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Extenuating Circumstances User Guide for Staff
Overview and contents
Note:
From October 2022, students will submit EC claims and associated evidence (where applicable) on the EC system on Portico.
Claims will be routed to the relevant Department EC Panel (DECP) / Faculty EC Panel (FECP) who will be notified of the claim and can review claims and accept / reject or request further information as applicable. Department EC panels can escalate claims to Faculty EC panels where necessary.
This guidance is written for staff using Portico to:
Hints and tips on using the system
Find a student’s EC claim / filter claims
Review EC claim details / evidence
Add comments to an assessment
Record comments on a claim
Request further evidence or amendment to claim
Convert an evidenced claim to self-cert and vice versa
Send a Claim on to Faculty EC Panel for review
Approve a claim
Reject a claim
Upload evidence on behalf of a student (FECP Secretary and DECP Secretary only)
Amend a completed claim (Faculty Chair and Secretary only)
Set up outlook rules to divert daily emails to a designated folder
Hints and tips on using the system
- You must click Action rather than View on a claim in order to add notes or record a decision. If you are unable to make changes to a claim, please check that you are in action rather than view mode.
- When navigating between a student record and the system, use the back button in the system rather than on your browser.
- Managing Category 4 claims – manage these outside of the system as usual and capture key decisions and people involved when recording the decision in the system.
How to find a student’s EC claim / filter claims
1. Log in to Portico and select the Extenuating Circumstances tab.
2. Visit My Panel Membership.
3. Click View for the relevant panel.
4. You will be presented with a list of claims.
You can filter claims by pending DECP claims, pending FECP claims, all pending claims, claims awaiting further evidence, complete claims or view all claims. FECP members can also filter by department An overview of what each filter shows is provided below.
- Filtering by Pending DECP claims shows all claims that are awaiting DECP action. FECP members can view these claims but not action them. If FECP action is required, a DECP member should click action to open the claim record and then click the Send to Faculty button on the claim.
- Filtering by Pending FECP claims shows all claims that are awaiting FECP action. DECP members can view these claims but not action them. If DECP action is required, an FECP member should click action to open the claim record and then click the Send to Department button on the claim.
- Filtering by Pending View All claims shows all claims that awaiting action, regardless of whether this action sits with DECP, FECP or with the student to add further evidence / amend the claim.
- Filtering by Awaiting Further Evidence claims shows all claims where action sits with the student to add evidence / further information to the claim. Panel members can view, comment and action these claims if required.
- Filtering by Complete claims shows all claims against which a decision has been recorded. DECP members can view these claims but no further comments or actions can be made on these. It is possible for FECP chairs and secretaries to amend completed claims where necessary.
- Filtering by View Everything claims shows all claims at all stages.
- Filtering by department (FECP members only) shows all claims at all stages for the department selected.
How to review EC claim details / evidence
1. Locate the claim you wish to review and click Action to open the claim record.
2. Information relating to the claim is stored across the 7 tabs outlined below. When reviewing a claim, the panel members should work through the information available on the relevant tabs and use the tabs to add comments, discuss with panel members, request further information / amendments, escalate to FECP or accept / reject the claim as applicable.
- EC details tab: A summary of the information entered by the student e.g. the nature of the EC claim, whether it was self-certified and whether the student has a SORA.
- Assessments tab: A list of assessments that the student is seeking mitigation for. You can add comments for an assessment here – see Add comments to an assessment guidance.
- Evidence tab: Any evidence provided by the student is listed here. Click View document to view the file in a new tab
- Panel discussions tab: Comments relating to the claims can be added and viewed by panel members here. This could include meeting minutes / records of discussions, actions etc.
- Decisions tab: Decisions relating to this claim are recorded here.
- Student comms tab: All communications sent to the student relating to this claim via Portico are shown here (e.g. if you requested further evidence or asked the student to update their claim).
- EC history tab: Any previous claims submitted by the student via ECsOnline will be listed here along with discussions and decisions on these claims and the number of times that the student has self-certified for that year.
How to add comments to an assessment
Comments / information specific to the assessment can be captured against each assessment, for example more detailed information on the method of assessment that may not be included in Portico. The system will record the date the comment was entered, who entered the comment and their role on the Panel.
