1.1 Registered research degree students may appeal against the following academic decisions of the University:
a) termination of registration to read for a research degree for failure to make satisfactory academic progress
b) registration for a particular research degree
c) refusal of permission to submit a thesis for examination
d) the result of the examination of a thesis.
1.2 For authoritative guidance on the applicability and operation of the research degree appeal procedures, write to the Higher Degrees Officer, c/o Research School, The Open University, Milton Keynes, MK7 6AA, or send an email for the attention of the Higher Degrees Officer to
Research-School@open.ac.uk.
2.1 Appeals against the termination of registration are permitted only on the following grounds:
a) that there were circumstances affecting your academic progress of which the supervisors and sponsoring establishment were unaware
b) that there is evidence of procedural irregularity (including administrative error) in the monitoring and assessment of your progress, such as to suggest that, in the absence of such irregularity, the decision to terminate registration would not have been made
c) that there is evidence of unfair or improper assessment of your academic progress.
You may not on any other grounds challenge the academic decision to terminate registration.
2.2 There are two stages to the appeal procedure if your registration has been terminated for failure to make satisfactory academic progress.
First stage appeal procedure
2.3 The first stage of the appeal process is conducted by the Chair of the Open University Research Degrees Committee.
2.4 First stage appeals against the termination of registration to read for a research degree must be submitted, in writing, to the University through the Higher Degrees Officer. You must state fully the grounds of your appeal and provide evidence of satisfactory academic progress or explain why satisfactory academic progress has not been achieved.
2.5 You must submit your appeal to the University within one month of being notified of the decision to terminate registration for failure to make satisfactory academic progress.
2.6 The University will use recorded delivery for all correspondence relating to appeals, and you should do the same.
2.7 The Chair of the Open University Research Degrees Committee will consult the sponsoring establishment, supervisors and other appropriate people (e.g. the third-party monitor and/or other members of the academic staff who have had a role in your studies). Those consulted will be asked to submit comments in a form that can be made available to you if the appeal goes to the second stage.
2.8 You have no right of personal hearing at stage one.
2.9 The Chair of the Open University Research Degrees Committee will either:
a) uphold the appeal and reinstate registration for a specified period
or
b) reject the appeal and confirm the decision to terminate registration.
If your appeal is upheld, the Chair of the Open University Research Degrees Committee may stipulate appropriate conditions.
2.10 The University will write to tell you the outcome of the first stage appeal, not later than five working days after the decision has been reached.
Second stage appeal procedure
2.11 If you are not satisfied with the outcome of a first stage appeal to the Chair of the Open University Research Degrees Committee, you may ask for the appeal to go to stage two. The second stage of the appeal process is conducted by the Pro-Vice-Chancellor (Research and Staff).
2.12 To take your appeal to stage two you must write to the Complaints and Appeals Office, within one month of being notified of the outcome of the first stage appeal, to confirm that you want the appeal to proceed to the second stage.
2.13 You may, if you wish, be assisted in the second stage appeal process by a nominated friend, whose name you must give to the University in the letter to the Complaints and Appeals Office confirming that you want the appeal to go to the second stage.
2.14 In a second stage appeal you have the right to be heard in person and to be accompanied by your nominated friend. The Pro-Vice-Chancellor (Research and Staff) will sit with one or more appropriately qualified external assessors.
2.15 In the light of the advice provided by the external assessor, the Pro-Vice-Chancellor (Research and Staff) will:
a) uphold the appeal and reinstate registration for a specified period
or
b) reject the appeal and confirm the decision to terminate registration. If so you will be informed, in general terms, of the reason(s) for rejecting the appeal.
If an appeal is upheld, the Pro-Vice-Chancellor (Research and Staff) may stipulate appropriate conditions.
The decision of the Pro-Vice-Chancellor (Research and Staff) is final.
2.16 The University will write to tell you the outcome of the second stage appeal, not later than five working days after the decision has been reached.
3.1 Appeals against registration for a particular degree are permitted only on the following grounds:
a) that there were circumstances affecting your academic progress of which the supervisors and sponsoring establishment were unaware
b) that there is evidence of procedural irregularity (including administrative error) in the monitoring and assessment of your progress, such as to suggest that, in the absence of such irregularity, the decision about degree registration would have been different
c) that there is evidence of unfair or improper assessment of your work.
You may not on any other grounds challenge the academic decision about your degree registration.
3.2 There are two stages to the procedure for appeals against registration for a particular research degree.
First stage appeal procedure
3.3 The first stage of the appeal process is conducted by the Chair of the Open University Research Degrees Committee.
3.4 First stage appeals against registration for a particular research degree must be submitted, in writing, to the University through the Higher Degrees Officer. You must state fully the grounds of your appeal.
3.5 You must submit your appeal to the University within one month of being notified of the decision about registration for a particular research degree.
3.6 The University will use recorded delivery for all correspondence relating to appeals, and you should do the same.
3.7 The Chair of the Open University Research Degrees Committee will consult the sponsoring establishment, supervisors and other appropriate people (e.g. the third-party monitor and/or other members of the academic staff who have had a role in your studies). Those consulted will be asked to submit comments in a form that can be made available to you if the appeal goes to the second stage.
