1 Confidentiality ...................................................................................................... 13
4. Protection of IP.......................................................................................................... 14
5. Exploitation of IP....................................................................................................... 14
5.1 Assistance with Exploitation ............................................................................ 14
5.2 Management of Exploitation ............................................................................. 14
5.3 Signing of contracts and confidentiality agreements .................................. 15
5.4 Revenue Sharing from Exploitation of IP ....................................................... 15
6. Use of third party IP ................................................................................................. 17
6.1 Internet Materials ................................................................................................. 17
6.2 Trademarks and Brands..................................................................................... 17
6.3 Newspaper, Journal and Magazine articles and photos ............................. 17
6.4 Open source materials ....................................................................................... 17
6.5 Case studies to reflect BCU use of a third party’s information, photos,
trademarks for promotional purposes. ..................................................................... 18
7. Use of BCU branding ............................................................................................... 18
8. Contracts with sponsoring or funding bodies .................................................... 18
9. Conflicts of Interest .................................................................................................. 18
10. Spin-out companies ................................................................................................. 19
11. Licensing .................................................................................................................... 19
12. Equality ....................................................................................................................... 19
Appendix 1: Introduction to IP Rights .................................................................... 20
Appendix 2: Which IP will BCU want to assert ownership over?...................... 23
Appendix 3: Document History ................................................................................... 25
Page 2 of 25
Issue 2.0
IP Policy Definitions
“BCU” means Birmingham City University, a

higher education corporation of Perry
Barr, Birmingham, B42 2SU and where
relevant its subsidiaries;
“Consultancy” means services provided by a

Consultant;
“Consultant” means any person providing any

consultancy services to BCU whether
paid or unpaid;
“Course Material” means material produced for use with

Students including traditional paper
based material, digital media, web based
content, broadcasts, video and audio
materials and software. This can include
teaching material developed for credit
bearing and non-credit bearing courses,
materials designed for distance or e-
learning, and materials specifically
commissioned to be produced by BCU.
Examples include slides and other
audio-visual materials, manuals,
handouts, demonstration models and
other apparatus, assessment and
examination materials including revision
materials, podcasts, mobile apps with an
educational or teaching purpose;
“Creator” means any person who creates IP

and/or Materials, including an author or
designer under the Copyright Designs
and Patents Act 1988 (as amended from
time to time) and an inventor under the
Patents Act 1977 (as amended from time
to time);
“Exploitation” means any sale, transfer, assignment,

licence or other dealing in IP and/or the
supply, sale or licence of goods or
services involving use of the IP other
than through Consultancy or the
exploitation of Course Material;
“IP” means any intellectual property rights

such as patents, trademarks, domain
names and registered designs (including
Page 3 of 25
Issue 2.0
applications and the right to apply and to

claim priority for any of the same in any
country, region or jurisdiction in the
world) as well as rights in inventions,
goodwill, unregistered design rights,
copyright, database rights and
unregistered trademarks (as described in
more detail in Appendix 1);
“Materials” means any materials and any copies or

reproductions of such materials in any
electronic or physical format, including,
for example, those listed in Part A of
Appendix 2, any artistic works, literary
works, dramatic works, musical works,
design models, design documents,
sound recordings and/or films as defined
by the Copyright Designs and Patents
Act 1988 (as amended from time to
time), any inventions as defined by the
Patents Act 1977 (as amended from time
to time) and any processes, know-how,
data and information;
“Net Revenue” means Revenues less any costs or

expenses incurred by BCU in the
protection and Exploitation of IP as
defined in paragraph 5.4;
“Research Student” means those Students enrolled by BCU

who are taking a programme of study
whether part time or full time which leads
to the award of an MPhil or PhD or
equivalent research degree made by
BCU;
“Revenue” means any capital and/or income directly

received or receivable by BCU in respect
of Exploitation of IP from external
partners and sources as a payment for
commercial research, consultancies,
training contracts, general IP
development, licence fees and royalties
but excluding Revenue received from a
company in which the member of Staff or
Student has an interest whether as
shareholder or otherwise;
“Revenue Sharing” means the process for sharing Revenue

between BCU and its Staff and/or
Students as set out in paragraph 5.4;
Page 4 of 25
Issue 2.0
“RIE” means Research, Innovation and

Enterprise, a department within BCU;
“Staff” means any person employed whether on

a part time, full time or agency basis by
BCU and its subsidiary companies;
“Student” means any person undertaking any

course of research or study (credit or
non-credit bearing) whether part or full
time in conjunction with BCU;
“Taught Student” means those students who are enrolled

at BCU to take a programme of taught
study whether part time or full time
offered by BCU. The programme may
lead to an award of BCU or an award
made by an external body or it may be a
non-credit bearing short course;
“Teaching Support Material” means personal notes created by Staff

for the purposes of course delivery (for
example personal lecture notes and
annotations to support Course Material);
“Use” means the right to carry out all acts

