Enquiries and Appeals

Transcription

1 Enquiries and Appeals Policy and procedures December 2008 Version 1 City & Guilds Enquiries and Appeals policy (August 2008)

2 About City & Guilds City & Guilds is the UK s leading provider of vocational qualifications, offering over 500 awards across a wide range of industries, and progressing from entry level to the highest levels of professional achievement. With over 8500 centres in 100 countries, City & Guilds is recognised by employers worldwide for providing qualifications that offer proof of the skills they need to get the job done. City & Guilds Group The City & Guilds Group includes ILM (the Institute of Leadership & Management) providing management qualifications, learning materials and membership services and NPTC which offers land-based qualifications and membership services, and HAB (the Hospitality Awarding Body). City & Guilds also manages the Engineering Council Examinations on behalf of the Engineering Council. ILM and NPTC have separate appeals policies which their respective candidates/centres should refer to. Equal opportunities City & Guilds fully supports the principle of equal opportunities and we are committed to satisfying this principle in all our activities and published material. A copy of our equal opportunities policy statement Access to assessment and qualifications is available on the City & Guilds website. Copyright The content of this document is, unless otherwise indicated, The City and Guilds of London Institute 2007 and may not be copied, reproduced or distributed without prior written consent. However, approved City & Guilds centres and learners studying for City & Guilds qualifications may photocopy this document free of charge and/or include a locked PDF version of it on centre intranets on the following conditions: centre staff may copy the material only for the purpose of teaching learners working towards a City & Guilds qualification, or for internal administration purposes learners may copy the material only for their own use when working towards a City & Guilds qualification the Standard Copying Conditions on the City & Guilds website. Please note: National Occupational Standards are not The City and Guilds of London Institute. Please check the conditions upon which they may be copied with the relevant Sector Skills Council. Publications City & Guilds publications are available on the City & Guilds website or from our Publications Sales department at the address below or by telephoning +44 (0) or faxing +44 (0) Every effort has been made to ensure that the information contained in this publication is true and correct at the time of going to press. However, City & Guilds products and services are subject to continuous development and improvement and the right is reserved to change products and services from time to time. City & Guilds cannot accept liability for loss or damage arising from the use of information in this publication. The process for Stage 3 appeals is currently under review. City & Guilds 1 Giltspur Street London EC1A 9DD T +44 (0) F +44 (0) learnersupport@cityandguilds.com City & Guilds Enquiries and Appeals policy (August 2008)

3 Enquiries and Appeals Policy and procedures December 2008 Version 1 City & Guilds Enquiries and Appeals policy (August 2008)

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5 Contents Introduction 1 A Centre or candidate enquiry/appealing against an examination result 3 A1 Enquiry (Stage 1) 3 A2 City & Guilds Group Appeals Board (Stage 2) 5 A3 Independent Appeals Board (Stage 3) 7 B Centre enquiry/appealing against a City & Guilds decision concerning centre/qualification approval or registration/certification status 10 B1 Enquiry (Stage 1) B2 City & Guilds Group Appeals Board (Stage 2) 12 B3 Independent Appeals Board (Stage 3) 14 C Centre/centre staff/candidate appealing against a sanction/decision as a result of a malpractice investigation 16 C2 City & Guilds Group Appeals Board (Stage 2) 16 C3 Independent Appeals Board (Stage 3) 18 Fees 22 Glossary 24 How to contact us 26 City & Guilds Enquiries and Appeals policy (August 2008)

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8 Introduction City & Guilds aims to ensure that all of its assessments and assessment results are fair, consistent and based on valid judgements. However, it recognises that there may be occasions when a centre or a candidate may wish to question a decision made. Where possible candidates should ask their centre to make an enquiry on their behalf. However, candidates may enquire directly to City & Guilds. In the case of assessment decisions made within centres, candidates must go through the centre s own internal appeals procedure. There are three stages of the enquiries and appeals procedure: Enquiry Stage 1 City & Guilds Group Appeals Board Stage 2 Independent Appeals Board Stage 3 In response to an enquiry, City & Guilds looks at the candidate s script, checks the responses, reviews the answers and provides a report on the candidate s areas of weakness in the examination. It should be noted that on review, examination results can decrease as well as increase. In the case of a centre status decision, City & Guilds will carry out remote monitoring and/or visit the centre. If you are not satisfied with the outcome of the enquiry, you may appeal to the City & Guilds Group Appeals Board. The Group Appeals Board will check whether all procedures have been correctly followed. Our aim is to resolve all enquiries/appeals internally. However if you are not satisfied with the outcome of the City & Guilds Group Appeals Board, you have the right to refer your appeal to the Independent Appeals Board. The Independent Appeals Board offers an independent service, reviewing only the process of the Stage 1 and Stage 2 appeal. It will consider the papers submitted and may appoint advisers and/or hear oral evidence representations to inform the final decision. We are committed to resolving your enquiry/appeal fairly and quickly. In most cases this can be done if you contact us as soon as possible, after receiving the examination result or outcome of the external verifier visit/malpractice investigation. There may be exceptional circumstances when it is not possible to reach a decision within the specified timescale. In this case, the appellant will be notified and informed of the date when a decision will be made. City & Guilds Enquiries and Appeals policy (August 2008) 1

