teaching quality manual

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Teaching Quality Manual2010/11For Undergraduate and Taught Postgraduate Programmes

(including taught elements of research programmes, including MRes, DNursSci, EngD)

Edition 15.5

Revised February 2011


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DISCLAIMER

The University is in the process of revising its academic infrastructure movingtowards a College-based system. During the 2010/11 session, while Schools andColleges enjoy equal status as the main academic units of the University, all

references to Colleges outlined in the Teaching Quality Manual shall also apply toSchools. (Similarly, references to Colleges should also apply to the Department ofAdult Continuing Education).

This edition of the Manual reflects the changed regulatory structures for qualityassurance as approved by Senate in December 2010. It supersedes all previousversions of the Teaching Quality Manual, including that published in October 2010.

Accordingly, while every reasonable effort is made to ensure that the informationprovided in this Manual is true and accurate upon publishing, no guarantees for thecurrency or accuracy of the information are made and Swansea University acceptsno liability whatsoever for any loss, damage or inconvenience caused as a result ofreliance on such information.


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PREFACE

Swansea Universitys Teaching Quality Manual outlines the strategic direction forlearning and teaching, and the quality infrastructure that underpins the assurance ofstandards and enhancement of quality.

With the confidence expressed in University procedures through the 2008 QAAInstitutional Review, and in response to the expectations of external funding andquality assurance bodies, the University is placing an increasing emphasis on qualityenhancement. This is embodied in the establishment of the Swansea Academy ofLearning and Teaching (SALT), which is pursuing a programme of enhancement-ledactivities.

The University shall shortly introduce a new engagement approach withColleges/Schools which has at its core the guiding principles of the enhancement ofthe student experience and the promotion of a more collaborative approach withColleges/Schools in achieving this objective. Allied to this, a new risk basedapproach is currently being developed with provision for the undertaking of aCollege/School cause for concern audit where necessary. Prior thematic reviewshave been renamed Enhancement Reviews and are more closely aligned with theUniversitys key enhancement themes which guide the promotion of high qualitylearning, teaching and student support.

The University retains a firm commitment to ensuring that procedures for annualprogramme monitoring, responding to student feedback (including module reviews,and National Student Survey results) and undertaking periodic programme review,

ensure that programmes are assessed with appropriate rigour.

In 2011 the QAA are consulting on changes to its Academic Infrastructure withproposals to create a single Code of Practice (the currently proposed terminology),in which different elements would be embedded, such as benchmark statements andthe credit and qualifications framework. Elements of this infrastructure are subject toregular revision and we will evaluate our policies and procedures against theserevisions to ensure that they continue to reflect best practice. We will also continueto use a wide range of external information and best practice in benchmarking ourown performance.

We remain confident that the broad principles which underline our Learning,Teaching and Assessment Strategy are consistent with the QAA Code of Practice. Auseful chart summarising the key objectives of the Learning, Teaching andAssessment Strategy is provided in Section 1.2. Note that there are various sub-strategies which support the delivery of learning and teaching at Swansea, includingthe e-Learning Strategy, Skills and Employability Strategy, Information SkillsStrategy, and Quality Enhancement Strategy.

During 2010, following the establishment of Colleges, the quality infrastructure andrelated procedures contained in this Manual were revised. The significant elementsof these changes include:


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The devolution of authority for approval of new modules and major changes tomodules to Colleges.

Colleges are now responsible for ensuring that all necessary internalapprovals and documentation has been completed prior to the validation ofnew, or revalidation of existing, programmes. Validations will be undertaken

by Panels of the new Academic Boards. The approval of external examiner nominations by Academic Boards (special

cases to be approved by the Regulations, Quality and Standards Committee).

Professional body reports and College responses/action plans are to beconsidered by the Regulations, Quality and Standards Committee.

The proposed return to two deadlines for submission of external examinersreports according to whether they are undergraduate (July) or taughtpostgraduate (December 15th).

Alongside changes to the quality infrastructure, new or substantially amendedsections of this Manual for 2010/11 include:

The introduction of the revised Assessment Policy;

Related developments on feedback on examinations, guidance on contacthours and assessment loading in the development of modules;

Procedures for the introduction of new award nomenclature;

Updated proformas for student placements/study abroad;

Mandatory feedback on examinations;

Clarification that external examiners must not second mark work, includingdissertations;

Policy on how to address illegible examination scripts;

Confirmation that action points identified during periodic review/professionalbody reviews must be included in the AMMP proformas, and progresstowards those actions must be discussed;

The proposed development of generic module feedback forms;

The development of a risk based approach to reviewing key academic qualityindicators at subject level and, where necessary instigating a process ofschool engagement, or cause for concern audit, where necessary;

Policy on recording of lectures.

Following the establishment of Colleges, the University will be moving towards a

more collaborative approach to facilitate the embedding of university policy and theidentification and dissemination of good practice. Staff of the Academic Registry,ISS, Staff Development Unit and SALT are committed to providing high qualityprofessional support to colleagues in Schools in interpreting and implementing thepolicies and procedures contained within this Manual. It is proposed to introduce thisapproach of collaborative school engagement during the 2010/11 session.

I very much hope that this manual will assist you in supporting and enhancing a highquality student experience at Swansea.

Professor Alan Speight

Pro Vice-Chancellor (Student Experience and Academic Quality Enhancement)

January 2011


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CONTENTS

Section 1: Infrastructure for Academic Quality and Standards ........................... 11.1 Purpose of this Manual .................................................................................... 11.2 Strategic Directions Supporting Learning, Teaching and Assessment ............ 2

1.3 Quality Assurance Committee Structures ........................................................ 51.4 Summary of Quality Assurance Procedures .................................................. 10

Section 2: Introducing Programmes of Study and Establishing Partnerships . 112.1 Introduction .................................................................................................... 112.2 Procedures for the Approval and Validation of New Programmes of Study ... 122.3 Procedures for Collaborative Provision Activities .......................................... 212.4 Due Diligence and External Review of Collaborative Partners ...................... 272.5 Management of Collaborative Arrangements ................................................ 302.6 Introducing New Award Nomenclature .......................................................... 352.7 Guidelines on Placement Learning ................................................................ 36

Section 3: Modifying and Concluding Programmes of Study ............................ 433.1 Introduction .................................................................................................... 433.2 Procedures for Making Changes to Programmes of Study ............................ 433.3 Procedures for Programmes which are to be Discontinued or Suspended ... 483.4 Changes in Programme Administration ......................................................... 503.5 Procedures for Approving and Changing Modules ........................................ 513.6 Guidelines on Contact Hours ......................................................................... 543.7 Assessment Tariff Guidelines ........................................................................ 56

Section 4: Assessment and Award of Qualifications .......................................... 574.1 General Information ....................................................................................... 574.2 Policy on Assessment ................................................................................... 584.3 Feedback on Examinations ........................................................................... 594.4 Policy on Electronic Submission of Assessed Work ...................................... 604.5 Policy on Retention of Assessed Work .......................................................... 604.6 Use of Turnitin Plagiarism Detection Software .............................................. 644.7 Policy on Anonymous Marking ...................................................................... 674.8 Policy on Double Marking .............................................................................. 684.9 Policy on the Submission of Illegible Examination Scripts ............................. 734.10 Guidelines on Assessment Other than the Language of Tuition .................... 73

4.11 Adjustments in Teaching, Learning and Assessment Processesfor Students with Special Circumstances ...................................................... 75

4.12 Regulations for External Examining of Taught Programmes ......................... 764.13 Administrative Matters in Nominating/Appointing External Examiners .......... 82

Section 5: Monitoring Programmes ...................................................................... 855.1 Introduction .................................................................................................... 855.2 Procedure for Annual Monitoring of Modules and Programmes (AMMP0) .... 855.3 Policy on Student Feedback .......................................................................... 995.4 External Examiners Reports ....................................................................... 102

Section 6: Maintaining Standards and Enhancing Quality ............................... 1096.1 Overview ..................................................................................................... 109


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6.2 Procedure for Periodic Programme Review ................................................ 1106.3 Professional Body Reports .......................................................................... 1206.4 Academic Quality Indicators Review ........................................................... 1236.5 External Input into Programme Design, Approval Monitoring and Review .. 1246.6 Enhancement Reviews ................................................................................ 124