restricted under the Copyright Designs
and Patents Act 1988 (as amended from
time to time) and/or Patents Act 1977 in
all formats for educational, training,
research, promotional and any other
non-commercial purposes (including
those purposes described in paragraphs
2.5 and 2.6), but not for Exploitation.
Page 5 of 25
Issue 2.0
1. Introduction
BCU recognises the production and sharing of knowledge is central to the mission of a
university such as BCU and the importance of its contribution to the development of
individuals and society. IP generated by teaching, research, and other work done at BCU
where BCU facilities or resources have been used is an important asset of BCU, and has the
ability to enhance its reputation as a creative, enterprising and professional organisation.
For example, BCU needs to protect its investment and rights in the IP in its Course Materials,
so that they can be developed and improved over time to enhance the student experience as
the teaching of Students is a core activity of BCU. Similarly BCU has the responsibility to
identify, protect and manage effectively its IP from its research output to enhance its research
profile. All IP which has commercial potential needs to be identified, protected and exploited to
enhance BCU’s reputation as well as generate income. BCU may work with partners to exploit
its IP. BCU wishes to encourage all Staff and Students to contribute towards this activity.
1.1 Scope
This Policy is about Intellectual Property (“IP”) as generated every day by Staff and Students
and the use of third party IP in BCU. This Policy shall apply to all forms of IP and Materials in
any format and in any medium and applies to all Staff with a BCU contract of employment, and
Students and other third parties who contribute to the creation of IP and Materials jointly with
or on behalf of BCU. It provides Staff and Students with a way to engage for the benefit of
BCU and themselves.
This Policy revision is dated 1st August 2013, and applies to all IP generated after that date by
members of Staff or Students. This revision supersedes the previous IP Policy dated 31 st
January 2006. BCU has always considered it “owned” IP generated by its Staff in BCU time or
using BCU resources prior to the date of this Policy.
In exceptional circumstances, and where it is in the interest of BCU, the provisions of this
Policy may be varied by written agreement between individual(s) concerned and BCU.
BCU intends to make it easier for individuals and departments to manage external activities
and to ensure a degree of consistency and professionalism in its dealings with external
bodies. Therefore linked to this Policy are BCU standard agreements for use when
undertaking external activities involving BCU IP. Current versions of this Policy will be
available on RIE’s intranet website. BCU’s standard agreements are available upon request
from RIE.
1.2 Contact
RIE is responsible for the communication and administration of BCU’s IP Policy. Overall
responsibility vests in the Vice Chancellor.
Any queries regarding this IP Policy should be directed to the Head of Innovation &
Entrepreneurship, RIE.
Page 6 of 25
Issue 2.0
2. IP right ownership1
2.1 Staff
In accordance with legislation including but not limited to the Patents Act 1977 (or as amended
from time to time) and the Copyright, Designs & Patents Act 1988 (or as amended from time
to time), IP created or developed by Staff through the course of employment belongs to the
employer i.e. BCU. In the case where Staff are also Students, their employment status takes
precedence unless BCU indicates otherwise.
If Staff create IP outside the normal course of their duties of employment, with use of BCU
resources, they will be deemed to have agreed to assign such IP to BCU. In such
circumstances, BCU requires Staff to sign a confirmatory assignment of the relevant IP to
BCU using BCU’s standard wording (available from RIE on request). If in dispute, the decision
of whether or not use has been made of BCU resources will be made by the appropriate Pro
Vice Chancellor at the sole discretion of BCU.
BCU acknowledges the rights of Staff to retain ownership of IP and obtain benefit from all
Materials arising from activities undertaken outside employment duties with BCU.
Where Staff are assigned duties or specifically commissioned in order to produce specific
Materials and/or IP, Exploitation of these would not be included as part of Revenue Sharing.
If Staff are working at other institutions for example as an honorary academic they should
have an agreement in place between BCU and the other institution in relation to IP. Any IP in
Materials created during that appointment should normally lie with the employer who pays the
salary.
Members of Staff who have an honorary association with BCU but are not employed by BCU
are generally required to transfer any IP in Materials they create in the course of their
honorary activities to BCU, subject to the terms and conditions of their honorary contract.
Such individuals will be treated as if they were Staff for the purposes of Revenue Sharing.
This includes visiting academics and individuals with honorary appointments at BCU.
If, having received full disclosure from the relevant member(s) of Staff, BCU decides it does
not want to own, protect or Exploit the IP in the relevant Materials (see Appendix 2 for a list of
examples), BCU will normally upon request assign its rights in the IP to the Creator, subject to
any third party interests. BCU may not always be able to assign the rights in the IP to the
Creator, for example, where a public sector body has funded work, that body may acquire the
IP if BCU chooses not the Exploit the IP. In the event that the assigned IP is subsequently
Exploited, BCU might require the Creator to pay the reasonable costs incurred by BCU in
relation to such IP prior to the assignment.
2.2 Consultants working for BCU
IP in Materials created during the course of their work for BCU by Consultants belongs to
BCU, unless agreed otherwise in a contract between BCU and the Consultant. Consultants
are expected to contract with BCU on BCU’s standard contract for procurement of services
(standard consultancy contracts are available upon request from RIE).
1
See Appendix A and B for further details
Page 7 of 25
Issue 2.0
2.3 Taught Student rights (undergraduate, postgraduate and other taught students)
BCU acknowledges that Taught Students, as non–employees, own the IP they create
independently in the course of their studies. This is subject to the exceptions detailed in this
section 2.3.
Taught Students hereby grant to BCU a non-exclusive, royalty free, perpetual and irrevocable,
worldwide licence to Use the Materials they create and/or provide to BCU in the course of their
studies.
Taught Students are responsible for ensuring that they are able to grant BCU the rights set out
in this Policy, including seeking permission from relevant third parties where appropriate.
If Taught Students:
 Create Materials in the course of any externally funded research and/or other projects,
the ownership of IP in the Materials will be determined by the conditions of the funding.
This means that BCU and/or the external sponsoring body will own the IP.
 Generate Materials with the substantial benefit of the BCU environment (which
includes using BCU’s facilities, resources, expertise and intellectual assets), IP in such
Materials shall belong to BCU.
In these instances the Taught Student is deemed to have agreed to assign such IP to BCU.
BCU requires Taught Students to assign their IP to BCU and to complete and sign formal
documentation to give effect to such an assignment.
Examples where BCU requests that the Taught Student assign the IP to BCU include:
 Research projects which are usually proposed by BCU Staff and may often be
connected in some way to BCU’s on-going research interests and involve the use of
pre-existing BCU IP. In such cases, Taught Students may join a team to investigate
one particular aspect of a much larger academic programme, thereby drawing on the
considerable expertise, reputation and infrastructure of the group.
 Where Materials developed by Taught Students may be needed to enable use to be