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10 A Centre or candidate enquiry against an examination result A1 Enquiry (Stage1) An enquiry to City & Guilds to review an examination result must be received within 60 working days of the date of notification of the result. When an enquiry is requested against an examination result City & Guilds will carry out a review. 1.1 Centre enquiry against an examination result on behalf of candidate(s) A candidate may ask the centre to enquire against their examination result on their behalf. The enquiry must be received by City & Guilds within 60 working days of the notification of the result. The candidate should discuss their case with the centre before the request is made within the time limit. A centre may make an enquiry against examination results on behalf of one or more candidates. The centre must send the following to the Enquiries & Appeals Co-ordinator, Policy, City & Guilds, to be received within 60 working days of the date of notification of the result: completed Form CENEX - available from City & Guilds website ( copy of the official notification of the examination result. 1.2 Candidate enquiry against an examination result A candidate may contact City & Guilds directly to enquire against their examination result. The candidate must send the following to the Enquiries & Appeals Co-ordinator, Policy, City & Guilds, to be received within 60 working days of the date of notification of the result: completed Form CANEX - available from City & Guilds website ( copy of the official notification of their examination result - available from their centre the relevant fee. 1.3 What happens next? City & Guilds will send an acknowledgement letter on receipt of the enquiry. For multiple choice question examinations, including global on-line assessment (GOLA) tests City & Guilds will check the candidate s completed answers against the responses held in our system. This will ensure the scanner or computer correctly picked up and recorded what the candidate marked. We will then check to ensure the correct grade was awarded. For written answer examinations - City & Guilds will check the candidate s answer book to ensure the marks recorded for each question have been allocated and totalled correctly. City & Guilds will then review the candidate s answers and provide a report on the candidate s areas of weakness in the examination. City & Guilds Enquiries and Appeals policy (August 2008) 3

11 City & Guilds will notify the appellant within 32 working days of receipt of the request. 1.4 Outcomes If the decision is to alter the examination result in favour of the appellant, the centre/candidate will be sent a letter of notification. In the case of a candidate enquiry, the fee will be refunded by City & Guilds and the result will be amended. Where appropriate, replacement documentation will be issued without further charge. If the decision confirms the original examination result, the centre/candidate will be sent a letter of notification. In the case of a centre enquiry, City & Guilds will send an invoice for the appropriate fee. Information about appealing to the City & Guilds Group Appeals Board will also be sent. If the decision is to decrease the examination result, the centre/candidate will be sent a letter of notification and the result will be amended. In the case of a centre enquiry, City & Guilds will send an invoice for the appropriate fee. Information about appealing to the City & Guilds Group Appeals Board will also be sent. 4 City & Guilds Enquiries and Appeals policy (August 2008)

12 A Centre or candidate enquiry against an examination result A2 City & Guilds Group Appeals Board (Stage 2) An appeal to the City & Guilds Group Appeals Board must be received within 10 working days of the notification of the outcome of the enquiry. The City & Guilds Group Appeals Board has the following members: the Director-General (Chair) or his representative a member of the City & Guilds Council appointed by the Council one other member: either a Director or senior manager with no direct interest in the case, or a senior representative from a City & Guilds partner appointed by the Director-General. If a centre or candidate is not satisfied with the outcome of their enquiry, they may appeal to the City & Guilds Group Appeals Board. The City & Guilds Group Appeals Board will review an appeal only when it has been through a City & Guilds enquiry. The City & Guilds Group Appeals Board reviews the process only. They will consider whether the correct procedures were followed consistently during the enquiry and whether they were applied properly and fairly in arriving at judgements. The City & Guilds Group Appeals process is not concerned with making judgements about candidates work. It is not authorised to remark candidates work nor can it change grades or marks previously issued. If it finds the correct procedures were not followed by the enquiry, the appeal will be referred back to them for remedial action. 2.1 Centre appealing against an examination result on behalf of candidate(s) A candidate may ask the centre to appeal to the City & Guilds Group Appeals Board on their behalf. The centre must send the following to the City & Guilds Group Appeals Board, to be received within 10 working days of the date of notification of their enquiry: completed Form GABEX - included with their letter of notification from the enquiry. 2.2 Candidate appealing against an examination result If a candidate is appealing directly, they must send the following to the City & Guilds Group Appeals Board, to be received within 10 working days of the date of notification of their enquiry: completed Form GABEX - included with their letter of notification from the enquiry. the relevant fee. City & Guilds Enquiries and Appeals policy (August 2008) 5