Section 7: Delivering Programmes Support for Learning and Teaching ..... 1297.1 Introduction .................................................................................................. 1297.2 Management of Programmes ...................................................................... 1297.3 Monitoring Academic Progress .................................................................... 1307.4 Attendance Policy ........................................................................................ 1317.5 Administrative Changes ............................................................................... 1317.6 Pastoral Care ............................................................................................... 1327.7 Policy on Recording Lectures ...................................................................... 1347.8 Policy on Supervision of Postgraduate Taught Masters Students

Taught Masters Dissertations ................................................................... 138

7.9 Policy on Learning and Professional Development ..................................... 1417.10 Information for Students .............................................................................. 1447.11 Support from Information Services and Systems ......................................... 1447.11 Embedding Employability Issues ................................................................. 1477.12 Support for Academic Staff Development .................................................... 150

Section 8: Other University Publications and Documents ............................... 153

Appendices:

Appendix 1: Programme Approval and Validation - Flow Chart

Appendix 2: Approval of Facilitation Agreements - Flow ChartAppendix 3: List of award nomenclature

Appendix 4: Suspending or terminating programmes Flow Chart

Appendix 5: Nomination of an External Examiner (for all Taught Programmes) -Flow Chart

Appendix 6: An Outline of the Links between AMMP, Periodic Review and SchoolAudit Flow Chart

Appendix 7: Quality Procedures for Dealing with External Examiners Reports Flow Chart

Appendix 8: Process for Dealing with Professional Bodies Reports Flow Chart

Appendix 9: Record of Supervision

Appendix 10: CEIG / LEAP Policies: The Careers Service

Appendix 11: CEIG Outcomes

Appendix 12: Peer Observation of Review of Teaching

Appendix 13: Timetable for Monitoring/Review Events

Appendix 14: Web Links to Guidance and Proformas on the Intranet


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SECTION 1: INFRASTRUCTURE FOR ACADEMIC QUALITYAND STANDARDS

1.1 PURPOSE OF THIS MANUAL

The Teaching Quality Manual primarily outlines the quality control, assurance andenhancement mechanisms in place to assure the quality and standards of teaching,learning and the student experience and that underpin the Learning, Teaching andAssessment Strategy.

This Manual covers the design and approval of new programmes of study, whatchanges are permitted and the procedures for suspending or terminating aprogramme. There are also sections covering how the quality of teaching andacademic standards are monitored on an annual basis and reviewed more rigorouslyby internal and external methods. There is a section which provides an overview ofthe University's policies on assessment, (details of the regulations and proceduresconcerning assessment may be found in the universitys on-lineAcademic Guide). Atimetable outlining the main monitoring and review events may be found inAppendix13.

External policy developments continue to have a significant impact on the policiesand procedures contained in this Manual. The QAA has recently concluded a majorreview of the academic infrastructure - the Code of Practice, ProgrammeSpecifications, Framework for Higher Education Qualifications and HE ProgressFiles and there is a consultation on proposed changes in early 2011. The Manualwill continue to be reviewed and, where necessary updated, as the revised sectionsof the Code of Practice are published and where there are any further changes to theother components of the academic infrastructure.

In 2004, the document Higher Education in Wales: Credit Specification andGuidance was issued and provides clear advice on the use of levels and of leveldescriptors in a modular environment. The section of this manual relating toApproving and Changing modules Section 3.5 (and also related sections of the on-lineAcademic Guide) has consequently been revised in light of this guidancedocument.

All award regulations have been revised with reference to both the QAAs

Framework for Higher Education Qualifications and the JQI Dublin Descriptors whichhave been adopted in the European Qualifications Framework. The QAA hasrecently undertaken a self-verification to compare the European framework andthose adopted in England Wales and Northern Ireland. Guidance notes fordeveloping new programmes refer to these external reference points.

This continual monitoring of external developments and their impacts on Swanseasprocedures ensures that our quality assurance mechanisms are robust, take accountof the QAAs Code of Practice and have proved to be fit for purpose following the2008 Institutional Review. We are mindful that there are continual enhancements toHE policies and procedures internally and externally and therefore keep these

procedures under review.

The University's ability to demonstrate the robustness of these procedures dependson a critical resource: our staff. Colleagues responsible for managing and providing


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support for taught programmes should therefore ensure that they are aware of theprocedures and apply them consistently.

1.2 STRATEGIC DIRECTIONS SUPPORTING LEARNING, TEACHING ANDASSESSMENT

1.2.1 Learning, Teaching and Assessment Strategy

The Universitys mission, as outlined in its Strategic Plan is to deliver an outstandingstudent experience, with teaching of the highest quality, which produces graduatesequipped for distinguished personal and professional achievement.

The Learning, Teaching and Assessment Strategy provides the framework to assureand enhance the quality and standards of its teaching, learning and assessmentpractices and the student learning experience.

The Learning, Teaching and Assessment Strategy was first developed in 1999(known as a Learning and Teaching Strategy) and involved eleven principles. Thepresent Strategy groups the original principles into 5 key aims and consequentlymakes assessment explicit, hence the revision to the Strategys name. These aimsand some of the more specific objectives have been summarised in the followingchart. The full version of the Strategy, including more detailed objectives is availablefrom the Quality Office or on the Academic Registrys website(http://www.swansea.ac.uk/registry/A-ZGuide/L/).

During 2010/11 there shall be a major review of the strategy and a new onepresented to HEFCW for implementation covering the period 2011-2014.

1.2.2 Sub-strategies Underpinning Learning, Teaching and Assessment

Underpinning the learning, teaching and assessment strategy are a number of inter-related strategies which include the:

e-learning strategy

quality enhancement strategy

skills and employability strategy

widening access strategy

information literacy strategy human resource strategy

These help to guide overarching priorities for 2010/11 including:

Implementing the recommendations of the First year student experienceenhancement review;

Implementing the new assessment policy ;

Implementing the skills and employability strategy;

Teaching and learning in large groups;

International Student Experience;

Conducting an enhancement review of support for Disabled Students (withreference to the QAA Code of Practice). This will include introduction of thespecific policy for alternative assessments for disabled students.
http://www.swansea.ac.uk/registry/A-ZGuide/L/http://www.swansea.ac.uk/registry/A-ZGuide/L/http://www.swansea.ac.uk/registry/A-ZGuide/L/http://www.swansea.ac.uk/registry/A-ZGuide/L/


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In 2009, the Swansea Academy for Learning and Teaching was launched. Actinginitially as a virtual Centre, the SALT seeks to support the dissemination of goodpractice and the enhancement of learning and teaching and is instrumental indisseminating enhancements and good practice arising from the above priorities andother key objectives of the learning, teaching and assessment strategies.

1.2.3 Distance and E-learning

Swansea University offers a limited amount of its provision via distance learning.There are a small number of modules and programmes taught through video-conferencing and the University is in the process of developing e-learning provisionto be delivered remotely.

The University recognises and emphasises that students studying remotely have theright to a student experience that is comparable to that of traditional campus based

students.

Colleges should ensure that the student experience is comparable with regard to

The provision of programme and/or module information

The level and availability of academic and personal support

The provision of study materials

Assessment including examinations (noting the requirement that examinationstake place on campus)

Opportunities for student feedback and inter-learner discussion

All distance learning courses are treated on an equitable basis with regard to theassurance and enhancement of academic quality. All provision is subject to thestandard procedures for approval, validation, annual monitoring and periodic review.In addition programme or module leaders need to ensure that the delivery system inplace is fit for purpose and reliable and that there are contingency plans in place inthe event of a failure of the system.

All staff involved in developing distance learning are encouraged to seek relevanttraining from the Staff Development Unit.