1. Navigate to the Assessments tab for the relevant claim. All assessments that the student is seeking mitigation for under this claim will be listed here.
2. Click Add against the relevant assessment item and then enter comments.
3. Click Next.
4. All comments will be viewable by members on a panel.
How to record comments on a claim
Panel members can add comments to the Panel Discussion tab and these will be viewable by other panel members. If comments are added by a DECP to a claim which is then sent on to the FECP for review, all comments will also be viewable by FECP panel members.
Comments added here are not viewable to the student.
Comments added may include meeting minutes or suggestions for approval or rejection.
1. Navigate to the Panel Discussion tab for the relevant claim.
2. Enter comment in the New Comment box and click Add New Comment.
Please note, comments cannot be edited or deleted once added.
How to request further evidence or amendment to claim
1. Navigate to the claim and on the View / Action EC Claim screen, click Send to student – More Evidence / Info.
2. Select the appropriate option from the How can student update Claim drop down.
Options are:
A) Only allow student to upload/amend evidence (the student will receive a notification and will be given the option to upload further evidence).
B) Allow student to amend all claim data. Select this where you require more significant amendments to a claim e.g. the student might have mistakenly added or omitted an assessment or you might want the student to add more text to the summary of their circumstances.
If you select option A (only allow student to upload/amend evidence):
- Add details of what evidence is required in the New Student Comment field. E.g. you might write ‘the DECP requires further evidence (insert example) from you in order to make a decision on your claim, please upload this as soon as possible.’
Please note that ANY comments written in the New Student Comment field will be VIEWABLE by the student once you click Next.
- Click Next
- The claim will be sent back to the student with the request to provide new evidence. If the student resubmits the claim with further evidence, the claim will be updated with further evidence for the panel to see. The panel will receive a notification when the student submits this.
If you select option B (allow student to amend all of the claim data):
- Add details of what you want the student to add or amend in the New Student Comment field. For example you might write ‘Please can you add X assessment to your claim, and please enter more details in your summary.’
Please note that ANY comments written in the New Student Comment field will be VIEWABLE by the student once you click next.
- Click Next.
- A notification will be sent to the student with the request to amend their claim. If the student resubmits the claim, the claim will be updated with further evidence for the panel to see. The panel will receive a notification when the student submits this.
How to convert an evidenced claim to self-cert and vice versa
A panel can change an evidenced claim to self-certified or a self-certified claim to evidenced if they feel it is appropriate. Please note, you should always discuss this with a student first to check they wish to proceed.
1. Navigate to the claim, click Action and then click Change Self-Certify / Evidence Status.
2. Enter a reason for change of claim status and add a message to student to give a reason for change (you should already have discussed this with the student) – please note this message will be sent to the student in an email notification once you confirm the change of status.
3. Click Confirm.
How to send a Claim on to Faculty EC Panel for Review
A DECP can send a claim to their FECP for review or decision if required.
1. Locate the claim you wish to review and click Action to open the claim record.
2. Click the Send to Faculty button on the claim.
3. The Send to Faculty Panel screen will launch.
Add a comment for the Faculty Panel to see. This should provide context as to why you are sending a decision onto the Faculty to review e.g. The DECP cannot make a decision on this Claim (add detail of difficulty). Please can the FECP review this claim and make a decision.
4. Click Send to Faculty Panel.
5. The FECP will be notified of your request to review the claim and will be able to view the claim and your comment.
6. FECP will then be able to record a decision, send the claim back to the DECP or send the claim back to the student for further evidence or info.
How to approve a claim
1. Locate the claim you wish to review and click Action to open the claim record.
2. Click Record Decision.
3. You will be presented with the assessments and mitigation sought by the student. Select the appropriate Decision (Approve selected Mitigation / Approve Alternative Mitigation).
4. Select the Approved Mitigation.
5. Enter New Deadline Date (if applicable). You should check that the Deadline Date entered by the student is correct. If the student has put an incorrect Deadline Date, you should amend this here.