made of the whole IP portfolio developed by Staff, or where IP is developed during the
provision of courses using the input of Students, BCU seeks to avoid a position where
a small gap in its IP portfolio precludes successful commercialisation.
 Where Materials are based on advice and ideas contributed by Staff and may be
based on confidential, proprietary or otherwise valuable information that already
belongs to BCU or a sponsor or where equipment of BCU is used to generate IP or
where IP is created in collaboration with Staff.
If BCU does not want to own, protect or Exploit the IP (see Part B of Appendix 2 for a list of
examples), BCU will normally upon request release its rights in the Materials to the Creator.
BCU may not always be able to release its rights in the IP to the Creator, for example, where a
public sector body has funded work, that body may acquire the IP if BCU chooses not to
Exploit the IP. In the event that the released IP is subsequently Exploited, BCU might require
the Creator to pay the reasonable costs incurred by BCU in relation to such IP prior to the
release.
Page 8 of 25
Issue 2.0
Taught Students may voluntarily enter into a contract with BCU (at its discretion) to cover IP
ownership and Exploitation of any Materials they create outside the course of their studies or
which is not generated with the substantial benefit of the BCU environment. At its discretion,
BCU may lead on Exploitation on behalf of the Taught Student in exchange for Revenue
Sharing. The Taught Student shall give BCU all reasonable assistance to enable protection
and Exploitation.
2.4 Research Students rights
All Research Students are required as a condition of enrolment to assign all IP they create
during the course of their research to BCU and shall at the request and cost of BCU do
everything necessary to enable BCU to complete, create, assert, and defend its IP. This is
subject to the exceptions detailed in this section 2.4.
Research Students are responsible for ensuring that they are able to grant BCU the rights set
out in this Policy, including seeking permission from relevant third parties where appropriate.
The reason for this is that the Research Student makes use of the BCU environment (which
includes facilities, resources, expertise and intellectual assets), they are enrolled on research
programmes which may be proposed by BCU Staff and may often be connected in some way
to BCU’s on-going interests and may join a team to investigate one particular aspect of a
much larger research programme, thereby drawing on the considerable expertise, reputation
and infrastructure of the group. Materials created may be based on advice and ideas
contributed by Staff or on confidential, proprietary or otherwise valuable information that
already belongs to BCU or a sponsor or, Materials developed by Research Students may be
needed to enable use to be made of the whole IP portfolio developed by Staff. BCU seeks to
avoid a position where a small gap in its IP portfolio precludes successful commercialisation
and so requires the Research Student to assign the IP to BCU.
The Research Student will be deemed to have agreed to transfer such IP to BCU and will be
treated as if they were a member of Staff for the purposes of Revenue Sharing. Where
required BCU will make appropriate arrangements for Research Students to assign their IP to
BCU and to complete and sign further documentation to give effect to such an assignment.
The exceptions to the above rule are:
 Where significant IP is provided by the Research Student prior to enrolment, BCU and
the Research Student will agree terms to the assignment of any such pre-existing IP
on a case-by-case basis.
 Where Research Students are funded independently of BCU such as by an external

body, including but not limited to commercial organisations, educational bodies,
charitable bodies, trusts and any other organisations, the ownership of any IP created
whilst the Research Student is funded may be determined by the conditions of the
funding. This will be dealt with on a case-by-case basis at enrolment to ensure that it
does not contravene the conditions of grant and other agreements with the external
body or the IP portfolio of BCU. Where relevant, the Research Student shall inform
BCU of any funding terms and conditions prior to or when they enrol on a research
programme at BCU.
 Where BCU decides at, or any time after, enrolment it does not want to own, protect or
Exploit the IP (see Part B of Appendix 2 for a list of examples), BCU will normally upon
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Issue 2.0
request assign its rights in the Materials back to the Research Student, subject to any
third party rights. BCU may not always be able to assign the rights to the Research
Student, for example, where a public sector body has funded work, that body may
acquire the IP if BCU chooses not the Exploit the IP. In the event that the assigned IP
is subsequently Exploited, BCU might require the Research Student to pay the
reasonable costs incurred by BCU in relation to such IP prior to the assignment.
Where any of the above exceptions apply, Research Students hereby grant to BCU a non-
exclusive, royalty free, perpetual and irrevocable, worldwide licence to Use the Materials they
have created prior to enrolment or that they create in the course of their studies, provided that
BCU may (acting reasonably) agree to waive such licence in certain circumstances, including,
for example, agreeing to keep the Materials confidential for commercial reasons relating to
Exploitation by the Research Student or by a third party on the Research Student’s behalf.
2.5 Copyright statement for Students
When Students submit work for assessment it may be necessary for BCU to make paper
and/or electronic copies, or to allow appropriate third parties to make copies, of that work.
Without limiting BCU’s other rights under this Policy, BCU may make copies, and may
authorise third parties to make copies, of any work submitted by a Student for assessment for
the following purposes:
1. to enable the Student work to be assessed;
2. to upload the Student work to a plagiarism detection service in order to compare

the Student work with databases of previously available works to confirm there
is no plagiarism. Assignments uploaded to such a service will be stored
electronically in a database, together with the Student name and email
address. The database enables the Student work to be compared with work
already submitted to the detection service both by BCU and by other UK
institutions using the service to identify any duplication of material in the
Student work;
3. to add the Student work to these databases to ensure that future works
submitted at this institution and others are not plagiarised from the Student
work;
4. to archive electronically and make the Student work accessible via a BCU e-
repository (“the Repository”). All third party material will be omitted unless the
Student has obtained and attached a written permission statement from the
owner(s) of the material included in the work. This should also include page
numbers, references and original source details. If the Student work is at
anytime in consultation with a publisher regarding this work the Student will
need to declare the copy held on the Repository. Some publishers may regard
the Repository copy as constituting prior publication. The copy can be removed
from the Repository if it becomes an obstacle to future commercial publication.
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Issue 2.0
2.6 Reproduction of Student Materials for educational, training, research,