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A Summary of the Universitys Learning, Teaching and Assessment Strategy

AIM 1: Improved LearningExperience AIM 2 : Supporting TeachingStaff AIM 3 : Enhancing Quality andMaintaining Standards AIM 4 : PromotingEmployability AIM 5 : Valid and FairAssessment

Objectives1. Ensuring appropriateness

of learning, teaching andassessment methods

2. Improving LearningEnvironment and SupportServices

3. Providing Equality ofOpportunity (to address

Widening Access studentneeds)

1. To support and recogniseteaching excellence

2. To communicate issuesaffecting teaching andlearning, in particularquality assurance issues

1. Ensuring that internalquality procedures arecommunicated and up-to-date

2. To identify anddisseminate best practice,esp. teaching and learninginnovations

3. Reviewing performance

1. Embedding Key Skills andEmployability withincurriculum

2. Helping to develop Collegeemployability policies

3. Promoting workexperience

4. Developing student

autonomy throughcontinuous professionaldevelopment

1. Ensure that assessmentapproaches areappropriate, fair and valid,reflecting learning andteaching methods, and areclearly stated for thebenefit of students, staffand external examiners.

How the Objectives will be achieved?1. Further implementation of

the Peer AssistantStudent Support (PASS)programme

2. Enhancement review ofstudents with disabilities.

3. Enhancement themes ofteaching and learning inlarge groups andinternational studentexperience

4. Continued Review ofstudent experience in light

of campus expansionplans.

5. Increasing the range ofWelsh-medium provisionin a targeted list ofsubjects

1. Distinguished TeachingAwards to reward staffexcellence.

2. Learning Technologists toassist in transfer ofacademic material toBlackboard platform and inpromoting distance/e-learning.

3. Swansea Academy ofLearning and Teaching tocontinue to support thedissemination and

adoption of practice4. Critically review

opportunities for improvedengagement with the HEAcademy

5. Continued delivery ofSALT newsletter

6. Continued StaffDevelopment sessions,incl HEA recognition forcourse for new staff

1. Implement a newapproach of Collegeengagement

2. Annual review ofacademic qualityindicators and provision ofsoftware to supportannual monitoring andperiodic programmereview.

3. Cross-faculty approachfor reviewing AMMP andNSS responses.

4. Continued implementationof periodic programmereview

5. Disseminate goodpractice in learning andteaching via SALT webpages and also annualL&T event

6. Dissemination of bestpractice from e-learningtargets

1. Implementation of the newSkills Strategy, includingSkills Award.

2. Re-launch PebblePad asmeans of supporting PDPactivity.

3. Continue to implement anInformation LiteracyStrategy.

4. Implement enhancementtheme of employability

5. Provide training forresearch students on

research skills andmethods.

1. Support Colleges inrevising their assessmentpolicy in light of newinstitutional policy.

2. Implementing policy onalternative assessmentsfor disabled students


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1.3 QUALITY ASSURANCE COMMITTEE STRUCTURES

1.3.1 Introduction

The Universitys Committee Structure was stream-lined in the 2004/05 session to

increase efficiency and transparency and to ensure it supported the University inmeeting the objectives laid down in the Universitys mission statement and StrategicPlan. With the formation of six academic Colleges from ten academic Colleges, itwas considered that the Faculty structure which was in place would be inappropriatein an academic environment which would mean that Colleges would be co-terminuswith Faculties. This would question the independence of a Faculty in the discharge ofits academic decision making and in the need for impartiality. Consequently, theUniversity embarked upon a consultation process in 2010 to consider replacing theexisting Faculties with a structure which would ensure independence andimpartiality, whilst allowing Colleges to function with a greater element of autonomy.

The main recommendations and comment arising from the consultation were as

follows:

to remove unnecessary duplication of work

to delegate certain functions which have previously been undertaken byFaculties, to Colleges

to ensure that the University continues to be able to discharge itsresponsibility in safeguarding the standards of its awards through efficientcentral quality management systems

The revision to the quality structure of the University prompted a review of theUniversitys academic and quality procedures, regulations, committee structures(including terms of reference) and reporting lines. This is reflected in the remainingrevised sections to this version of the Quality Manual.

The following infrastructure for academic quality is therefore the result of theapprovals made by Senate and Council to changes to the committee and Facultystructures. While overall responsibility for academic quality lies with Council and withSenate, the following infrastructure describes the way in which this responsibility hasbeen delegated to University committees and sub-committees. The CommitteeMembership and Terms of Reference documents are updated and published on theUniversitys website and on the Intranet regularly throughout the year. At the start of

each academic session all University committees review their terms of reference,constitutions and membership and make recommendations for changes to the bodyto which they report. The Nominations Committee, following a review of its remit in

J une 2007, oversees membership of the Universitys Council and CouncilCommittees and conducts periodic and high-level reviews of the terms of reference,constitutions and membership of all University committees to ensure they remain fitfor purpose and operate effectively.

1.3.2 Regulations, Quality and Standards Committee

The Regulations, Quality and Standards Committee is responsible for the

consideration of detailed academic issues in particular affecting the academicregulations of the University and the assessment rules. It is one the mainCommittees of Senate and receives reports from the Academic Boards to which


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Colleges report. It may also advise the Learning and Teaching Committee,Collaborative Provision Committee and Use of Welsh Committee.

The Regulations, Quality and Standards Committee is now the principal committeeof the University charged with the task of assuring and controlling academic quality

(previously this responsibility was that of the Learning and Teaching Committee).

The Committee takes an institutional oversight of matters arising from externalexaminers reports and considers in detail, the responses to professional bodyreports. It also considers how external quality assurance developments should beaddressed e.g. programme specifications and the QAAs qualifications framework. Itoversees and co-ordinates the Universitys response to external review atinstitutional and subject level.

In practice, the committee provides a key quality control function on the operation ofAcademic Boards it requires evidence that Academic Boards have monitored

College responses to external examiners reports and considers institutional issuesthat the Academic Board raises. For taught programmes it also seeks evidence thatannual programme monitoring reports have been received and considered, alongwith periodic programme review reports. The Committee may be asked to considernominations for external examiners, subject to special circumstances whichcontravene the criteria for appointment.

The Committees role is to consider institutional matters that might arise fromexternal examiners reports and to liaise with the Learning and Teaching Committeeto disseminate good practice across the institution.

Outside this normal schedule of quality assurance and control mechanisms, theCommittee, via the Chair, is empowered to undertake ad-hoc cause for concernaudits/reviews of subjects or Colleges based on information from e.g. complaints,appeals, student feedback mechanisms or other quality assurance sources whichindicate more serious concerns regarding the maintenance of standards orassurance of the student learning experience.

1.3.4 Academic Boards

There are three Academic boards, being responsible for undergraduate, taught

postgraduate and research postgraduate programmes respectively. Each reportsdirectly to the Regulations, Quality and Standards Committee.

Academic Boards have a wide ranging remit to oversee the quality of teaching,learning and assessment, to monitor student progress and conduct and to makerecommendations for the award of degrees, diplomas, certificates etc on behalf ofthe University/University of Wales. (The Senate has final authority for the award ofdegrees etc). The Academic Boards may establish sub-committees to undertakethese functions.

Academic Boards are responsible for the assurance and enhancement of quality

relating to the relevant undergraduate, taught postgraduate or research studentprovision. For example, Academic Boards (or their sub-committees) consider thereports of external examiners to ensure that Colleges have or are planning toaddress issues relating to learning and teaching, monitors that Colleges have


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undertaken annual programme monitoring and, where scheduled, periodicprogramme review.

Academic Boards are also responsible for the validation and review of programmes.The Academic Board considers and approves nominations for external examiners

and makes recommendations for appointments as appropriate (a list of thoseapproved being submitted to the RQSC with final authority for approval resting withSenate).

1.3.5 Learning and Teaching Committee

The committee has both the responsibility and the authority to determine and toimplement policy with respect to all aspects of learning and teaching at theUniversity. The Committee develops the Universitys Learning, Teaching andAssessment Strategy, reviews progress and sets targets to be achieved. It considersand approves related underpinning strategies, e.g. quality enhancement, skills,

widening access and monitors achievement of targets in line with overall strategicUniversity objectives. It is the principal Committee with oversight of enhancing thestudent learning experience.

The Committee supports Colleges in adopting University learning, teaching andassessment policy through enhancement reviews and engagements with Colleges. Itconsiders institutional issues raised by various student feedback mechanisms andmonitors College responses to subject-level issues.

1.3.3 Learning and Teaching Committee Sub-Committees

The Learning and Teaching Committee has two sub-committees, to whichresponsibility for aspects of learning and teaching issues have been devolved.

