Appeals Policy - OCN Eastern Region

Appeals Policy
Introduction
This policy is aimed at recognised centres who are delivering and learners who
are registered on Gateway Qualifications regulated qualifications or units or
courses within or outside the UK. It sets out the steps to follow when submitting
appeals about results, assessment methods and Gateway Qualifications’
decisions (set out on page 2) and the steps the organisation will follow when
reviewing the cases, in order that appeals can be received, considered and
resolved fairly.
Learners who wish to appeal about their assessment results or about a decision
affecting their learning should either be supported by their centre or should have
exhausted their centre’s own appeals process before appealing to Gateway
Qualifications. In the latter case, learners must provide Gateway Qualifications
with evidence that they have first appealed to their centre.
The Centre’s responsibility
It is important that Centre staff involved in the management, assessment and
quality assurance of Gateway Qualifications regulated qualifications or units or
courses, and learners, are fully informed of the contents of the policy.
Centres must have internal appeal arrangements which learners can access if
they wish to appeal against a decision taken by centres, which will include a
named contact at the centre. These arrangements have to be transparent and
accessible in order that appeals from learners can be received, considered and
resolved fairly.
On their centre visits, Gateway Qualifications Quality Reviewers / Centre
Moderators may check, from time to time, that centre staff and learners are aware
of the contents and purpose of this policy.
Review arrangements
Gateway Qualifications will review the policy annually as part of the selfevaluation
arrangements and revise it as and when necessary in response to
centre and learner feedback, changes in internal practices, or requests from, or
good practice guidance issued by, the regulatory authorities (e.g. to align with any
appeals and complaints process established by the regulatory authorities such as
Ofqual or QAA).
If you would like to feedback any views please use the contact details provided at
the end of this policy.
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Appeals Policy
Fees
Gateway Qualifications will only charge centres or learners a fee to cover the
administrative and personnel costs in the following instances:
If the appeal about a result is not upheld.
Centre Fee: £50 per group.
Learner Fee: £25 per appeal.
Areas covered by the policy
Appeals relating to Ofqual regulated qualifications:
Appeals from learners and/or centres in relation to an assessment
result/decision on the basis that Gateway Qualifications did not apply
procedures consistently or those procedures were not followed properly
and fairly.
Appeals from centres and/or learners relating to a Gateway Qualifications
decision to decline a centre’s request to make reasonable adjustment or
give special considerations.
Appeals from centres and/or learners in relation to the application by
Gateway Qualifications of a sanction/action on a centre resulting from an
external quality assurance visit or an investigation into malpractice or
maladministration or a decision to amend a learner/set of learners’ results
following a malpractice or maladministration investigation.
Appeals relating to QAA regulated Access to HE Diplomas:
The grounds for appeal about the award of credits or grades on the Access to HE
Diploma are restricted to:
Evidence of administrative or procedural error.
Extenuating circumstances that, for good reason, could not be notified
prior to the awards board.
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Appeals Policy
Appeal procedure
Stage 1
Centres and learners have 4 weeks from the date of the decision which is being
appealed against in which to lodge an appeal – this includes assessment results.
Hence centres need to retain course and assessment evidence in line with
timescales set out in the Centre recognition requirements.
Please complete the Gateway Qualifications appeals form, which is available
from the website or on request from Gateway Qualifications. Alternatively, reports
may be submitted accompanied with documents and supporting evidence.
Reports must include:
o Centre name, address and Centre reference number.
o Learner’s name and Gateway Qualifications registration number.
o Date(s) the centre or the learner received notification of Gateway
Qualifications’ decision.
o Title and number of the Gateway Qualifications qualification
affected or nature of service affected.
o Full nature of the appeal.
o Contents and outcome of any investigation carried out by the centre
or the learner relating to the issue.
o Date of the report and the appellant’s name, position and signature.
Gateway Qualifications will acknowledge all appeals within 2 working days of
receipt.