13 2.3 What happens next? The City & Guilds Group Appeals Board will send an acknowledgement letter on receipt of the appeal. In the case of a centre appeal, City & Guilds will send an invoice to the centre for the appropriate fee. The City & Guilds Group Appeals Board will consider the information provided and establish whether all procedures have been correctly followed. They may make further enquiries for information from the candidate(s) or centre, examiners or staff as necessary. The City & Guilds Group Appeals Board will notify the appellant of the outcome within 25 working days of the date of the acknowledgement letter. 2.4 Outcome If the City & Guilds Group Appeals Board find that the appropriate procedures have not been followed, they will inform the appellant and refer the appeal back to the appropriate enquiry. They will recommend remedial action to those responsible for the enquiry. The total fee will be refunded by City & Guilds. If the decision confirms the appeals process is appropriate and has been followed correctly, the centre/candidate will be sent a letter of notification. Information about appealing further to the Independent Appeals Board will also be sent. 6 City & Guilds Enquiries and Appeals policy (August 2008)

14 A Centre or candidate enquiry against an examination result A3 Independent Appeals Board (Stage 3) An appeal to the Independent Appeals Board must be received within 15 working days of the notification of the City & Guilds Group Appeals Board appeal (Stage 2). The Independent Appeals Board exists to ensure that in the very few cases where disputes cannot be resolved between centres or candidates and City & Guilds, there is a fully independent avenue of appeal. The Independent Appeals Board has three members from the independent Quality and Standards Committee of City and Guilds of London Institute. The terms of reference of the Independent Appeals Board are available to download from City & Guilds website If a centre or candidate is not satisfied with the outcome following the City & Guilds Group Appeals Board, they may appeal to the Independent Appeals Board. The Independent Appeals Board will hear an appeal, only when the City & Guilds enquiry and stage 2 appeals process have been completed. The application form for the Independent Appeals Board must contain a clear, sound reason why the appellant considers that City & Guilds did not follow the due process and for escalating the appeal to this external review. The reason must be stated comprehensively in the application form so that the chair of the independent Quality and Standards Committee of City and Guilds of London Institute is able to assess the justification for continuing. The decision on whether there is due cause to proceed will rest with the chair. The Independent Appeals Board reviews the process only, and will draw upon the facts of the enquiry at Stage 1 and appeal at Stage 2. They will consider whether City & Guilds has used procedures which are consistent (with regulatory authorities Code of Practice where relevant) and whether it has applied them properly and fairly in arriving at judgements. The Independent Appeals Board is not concerned with making judgements about candidates work. It is not authorised to remark candidates work nor can it change grades or marks issued by City & Guilds. If it finds the correct procedures were not followed, it has powers to direct City & Guilds to reconsider a case and may offer recommendations. The Independent Appeals Board is the final avenue of appeals for centres and candidates and its decisions therefore are final. 3.1 Centre appealing against an examination result on behalf of candidate(s) A candidate may ask the centre to appeal to the Independent Appeals Board on their behalf. A centre must send the following to the Independent Appeals Board, to be received within 15 working days of the notification of their City & Guilds Group Appeals Board appeal: completed Form IAB - included in their letter of notification from City & Guilds Group Appeals Board. 3.2 Candidate appealing against an examination result City & Guilds Enquiries and Appeals policy (August 2008) 7