There are links with the Regulations, Quality and Standards Committee as requiredon issues relating to new or amended quality procedures.

E-Learning Sub-Commit tee

The E-Learning Sub-Committee is responsible for the development of a Strategy topromote the co-ordination and use of distance and computer based teaching andlearning. Subsequent to a benchmarking exercise in 2008/09, the sub-committee

will monitor the achievement of key e-learning priorities in 2009/10 and 2010/11. Thesub-committee also reviews the quality assurance implications that arise from thesemodes of delivery and identifies what amendments are required to University policiesand procedures.

Widening Access sub-committee

The Widening Access sub-committee was formalised in 2009/10, operatingpreviously as a working party. The sub-committee is largely responsible fordeveloping, monitoring and reviewing the Widening Access Strategy and in ensuringits alignment with the broader university strategic priorities.


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1.3.6 Collaborative Provision Committee

The Collaborative Provision Committee is now a Senate Committee with

responsibility for all matters relating to the validation and/or franchising ofCertificates, Diplomas or Degrees of Swansea University and Degrees of theUniversity of Wales provided by Swansea University under franchise or outreachagreements.

The Collaborative Provision Committee, through the Academic Registrar, isresponsible for the administration of validated and franchised programmes, assistingColleges in the assurance and enhancement of quality and the properimplementation of the University policies.

The Committee also oversees all other types of external partnerships, e.g. exchange

agreements (students and staff), proposals for Erasmus Mundus-fundedprogrammes and also partnership agreements which are primarily admission-relatedagreements, recognising the syllabus pursued by students elsewhere.

1.3.6 College Committee Structure

Each College is required to operate an effective committee structure for theassurance of the quality of its Learning and Teaching provision. Whilst it isacknowledged that Colleges of different sizes may wish to approach this requirementin different ways, Senate has resolved that each must include the following keycommittees:

College Management Committee

College Learning and Teaching Committee

College Student-Staff Committee

College Staff Committee

College Management Committee

The College Management Committee is the main committee of the College to whichall others reports, and its membership shall be determined by the Head of College.

Its function is to determine College policy in light of the Universitys strategies, toimplement College policy and to monitor that implementation. All other committeesare, procedurally, sub-committees of the College Management Committee whichreceives, discusses, and where appropriate, implements resolutions of such sub-committees.

College Learning and Teaching Committee

The function of the College Learning and Teaching Committee is to monitor allaspects of teaching, learning, assessment and programme provision within theCollege. It is responsible for co-ordinating and conducting programme and module

reviews. The membership of the Learning and Teaching Committee shall bedetermined by the Head of College and may include student representation. At its

J une 2008 meeting, the Universitys Learning and Teaching Committee approved theadoption of mandatory Terms of Reference for College Learning and Teaching


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Committees. These Terms of Reference are available on the Intranet (see AllDocuments >Governance and Committees>Terms of Reference College LTC).

Terms of Reference for Boards of Studies were also considered at the J une 2008Learning and Teaching Committee were recommended as advisory. These Terms

of Reference are available on the Intranet (see All Documents >Governance andCommittees>Terms of Reference Boards of Study).

College Student-Staff Committee

The College Student-Staff Committee is the official forum in which students areencouraged to raise and discuss matters of concern and of information. Membershipof the Student-Staff Committee shall be determined by the Head of College, but mustinclude representation from a cross-section of students within the College.

Terms of Reference for College Student-Staff committees have also been developed

by the Learning and Teaching Committee and are strongly recommended foradoption. These are also on the Intranet (see All Documents >Governance andCommittees>Terms of Reference Staff-Student Consultative Committees),however the guidance does not replace the more general guidance as set out inOrdinance 9.4.

Staff Committee

The College Staff Committee shall meet at least once each term and is normallyopen to all members of teaching, research, administrative and technical staff withinthe College.


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1.4 SUMMARY OF QUALITY ASSURANCE PROCEDURES

The standards of our awards and the quality of students learning experiencesdepend upon:

(i) the design of modules and programmes and their related assessments;

(ii) the delivery of modules and opportunities for students independent learning;

(iii) student support and guidance;

(iv) monitoring and evaluating modules and programmes;

(v) assessment procedures and the award of qualifications.

Further details relating to item 5, assessment procedures, may be found in the

University documents, Undergraduate Assessment Regulations, AssessmentRegulations for Postgraduate Taught Awards and the on-lineAcademic Guide.


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SECTION 2: INTRODUCING PROGRAMMES OF STUDYAND ESTABLISHING PARTNERSHIPS

2.1 INTRODUCTION

New programmes of study require approval by various internal committee structures

to ensure that the academic quality and standards and programmes resourceimplications are fully considered. Final approval for a new programme of study lieswith the Standing Panel, Validation of each Academic Board of Swansea Universitywhich has delegated authority to make these approvals from the Regulations,Standards and Quality Committee. Members of the Standing Panel, Validation forma Validation Panel which includes a subject specialist who is external to SwanseaUniversity. The external subject specialist may not be the current or recent externalexaminer for the College(s) proposing the new programme.

During the process of evaluating new programmes, the Admissions Office and

Publications Office must be kept informed to ensure that University literature andstaff are prepared for the possible intake of new students. The detailed proceduresfor the approval of new programmes of study are outlined in Section 2.2. Thetemplate required to fulfil this process must be completed electronically and accessto this system is available through the University Intranet. Technical guidance forstaff completing the electronic programme proforma is provided by following WebLink 1 (Appendix 14).

To ensure that the standards are maintained, and where possible, enhanced,programmes are monitored regularly as outlined in Section 5 and are subject tocomprehensive evaluation as noted in Section 6 of this Manual.

Where an existing programme of Swansea University is to be franchised inpartnership with another institution or delivered through an outreach arrangement,

joint or collaborative degrees are to be introduced; the procedures and SwanseaUniversity Code of Practice outlined in Sections 2.3 and 2.4 must be followed.Section 2.5 outlines the ongoing commitments required by Colleges to overseeapproved collaborative arrangements.

Should the introduction of a new programme also means a new nomenclature,please refer to section 2.6. Section 2.7 lists guidelines for delivering and assuring thequality of placement, including work or study abroad.

The QAAs Code of Practice (Section 2: Collaborative Provision, Section 7:Programme Design, Approval, Monitoring and Review and Section 9: PlacementLearning) are applicable to the policies and procedures outlined in this section of theManual.


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2.2 PROCEDURES FOR THE APPROVAL AND VALIDATION OF NEWPROGRAMMES OF STUDY

2.2.1 Introduction

These procedures outline how new programmes of study which are to be delivered

primarily by Swansea University are to be evaluated and validated. The process isentirely electronic aiming to improve the efficiency and accuracy with whichprogrammes are submitted, considered and approved.

2.2.2 Scope of procedures

Normally new programmes require a full validation involving external assessors.However when new proposals are based on the combination ofexist ingprogrammes, it will be the decision of the Standing Panel, Validation as to whethera full validation is necessary.

The University permits current staff fromoutsidethe proposing College to act as theexternal representative when considering programmes of study which lead to an award atCert HE level or below. These programmes still require the completion of a fullprogramme proposal (the programme proposal template must be completed electronicallythrough the online systemhttps://intranet.swan.ac.uk/mainmenu.asp Under AcademicRecords>Courses>Programme Creation) and will follow the same process for validationas all other proposals.

Note: Additional procedures are in place for any new programme of study that involvesa collaborative partner. Further details on these can be found in Sections 2.3 and 2.4.

2.2.3 Programme Regulations or Nomenclature

Where a new programme may require amendments to existing regulations or newregulations, the Colleges programme coordinator must also provide details of suchto the Regulations, Quality and Standards Committee (RQSC). The form REG-REQ should be used for this purpose (see Web Link 2, Appendix 14).

If this is a new programme, requiring new award nomenclature regulations, pleasesee Section 2.6 of the Teaching Quality Manual for the procedures to be followed.

2.2.4 Period of Approval

The first cohort of students is required to enrol upon a validated programme within5years of approval. In cases where this does not occur, and/or where theprogramme has had no enrolments for 5 academic sessions, full revalidation will berequired prior to the first or future intakes. Periodic programme review as outlined inSection 6 of the Teaching Quality Manual will be seen to act as the revalidatingprocess in all other instances.

