Extenuating Circumstances Policy

Introduction

Purpose and Scope

1. Throughout their studies, students are required to complete and submit, or sit, a wide range of assessments. This will require students to balance their workload and use time-management skills to ensure that assessments are submitted to stated deadlines. However, Northeastern University London (the University) recognises that there may be serious adverse circumstances outside of a student’s control that prevent them from completing assessments.
2. The aim of the Extenuating Circumstances (EC) Policy is to:
   1. Make clear the serious adverse factors that the University will consider as Extenuating Circumstances and the process to be followed for submission.
   2. Ensure fair and equal treatment of all students when considering Extenuating Circumstances.
3. For the purposes of this Policy, all summative assessment elements for the following programmes are included:
   1. Undergraduate degree programmes
   2. Postgraduate degree programmes
   3. Work Related Learning degree programmes
   4. Mobility programmes
   5. Degree programmes delivered by collaborative partners

Definitions

4. The University defines Extenuating Circumstances as: “serious or significant circumstances which are unforeseen and beyond a student’s control and could significantly impair their academic performance in one or more assessed activities, possibly over a short period of time.”
5. For the purposes of this Policy, the term ‘students’ includes apprenticeship learners. 
6. This Policy does not apply to formative assessments.
7. For end-point assessment, considerations of an extension of any kind will be governed by the guidance and End-Point Assessment Plan as published by the Institute of Apprenticeships and Technical Education. If extensions are allowed, then learners will follow the respective EPA Plan guidance first, and/or this EC Policy if appropriate.

General Principles

8. Students are strongly encouraged to complete their assessments at the scheduled time or as close to the teaching as possible. Multiple extensions and deferrals can lead to long delays, which in turn negatively impact performance and are therefore not normally permitted.
9. The University can only accommodate requests for extensions to deadlines for written assignments. Oral presentations, where possible, are deferred and assessed as soon as possible within the sitting but may be deferred to the next sitting. Examinations are deferred to the next sitting. (please see paragraph 28.2.3 for further details regarding portfolio assessments)
10. Students are encouraged to seek support from Student Support and Development (SSD) or Academic Advisor (AA) and carefully consider whether it is in their best health and academic interests to submit an EC application. Learners on work related learning programmes should seek support from their designated Success Manager (SM) in the first instance.
11. Students who encounter circumstances that adversely affect their attendance or engagement for a period in excess of 21 days should discuss this with Student Support and Development (SSD). Learners on work related learning programmes should seek support from their Success Manager (SM). It may be in the student’s interests to take a break in studies until such time as they have been able to resolve the circumstances in question.
12. Students with permanent or long-term conditions that impact their ability to study, including students with variable conditions, should contact SSD in order to receive a Learning Support Plan (LSP) which will set out the support and reasonable adjustments available to them, which may include extended deadlines. Such students will not be eligible for Extenuating Circumstances as a result of their condition unless they suffer a significant acute episode which may then fall under the criteria for Extenuating Circumstances.
13. Students who have a Learning Support Plan that permits extensions for assessments are normally expected to make use of this facility in the first instance when their disability/condition impacts on their studies.
14. Students making extensive use of this policy may be recommended to speak with SSD regarding whether a break in study may be more beneficial than multiple extensions/deferrals.

The ‘Fit to Study’ Principle

15. The University operates a ‘fit to study’ approach to Extenuating Circumstances. This means that all students who submit an assessment are, by doing so, declaring themselves fit to be assessed. 
16. In the event that a student submits an assessment but in retrospect believes that they were too unwell at the time to have effectively judged their fitness, they should claim through the Academic Appeals Policy and Procedures, providing evidence to support their claim that they had extenuating circumstances but were unable to determine their fitness to study at the relevant time.

Timing of an EC Application

17. Students are expected to take responsibility for managing their own course workload and assessment deadlines. Students are also expected to take reasonable steps to manage their mental and physical wellbeing and to seek support promptly if they encounter issues. Therefore, the expectation is that students will normally be able to identify barriers/issues when they arise and will submit an EC application in advance of an assessment deadline or examination (see paragraphs 21 and 28 below).

Confidentiality and Data Protection

18. When the Extenuating Circumstances Panel (ECP) is consulted, Registry/Business Relations Manager (BRM) will redact or non-disclose personal information that could identify the student. Registry/BRM will ensure that applications and evidence are handled confidentially, securely and in keeping with relevant data protection legislation.
19. The University reserves the right to escalate concerns in line with their duty of care. See the Student Confidentiality Statement for additional information.
20. The University will respect the confidentiality of information supplied by a student in support of an application for Extenuating Circumstances. By submitting an Extenuating Circumstances Application Form and supporting evidence, the student agrees to the University holding their personal data for the purposes of processing an Extenuating Circumstances claim. The University will hold this data in accordance with their notifications under the relevant data protection legislation and the University’s Data Protection Policy.