promotional and non-commercial purposes
There are circumstances in which BCU may wish to reproduce, issue, communicate,
distribute, and exhibit Materials created by Students to the public, for non-commercial
purposes, such as but not limited to educational, training, research and promotional use which
includes but is not limited to databases, websites, academic publications, exhibition
catalogues, posters, leaflets, postcards and prospectuses. For the avoidance of doubt,
promotional use includes circumstances in which BCU may use the Materials to promote BCU
for its own purposes and such promotional activities shall not be considered to be commercial
purposes.
While the licences granted to BCU in this Policy authorise such use, for the avoidance of
doubt where the Student has in accordance with this policy granted only a licence to BCU, the
copyright in all such works shall remain with the Student and any reproduction by BCU
intended for commercial purposes will be subject to an individual licence to be negotiated with
the Student.
Except in the circumstances outlined above, where Staff wish to reproduce Materials created
by Students they are advised to contact RIE to obtain advice and the relevant release forms
prior to any use of any Materials created by Students.
2.7 Image rights
The policy of BCU is that the rights of Staff, Students and visitors to BCU, or individuals and
groups who are visited by BCU’s representatives, should not be jeopardised by any BCU
activity. BCU further recognises its responsibilities towards children and young people.
Images may be captured during events, seminars and lectures organised and hosted by BCU
using film photography, digital photography, video or other audio-visual medium and may be
used on the BCU website, BCU prospectus or course brochures or in other publicity material
(such as internal and external newsletters), exhibition of Student work or graduation ceremony
brochures and Course Materials, and may be provided to the media for publication in local or
national newspapers or educational magazines. BCU acknowledges its responsibilities in
capturing images by photography or other means under the provisions of the following
legislation.
The Children and Young Persons Act 1963 (or as amended from time to time): BCU
undertakes to seek a licence where necessary from the appropriate local authority for any
performance activity in which children are taking part and which may be recorded with a view
to being broadcast, published or shown to the public.
The Protection of Children Act 1978 (or as amended from time to time): BCU recognises that it
is a criminal offence to take, permit to be taken, distribute, have in one’s possession or publish
indecent photographs (including films and other imagery) of children.
The Human Rights Act 1998 (or as amended from time to time): BCU recognises an
individual’s rights to privacy as protected by this Act.
The Data Protection Act 1998 (or as amended from time to time): BCU undertakes to inform
all those whose images may be recorded (or their parents/guardians if under 18 years of age)
of the purposes for which the images may be used by BCU.
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In this context BCU informs all persons taking part in BCU activities that they may be
photographed, filmed, videoed or otherwise captured in image form. Where possible and
practical to do so, BCU seeks written consent to image capture (release forms available upon
request from RIE). Where this is not possible for practical reasons, unless express objections
are received, individuals attending an event at BCU are deemed to have given their consent
by attending or remaining at the event. Any queries or complaints should be raised with the
event host in the first instance.
2.8 Performance rights
BCU acknowledges that Students and Staff own all performers’ rights in any performance.
Performances are defined as a musical performance, a dramatic performance, a reading or
recitations or a performance of a variety act or similar performance. Performance rights exist
independently of copyright and moral rights in any works.
Students and Staff hereby grant to BCU a non-exclusive, royalty free, perpetual and
irrevocable, worldwide licence to Use any recording (in any format) of any performance:
 by Students created in the course of their studies; and

 by Staff created in the course of their employment (including for example any recording
of their lectures).
Where Students or Staff use a third party recording at BCU and/or publicly perform a third
party work, they are responsible for ensuring that they have the right to use such recording
and/or publicly perform such, including seeking permission from relevant third parties where
appropriate.
2.9 Course Materials and Teaching Support Materials
In the case of Course Material produced for use with Students or Course Material developed
for credit bearing and non-credit bearing courses including Course Material designed for
distance or e-learning (i.e. designed to be predominantly used by Students studying at a
distance from BCU) and/or where the Course Material has been specifically commissioned to
be produced for BCU, the IP in such Course Material belongs to BCU.
BCU grants the Creator of the Course Material a royalty-free, non-exclusive licence to use the
Course Material created by them for teaching or research purposes which are non-commercial
only for as long as the Creator remains employed by BCU or a Student.
Such licence may continue at the sole discretion of BCU after the termination of employment
or studies or engagement with BCU provided that the use of the Course Materials does not
damage the Exploitation of the Course Materials by BCU or prejudice in any way the interests
of BCU. BCU copyright with year should be shown on all Course Material e.g. © Birmingham
City University 2013.
Course Material that is the copyright of BCU can only be used for non-commercial purposes.
Use of Course Material for commercial purposes is not included as part of Revenue Sharing.
BCU does not seek ownership rights over Teaching Support Material as long as it retains a
royalty-free, worldwide, sub licensable, non-exclusive licence to Use the Teaching Support
Material.
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2.10 Publication
A member of Staff or Student shall inform BCU (usually via line management to RIE) before
entering a commercial contract (excluding non-commercial academic work such as journal
papers) with a publisher or producer of works in other media in relation to copyright in a work
produced by that Staff member or Student where the IP belongs to BCU or where BCU has
any rights in the IP. BCU will usually agree to the assignment of copyright to the publisher in
paper printed Materials and electronic Materials intended for publication in academic journals,
websites or books unless:
a) it relates to Materials specifically produced as distance learning materials; or

b) where publication could result in certain rights of BCU being adversely affected, for
example, inability to apply for patent protection. In this latter case consent will be given
once the adverse effect no longer exists.
Other cases will be considered on a case by case basis.
2.11 Moral rights
Moral rights protect such things as derogatory treatment or false attribution. Under Clause 79
(3) of the Copyright, Designs & Patents Act 1988, it is clear that an author’s moral rights do
not apply to works created during the course of employment. BCU will so far as is practicable
identify the original author(s) to works created by Staff or Students.
3. Disclosure of IP rights
Where any member of Staff or Student of BCU creates any of the types of Materials listed in
Part A of Appendix 2, they shall declare its existence to RIE. To facilitate the process Idea
Disclosure Forms are used (available on request from RIE). These documents support
ownership claims and protect the confidentiality rights of the individual and BCU and should
contain all necessary information concerning the provenance of the Materials and the
circumstances in which they were created (including information on research funding and
other contributions to the work).
RIE shall determine whether BCU has any obligations to research sponsors or other
organisations in respect of the IP in the Materials. Where there are no such obligations RIE
following consultation with the Creator of the Materials shall decide upon and implement the
most appropriate route for Exploitation (if any).
In the event of a dispute between the Creator of the Materials and RIE concerning ownership,
protection or Exploitation of the IP the matter shall follow the Grievance Procedure in the Staff
Handbook. Within this process the BCU reviewing manager may consult any external expert
that s/he considers to be desirable.
Where BCU decides to seek Exploitation, the Creator of the Materials shall provide
reasonable assistance with the Exploitation process by (for example) providing information
promptly upon request, attending meetings with potential partners and advising of further
development.
3.1 Confidentiality
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Although the Freedom of Information Act 2000 has a presumption that most information within
BCU should be publicly available, in terms of protecting IP, Staff and Students should be
aware of the importance of maintaining strict confidence over BCU confidential information
(including Materials and/or IP) and take all reasonable steps to ensure that confidentiality is
maintained. This is important otherwise it may impair BCU’s ability to claim ownership and/or
Exploit the IP. Commercially sensitive documents should be marked as “Confidential” on all
pages. RIE will assist with the correct confidentiality requirements should external
confidential disclosure be required (forms available on request from RIE). See paragraph 5.3
for signing confidentiality agreements.
4. Protection of IP
Where appropriate, Staff and Students should ensure that the creation of IP is properly
documented in a form that would enable the date of creation of the Materials and the nature of
the IP to be clearly established.
This may be through regular dating and signatures on log-books, or through writing-up and
self-addressing of posted descriptions as appropriate. It may be by ensuring copyright in a
work is properly asserted (using the  symbol followed by BCU and the year of creation of the
work on all relevant documentation). Such protection must include such work as bid
submissions and conference papers.
Where it is decided that BCU will apply for legal protection for IP, such as registration, it is
expected that Staff or Students involved in creating the relevant Materials will provide all
reasonable assistance in the process, for example, by providing information promptly upon
request, attending meetings, advising on further developments and maintaining confidentiality
as required.
5. Exploitation of IP
BCU will consult with the Creator(s) and all other relevant Staff and Students, and consider all
reasonable proposals, in relation to the Exploitation of IP. Where such IP belongs to BCU, it
will be subject to Revenue Sharing unless excluded under paragraph 2.1. In all other cases
assistance may be given with Exploitation subject to agreeing satisfactory arrangements
which ensure that BCU receives an appropriate share of any monetary or other revenue or
value derived from Exploitation.
5.1 Assistance with Exploitation
BCU actively encourages its Staff and Students to take the initiative in identifying IP which has
potential Exploitation or publicity value or which could otherwise enhance the reputation of
BCU together with the potential scope of its Exploitation as appropriate.
After disclosure by, and consultation with, the Creator(s), BCU may through RIE, decide at its
discretion to protect or develop such IP using BCU resources and funding.
For IP that it decides to assist with the Exploitation of, RIE, in collaboration with the Creator(s),
shall draw up an IP project proposal (including IP protection requirements, time schedule &
targets, budget, expected income and further long term development plans for the IP) and
accompanying commercial contracts, where necessary.
5.2 Management of Exploitation
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RIE in conjunction with the Creator(s) and the project manager will implement the above plan
for Exploitation.
Possible opportunities for Exploitation are:
 Research agreement in collaboration with external partners