15 If a candidate is appealing directly, they must send the following to the Independent Appeals Board, to be received within 15 working days of the notification of their City & Guilds Group Appeals Board appeal: completed Form IAB - included with their letter of notification from City & Guilds Group Appeals Board the relevant fee. 3.3 What happens next? The chair of the independent Quality and Standards Committee will review the application and ascertain whether there is due cause for the appeal to go to the Independent Appeals Board. The appellant will be notified in writing if the application does not go forward. If the appeal goes to the Independent Appeals Board, the clerk will send an acknowledgement letter on receipt of the appeal. In the case of a centre appeal, City & Guilds will send an invoice to the centre for the appropriate fee. The Independent Appeals Board will request from both parties full documentation on action taken in the case and any further evidence. Once the confirmation of the Stage 3 appeal is received, then there should be no further communication or correspondence between the centre/candidate and City & Guilds regarding the case. When the Independent Appeals Board meet, they will consider the information provided and establish whether all procedures have been correctly followed. They will make further enquiries for information from the candidate(s) or centre, examiners or staff as necessary. A hearing will be arranged at the earliest possible date. The Independent Appeals Board will not hear an appeal in the absence of personal representation of both parties to the appeal. It will require the names and status and/or interest of the representatives and witnesses, normally not more than three in all per party, who will attend the hearing. The opportunity to question the representatives of the two sides is an important part of the Independent Appeals Board hearing and it is for this reason that they insist they be actually present at the hearing. However, the Independent Appeals Board is not a court of law and appellants should not feel the need to be legally represented. If either party wishes to be accompanied by a lawyer, the other party and the Independent Appeals Board should be informed at least one week prior so that they too may have the opportunity to seek legal advice. The Independent Appeals Board will notify the appellant within 5 working days of their decision following the hearing. 3.4 Outcome If the Independent Appeals Board finds that the appropriate procedures have not been followed, they will inform the appellant and refer the appeal back to the appropriate City & Guilds review group. They will recommend remedial action to City & Guilds Group Appeals Board and quality review group as necessary. The total fee will be refunded by City & Guilds. If the decision confirms that the appeals process is appropriate and has been followed correctly, the centre/candidate will be sent a letter of notification. If a centre appeals on behalf of more than one candidate and the Independent Appeals Board upholds some but not all of the appeals, the appropriate proportion of the hearing fee will be invoiced, proportionate to the number of appeals upheld. 8 City & Guilds Enquiries and Appeals policy (August 2008)

16 The decision of the Independent Appeals Board is final and binding. City & Guilds Enquiries and Appeals policy (August 2008) 9

17 B Centre enquiry against a City & Guilds decision concerning centre/qualification approval or registration/ certification status B1 Enquiry (Stage 1) An enquiry to City & Guilds against a decision concerning centre/qualification approval or registration/certification status must be received within 20 working days of the date of notification. A centre may ask for a review of a decision by City & Guilds that relates to centre approval, qualification approval or registration/certification status. Centres should contact their regional/national office in the first instance. Details will be checked against external verifier/external assessor/moderator reports and other relevant documentation. If there is clear evidence that the decision is valid and/or maps directly to City & Guilds policies and/or the regulatory authorities Code of Practice, if appropriate, there will be no case for an enquiry. City & Guilds will make every effort to resolve the issue by means of discussion and agreement between the centre and the external verifier/external assessor/moderator without an official enquiry. 4.1 Centre requesting an enquiry If the centre is not satisfied with the outcome following these conversations, they must send the following to the Investigations and Appeals Co-ordinator, Review & Regulation, City & Guilds, to be received within 20 working days of the date of notification: completed Form CENAP - available from City & Guilds website ( 4.2 What happens next? City & Guilds will send an invoice to the centre for the relevant fee and send an acknowledgement letter on receipt of the completed application form. This will state the date of receipt and the date when the centre will be notified of the outcome. A full enquiry will be conducted by an enquiry team specified by City & Guilds. Member(s) of the enquiry team may visit the centre. The centre must provide the enquiry team with reasonable facilities for inspecting any work done and documentation held at the centre relevant to the decision under enquiry. Refusal to provide such facilities will be taken into consideration by City & Guilds when making the enquiry decision. City & Guilds will notify the centre of the review decision within 25 working days of the date of the acknowledgement letter. 4.3 Outcome If the decision is to alter the original decision in favour of the appellant, the centre will be sent a letter of notification. The fee will be refunded by City & Guilds. 10 City & Guilds Enquiries and Appeals policy (August 2008)

18 If the decision confirms the original decision, the centre will be sent a letter of notification. Information about appealing further to the City & Guilds Group Appeals Board will also be sent. City & Guilds Enquiries and Appeals policy (August 2008) 11