Ineligible Extenuating Circumstances

21. Applications must be made within the 21 days preceding the submission deadline or examination. Applications made more than 21 days in advance of the submission deadline or examination will not be considered.
22. Extenuating Circumstances do not encompass normal life challenges that individuals are expected to deal with routinely. Students are advised to carefully consider whether their situation is covered in this policy before making an application. The following incidences will not be considered as valid for submission under this Policy:
    1. Minor illnesses such as colds, sprains, etc;
    2. The downtime of University computer networks or Canvas (except for extended periods of time) and problems with personal IT equipment.
    3. Loss of computer or computer data (data should be backed-up) or not having the correct software installed on device.
    4. Poor work practices, e.g., unintentional submission of incorrect assessments, misreading of deadlines.
    5. Accommodation and travel problems.
    6. Personal/part-time job commitments¹.
    7. Personal holidays, social or family events.
    8. Peaks in assessment work demands.
    9. Religious festivals: these are known in advance and students should build in any associated commitments to their assessment planning for all assessments except examinations.
    10. Financial difficulties.
    11. Complaints against staff or in relation to programme delivery. These are managed through the University’s Complaints Procedure for Students.
    12. Students should plan their work so that they can accommodate the disruption of minor illness and fluctuations in mood and motivation.
23. A second EC application cannot be normally made for an assessment element that has already received an approved deferral or extension through the EC Policy, unless in the case of an extension, there is a new significant unforeseen circumstance.

Procedure

24. Extenuating Circumstances Application Forms must be completed fully, including the student’s preference for a deferred assessment element or an extension.
25. Students must provide evidence to support their claim at the time of submission of the form. Evidence submitted at a later point will not normally be considered by the ECP. Where a student is unable to obtain evidence for good reason, they must include this explanation in their EC application form.  Annex A provides further details of the type of evidence required based on the reason. 
26. All applications will be considered by Extenuating Circumstances Panel (ECP), following the guidelines outlined in Annex A. The Panel will be able to exercise its professional judgment where applications fall slightly outside of the guidelines outlined in the Annex.
27. Where a student is unable to attend an in-person assessment due to an ongoing student procedure, the Registrar will write a letter to the EC panel for record. The student will not be required to submit an EC application.

Making an Application

28. Students should submit an Extenuating Circumstances Application Form and supporting evidence to the Success Manager (for work related learning programmes) or Student Assessments (for all other programmes) within the 21 days preceding the submission deadline or exam date indicating their preference for either a deferred assessment element or an extension.
    1. Deferred assessment element: a deferral is when the student is permitted to take the assessment at the next available opportunity without any additional penalty, such as a capped final mark. The next opportunity is usually during the retake period where students who have deferred their first attempt at the assessment will take it as a first attempt and not as a referred assessment retake.
    2. Extension: an extension is when a student is permitted to submit their assessment (written assignment) normally seven days after the published deadline. This is the new deadline for submission. Any lateness of this submission will be subject to the Late Submission Penalties as defined in AQF7: Academic Regulations, Part C: Assessment Regulations:
       1. The date of the extension will be seven calendar days from the original deadline for all approved EC applications submitted on or before the published deadline:
          • Where a student has already submitted their EC application and is awaiting the outcome, they may submit their assessment in the two day late period when the submission window on Canvas is open. If the EC is accepted the normal late penalty will not be applied, but if the EC is rejected the penalty will remain. After the two day late window the submission portal will normally be closed and will only be reopened for a student if their EC application for an extension is approved. At that point a student may submit a further version(s) of the assessment until the new deadline date. Students submitting the assessment prior to the deadline are declaring themselves Fit to Study and their EC application will not be considered;
          • Where the timing of the next EC Panel meeting results in a student being notified that their EC has been approved on the day of the new deadline, students will be provided with a further extension of 24 hours to the deadline to permit them a reasonable window for submission.
       2. The date of the extension will be seven days from the date of the meeting of the EC Panel for approved retrospective EC applications;
       3. For staggered portfolios, written assessments and lab reports are given a seven day extension and for quizzes a deferral will be granted but it will normally be rescheduled to within the same sitting. In order to support students to progress on their programme, students have the opportunity to apply for only one deferral per assessment element. Students can request a maximum of two consecutive extensions per assessment element but only where all eligibility requirements have been met (see Ineligible Extenuating Circumstances).
29. Retrospective applications
    1. Where, for good reason, students are unable to submit their EC application before the submission deadline or examination date, they are permitted to submit an EC application with additional supporting evidence indicating the reason(s) they were unable to submit before the deadline. This will be classed as a retrospective application and must be submitted no later than seven calendar days after the date of the submission deadline or examination date. 
    2. In exceptional circumstances EC applications may be accepted for consideration more than seven days after the deadline or examination, where the student is able to provide compelling evidence that they could not have applied at an earlier point.
    3. EC Applications cannot be accepted or considered for assessments for courses once they have been reviewed by a Progress and Award Board (PAB). After a PAB students should utilise the Academic Appeals Policy and Procedures to raise any extenuating circumstance which they could not have raised at an earlier point.