 Licensing
 Spin-outs companies
 Joint ventures funded jointly with an external partner
5.3 Signing of contracts and confidentiality agreements
All contracts with external bodies need to be signed by an authorised signatory of BCU in line
with the Quality Assurance for External Projects. RIE can provide advice.
Confidentiality agreements need to be signed by the individuals undertaking the obligation of

confidentiality and must be countersigned by the relevant authorised signatory within the
Faculty or Service Department. Staff and Students are only authorised to enter into
confidentiality agreements with third parties on behalf of the BCU using BCU standard
confidentiality agreements. Any variations to the BCU standard confidentiality agreements or
third party originated confidentiality agreements must be agreed by RIE before signing. All
original signed documents must be sent to RIE for filing.
5.4 Revenue Sharing from Exploitation of IP
While BCU retains the ownership of IP as set out above, it will incentivise its Staff and
Students by sharing Revenue generated from IP.
Any Revenues which arise from Exploitation of the IP which are received by BCU will be
apportioned in accordance with a sliding scale as set out below.
Each case will need to be considered in the light of the individual circumstances applying, for
example, the balance between BCU time and resources and those privately invested by the
individual concerned or performance against a business plan. BCU reserves the right to
negotiate different terms for sharing Revenue from those below and will normally do so when
outside bodies are involved or when the case is complex and shared between a number of
people who are responsible for origination. This includes but is not limited to spin-out company
formation or Exploitation with external partners.
BCU shall be entitled to recoup from Revenue any costs or expenses it incurs in protection
and Exploitation of the IP including but not limited to:
 The costs associated with protection of the IP

 The costs of defence of the IP
 The costs of marketing the Materials
 The costs of any legal agreements associated with the IP
 The costs of any development work that is not externally funded or recoverable
 Any other costs that are deemed by RIE to be necessary to the successful
commercialisation of the IP
 An appropriate apportionment of the costs of RIE
 Overheads on all of the above
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 The risk cost of any capital sums applied as appropriate at the appropriate market rates
 Additional expenses incurred by BCU in paying additional PAYE income (or equivalent)
such as employer’s contribution to National Insurance or pension costs. Please note that
the Revenue sharing benefits are not normally pensionable.
This will generate Net Revenue and this will be apportioned as defined below.
Net Revenue Creator’s share BCU share Faculty/Service

Department share
First £15,000 of 80% 10% 10%
Net Revenue
Revenue > 50% 25% 25%
£15,000 of Net
Revenue
It is the responsibility of the Creators to keep BCU informed of their status and whereabouts.
Whilst Revenue is being accrued, BCU will set aside Revenues for up to 2 years for Creators
who have changed bank accounts and lost contact with BCU. BCU will not be a trustee of any
such unclaimed Revenue payments.
Any Revenue payments remaining unclaimed for 2 years from the date the Revenue is
received by BCU will, after that date, be forfeited and will revert to BCU and will be distributed
between any others entitled to share in such Revenue, excluding the missing Creator(s).
In the case of the death of a Creator due a share of Revenue, that share of Revenue will be
payable to the estate of the deceased.
BCU ensures that both employer’s and employee’s statutory contributions are remitted to Her
Majesty’s Revenue and Customs (HMRC). The statutory deductions for income tax and
National Insurance are made, and Staff receive the net amount. Non-BCU Creators (including
ex-Staff and Students) must ensure that they are registered with HMRC for self-employed
Schedule D status as they are legally responsible for their own tax arrangements.
The Revenue sharing arrangements above shall not be applicable to members of Staff who
are assigned duties in order to produce the IP. Any payments to Staff in this category shall be
the subject of ad hoc determination by the relevant Executive Dean or Service Director at the
time of receipt of Revenue.
Where more than one member of Staff and/or Student is involved in the development of IP,
there will be a presumption that joint Creators will each have equal shares. For example
where there are two joint Creators, a Net Revenue of £10,000 will be split as follows.
Creator 1 £4,000 (40%)