Gateway Qualifications will undertake an initial, informal assessment of all
potential appeals to ensure the application is complete and to ascertain if the
issue can be resolved before it goes to a formal appeal. In all instances Gateway
Qualifications will ensure that the person carrying out this initial check will not
have a personal interest in the decision being appealed.
Following the initial review of the potential appeal Gateway Qualifications will
write to the appellant with details of the decision to either:
1. Amend the original decision in light of the new rationale/evidence being put
forward and which has now been reviewed.
2. Confirm the original decision and in doing so provide the rationale for this
decision and request confirmation, within 15 days, whether this decision is
accepted or, if requested, to proceed to the formal appeals process which
will be carried out by an independent party.
Please note that in some cases the review processes may take longer, for
example, if a centre visit is required. In such instances, Gateway Qualifications
will contact all parties concerned to inform them of the likely revised timescale.
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Appeals Policy
Stage 2
If centres or learners are dissatisfied with the outcome of the initial review of the
appeal, they may proceed to the independent appeal stage and Gateway
Qualifications will arrange for an independent review to be carried out.
This will be carried out by someone who is not an employee, an assessor
working, or otherwise connected to Gateway Qualifications. They will be
someone with the relevant competence to make a decision in relation to the
appeal and will not have a personal interest in the decision being appealed.
The Independent Reviewer will review all the evidence which was submitted in
the above stages from the centre and review whether Gateway Qualifications has
applied procedures fairly, appropriately and consistently in line with the policy.
The independent review process may involve:
A discussion with the appellant or the learner and Gateway Qualifications
personnel.
A request for further information from the appellant, the learner or Gateway
Qualifications personnel.
A centre visit by authorised Gateway Qualifications personnel.
The Independent Reviewer’s decision is final in relation to how Gateway
Qualifications will rule on appeals and the outcome of the review confirmed within
20 days of receipt of the review request. If the centre/learner is still unhappy with
the outcome at this stage they are entitled to raise the matter with the relevant
qualification regulator (e.g. Ofqual or QAA).
Situations brought to Gateway Qualifications’ attention by Ofqual or QAA
Where Ofqual or QAA notifies Gateway Qualifications of failures that have been
discovered in the assessment process of another awarding organisation,
Gateway Qualifications will review whether or not a similar failure could affect
assessment processes and arrangements.
Successful appeals
In situations where an appeal has been successful, or where an investigation
following notification from Ofqual indicates a failure of processes, Gateway
Qualifications will give due consideration to the outcome and will, as appropriate,
take actions such as:
Amend the profile record of the centre concerned.
Identify any other learners who have been affected and correct or, where it
cannot be corrected, mitigate as far as possible the effect of the failure
(e.g. amend the results for the learner(s) affected following an appropriate
investigation).
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Appeals Policy
Undertake a review of internal processes and procedures, to ensure that
the failure does not occur again or mitigate the situation as far as possible
if the failure that occurred cannot be corrected.
Gateway Qualifications will cooperate with any follow-up investigations required
by the qualifications regulators (e.g. Ofqual or QAA) and, if appropriate, agree
any remedial action.
Monitoring
Gateway Qualifications’ Quality and Standards and Access to HE Committees will
be responsible for monitoring the effectiveness of the appeals process. Summary
reports will be submitted to enable the Committees to review the effectiveness of
the process and, where appropriate, monitor changes to the policy and
procedures.
Contact details
If you wish to discuss any aspect of this policy and/or have a related query please
contact the support team by:
Telephone: 01206 873023
Email:
customer.services@gatewayqualifications.org.uk
Fax: 01206 873956
Post:
Gateway Qualifications, John Tabor Building, University of
Essex, Colchester, Essex, CO4 3SQ.
Version: 3.2
Board approval: March 2014
Policy author: Director of Quality
Review Date: March 2015
Ofqual General Conditions of Recognition
Condition I1: Appeals process
QAA licensing criteria
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