6. In the Notes for Student field, you can add any information that you would like the student to see relating to that assessment. For example, you may wish to add a deadline time, or if you have approved a deferral of an assessment to the next occasion you may want to write ‘the department will be in touch with further details on your assessment closer to the time’. You may want to signpost the student support and well-being services here.
Please note that ANY comments written in the ‘Notes for Students’ text box will be VIEWABLE by the student once you publish your decision.
7. When you are ready to communicate the decision and notes to the student, click Save and publish decisions. A notification will be sent to the student immediately: please be mindful of students receiving a notification outside of University working hours in case they have any questions or require further support.
Please note you cannot reverse a decision: the decision is final once you click Save and publish decisions.
Note: If a student submits an EC claim after their official assessment results have been released their EC claim the claim should be rejected. Please direct the student to the academic appeals procedure.
How to reject a claim
1. Locate the claim you wish to review and click Action to open the claim record.
2. Click Record Decision.
3. You will be presented with the assessments and mitigation sought by the student. Select the appropriate Decision (Reject).
4. Do not select any Approved Mitigation or New Deadline Date.
5. Enter the reason for rejection in the Notes for Student field.
Please note that ANY comments written in the ‘Notes for Students’ text box will be VIEWABLE by the student once you publish your decision.
6. When you are ready to communicate the decision and notes to the student, click Save and publish decisions.
Please note you cannot reverse a decision: the decision is final once you’ve clicked this button.
7. When you click ‘Save and Publish’, a notification will be sent to the student immediately: please be mindful of students receiving a notification outside of University working hours in case they have any questions or require further support.
Please note you cannot reverse a decision: the decision is final once you click Save and publish decisions.
How to upload evidence on behalf of a student (FECP Secretary and DECP Secretary only)
The FECP / DECP Secretary can upload evidence on behalf of a student where the student is unable to do so:
Navigate to the Evidence tab on the claim record and select Manage Evidence.
Select Browse and Upload Evidence on the Upload Supporting Evidence screen and then Browse My Computer to select the evidence file and click Next.
Only the following file extensions can be uploaded - .JPEG, .JPG, .PDF, .TIFF, .TIF, .PNG – and the maximum file size is 5MB.
MS documents (Word, Excel and PowerPoint) cannot be uploaded. Please refer to Microsoft’s guidance on how to convert a document to pdf if required.
Note that any documents that you upload will be visible to the student.
Once uploaded, the document will be listed on the Upload Supporting Evidence screen. From here you can view the document / remove a document from the claim / add further evidence or return to the claim screen.
How to amend a completed claim
Before a decision is made on a claim, a student can withdraw and delete their EC claim from the system.
However, once a decision has been made, a claim cannot be deleted but it is possible for the FECP Chair or Secretary to change a decision on a claim.
To do this, you should send the EC code to the FECP chair / secretary who should navigate to the claim record and amend the claim as follows:
- Select Amend completed decision from the EC home page
- Search and access the claim using the claim code
- Click amend
- Change the decision drop down and enter a note in the comments to students field and in the panel comments field to include reason for change of decision
- Click Save amendments
Set up outlook rules to divert daily emails to a designated folder
You can create a rule within MS Outlook to divert your daily Department / Faculty notification email(s) to a folder within your inbox. This may help you to manage and file these emails more easily.
To do this:
1. Open your MS Outlook inbox and create the folder that you wish to divert the emails to by right-clicking on inbox and selecting New Folder…
2. Name the new folder, e.g.:
3. Now in Outlook, click on the email that you wish to create a rule for and then click Rules>Create Rule in the Home ribbon
4. In the Create Rule pop up box, select the “Subject contains” checkbox. This will auto populate with the email subject.
For department panel members, this subject will be “UCL – daily summary of EC claims received from students in your department”
For faculty panel members, this subject will be “UCL – daily summary of EC claims received from students in your faculty”
5. Then click Select Folder and choose the folder that you created for the “Move the item to folder” field.
6.Now Click OK.
You will now receive confirmation that this rule has been set up. Select “Run this rule now on messages already in the current folder” to move existing emails from autoreplystudentrecords@ucl.ac.uk to your new folder.