Evidence

30. A claim for Extenuating Circumstances must meet the University’s published criteria and normally be accompanied by valid evidence, showing the impact of the circumstances on the student’s ability to sit or complete a particular assessment (as stated in Annex A).
31. Students are encouraged to speak to SSD/SM/AA for advice on whether their circumstances meet the stated criteria and on how to make an effective application. Supporting evidence should clearly provide the date(s) of the circumstance and refer directly to how the extenuating circumstances affected the student’s ability to complete or sit assessments.
32. A statement from a parent/guardian/spouse/partner will not be accepted as evidence. 
33. Where a student has been receiving regular, support from SSD for a long-term mental health or medical condition and the student cannot obtain a doctor’s appointment in good time, a statement can be obtained from SSD, confirming the student’s engagement with the service during the relevant period, for an occurrence of an acute episode of their condition. This SSD statement will be considered acceptable evidence for the purposes of an EC application. SSD cannot provide a statement for students who are newly accessing services or who have not been in regular contact with the service.
34. The student must present all evidence in English. Where, for example, an overseas student is taken ill in their home country and corroborating evidence is provided in the language of that country, then it should be accompanied by a translation, certified officially as being accurate e.g., by a Public Notary or by a member of staff who is fluent in that language.
35. It is the responsibility of the student to ensure that all supporting evidence is submitted with the application form, otherwise the application might not be reviewed by the Extenuating Circumstances Panel (ECP) and can be rejected. Where evidence cannot be obtained for a compelling reason, students must provide an explanation in their application as to why it was not possible for them to obtain evidence.

Extenuating Circumstances Panel

36. The Extenuating Circumstances Panel (ECP) will normally meet on a weekly basis, but may meet more frequently should the Panel feel this is necessary.
37. Registry will convene the ECP meetings.
38. The ECP members will consist of:
    1. Head of Registry [Chair].
    2. A member of Registry [Secretary].
    3. One member of faculty from the Extenuating Circumstances standing ECP.
    4. For work related learner EC applications, the Director of Business and Partnership Development & Apprenticeships, or nominee.
    5. For Collaborative Partner EC applications, a member of the collaborative partner programme team.
39. The information considered by the ECP will be anonymised so as to ensure fair and equitable treatment for all students. 
40. The Student Wellbeing Coordinator (SWC)/Business Relations Manager (BRM) or nominee will be present during the ECP, to provide specialist advice to the Panel should this be requested. The SWC/BRM will NOT be involved with the decision-making aspect of the ECP.
41. A decision will be based on at least two of the ECP members being in agreement with one being the faculty member.
42. Registry will provide regulatory guidance to ECP on the discharge of their functions. The ECP will make a judgment on whether the circumstances raised by the students would have impacted on their ability to undertake the assessment at the relevant time. In considering submissions, ECP decisions will be guided by:
    1. Whether the circumstances align with Annex A.
    2. The adequacy of the documentary evidence provided, or the explanation given for their being no evidence, and whether it aligns with the requirements of Annex A.