19 B Centre enquiry against a City & Guilds decision concerning centre/qualification approval or registration/ certification status B2 City & Guilds Group Appeals Board (Stage 2) An appeal to the City & Guilds Group Appeals Board must be received within 10 working days of the notification of the enquiry. The City & Guilds Group Appeals Board has the following members: the Director-General (Chair) or his representative a member of the City & Guilds Council appointed by the Council one other member: either a Director or senior manager with no direct interest in the case, or a senior representative from a City & Guilds partner appointed by the Director-General. If a centre is not satisfied with the outcome of their enquiry, they may enquire to the City & Guilds Group Appeals Board. The City & Guilds Group Appeals Board will review an appeal only when it has been through a City & Guilds enquiry. The City & Guilds Group Appeals Board reviews the process only. They will consider whether the correct procedures were followed consistently by the enquiry and whether they were applied properly and fairly in arriving at judgements. The City & Guilds Group Appeals process is not concerned with making judgements about centre/qualification approval or registration/certification status. It is not authorised to give/remove approval to City & Guilds centres. If it finds the correct procedures were not followed by the enquiry, the appeal will be referred back to them for remedial action. 5.1 Centre appealing against a City & Guilds decision concerning centre/qualification approval, registration/certification status The centre must send the following to the City & Guilds Group Appeals Board, to be received within 10 working days of the date of notification of their enquiry: completed Form GABAP - included with their letter of notification from the enquiry. 5.2 What happens next? The City & Guilds Group Appeals Board will send an invoice to the centre for the appropriate fee and send an acknowledgement letter on receipt of the appeal. The City & Guilds Group Appeals Board will consider the information provided and establish whether all procedures have been correctly followed. It will make further enquiries for information from the centre as necessary. The City & Guilds Group Appeals Board will notify the appellant of the outcome within 25 working days of the date of the acknowledgement letter. 12 City & Guilds Enquiries and Appeals policy (August 2008)

20 5.3 Outcome If the City & Guilds Group Appeals Board find that the appropriate procedures have not been followed, they will inform the appellant and refer the appeal back to the appropriate enquiry. They will recommend remedial action to those responsible for the enquiry. The total fee will be refunded by City & Guilds. If the decision confirms the appeals process is appropriate and has been followed correctly, the centre will be sent a letter of notification. Information about appealing further to the Independent Appeals Board will also be sent. City & Guilds Enquiries and Appeals policy (August 2008) 13

21 B Centre enquiry against a City & Guilds decision concerning centre/qualification approval or registration/ certification status B3 Independent Appeals Board (Stage 3) An appeal to the Independent Appeals Board must be received within 15 working days of the notification of the City & Guilds Group Appeals Board appeal (Stage 2). The Independent Appeals Board exists to ensure that in the very few cases where disputes cannot be resolved between centres or candidates and City & Guilds, there is a fully independent avenue of appeal. The Independent Appeals Board has three members from the independent Quality and Standards Committee of City and Guilds of London Institute. The terms of reference of the Independent Appeals Board are available to download from City & Guilds website If a centre or candidate is not satisfied with the outcome following the City & Guilds Group Appeals Board, they may appeal to the Independent Appeals Board. The Independent Appeals Board will hear an appeal only when the entire City & Guilds appeals process has been completed. The application form for the Independent Appeals Board must contain a clear, sound reason why the appellant considers that City & Guilds did not follow the due process and for escalating the appeal to this external review. The reason must be stated comprehensively in the application form so that the chair of the independent Quality and Standards Committee of City and Guilds of London Institute is able to assess the justification for continuing. The decision on whether there is due cause to proceed will rest with the chair. The Independent Appeals Board reviews the process only, and will draw upon the facts of the enquiry at Stage 1and appeal at Stage 2. They will consider whether City & Guilds has used procedures which are consistent (with regulatory authorities Code of Practice where relevant) and whether it has applied them properly and fairly in arriving at judgements. The Independent Appeals Board is not concerned with making judgements about centre/qualification approval or registration/certification status. It is not authorised to give/remove approval to City & Guilds centres. If it finds the correct procedures were not followed, it has powers to direct City & Guilds to reconsider a case and may offer recommendations. The Independent Appeals Board is the final avenue of appeals for centres and candidates and its decisions therefore are final. 6.1 Centre appealing against a City & Guilds decision concerning centre/qualification approval, registration/certification status The centre must send the following to the Independent Appeals Board, to be received within 15 working days of the date of notification of their Stage 2 appeal: completed Form IAB - included with their letter of notification from Stage City & Guilds Enquiries and Appeals policy (August 2008)