3.8 You have no right of personal hearing at stage one.
3.9 The Chair of the Open University Research Degrees Committee will either:
a) uphold the appeal and change the degree registration
or
b) grant permission for the degree registration to be reconsidered once specified conditions have been fulfilled
or
c) reject the appeal and confirm the degree registration.
3.10 The University will write to tell you the outcome of the first stage appeal, not later than five working days after the decision has been reached.
Second stage appeal procedure
3.11 If you are not satisfied with the outcome of a first stage appeal to the Chair of the Open University Research Degrees Committee, you may ask for the appeal to go to stage two. The second stage of the appeal process is conducted by the Pro-Vice-Chancellor (Research and Staff).
3.12 To take your appeal to stage two you must write to the Complaints and Appeals Office, within one month of being notified of the outcome of the first stage appeal, to confirm that you want the appeal to proceed to the second stage.
3.13 You may, if you wish, be assisted in the second stage appeal process by a nominated friend, whose name you must give to the University in the letter to the Complaints and Appeals Office confirming that you want the appeal to go to the second stage.
3.14 In a second stage appeal you have the right to be heard in person and to be accompanied by your nominated friend. The Pro-Vice-Chancellor (Research and Staff) will sit with one or more appropriately qualified external assessors.
3.15 In the light of the advice provided by the external assessor(s), the Pro-Vice-Chancellor (Research and Staff) will:
a) uphold the appeal and change the degree registration
or
b) grant permission for the degree registration to be reconsidered once specified conditions have been fulfilled
or
c) reject the appeal and confirm the degree registration. If so you will be informed, in general terms, of the reason(s) for rejecting the appeal.
The decision of the Pro-Vice-Chancellor (Research and Staff) is final.
3.16 The University will write to tell you the outcome of the second stage appeal, not later than five working days after the decision has been reached.
4.1 Appeals against refusal of permission to submit a thesis are permitted only on the following grounds:
a) that there were circumstances affecting your academic performance of which the supervisors and sponsoring establishment were unaware
b) that there is evidence of procedural irregularity (including administrative error) in the assessment of your thesis, such as to suggest that, in the absence of such irregularity, the decision to refuse permission would not have been made
c) that there is evidence of unfair or improper assessment of the thesis.
You may not on any other grounds challenge the decision to refuse permission to submit a thesis for examination.
4.2 There are two stages to the procedure for appeals against refusal of permission to submit a thesis for examination.
First stage appeal procedure
4.3 The first stage of the appeal process is conducted by the Chair of the Open University Research Degrees Committee.
4.4 First stage appeals against refusal of permission to submit a thesis for examination must be submitted, in writing, to the University through the Higher Degrees Officer. You must state fully the grounds of your appeal and provide evidence of satisfactory academic progress or explain why satisfactory academic progress has not been achieved.
4.5 You must submit your appeal to the University within one month of being notified of the decision to refuse permission to submit your thesis for examination.
4.6 The University will use recorded delivery for all correspondence relating to appeals, and you should do the same.
4.7 The Chair of the Open University Research Degrees Committee will consult the sponsoring establishment, supervisor(s) and other appropriate people (e.g. the third-party monitor and/or other members of the academic staff who have had a role in your studies). Those consulted will be asked to submit comments in a form that can be made available to you if the appeal goes to the second stage.
4.8 You have no right of personal hearing at stage one.
4.9 The Chair of the Open University Research Degrees Committee will either:
a) uphold the appeal and grant permission for the thesis to be submitted for examination
or
b) grant permission for the thesis to be submitted for examination once appropriate revisions have been made
or
c) if you are registered for the degree of PhD, require the degree registration to be changed to allow the thesis to be submitted and examined for the degree of MPhil
or
d) reject the appeal and confirm the decision to refuse permission to submit the thesis for examination.
4.10 The University will write to tell you the outcome of the first stage appeal, not later than five working days after the decision has been reached.
Second stage appeal procedure
4.11 if you are not satisfied with the outcome of a first stage appeal to the Chair of the Open University Research Degrees Committee, you may ask for the appeal to go to stage two. The second stage of the appeal process is conducted by the Pro-Vice-Chancellor (Research and Staff).
4.12 To take your appeal to stage two you must write to the Complaints and Appeals Office, within one month of being notified of the outcome of the first stage appeal, to confirm that you want the appeal to proceed to the second stage.
4.13 You may, if you wish, be assisted in the second stage appeal process by a nominated friend, whose name you must give to the University in the letter to the Complaints and Appeals Office confirming that you want the appeal to go to the second stage.
4.14 In a second stage appeal you have the right to be heard in person and to be accompanied by your nominated friend. The Pro-Vice-Chancellor (Research and Staff) will sit with one or more appropriately qualified external assessors.