Creator 2 £4,000 (40%)
BCU £1,000 (10%)
Faculty/Service Department £1,000 (10%)
The equal split between joint Creators may be varied if there is a specific agreement to the
contrary as agreed by the Creators. Where joint Creators cannot reach an agreement on the
shares to be apportioned, BCU will mediate/arbitrate to impartially assist the Creators in
reaching an amicable compromise.
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6. Use of third party IP
Documents, information or other materials belonging to third parties should only be used in
connection with BCU activities or incorporated into BCU promotional, teaching or research
materials with the consent of the third party. Failure to do so could lead to BCU being sued for
unauthorised use and damage the reputation of both BCU and the individual concerned.
While Students are ultimately responsible for their own actions, Staff are encouraged to
educate Students in respect of the use or incorporation of third party materials into the
Students’ work and Staff are required to confirm that Students are able to identify when third
party materials have been used or incorporated into their work.
When photographs of Student work needs to be taken for use in BCU promotional materials,
BCU may commission the photographer and the commissioning Staff member is responsible
for obtaining a budget and ensuring that the photographer grants BCU the necessary rights to
reproduce the photographs in any promotional material.
A list of current subscriptions paid annually by BCU for use in teaching is published at
library.bcu.ac.uk.
6.1 Internet Materials
It is sometimes thought that material posted on the internet is freely available for use. This is
not true. Most material will be copyright protected and therefore permission must be sought
before any such material is used in any BCU promotional, research materials or Course
Materials. RIE can assist with advice and suitable acknowledgement wording. BCU’s Library
Services can assist in the location of the author and in the seeking of permission for use.
6.2 Trademarks and Brands
A trade mark is a designation of goodwill. The permission of the owner must be sought before
any third party trade marks (such as logos, company or product names) or other branding are
used in any BCU promotional, research materials or Course Materials. RIE can assist with
advice and suitable acknowledgement wording. BCU’s Library Services can assist in the
location of the author and in the seeking of permission for use.
6.3 Newspaper, Journal and Magazine articles and photos
Most newspaper, journal and magazine articles and photos will be copyright protected and
permission must be sought before any such material is used in any BCU promotional,
research materials or Course Materials. BCU has overall arrangements which cover some
publications but if such use is not covered by these general arrangements, RIE can assist with
advice and suitable acknowledgement wording. BCU’s Library Services can assist in the
location of the author and in the seeking of permission for use.
6.4 Open source materials
Some software and databases are freely licensed under what is called open source licences.
Where such materials are used, it is often a requirement that the end product produced with
them is also made freely available under open source. Any proposed use of open source
materials in BCU teaching or research materials, especially those with external funding,
should be discussed with RIE before any such use.
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6.5 Case studies to reflect BCU use of a third party’s information, photos,
trademarks for promotional purposes.
Most case studies, from whatever source, will be copyright protected and permission through
a signed agreement (form available upon request from RIE) must be sought before any such
material is used in any BCU promotional, research materials or Course Materials. RIE can
assist with advice and suitable acknowledgement wording. BCU’s Library Services can assist
in the location of the author and in the seeking of permission for use. Equally where a third
party wishes to use a BCU case study, it should be by formal agreement (form available upon
request from RIE).
7. Use of BCU branding
The BCU branding policy and guidelines are issued by the Marketing and Communications
Department.
BCU supports a variety of BCU branded online media in the public domain. Staff must not use
any other online medium for publishing Course Materials without permission of their Faculty
Board.
Requests for the use of BCU name and/or branding by third parties in endorsing research and
products shall be referred to Marketing and Communications Department.
8. Contracts with sponsoring or funding bodies
BCU looks for sponsorship and funding of its activities from a broad base. When negotiating
with external sponsors, BCU retains the discretion to reach an agreement with the sponsor in
relation to proper Exploitation of the IP. Where commercial bodies provide sponsorship, BCU
generally seeks to retain the IP and usually agrees to give the sponsor a licence to exploit the
rights on a commercial basis. Negotiations with external sponsors take into account the level
of overheads paid by the sponsoring body whilst reflecting the overall public interest in BCU
retaining the IP. Occasionally retention of the rights in IP may not be feasible. Where BCU
cannot negotiate IP Exploitation it will seek publication rights.
Contracts with the sponsors clearly setting out the position are negotiated before the start of
the work in order to avoid subsequent disputes. RIE takes the lead in negotiations with
sponsoring or funding bodies.
BCU may delegate its powers to negotiate to a member of Staff in a particular case and takes
due account of the need to avoid conflicts of interest.
9. Conflicts of Interest
BCU wishes to avoid any actual or perceived conflict of interest in handling its IP. Where a
member of Staff or RIE has reason to believe that entering into any particular agreement,
whether a BCU agreement or a private agreement, may lead to an actual or perceived conflict
of interest the member of Staff is required to work with RIE to explore the circumstances of
such potential or actual conflict.
Upon the results of a joint investigation, RIE will decide, after taking advice, what, if any,
action should be taken to avoid the conflict of interest, which may include for example,
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modifying an agreement, entering into an additional agreement, taking no action or not