22 6.2 What happens next? The chair of the independent Quality and Standards Committee will review the application and ascertain whether there is due cause for the appeal to go to the Independent Appeals Board. The appellant will be notified in writing if the application does not go forward. If the appeal goes to the Independent Appeals Board, the clerk will send an invoice to the centre for the appropriate fee and an acknowledgement letter on receipt of the appeal. The Independent Appeals Board will request from both parties full documentation on action taken in the case and any further evidence. Once the confirmation of the Stage 3 appeal is received, then there should be no further communication or correspondence between the centre/candidate and City & Guilds regarding the case. When the Independent Appeals Board meet, they will consider the information provided and establish whether all procedures have been correctly followed. They will make further enquiries for information from the centre, external verifiers or staff as necessary. A hearing will be arranged at the earliest possible date. The Independent Appeals Board will not hear an appeal in the absence of personal representation of both parties to the appeal. It will require the names and status and/or interest of the representatives and witnesses, normally not more than three in all per party, who will attend the hearing. The opportunity to question the representatives of the two sides is an important part of the Independent Appeals Board hearing and it is for this reason that they insist they be actually present at the hearing. However, the Independent Appeals Board is not a court of law and appellants should not feel the need to be legally represented. If either party wishes to be accompanied by a lawyer, the other party and the Independent Appeals Board should be informed at least one week prior so that they too may have the opportunity to seek legal advice. The Independent Appeals Board will notify the appellant within 5 working days of their decision following the hearing. 6.3 Outcome If the Independent Appeals Board finds that the appropriate procedures have not been followed, they will inform the appellant and refer the appeal back to the appropriate City & Guilds review group. They will recommend remedial action to City & Guilds Group Appeals Board and quality review group as necessary. The total fee will be refunded. If the decision confirms that the appeals process is appropriate and has been followed correctly, the centre will be sent a letter of notification. The decision of the Independent Appeals Board is final and binding. City & Guilds Enquiries and Appeals policy (August 2008) 15

23 C Centre/centre staff/candidate appealing against a sanction/decision as a result of a malpractice investigation C2 City & Guilds Group Appeals Board (Stage 2) An appeal to the City & Guilds Group Appeals Board to review a sanction/decision resulting from a malpractice investigation must be received within 10 working days of the date of notification of the decision. A malpractice investigation consists of a quality review, which is in effect the enquiry. If a centre/centre staff/candidate is not satisfied with the outcome of the investigation, they may appeal to the City & Guilds Group Appeals Board. The City & Guilds Group Appeals Board has the following members: the Director-General (Chair) or his representative a member of the City & Guilds Council appointed by the Council one other member: either a Director or senior manager with no direct interest in the case, or a senior representative from a City & Guilds partner appointed by the Director-General. The City & Guilds Group Appeals Board will review an appeal only when it has been through a City & Guilds enquiry/malpractice investigation. The City & Guilds Group Appeals Board reviews the process only. They will consider whether the correct procedures were followed consistently by the quality review and whether they were applied properly and fairly in arriving at judgements. The City & Guilds Group Appeals process is not concerned with making judgements about a sanction/decision as a result of malpractice investigation. It is not authorised to give/remove approval to City & Guilds centres. If it finds the correct procedures were not followed during the malpractice investigation, the appeal will be referred back to the Review & Regulation team for remedial action. 7.1 Centre appealing against a sanction/decision as a result of a malpractice investigation A centre may appeal against a sanction/decision regarding centre/qualification approval or registration/certification status which has been imposed following a malpractice investigation. They may also appeal on behalf of a staff member or candidate who has had a sanction/decision imposed on them following any such investigation. The centre must send the following to the City & Guilds Group Appeals Board, to be received within 10 working days of the date of notification of their malpractice investigation: completed Form GABAP - included with their letter of notification from the Review & Regulation team. 7.2 Centre staff appealing against a sanction/decision as a result of a malpractice investigation 16 City & Guilds Enquiries and Appeals policy (August 2008)

24 An individual member of staff from a centre may appeal against a sanction/decision against themselves. They must send the following to the City & Guilds Group Appeals Board within 10 working days of the date of notification of their malpractice investigation: completed Form GABAP - included with the letter of notification from the Review & Regulation team the relevant fee. 7.3 Candidate(s) appealing against a sanction/decision as a result of a malpractice investigation A candidate may also appeal against a sanction/decision imposed on them following a malpractice investigation. They must send the following to the City & Guilds Group Appeals Board within 10 working days of the date of notification of their malpractice investigation: completed Form GABAP - included with the letter of notification from the Review & Regulation team the relevant fee. 7.4 What happens next? In the case of a centre appeal, City & Guilds will send an invoice to the centre for the appropriate fee. The City & Guilds Group Appeals Board will send an acknowledgement letter on receipt of the appeal. This will state the date of receipt and the date when the appellant will be notified of the outcome The City & Guilds Group Appeals Board will consider the information provided and establish whether all procedures have been correctly followed. They may make further enquiries for information from the centre as necessary. City & Guilds Group Appeals Board will notify the appellant of the outcome within 25 working days of the date of the acknowledgement letter. 7.5 Outcome If the City & Guilds Group Appeals Board finds that the appropriate procedures have not been followed, they will inform the centre/centre staff/candidate and refer the appeal back to the Review & Regulation team. They will recommend remedial action. The total fee will be refunded by City & Guilds. If the decision confirms the process is appropriate and has been followed correctly, the centre/centre staff/candidate will be sent a letter of notification. Information about appealing further to the Independent Appeals Board will also be sent. City & Guilds Enquiries and Appeals policy (August 2008) 17