2.2.5 Procedure

Stage 1a - College Consid eration

Please refer to Appendix 1a for a diagram summarising this stage.
https://intranet.swan.ac.uk/mainmenu.asphttps://intranet.swan.ac.uk/mainmenu.asp


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The first stage in considering every new programme of study is at the College level.Initial consideration within the College(s) should take place both informally amongststaff and formally within the College committee structure(s), e.g. at Board of Studieslevel. (The section Guidelines for the Design of New Programmes in the ApprovingNew Taught Programmes of Studybooklet provides assistance to those developinga proposal.) The views of external assessors and, where appropriate, professional

bodies, must be sought and must be uploaded into the electronic documentationwhich the College produces. In addition, the College should undertake appropriatemarket research and should indicate the extent to which others have been consulted.(It is acknowledged that for certain disciplines market research may be difficult.However, Colleges are expected to demonstrate e.g. by means of admissionsqueries or labour market information, that a market exists for the proposedprogramme.)

Key questions which must be addressed at College level

1. Does the propo sed programm e involve external partners?

If the new programme of study involves an external partner, initial discussions shouldtake place between the College and the potential partner institution or organisation inorder to explore the detail of any new collaborative proposal. At this stage, thefinancial and academic details should also be considered and agreed upon. Aproforma must be submitted at this stage which is considered by the CollaborativeProvision Committee and, where applicable, the Internationalisation StrategicManagement Group and provide approval in principle (or otherwise) of thecollaborative partner and proposed collaboration. This should be done prior tosubmission of the proposed programme for validation. See section 2.3 for furtherdetails on the required proforma that must be submitted at this stage).

2. Does the propo sed programme require new or amendments to

regulat ions?

Where a new programme may require amendments to existing regulations theColleges programme coordinator must also provide details of such to theRegulations, Quality and Standards Committee. The form REG-REQ should beused for this purpose (see Web Link 2, Appendix 14).

3. Does the propo sed programm e require new award nom enclature?

The procedures outlined in section 2.6 must be followed if the new programme alsoincludes new award nomenclature.

4. Does the propo sed progr amme require accreditat ion by a

professional/statutory body ?

If it does, and the professional body is amenable, it would be proposed to organise ajoint validation event to expedite the decision. If not, it would be the responsibility ofthe College to liaise with the professional body regarding a separate validation.

5. Are there suff icient hum an resource, technical and learning resourceswithin the College to support the new programme?


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Colleges are required to plan accordingly for new initiatives within the context of theareas of development identified in their approved Business Plan(s). It is theresponsibility of the College Learning and Teaching Committee/ManagementCommittee to review the feasibility of the proposed programme, with reference to theapproved Business Plan of the College. In the case of programmes which involvemore than one College, this process must be mirrored in all Colleges concerned.

If the programme requires additional resources which are not addressed within theColleges approved Business Plan(s), a revised Plan must be submitted to theUniversitys Senior Management Team for consideration. The Finance Departmentmust confirm that resources are available in all

circumstances where additionalresources are required, even if the proposed programme is consistent with the areasof development stated in the approved Business Plan.

The College must maintain all necessary documentation to confirm the scrutiny ofthe new programme and its viability from the various parties.

Programmes that have no additional resource requirements may be submitteddirectly to the Standing Panel, Validation.

Documentat ion to be subm it ted

The proposal for a new programme must follow the electronic template found on theIntranet (Academic Records>Courses>Programme Creation).The electronictemplate ensures that all appropriate details are collected, including the ProgrammeSpecification model outlined by the QAA. Programme Specifications are required aspart of QAA Institutional Review and the universitys commitment to providinginformation for students on programme outcomes.

In writing the proposal, staff are advised to discuss the programme withAdministrative Officers in the Academic Registry, including sections relating toresearch and/or collaborative initiatives, as appropriate. The section Guidelines forCompletion of New Programme Proposals in the Approving New TaughtProgrammes of Studybooklet is available to staff involved in completing theelectronic template.The electronic template is further enhanced with guidance toassist staff with its accurate completion.

The completed template with all supplementary documentation (e.g. external

assessors comments, module outlines, proposed programme handbook, whereavailable) must be submitted electronically through the Programme Creationprocess. This automatically advises the Administrative Officer who will initiate thenext stage of the approval process.

The programme documentation as it appears in the Programme Creation database,will, subject to appropriate amendments, be the final version which is to beconsidered at the Validation Event.

Stage 1b Collabo rative Prov isio n Con sideration (ONLY FOR PROGRAMMES

OF STUDY INVOLVING EXTERNAL PARTNERS)

Any programme that involves a collaborative partner will need to be referred to theCollaborative Provision Committee for approval of the collaborative partner and theproposed collaboration. As part of this process a due diligence review will be carried


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out on the partner institution. For further information on the review and approvalprocess for new programmes of study involving collaborative partners see Sections2.3 and 2.4 of this Manual.

Stage 2 - External Validation

Please refer to Appendix 1b for a diagram summarising this stage.

The template, with associated documentation must be complete, with all necessaryconsultation with relevant bodies, including Finance and the Collaborative ProvisionCommittee (if necessary) being undertaken by the College prior to submission forconsideration by the Academic Board, specifically its Standing Panel, Validation.

The Associate Dean of the Academic Board concerned (undergraduate, taughtpostgraduate and/or research as appropriate) and Administrative Officer willundertake a preliminary scrutiny of the documentation to ensure that it is sufficiently

detailed. Proposals without sufficient detail will be referred back to the College forupdating.

Members of the Standing Panel, Validation are provided with the Approving NewTaught Programmes of Studybooklet to assist in their evaluation.

Following submission of the template, an Administrative Officer in the AcademicRegistry shall:(i) initiate Swansea Universitys Validation Process by checking the

comprehensiveness of the submission and liaising with the Associate Deanon the necessity of further information.

(ii) In the case of proposals involving a collaborative partner, liaise with theSecretary to the Collaborative Provision Committee so that the necessarydocumentation regarding the external partner(s) and their role, such as thedraft Memorandum of Agreement between all partners be available to theCommittee and a representative from the partner institution be available toanswer any question that the Standing Panel for Validation might have.

(iii) obtain nominations from the proposing subject staff for the names of two

external subject specialists

(iv) organise a Validation Panel, drawing upon members of the Standing Panel,Validation. The constitution of the Validation Panel will depend upon theprogramme in question but shall include a Dean or Associate Dean (not fromthe proposing College), the external subject specialist, and two othermembers of the Standing Panel (not from the subject area from which theprogramme is being proposed, and, and in the case of collaborative degrees,a member of the Collaborative Provision Committee. Where a proposal issubmitted for a new research degree, or research degree with taught

elements, there shall be at least one member of the Validation Panel who

to serve on a Validation Panel. (Note: theexternal subject specialist is encouraged to submit his/herconcerns/comments on new programmes to the Administrative Officer, prior tothe Validation meeting). Guidelines and the proforma for the nomination and

appointment of External Subject Specialists is provided under Web Link 3(Appendix 14);


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shall have sufficient research experience or understanding of relatedprogrammes, e.g. EngD, MRes etc;

(v) Liaise with the professional body (where appropriate) to organise a jointaccreditation event, if this is amenable.

(vi) ensure that members of the Validation Panel are provided with the ApprovingNew Taught Programmes of Studybooklet to assist in their evaluation and

that the external subject specialist has the relevant documentation to reporthis/her recommendations concerning the proposed programme;

(vii) arrange for servicing the Validation Event, including the monitoring of anyconditions and reporting upon the outcomes to the Academic Board;

(viii) report on the approval of new programmes to the Academic Board andthereon to Senate via a report to the Regulations, Quality and StandardsCommittee.

Members of the Validation Panel must reach agreement on whether or not toapprove the programme proposal and clearly identify all conditions which are to beimposed prior to completion of the meeting. Subject to the approval of the Validation

Panel, and a satisfactory report by the external subject specialist being submitted,the programme of study shall be deemed to be fully approved and may be delivered.

It is the responsibility of the College concerned to address any conditions. This shallbe monitored by the Academic Registry and Associate Dean of Academic Board.