allowing the agreement to proceed.
In the event that the decision is disputed, the matter shall be referred to the appropriate Pro
Vice Chancellor. Following consultation with the parties and any external expert that the Pro
Vice Chancellor considers to be desirable, the Pro Vice Chancellor shall decide upon a final
course of action to resolve the dispute.
10. Spin-out companies
BCU will consider the establishment of, or participating in the creation of, a limited company or
a joint venture with a suitable partner to exploit particular IP if it has the right characteristics.
Shareholdings by Staff or Students in BCU spin-out companies and joint ventures will be
agreed on the basis of the business and/or technical requirements of the respective spin-out
company or joint venture.
This does not include Student or graduate start-up companies where BCU does not hold an
interest in the IP.
11. Licensing
BCU considers the licensing of IP to third parties in order to exploit particular IP if it has the
right characteristics. RIE will take the lead in any negotiations for the licensing of IP to such
third parties.
12. Equality
BCU’s commitment to equality means that this policy has been screened against the aims of
the general duty in relation to the relevant protected characteristics, the use of
comprehensible, inclusive language, and the avoidance of stereotypes. This policy is
available in alternative formats on request.
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Appendix 1: Introduction to IP Rights
There are a number of different IP rights which are recognised by English law. Generally IP
rights can be assigned, licensed or otherwise transferred by their owner, moral rights cannot
be assigned. Some dealings may need to be in writing and some may require registration.
“IP Rights” means rights for which registered protection is available upon application such as
patents for inventions and registered designs, trademarks, domain names and registered
designs and others where no application is necessary in the UK such as some design rights,
copyright and moral rights, database rights, unregistered trademarks, know-how and
confidential information. IP Rights generated by an employee in the course of employment
belong to the employer. Generally in other circumstances they belong to the Creator although
some may belong to the person paying for their creation.
Patents
A patent is a monopoly right to the exclusive use of an invention. “Invention” encompasses
machines, products, processes and their individual constituent parts. A patent gives its owner
the exclusive right to prevent others from using or exploiting his invention. Not all inventions
are patentable, for example discoveries of certain scientific or mathematical methods and
some computer software are not patentable inventions. The invention must be shown to be
new; involve an inventive step; be capable of industrial application; and not be of an excluded
type.
An invention must never have been made available other than under a valid confidentiality
agreement to anyone, in any way, anywhere in the world before the date on which the
application for the patent is filed. It is acceptable for an invention to be known secretly and to
be used for example under a confidentiality agreement. It is vital to ensure that the ability to
obtain patent protection is not lost by disclosure other than under a confidentiality agreement.
Patents are available in the UK and in many other foreign jurisdictions. A UK patent has a life
of 20 years from the date of filing the application. During that 20 year period, the patentee has
the option of renewing it annually upon payment of a progressively higher renewal fee. There
are supplemental protection periods of up to 5 years beyond the normal terms of a patent in
the case of certain medicinal and plant protection products. The right to apply for a patent
usually belongs to the inventor. However an invention made by an employee employed to
invent or made by him in the course of his normal duties will normally belong to his employer.
Additionally if the employee has some special responsibility to further the employer’s business
the invention will again belong to the employer. All other inventions which do not fall within
these categories belong to the employee. In the majority of cases, inventions made by
members of staff at BCU will belong to BCU. Where the employer has the benefit of a patent
which arises from an invention of the employee, the employee is entitled to a limited amount of
statutory compensation. Where the patent belongs to the employee but the employer
acquires it by licence or assignment, the employee is entitled to statutory compensation if
there is a disparity between the remuneration that the employee receives and the right and
benefit gained by the employer.
Designs
There are a number of types of design which receive different protection under the law.
Registered Design
Registered protection is available to a “design” which means the appearance of the whole or
part of a product resulting from features of in particular lines, contours, colours, shape, texture
or materials of the product or its ornamentation. Designs of component parts of complex
products can be registered but those rights cannot be enforced where the use is for repair
purposes. There is a 12 month grace period during which the owner can test the market
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without losing the right to apply for protection. The right to apply for a registration belongs to
the designer or the designer’s employer where the design is created during the course of
employment. Where the design is commissioned by a third party the commissioner is the
owner of the right to apply for the registered design. Registered design protection lasts for 25
years and runs from the date that the application is first filed at the Designs Registry.
Protection is given in periods of 5 years which can be extended by further 5 year periods up to
the maximum of 25 years on payment of the renewal fee.
Design Right
Design right arises without any need for registration and is a right subsisting in any aspect of
shape or configuration. However, the design must be original and not commonplace; not a
method or principle of construction; not have its shape or configuration dictated by function or
the need to match nor consist of surface decoration. Unregistered design right normally lasts
for 10 years from the date of first marketing of the article to which the design is applied with an
upper limit of 15 years from creation. The first owner of the unregistered design right is the
Creator of the design unless created by an individual in the course of employment where the
employer is the normal owner. Where the design is commissioned the unregistered design
right belongs to the commissioning party.
Design protected by copyright

Some designs which are artistic works may be entitled to copyright protection. Copyright is
dealt with below.
Copyright, Performance and Moral Rights

Copyright
Copyright in the UK arises without any need for registration. It will subsist in any original
literary, dramatic, musical or artistic work, sound recording, film, broadcast and cable
programme; computer software and database and the typographical arrangement of published
editions. It usually lasts for the life of the author plus 70 years. Notable amongst the
exceptions are typographical arrangements where the period is 25 years. The author of the
work is normally the first owner of the copyright save that where the work is created during the
course of employment the employer is the owner in the case of literary, dramatic, musical or
artistic works or films. Even where the works are done on commission it is the author who is
the owner and not the commissioner in the absence of an express written agreement.
Moral Rights
Moral rights consist of the right to be identified as the author of work; the right for the work not
to receive derogatory treatment; and the right against false attribution of a work. Certain rights
have to be expressly asserted before they can be infringed. Moral rights do not apply to
things such as computer programs and computer generated works. Some moral rights belong
to the maker even if the maker is an employee acting in the course of employment.
Performance Rights
Performers are entitled to various rights in their performance whether these take place on the
stage, during a concert and so on. Performers also have rights in any recording, film or
broadcast of that performance. Performances are defined as a musical performance, a
dramatic performance, a reading or recitations or a performance of a variety act or similar
performance. Performance rights exist independently of copyright and moral rights in any
works.
A performer has the right to control the broadcasting of their live performance to the public.
The permission of a performer must also be sought before a recording of the live performance
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is made and is also needed to make copies of that recording. A performer may be entitled to
remuneration in respect of broadcasting, other types of communication to the public by
electronic transmission, public performance and rental of those copies.
Database Right
This is a right distinct from copyright, which may also protect a database. It belongs to the
person who takes the initiative in relation to its contents or invests in obtaining it, or to his
employer when made by an employee in the course of employment. It lasts for 15 years.
Trade Marks
A trade mark is any sign which can be represented graphically and is capable of distinguishing
goods or services. It can be a word, a design, letters, numbers or in some cases the shape of
goods and their packaging.
Trade marks can be either registered or unregistered. An unregistered trade mark will be
acquired by usage in relation to a business and will be the property of the business. A
registered trade mark must be distinctive and not generic. It must not purely designate the
kind of goods or relate to their quality or origin. A trade mark is capable of lasting in
perpetuity, subject, in the case of a registered mark, to payment of renewal fees.
Brands, logos and trademarks will carry the  symbol. The  symbol cannot be used until the
trademark has been formally registered with the Intellectual Property Office.
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Appendix 2: Which IP will BCU want to assert ownership over?
Part A
The following is an illustrative list of the activities and outputs BCU is likely to want to own the
IP in:
 Audiovisual materials (including audiovisual entertainment)