4.15 In the light of the advice provided by the external assessor(s), the Pro-Vice-Chancellor (Research and Staff) will:
a) uphold the appeal and grant permission for the thesis to be submitted for examination
or
b) grant permission for the thesis to be submitted for examination once appropriate revisions have been made
or
c) if you are registered for the degree of PhD, require the degree registration to be changed to allow the thesis to be submitted and examined for the degree of MPhil
or
d) reject the appeal and confirm the decision to refuse permission to submit the thesis for examination. If so you will be informed, in general terms, of the reason(s) for rejecting the appeal.
The decision of the Pro-Vice-Chancellor (Research and Staff) is final.
4.16 The University will write to tell you the outcome of the second stage appeal, not later than five working days after the decision has been reached.
5.1 Appeals against the outcome of an examination are permitted only on the following grounds:
a) that there are circumstances affecting your performance of which the examiners were not aware at the oral examination
b) that there is evidence of procedural irregularity (including administrative error) in the conduct of the examination, such as to suggest that, in the absence of such irregularity, the result would have been different
c) that there is evidence of unfair or improper assessment on the part of one or more of the examiners.
You may not on any other grounds challenge the academic judgement of the examiners.
5.2 There are two stages to the procedure for appeals against the result of an examination.
First stage appeal procedure
5.3 The first stage of the appeal process is conducted by the Chair of the Open University Research Degrees Committee.
5.4 First stage appeals against the result of an examination must be submitted, in writing, to the University through the Higher Degrees Officer. You must state fully the grounds of your appeal.
5.5 You must submit your appeal to the University within two months of being notified that your examination result has been ratified on behalf of the Open University Research Degrees Committee.
5.6 You may appeal against the result of an examination but, because there are procedures for complaint and grievance during study, alleged inadequacy of supervision or other arrangements during the period of study does not constitute grounds for an appeal.
5.7 The Chair of the Open University Research Degrees Committee will consult the examiners, the sponsoring establishment, supervisors and other appropriate people (e.g. the third-party monitor and/or other members of the academic staff who have had a role in your studies). Those consulted will be asked to submit comments in a form that can be made available to you if the appeal goes to the second stage.
5.8 You have no right of personal hearing at stage one.
5.9 The Chair of the Open University Research Degrees Committee will:
a) if policy has been breached refer the thesis for re-examination under the procedures set out in paragraphs 5.17-5.22 below
or
b) with the agreement of the examiners, uphold the appeal and change the result of the examination
or
c) reject the appeal and confirm the examination result.
5.10 The University will write to tell you the outcome of the first stage appeal, not later than five working days after the decision has been reached.
Second stage appeal procedure
5.11 If you are not satisfied with the outcome of a first stage appeal to the Chair of the Open University Research Degrees Committee, you may ask for the appeal to go to stage two. The second stage of the appeal process is conducted by the Pro-Vice-Chancellor (Research and Staff).
5.12 To take your appeal to stage two you must write to the Complaints and Appeals Office, within two months of being notified of the outcome of the first stage appeal, to confirm that you want the appeal to proceed to the second stage.
5.13 You may, if you wish, be assisted in the second stage appeal process by a nominated friend, whose name you must give to the University in the letter to the Complaints and Appeals Office confirming that you want the appeal to go to the second stage.
5.14 In a second stage appeal you have the right to be heard in person and to be accompanied by your nominated friend. The Pro-Vice-Chancellor (Research and Staff) will sit with one or more appropriately qualified external assessors.
5.15 On the basis of the advice provided by the external assessor(s), the Pro-Vice-Chancellor (Research and Staff) will:
a) with the agreement of the examiners, uphold the appeal and change the result of the examination
or
b) refer the thesis for re-examination under the procedure set out in paragraphs 5.17-5.22 below
or
c) give you permission to revise your thesis and resubmit it for examination, either for the degree for which it was originally submitted or for another research degree
or
d) reject the appeal and confirm the result of the examination. If so you will be informed, in general terms, of the reason(s) for rejecting the appeal.
The decision of the Pro-Vice-Chancellor (Research and Staff) is final.
5.16 The University will write to tell you the outcome of the second stage appeal, not later than five working days after the decision has been reached.
Re-examination of theses on appeal
5.17 Theses submitted for re-examination under 5.9 (a) or 5.15 (b) above will be examined by a panel consisting of an internal examiner (or an internal assessor) and two external examiners, none of whom may be members of the original examination panel.
5.18 You will have a viva voce (oral) examination, which your director of studies will be required to attend.
5.19 The examiners will be told that they are re-examining a thesis on appeal but will be given no information about the previous examination.
5.20 If you are permitted to have your thesis re-examined you are not permitted to make any amendments to it before the second examination. If appropriate, and to avoid unnecessary duplication of effort by examiners, an appendix of purely typographical errors may be attached to the thesis and submitted for re-examination.
5.21 If the result of the re-examination is less favourable to you than that of the first examination against which a successful appeal has been made, then the result of the original examination will stand.
5.22 If your thesis is referred for re-examination in accordance with either 5.9 (a) or 5.15 (b), or if you are granted permission to revise and resubmit your thesis for re-examination in accordance with 5.15 (c), the Pro-Vice-Chancellor (Research and Staff) determines the right of appeal against the result of the re-examination.