Students may not enrol on programmes until all conditions have been fulfilled.

The Administrative Officer, Academic Registry shall also inform other relevantadministrative departments (e.g. Admissions Officer, Student Records Officer,Publications Officer, ISS and the Careers Centre and External Examiners, AcademicRegistry) of the proposed programme through the electronic tracking system. TheStudent Record Officer shall ensure that the central database and the nationalprogramme database maintained by the Student Loans Company are updated.

In the case of programmes involving external partners, the Administrative Officer,Academic Registry shall also inform the Secretary to the Collaborative ProvisionCommittee so that he/she can inform the partner institutions/ organisations of thedecision and undertake any necessary action.

2.2.5 Summary

A diagrammatic representation of the procedure outlined above may be found inAppendices1a and 1b. The first cohort of students is required to enrol upon avalidated programme within 5 years of approval. In cases where this does not occurfull revalidation will be required prior to the first intake.

2.2.6 Validation Timetable

New programme proposals are normally validated within one academic session. Atypical cycle might be:

J une/J uly initial discussions of ideas within the CollegeSeptember/October consideration and approval within the CollegeNovember/December Where necessary, the Collaborative Provision Committee

normal considers proposals at this time.


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J anuary April consideration of any new/amended regulations by theRegulations, Standards and Quality Committee, duediligence reviews by the CP Committee (as necessary) andthe holding of the formal Validation Event involving theexternal subject specialist.

May 15 fulfilment of any conditions imposed by the Validation Panel

prior to the first student intake.J une Reporting to the Regulations, Quality and Standards

CommitteeJ uly ratification by Senate

The programme could then be delivered the following September, pending theissues outlined in Section 2.2.8, below. (For programmes with a planned initialstudent intake other than the normal academic year start should reflect at least afour month lead in time between validation and student intake). Colleges should beaware however of the considerable advance deadlines required to include proposedprogrammes in the formal University literature, as outlined in Section 2.2.7, following.

The Validation timetable and procedures are summarised diagrammatically inAppendix 1b.

2.2.7 Deadlines for University Marketing of the Programme

Internal Deadlines

The most significant internal deadlines relate to publications for recruitment and theadmission processes. In order to ensure that they can be marketed in theappropriate undergraduate prospectus, undergraduate programmes of study need tobe approved a full twenty-two months before the admission of the first cohort.Postgraduate programmes of study need to be approved by J anuary of the academicyear prior to the academic year in which the programmes are to run. Longerdeadlines may be required for Collaborative Programmes where external fundingsuch as Erasmus Mundus funding is being sought.

Universi ty Prospectus

The deadline for copy for the University Undergraduate Prospectus for entry in theyear 201X is mid-November of the year 201X-2. Unless programmes have been

through the full Swansea University validation process, they must

beadvertised as provisional.

The deadline for copy for the University Postgraduate Prospectus for the year 201Xis the beginning of May 201X-1.

UCAS Directory

The deadline for copy for the printed version of the UCAS Directory, entry year 201Xis mid November of the year 201X-2. Programmes of study which have been

approved by the Academic Board by this deadline shall be allocated a UCAS codeand advertised Subject to f inal approval .


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Colleges are reminded that failure to adhere to these deadlines may negativelyimpact the ability to adequately recruit students to the programme.

2.2.8 Deadlines for the actual validation process

College considerat ion and, where necessary Col laborat ive Provision

Comm it tee scru t iny

In order to meet the deadlines, all programmes of study, which might be delivered inSeptember of any given year (e.g. 201X), should normally pass through theColleges Committees (and, where appropriate, the Collaborative ProvisionCommittee) by the Michaelmas Term of the previous session (201X-1).

Regulation s, Quality and Standard s Committee and Validation Panels

Any new programme which is to be introduced in September of a given year (e.g.September 201X) must be approved by Senate by the end of the previous session(i.e. J une 201X). This means that amendments to regulations must pass through theRegulations, Quality and Standards Committee and that Validation Events must beorganised prior to May.

The Comm encement of New Programmes

Notwithstanding the paragraphs above, programmes may commence as follows:

(a) Programmes which are predominantly combinations of existingcomponents and which complete the validation process by 15 May may bedelivered in September of the same year to students who either transfer tosuch a programme, who are recruited in clearing or who have applied basedon marketing material provided by the College;

(b) Programmes, which deliver material which is wholly or substantially new, maynot normally be delivered until the session after next. This is in order toensure the recruitment of high calibre students, the consideration oftimetabling issues, resolving funding issues, addressing resource implications,

the preparation of documentation and lecture material, etc. and theappointment of an external examiner have been fully addressed.

2.2.9 Responsibilities

College

It is the responsibility of the College to ensure that all aspects of planning newprogrammes are completed with the utmost thoroughness. Colleges should appointa programme director who shall be responsible for guiding the programme throughthe validation process and who will act as a point of contact for all other members of

staff. Amongst other things the Colleges must ensure that:

market research has been carried out;


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programmes are subject to full discussion within the College and with anyother College / External Partner involved in teaching;

the programme has been addressed in the approved Business Plan. Wherethis is not the case, the College is responsible for submitting revised BusinessPlans for approval before submitting the programme proposal to the StandingPanel, Validation;

appropriate external advice is sought in the planning stage; full documentation is submitted electronically through the intranet, allowing

distribution of the materials to the Standing Panel, Validation and whereappropriate the Collaborative Provision Committee;

The programme director ensures that all conditions imposed by the ValidationPanel are addressed prior to the first student intake;

in any recruitment material, programmes of study that have not been formallyapproved by the external subject specialist appointed by the AcademicRegistry to review the proposal are clearly advertised as Subject to finalapproval.

That a Board of Study is appointed and that the obligations in delivering aprogramme of study are adhered to;

That any recommendations and/or conditions arising from the Validation arediscussed with the external examiner and responses to these outlined in thenext Annual Monitoring activity following the first student intake.

An external examiner is nominated to the new programme in accordance withthe procedures outlined in Sections 4.12 and 4.13 of the Teaching QualityManual.

Adm inistrat ive Officer

An Administrative Officer of the Academic Registry, on behalf of both the relevantAssociate Dean of the Academic Board and the Academic Registrar, is responsiblefor monitoring and recording the progress of the programme at all stages followingCollege approval. This progress can be viewed by College staff through theProgramme Creation database available on the Intranet.

Amongst other things, the Administrative Officer shall:

scrutinise College submissions to ensure that the College responsibilitieshave been carried out. If the Administrative Officer is not satisfied that theresponsibilities and procedures have been properly discharged he/she may

refer the proposal back to the College for further information; notify the Collaborative Provision Committee of any proposal that involve

external partner(s) so that the necessary due diligence procedures can becarried out;

notify the Admissions Office, Publications Office, Student Records Unit,Library and Information Services and Careers Centre of proposedprogrammes of study via the electronic programmes database so that theirstaff can prepare appropriate material for new students and update thenecessary University systems;

identify, provide information to and liaise with the external subject specialist as

necessary; organise the servicing of the Validation Event and report its conclusions to

Senate via the Academic Board and the Regulations, Quality and StandardsCommittee;


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monitor, in collaboration with the Associate Dean, the achievement of anyconditions imposed on the College for the full approval of the proposedprogramme and report on the satisfactory completion of conditions toAcademic Board;

inform the Colleges concerned of any reasons for not validating the proposedprogramme;

In programmes involving external partners inform the Collaborative ProvisionCommittee of the outcome of the Validation for subsequent reporting to theCommittee and the partner(s).

inform the appropriate officer of requirements relating to the design andwording of degree certificates.

Student Records Off icer

ensure that the national database of programmes, maintained by the StudentLoans Company is updated;

ensure that central University databases are updated.

Admiss ions Of fice

Inform Colleges of the new UCAS code (or other codes as appropriate) assoon as they have been determined.