25 C Centre/centre staff/candidate appealing against a sanction/decision as a result of a malpractice investigation C3 Independent Appeals Board (Stage 3) An appeal to the Independent Appeals Board must be received within 15 working days of the date of notification of City & Guilds Group Appeals Board appeal (Stage 2). The Independent Appeals Board exists to ensure that in the very few cases where disputes cannot be resolved between centres or candidates and City & Guilds, there is a fully independent avenue of appeal. The Independent Appeals Board has three members from the independent Quality and Standards Committee of City and Guilds of London Institute. The terms of reference of the Independent Appeals Board are available to download from City & Guilds website If a centre or candidate is not satisfied with the outcome following the City & Guilds Group Appeals Board, they may appeal to the Independent Appeals Board. The Independent Appeals Board will hear an appeal only when the entire City & Guilds appeals process has been completed. The application form for the Independent Appeals Board must contain a clear, sound reason why the appellant considers that City & Guilds did not follow due process and for escalating the appeal to this external review. The reason must be stated comprehensively in the application form so that the chair of the independent Quality and Standards Committee of City and Guilds of London Institute is able to assess the justification for continuing. The decision on whether there is due cause to proceed will rest with the chair. The Independent Appeals Board reviews the process only, and will draw upon the facts of the original investigation and appeal at Stage 2. They will consider whether City & Guilds has used procedures which are consistent (with regulatory authorities Code of Practice where relevant) and whether it has applied them properly and fairly in arriving at judgements. The Independent Appeals Board is not concerned with making judgements about centre/qualification approval or registration/certification status. It is not authorised to give/remove approval to City & Guilds centres. If it finds the correct procedures were not followed, it has powers to direct City & Guilds to reconsider a case and may offer recommendations. The Independent Appeals Board is the final avenue of appeals for centres and candidates and its decisions therefore are final. 8.1 Centre appealing against a sanction/decision as a result of a malpractice investigation A centre may appeal against a sanction/decision regarding centre/qualification approval or registration/certification status which has been imposed following a malpractice investigation. They may also appeal on behalf of a staff member or candidate who has had a sanction/decision imposed on them following any such investigation. 18 City & Guilds Enquiries and Appeals policy (August 2008)

26 The centre must send the following to the Independent Appeals Board, to be received within 15 working days of the date of notification of their Stage 2 appeal: completed Form IAB - included with their letter of notification from the Review & Regulation team the relevant fee. 8.2 Centre staff appealing against a sanction/decision as a result of a malpractice investigation An individual member of staff from a centre may appeal against a sanction/decision against themselves. They must send the following to the Independent Appeals Board, to be received within 15 working days of the date of notification of their Stage 2 appeal: completed Form IAB (included with the letter of notification from the Review & Regulation team the relevant fee. 8.3 Candidate(s) appealing against a sanction/decision as a result of a malpractice investigation A candidate may also appeal against a sanction/decision imposed on them following a malpractice investigation. They must send the following to the Independent Appeals Board to be received within 15 working days of the date of notification of their Stage 2 appeal: completed Form IAB - included with the letter of notification from the Review & Regulation team the relevant fee. 8.4 What happens next? The chair of the independent Quality and Standards Committee will review the application and ascertain whether there is due cause for the appeal to go to the Independent Appeals Board. The appellant will be notified in writing if the application does not go forward. If the appeal goes to the Independent Appeals Board, the clerk will send an invoice to the centre for the appropriate fee and an acknowledgement letter on receipt of the appeal. The Independent Appeals Board will request from both parties full documentation on action taken in the case and any further evidence. Once the confirmation of the Stage 3 appeal is received, then there should be no further communication or correspondence between the centre/candidate and City & Guilds regarding the case. When the Independent Appeals Board meet, they will consider the information provided and establish whether all procedures have been correctly followed. They will make further enquiries for information from the centre, candidate or staff as necessary. A hearing will be arranged at the earliest possible date. The Independent Appeals Board will not hear an appeal in the absence of personal representation of both parties to the appeal. It will require the names and status and/or interest of the representatives and witnesses, normally not more than three in all per party, who will attend the hearing. The opportunity to question the representatives of the two sides is an important part of the Independent Appeals Board hearing and it is for this reason that they insist they be actually present at the hearing. However, the Independent Appeals Board is not a court of law and appellants should not feel the need to be legally represented. If either party wishes to be accompanied by a lawyer, the other party and the Independent Appeals Board should be informed at least one week prior so that they too may have the opportunity to seek legal advice. City & Guilds Enquiries and Appeals policy (August 2008) 19