 Brands
 Commercial graphics including logos, fonts, etc.
 Software programmes
 Course Material
 Databases
 Design rights including registerable designs
 Discoveries
 Formulations and methods of formulation of materials and compounds
 Internet domain registrations
 Inventions
 Know-how of a valuable nature (i.e. commercially valuable, reputation
enhancing)
 Methods of doing business
 Patents or potentially patentable innovations
 Registered and non-registered trademarks
 Research log books – for lab based work
 Software algorithms
Part B
Subject to where Staff are specifically commissioned to produce Materials, are expressly
requested to produce such Materials for BCU or the nature of the Staff member means they
are predominantly paid to produce such Materials as outlined below, the following is an
illustrative list of the activities and outputs BCU is unlikely to want to own the IP in:
 Art and design drawing books

 Illustrations
 Limited editions of 50 or fewer artefacts, pictures and designs
 Musical compositions
 Musical recordings (where BCU facilities are not used)
 Newspaper/magazine articles
 Novels
 Paintings
 Poems
 Recordings of musical or dramatic performances
 Screenplays
 Sculptures
 Theatrical recordings or performances
 Scholarly output as follows:
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o Books (provided the Executive Dean’s permission has been sought prior to
publication)
o External examination duties
o Invited lectures
o Journal editorships
o Publications of research outcomes including exhibitions of work not financially
supported from BCU research funds
o Radio or TV programmes
o Seminar papers
o Service on public, governmental and charitable bodies
o Teaching Support Materials
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Appendix 3: Document History
Version Date Status Author Changes

st
v1.0 31 Approved by Vice Research, n/a
Approved January Chancellor’s Innovation
policy 2006 Office and
Enterprise
V2.0 1st August Approved by Vice Research,  This is a major update to the IP Policy. The
2013 Chancellor’s Innovation revised IP Policy has clarified the
Office and University’s ownership of IP in terms of :
Enterprise o Course Materials and Teaching
Support Materials developed by
staff
o Clarification of ownership of IP of
taught students versus research
students.
o Addition of Performance rights of
staff and students
o Addition of Image Rights section
o Clarification of moral rights
relating to students and staff
o Free licence of student produced
materials for promotional
purposes such as a University
photograph of student artwork
used in a prospectus
 The rewards from IP have been amended

to reduce the creator’s share from 100% to
80% of first £15k of net revenue. The
reason for this being that University has
not had large IP licensing income returns
so the academic was getting a major
benefit without the University seeing any
return from royalties. Therefore we have
changed the policy which is still one of the
more favourable policies towards
academics in the sector. The share
between the University and the faculty or
service department has been defined.
Further clarification has been provided in
terms of who is a Creator as defined by the
IP Policy and how the revenue is
distributed.
 The section on Spin-out companies has
been amended and a section on Licensing
has been added
 An Equality Statement has been added
Page 25 of 25
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Standard Higher National Assessment Regulations, Version 5 (As at September 2015)

Higher National Diploma

L2 Registration Periods and Registration for Assessment

Higher National Diploma: 5 years

L 3.3 To facilitate a variety of programme structures these regulations do not

L 3.6 Modules must be classified as core or optional within a particular programme.

L 3.8 An optional module is one selected by a student from a set of modules

L4 The Credit Framework

L 6.2 A schedule of assessment will be published to students at the start of each

 Modules with a credit rating of 15 or more may include up to two items of

L 6.4 Academic Board may accept a recommendation from a panel established to

L7 Eligibility for awards

L 7.1 Credit Requirements

Award Minimum credit needed to satisfy the

Higher National Certificate A minimum of 120 credits

Higher National Diploma 240 credits of which at least 90 must be at

L 8.1 Marks for items of assessment

L 8.2 Pass mark for a module

L 8.2.4 Where a different pass mark is required in order to meet requirements of a

L9 Notification of Marks to Students

L 9.3 A joint University/Pearson transcript which accords with the University’s

of that module. No grade will be attributed to the module or recorded on the

L 9.4 A joint University/Pearson award certificate will be issued by the University

L 10.1 It is the responsibility of students to submit work for assessment as required.

L 10.3 Where a student submits his or her first attempt at an assessment up to 2

L 10.5 Where a student submits a re-assessment attempt after the published

L 10.6 A student who is unable to meet a coursework deadline because of

L 11 CLAIMS TO DEFER ASSESSMENT OR TO REQUEST A COURSEWORK

L 11.1 A student who is unable to attend an examination or other form of

 defer the attempt at the assessment(s) to a later date; or

 be granted an extension to complete coursework.

L 11.2 The regulations and procedures for requests to defer an assessment or to be

L 11.3 If a student with disabilities has a Support Summary recommending

 to submit a request for a deferral of assessment or an extension on

 to submit his or her first attempt at an assessment up to 2 hours

 where a deduction of 10% will reduce the mark from a pass

 The maximum mark available will be 40% provided the late

L 13 Awards with Merit or Distinction

modules worth 90 credits or more on a programme of study leading to

30 credits or more on a programme of study leading to an award of a

45 credits or more on a programme of study leading to an award of a

L 14.4 Where a student’s assessment and/or re-assessment for a module or

L 15.1 Compensation is the process by which an Examination Board, in

L 15.2 The compensation regulations will be invoked by the Examination Board

L 15.3 Failure in a core module cannot be compensated. Neither can failure to

L 15.4 Failure in optional modules equivalent to a maximum of 30 credits will be

L 15.6 To be eligible for compensation the student must have achieved:

 an overall average mark of 45% or above in all the modules that

 an overall weighted average mark of 29.5% or above in the module for

September 2015 L10

L15.10 A student may decline to have failure in a module or modules compensated

L 16 Provisions in the Event of Failure

Flowcharts summarising the re-assessment process can be found in Annex

L 16.1 A student on a programme of study governed by these regulations will be

L 16.2 Where re-assessment is permitted under L 16.1 above, the re-assessment

L 16.4 Where a failed module is designated an optional module within a student’s

September 2015 L11

module or modules before being permitted to register for new modules.

L 16.5 A student cannot demand re-assessment in a module which is no longer

L 17 Withdrawal from the programme

L 17.1 Withdrawal at a student’s request

L17.2 Withdrawal after exhausting the right to re-assessment

September 2015 L12