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2.3 PROCEDURES FOR COLLABORATIVE PROVISION ACTIVITIES

2.3.1 Introduction

The term Collaborative Provision encompasses a number of ways in whichprogrammes can be delivered to students in a non-traditional manner, normally

involving a partner organisation from academia or industry. Examples would includeoffering validated programmes (i.e. programmes designed, delivered and assessedby a partner institution or organisation, but validated by Swansea University asreaching the required standard for a particular award), franchised programmes (i.e.programmes designed by Swansea University but delivered by the partner institutionor organisation), programmes offered jointly by Swansea University and thepartner institution or organisation (i.e. where the design of the programme, theteaching, and the assessment is shared between both parties) or possiblyprogrammes offered by Swansea in collaborative with another institution.

Swansea University currently offers a growing portfolio of collaborative programmes.

The procedures outlined below are to be applied for all collaborative provisionprogrammes, with slight adjustment to suit the nature of individual proposals.

Additional guidance is available on the Internet athttp://www.swan.ac.uk/registry/InternationalExchangePartnership/CollaborativeProvision/

Due to the dynamic and complex nature of collaborative provision, any Collegeconsidering a development in this area should contact Mr H Morris (tel: 01792295344/ email: [email protected])directly for guidance.

All programmes involving a partner organisation from academia or industry must begoverned by a Memorandum of Agreement (see section 2.4 below). The AssistantRegistrar (Collaboration) is responsible for maintaining an accurate register of allcollaborative agreements; therefore any new agreement must be reported to him/herimmediately.
http://www.swan.ac.uk/registry/InternationalExchangePartnership/CollaborativeProvision/mailto:[email protected]:[email protected]://www.swan.ac.uk/registry/InternationalExchangePartnership/CollaborativeProvision/


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2.3.2 Approval of New Collaborative Proposals

In pursuance of the objectives in Section 2: Collaborative Provision and Flexible andDistributed Learning (including E-Learning) of the QAAs Code of Practice publishedin September 2004, 1

and to the end of ensuring that a proper collaborativemechanism is achieved in all instances, the following procedures should be followed.

Timeframe for submiss ion of propos als

New collaborative programme proposals should normally be received by theAcademic Registrar at least one year in advance of a programme's commencement,in order that the appropriate procedures may be carried out thoroughly.

Stage 1a - Col lege cons ideration and cons ideration of resour ces

Preliminary discussions should be held with the Academic Registrar, andpossibly the Collaborative Provision Committee. Normally a proforma

recording an expression of interest will need to be completed. Initial discussions should only take place between the College and the

potential partner institution or organisation in order to explore the detail of anynew collaborative proposal if approved in principle by the University. At thisstage, the financial and academic details should also be considered andagreed upon.

The Colleges Learning and Teaching Committee must approve any proposalsbefore further action is taken, and endorsed by the Head of College.

The College should also ensure that the proposed programme is consistentwith the College business plan and does not require any additional resources.

If additional resources are required and the programme fits into the Collegesexisting business plan, then the proposal should be forwarded to the FinanceDepartment for confirmation and signing off. Central resource requirementsmight also need to be considered.

If additional resources are required and the programme does not fit into theColleges existing business plan, then the proposal should be forwarded to theSenior Management Team and the Finance Department for financial andstrategic approval of the programme, in principle.

Stage 1b - Col laborat ive Provision Comm it tee review of c ol laborat ive partners.

Collaborative Provision Approval in principle An outline proposal (see Web Link 4, Appendix 14) should be submitted to the

Collaborative Provision Committee in the initial stages of the Collegediscussion of the proposed partnership. The committee or a specialist panelshall consider and approve in principle the new programme proposal. (In thecase of facilitation/ partnership/ twinning arrangements this step of theprocedure is waived until after the Admissions Committee has carried out theacademic scrutiny of the proposal. See 2.3.5 below)

The new programme proposal should be prepared using the new programmetemplate which was designed to assist Colleges in preparing new programme

submissions to the relevant Standing Panel, Validation (see Section 2.2 andtemplate under Web Link 1, Appendix 14). Additional information may be

1Note including the amplification to this section published November 2010


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Section 2 23

required such as reference to resource issues and these should beincorporated in the collaborative programme proposal document. Forinstance, members of staff involved with any teaching on a collaborativeprogramme are invited to submit their curriculum vitae to the relevant partnerCollege within Swansea University as part of the quality assuranceprocedures relating to the approval of teaching staff from partner institutions.

Where appropriate, the curriculum vitae are reviewed for the approval andconfirmation of the staff on the collaborative programme. (For facilitation/partnership/ twinning see 2.3.5 below)

Due diligence and review of partners

The Collaborative Provision Committee will carry out due diligence and whereappropriate an external review of the collaborative partners as detailed inSection 2.4 below.

Memorandum of Agreement

Following approval in principle of a collaborative proposal a draft

Memorandum of Agreement should be drawn up by the Secretary of theCollaborative Provision Committee, as outlined in Section 2.4. The draftMemorandum of Agreement has to be agreed by Swansea University, theassociated institution and, where appropriate, the statutory or professionalbody/bodies concerned. The draft Memorandum of Agreement will set out theresponsibilities and duties of each of the partners in order to establish clearand mutual expectations of the collaborative relationship. Sometimes astudent agreement might also be necessary.

Approval by Collaborative Provision Committee

Following approval in principle and the drawing up of a draft Memorandum ofAgreement, the detailed proposal should be submitted to the CollaborativeProvision Committee. The reports from the specialist panel of assessors,following their review of/visit to the proposed collaborative partner, should besubmitted to the Collaborative Provision Committee, along with the draftMemorandum of Agreement. It is at this stage that detailed consideration of allaspects of the proposal takes place, whether academic, financial or resourceissues, based on all of the information available.

Stage 2 - Outcomes and recommendat ion to Senate, including w here

appropriate val idat ion of new programm es by the Academic Board

The Collaborative Provision Committee, having satisfied itself of the merit of thepartner institution and the proposed programme, will make its recommendation toSenate, and inform the appropriate Standing Panel, Validation of its decision. Itshould be noted that the Senate may refer the proposal back to the CollaborativeProvision Committee and/or the associated institution if it sees fit.

2.3.3 New Collaborative/ Joint Degrees

The procedure for the approval and validation of any new joint/ collaborativeprogramme of study will follow the same procedure as outlined in 2.2 above with the

additional requirement that due diligence and, where appropriate, an external reviewbe carried out on the proposed partner institution as detailed in 2.4 below.


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2.3.4 Franchise/ Validation or Outreach arrangements

Franchising has generally been defined as the process whereby a parent institutionauthorises an associated institution or organisation, at home or abroad, to deliver, byits own staff, a programme of study leading to completion or part completion of anaward of the parent institution, designed by that institution. Such programmes

remain the property of the parent institution and participants register as its students.(2 + 2 degree programmes are included in franchise arrangements.)

The following basic principles shall be applied:

Swansea University must offer the same or a comparable provision throughone or more of its Colleges at the same or at a higher level, before aprogramme can be franchised to another institution.

Any franchised programme shall be governed by means of a Memorandum ofAgreement, signed on behalf of the University by the Vice-Chancellor or a ProVice Chancellor. The written agreement shall represent the recognition that

the Awarding Institution is responsible for the academic standards.Consequently Colleges shall be precluded from entering into any formalarrangements for franchising programmes.

The Senate, through Collaborative Provision Committee, shall formallyapprove any new agreements or revisions to agreements governing thefranchising of programmes.

Franchising is normally based upon a partnership between Swansea University andan associated institution such as a College of Higher Education, a College of FurtherEducation or, in certain cases, an overseas institution, which offers programmes

leading to the award of a qualification of Swansea University. It may also embraceindustrial, commercial and other establishments.

Certain franchised orcollaborative programmes may also be subject to the approvalof the relevant statutory or professional body. Wherever possible, that body will bebrought into partnership during the approval process in order to achieve an effectiveacademic and professional franchise.

The procedures outlined in Sections 2.2, 2.3 and 2.4 are intended to encompass allnecessary processes to ensure that the programme is academically coherent and atthe appropriate level. The process is also designed to ensure that the associated

institution or organisation is fit to deliver the programme. In forming this judgement,Swansea University will have regard, among other things, to:

the capacity of the potential partner institution or organisation to enter intolegal agreement;

the ability of the associated institutions to duplicate the structure, content andacademic level of the programme and the assessment of students on theprogramme;

the staffing and learning support resources associated with the programmeare adequate;

the suitability of any professional placements associated with the programme

(where appropriate).