27 The Independent Appeals Board will notify the appellant within 5 working days of their decision following the hearing. 8.5 Outcome If the Independent Appeals Board finds that the appropriate procedures have not been followed, they will inform the appellant and refer the appeal back to the appropriate City & Guilds review group. They will recommend remedial action to City & Guilds Group Appeals Board and quality review group as necessary. The total fee will be refunded by City & Guilds. If the decision confirms that the appeals process is appropriate and has been followed correctly, the centre will be sent a letter of notification. The decision of the Independent Appeals Board is final and binding. 20 City & Guilds Enquiries and Appeals policy (August 2008)

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29 Fees A fee to cover administration costs will be charged at each stage of appeal. The fee will only be refunded where the outcome of the appeal is to alter the original decision in favour of the appellant. Stage 1 - Enquiry Individual candidate fees 50 Enquiry against an examination result Centre fees 50 Enquiry against an examination result per candidate, per component (for up to 20 candidates) 100 for every additional group of up to 10 candidates per component 10 for each additional candidate in the same examination batch 300 Enquiry against a City & Guilds decision concerning centre/qualification approval or registration/certification status. Stage 2 - City & Guilds Group Appeals Board Individual candidate fees 50 Appealing against an examination result 25 Appealing against a sanction/decision as a result of a malpractice investigation Centre fees 100 Appealing against examination results per 5 candidates 100 Appealing against a City & Guilds decision concerning centre/qualification approval or registration/certification status 300 Appealing against a sanction/decision as a result of a malpractice investigation. Stage 3 Independent Appeals Board Individual candidate fees 75 Appealing against an examination result Centre fees 150 Appealing against examination results per 5 candidates 150 Appealing against a City & Guilds decision concerning centre/qualification approval or registration/certification status 150 Appealing against a sanction/decision as a result of a malpractice investigation. Please make cheques payable to City & Guilds. 22 City & Guilds Enquiries and Appeals policy (August 2008)

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31 Glossary Appellant An appellant is a candidate, a centre acting on behalf of a candidate seeking to appeal, a centre or centre staff appealing against a City & Guilds decision. Candidate A candidate is an individual who is registered with City & Guilds and working towards a full or part qualification at an approved assessment centre. Centre A centre is an organisation approved by City & Guilds to offer assessments leading to City & Guilds qualifications. Notify/Notification This refers to the passing of information concerning an examination, investigation, enquiry or appeal, to a candidate or centre or City & Guilds. The candidate is deemed to have been notified when the information has been sent to the address, contact number or nominee given by the candidate to the centre or City & Guilds, either immediately if by electronic means, or after the lapse of three working days from the advertised time of collection by post within the United Kingdom or the length of time agreed if by post elsewhere or by other means. Working day A working day is any day other than Saturday or Sunday or a statutory holiday. 24 City & Guilds Enquiries and Appeals policy (August 2008)

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33 How to contact us Stage 1 Enquiries Against examination results: Enquiries & Appeals Co-ordinator Policy City & Guilds 1 Giltspur Street London EC1A 9DD policy@cityandguilds.com Telephone: Facsimile: Against City & Guilds decision concerning centre/qualification approval or registration/certification status: Investigations and Appeals Co-ordinator Review & Regulation City & Guilds 1 Giltspur Street London EC1A 9DD I&ACo-ordinator@cityandguilds.com Telephone: Stage 2 appeals Clerk to City & Guilds Group Appeals Board c/o Investigations and Appeals Manager Review & Regulation City & Guilds 1 Giltspur Street London EC1A 9DD I&ACo-ordinator@cityandguilds.com Telephone: Stage 3 appeals Clerk to the Independent Appeals Board c/o Team Manager, Review & Regulation City & Guilds 1 Giltspur Street London EC1A 9DD I&ACo-ordinator@cityandguilds.com Telephone: City & Guilds regional/national offices See City & Guilds website for details 26 City & Guilds Enquiries and Appeals policy (August 2008)

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36 Published by City & Guilds 1 Giltspur Street London EC1A 9DD T +44 (0) F +44 (0) City & Guilds is a registered charity established to promote education and training City & Guilds Enquiries and Appeals policy (August 2008) 29