Extenuating Circumstances Panel Outcomes

43. The ECP’s decision will be entirely based on the application submitted by the student. An ECP cannot endorse Extenuating Circumstances where no evidence has been submitted without an explanation. Decision on an outcome can be ‘pending’ where exceptional events mean delay in obtaining evidence e.g., death of a family member.
44. Where they deem it necessary, the ECP may exceptionally require the student to submit further evidence. However, ECPs will not interview students as part of the decision-making process.
45. Where an ECP accepts the extenuating circumstances as valid, then the ECP will award a deferred assessment or an extension.
46. Where an ECP does not accept that the extenuating circumstances are valid, then the ECP will not award a deferred assessment, or an extension and the assessment and course outcome will be determined in accordance with AQF7 Part C Assessment Regulations.
47. Registry/BRM will record the decision of the ECP and inform the student of the outcome. For collaborative partner students, the BRM will inform the collaborative partner programme team of the outcome, who in turn will inform their student of the outcome. 
48. The decision of the ECP will be conveyed to each student at the earliest opportunity and within three days of the ECP held to consider the EC application. Where an EC has been rejected, they will be informed about the appeal procedure.
49. If the application is approved by the ECP, the student’s assessment submitted within the new extended deadline or deferral date will be marked in accordance with the normal regulations. If the request is not approved and the submission deadline is missed, the Late Penalties Policy will be implemented (see AQF7 Part C Assessment Regulations).
50. Students with approved ECs who do not submit their written assignment within the extended deadline, and have no further approved extenuating circumstances, will be deemed to have failed that assessment element and the mark recorded will be 0%.

Delegation of Authority

51. The ECP has delegated authority from the Progression and Award Board (PAB/PAB (WRL)) and ultimately from Academic Board to determine the outcome to award a deferral or an extension for all summative course assessment elements. The decisions of an ECP are reported to the relevant PAB/PAB (WRL).

Appeals

52. This section applies to student appeals against the decision of an Extenuating Circumstances Panel (ECP).
53. Students are expected to submit an appeal in a responsible manner. Where the University receives a frivolous or vexatious appeal, the matter will be referred under the Disciplinary Procedure for Students.
54. Students may seek support from Student Support and Development (SSD) when writing an appeal. An appeal can only be lodged by the student and cannot be made by a third party, other than in circumstances where, at the time allowed for the appeal to be lodged, the student is suffering from such physical or mental incapacity as to prevent the student acting for themselves.

Procedure

55. A student may make an appeal against a decision of the ECP by completing an Appeal Form for Students and submitting it together with supporting evidence to Registry, within 14 days of the outcome of the ECP being conveyed to the student, where:
    1. There has been a significant procedural flaw or irregularity that compromised the fairness of the process.
    2. New material evidence (which must be supported by explanation of why it is being submitted at this late stage).
    3. There is a bias or reasonable perception of bias during the procedure.
    4. An outcome, decision and/or penalty, being unreasonable or disproportionate.
56. The standard of proof in appeals is on the ‘balance of probabilities’ rather than ‘beyond reasonable doubt’.
57. In making an appeal, the burden of proof is on the student to show that one of the matters listed above applies.
58. The Academic Registrar shall assess whether there are valid grounds for an appeal within seven days. 
59. If the student making the appeal is registered on an undergraduate double degree, a designate from the Office of the Provost will be included in the appeal review. 
60. The Academic Registrar, on the basis of evidence, may either:
    1. Uphold the appeal in which case the Academic Registrar will reconsider the case on the basis of the original EC submission and the content of the appeal. The Academic Registrar may then decide to retain or amend the decision of the ECP.
    2. Inform the student that there are no grounds for an appeal and reject it.
61. The decision of the Academic Registrar is final and no further appeal to the University may be permitted. Registry will provide the Student Regulatory Resolution Office (SRRO) with the completed paperwork and the SRRO will notify the student that the internal appeals procedures have been completed and will issue a Completion of Procedures (COP) letter. The letter will draw the student’s attention to the Office of the Independent Adjudicator, to whom any final appeal can be made.

Office of the Independent Adjudicator

62. At the end of the procedure, the complainant will receive a Completion of Procedures letter. At this point if the student remains dissatisfied, they have the right to refer the decision to the OIA, within 12 months of the date of the Completion of Procedures letter. Details are available here.
63. The Office of the Independent Adjudicator (OIA) is an independent body set up as a result of the Higher Education Act 2004 to run a student complaints scheme. Membership of the OIA is a requirement of the Higher Education and Research Act 2017 and the Office for Students.

Reporting, Monitoring, and Reviewing

64. A report with statistical information relating to Extenuating Circumstances will be presented to Academic Board on an annual basis.
65. Academic Board will review the policy and procedures for their effectiveness.

Version History

Annex A: Extenuating Circumstances and Valid Evidence

Footnotes

1. Unforeseen circumstances relating to work commitments for Learners on work related learning degree apprenticeship programmes are eligible criteria for extenuating circumstances.
2.  The valid circumstance must have occurred within the 21 days preceding the submission deadline or date of examination.
3.  A close relative is defined as someone from the student’s immediate family (grandparent, parent, sibling or spouse), or a member of the family with whom the student has lived. 
4.  This does not include pets.