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2.3.5 Facilitating/ Partnership/ Twinning Arrangements

All potential partnership links with overseas institutions that are focused on recruitingand admitting foreign students for a period of study at Swansea University will mainlybe developed and supported by the International Development Office.

Facilitation, Articulation, Partnership and Twinning are all terms to describe the typeof agreement that has its main focus on the recruitment and admission of studentsfrom an overseas institution to Swansea University for a period of study which mayor may not lead to the awarding of credit and/or an official Swansea Universityaward. This type of agreement sets out the institutional information, the rationale andaims of the programme and the admissions criteria.

There are currently 4 categories of Facilitation agreements:

The first facilitates entry to level 1 of undergraduate degrees. (In this caseboth the Colleges Learning and Teaching Committee and the Admissions

Committee must be satisfied that the prior study at the institution concerned isof sufficient quality and standard to allow access to level 1 of Swanseadegrees.)

The second facilitates the admission of students to Level 2 as a result of theirprior study. (In this case the Colleges Learning and Teaching Committee andmust be satisfied that the prior study must be of the same level as the studythey would have had at Swansea.)

The third are those which facilitate entry to a set number of credits atSwansea as part of the students home degrees. For instance, students mightstudy 60 credits of Law modules in Swansea as part of the final year of their

four year undergraduate degree. In these cases students receive credit butnot an award for their study at Swansea. They may be considered foradmission to a Masters Degree (2+1+1).

The fourth recognises pre-masters degrees at other institutions, whichfacilitate entry to masters degrees at Swansea.

A template has been development for the agreement between the overseasinstitution and Swansea University. It should be completed by the InternationalDevelopment Office/ College interested in developing the agreement and submittedto the Collaborative Provision Committee for approval. (See Web Link 5, Appendix14)

The International Development Office and the Academic Registry shall maintaincopies of the agreements between the overseas institutions and Swansea Universityand the information will be recorded in a central database of collaborativeagreements.

The approval process for this type of agreement is as follows. It is summarised inAppendix 2.


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Stage 1 - Respon sib il i t ies: Head of College/external party

Any College/ Individual (e.g. agent/ external party) interested in developing a linkbetween Swansea University and a collaborative partner must complete a simpleexpression of interest form and send to the International Development Office.

During this initial stage, the Head of College will be responsible for assessing theacademic implications of such agreements, and for ensuring that neither the qualityand standards of Swansea University provision, nor its reputation, is compromised.

Stage 2 - Respon sib il i ty: International Developm ent Off ice

Staff of the International Development Office will review and research the request.(i.e. check the status and ranking of the institution and if the request has come froman external party, liaise with Colleges at Swansea to determine if they would beinterested in pursuing the link).

Stage 3 Respon sib il i ty: Internation alisation Steering Gr oup

The Steering Group or its Chair will review the request and the preliminary findingsand determines whether the Steering Group wishes to support the link.

If support not grantedThe International Development Office (IDO) will inform the party requesting the link.

If support is givenThe IDO to contact the relevant College on behalf of the Steering Group to ask themto consider working with the proposed collaborative partner and the agreedparameters in which the agreement would work. (N.B. Any financial arrangementsuch as a bursary would need to signed off by the Director of Finance.)

Providing there School support in principle for the link, a generic Memorandum ofUnderstanding (MoU) is to be drafted (by IDO), and signed by the Pro-VCInternationalisation, signifying Universitys commitment to work together to developlinks in various subject areas but that details of the link will need to be negotiatedand agreed with individual Colleges.

The signed MoU will be forwarded to the Academic Registrar for recording in the

Universitys database of agreements and reported to the Collaborative ProvisionCommittee.

Stage 4

Colleges interested in pursuing the link to fill in the relevant facilitation form2

whichwould need signing off by:

the Head of School/ nominated alternate

the Head of Admissions/ nominated alternate

Director of Finance/ nominated alternative if there financial implications in the

form of bursaries. Academic Board (Postgraduate Research) (if link at Research level)

2Colleges to liaise with Rob Ward, Admissions Office for advice on entry requirements when filling in the form.


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The form should then be forwarded to the IDO who would write to the collaborativepartner informing them of Swanseas agreement to the arrangement and wouldforward the form to the Secretary of the Collaborative Provision Committee so thatthe detail of the arrangement could be recorded centrally and reported to theCommittee.

Stage 5

IDO/ Admissions Committee to track promotional development of link throughreviewing on an annual basis the number of students received under link and theprogress of the students thereof. These figures are to be reported to theInternationalisation Steering Group and Collaborative Provision Committee as part ofthe monitoring process of all agreements. They would also be referred to whendetermining whether to renew an agreement.

2.3.6 Exchange/ Placement/ Study in Lieu Arrangements

Any College wishing to set up a new Exchange agreement should follow theapproval process for new collaborative proposals defined in Section 2.3.2 above,namely Stage 1 (College consideration and consideration recourses) and Stage 2(Academic Board and Collaborative Provision Committee review of Academic detailand collaborative partners). Where a new degree programme is not required to beset up, it simply involves the substitution/ addition of a new partner then AcademicBoard may not require as detailed a consideration of the academic content. Howevera review of the proposed collaborative partner will be required. Additional guidelineson placement learning can be found in Section 2.7 below.

2.4 DUE DILIGENCE AND EXTERNAL REVIEW OF COLLABORATIVEPARTNERS

2.4.1 Introduction

It is incumbent on Swansea University to carry out a due diligence and riskassessment of the proposed partner/ associate institution and collaborative ventureproposed before entering into any agreement to set up a joint/ collaborative degreeprogramme.

Due diligence is the process of seeking information from the other party by

submission of formal questionnaires and the subsequent analysis of information anddocuments provided. On occasion, Swansea might also seek responses from thirdparties such as auditors or other collaborators who may provide an additionalperspective to the issues raised. The purpose of the exercise is to attempt tomanage the risk that might arise in relation to working in collaboration and regardlessof whether the other party is 10 or 10,000 miles away, many of the sameconsiderations will be of relevance.

Questions to reflect upon when carrying out a due diligence review of the partnerinstitution are as follows:1. What are the risks involved in such a collaboration?2. Is it possible to quantify these risks?3. Can the institution minimise or transfer any risks?


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4. Is it possible to quantify the residual risk after any minimisation or transfer hasoccurred?

5. Will it be possible to have ongoing monitoring of the venture as a means ofmanaging a risk?

A starting point will be an examination of the legal status of the prospective partner,

which is relevant to the partys capacity to enter into a contract.

There is no prescribed manner in which due diligence should be undertaken, exceptthat it should be completed before Swanseas resources are committed to anybinding obligations.

Issues to be considered:

Organisational Chart

Details of any litigation past and present

Adverse press coverage

Details of insurance cover

Staffing strategy (Details of staff that will teach on collaborative programmeand strategy to ensure appropriate staff/ student ratio)

Data/ information exchange (e.g. what data protection legislation isapplicable)

Health/ Safety assessments

Professional/ international accreditation/ memberships

Quality assurance organisations

Governmental approval/ permits

As part of the due diligence procedure the Academic Registrar, on behalf of the

Collaborative Provision Committee, may establish a panel of assessors withappropriate experience and expertise to assess both the overall structure of theproposal and the associated institution. Where appropriate, a visit will be arrangedby the panel of assessors to the prospective partner institution. For furtherinformation on the role of the panel see Section 2.4.3 below.

2.4.2 Documentation required as part of the approval process forcollaborative programmes.

Review reports will be prepared to support the further development of the proposedcollaboration, for submission to and consideration by the Collaborative Provision

Committee.

A draft Memorandum of Agreement and possible a student agreement will alsoneed to be drawn up with support from the Secretary to the Collaborative ProvisionCommittee using the prescribed template for collaborative agreements.

2.4.3 Panel of Assessors

It is incumbent on Swansea University, through the Collaborative ProvisionCommittee, to judge the fitness of the associated partners to deliver the collaborativeprogramme for the award of Swansea University unless the status of the proposedpartner would suggest that this requirement could be waived. Therefore, theprocedures outlined below will be followed. In the case of 2+2 type collaborativearrangements,