1.0 Appeals Policy

1.1 Introduction

This document contains the policy and procedures in place, for use by learners, should they wish to appeal against an assessment decision, which affects them. The policy is independent and designed to reflect the principles of natural justice, individuals' rights under the Human Rights Act, and to be transparent and timely. All appeals will be treated impartially and will not impact in any way on future assessment decisions on individual cases. The appeal process will be handled on a confidential basis.

However, learners are strongly encouraged to pursue any complaint or grievance through informal channels, before following the formal procedures. Experience has shown that many complaints can be resolved satisfactorily through informal communication.

Learners should note that there are strict time limits for notifying Sports Leaders UK and lodging appeals. An appeal fee is payable as detailed in section 2.0 Appeals Procedures and section 4.1 Charging and Costs.

1.2 Definition of an appeal

A request for a review of an assessment outcome determined by the Approved Assessment Centre (AAC) in its role as a decision making body on learner's achievement as laid out within the respective course syllabus.

1.3 Principles of assessment

Learners are reminded of the following:

Assessment is a matter of judgement
Disagreement with an assessment judgement is not grounds for appeal
The learner should draw any problems to Sports Leaders UK attention at the earliest opportunity, seek advice and take corrective action.

1.4 Grounds for appeal

The grounds for appeal generally fall into one of four main types.

Administrative or procedural error.
A learner questions his/her assessment of his/her performance (on an observation assessment, an examination paper, project, course assignment, etc.).
A learner questions his/her assessment of his/her performance on a piece of work or in a course and alleges error or injustice on grounds other than the assessment judgement of his/her works, such as:
- the method of assessment was not fair and reasonable in the circumstances;
- the assessor was biased or prejudiced against the learner;
- the assessor deviated substantially from the course outline without reasonable notice.
A learner believes that the decision of the AAC or the action of a member of staff affecting some aspect of his/her life, not necessarily related to courses or to programme requirements has not been fair, just or reasonable.

Where the outcome of an appeal brings into question the accuracy of results for other learners Sports Leaders UK will take steps to protect the interests of all learners.

2.0 Appeals Procedures

There are three separate appeal stages following the Quality Assurance Manager's (QAM) decision to accept the application for an appeal. Stage 1 consists of a review by the Tutor/Assessor and Internal Verifier. A learner dissatisfied by this review may request a Stage 2 appeal, which is a review by the respective National Appeals Panel. A learner, who is dissatisfied by this review, may request a Stage 3 hearing by Sports Leaders UK National Appeals Review Committee.

Both the learner and Sports Leaders UK representatives are expected to do their best to assist the other party with information in order that each may prepare their case.

Sports Leaders UK, as the Awarding Organisation, will focus in the case of appeals against assessment decisions, on ensuring that we use procedures that are consistent with the statutory regulations of external qualifications criteria and apply the procedures properly and fairly in arriving at judgements.

All appeals should be sent in the first instance to the Quality Assurance Manager at Sports Leaders UK, 23-25 Linford Forum, Rockingham Drive, Linford Wood, Milton Keynes MK14 6LY. The QAM will log the appeal and make an initial assessment on the grounds of that appeal. It may at this stage be rejected on the basis of lack of suitable grounds. In this case the learner will be given a statement of reasons and there is an automatic right of appeal to Stage 2. The QAM will also decide whether the appeal should be dealt with under Stage 1 or Stage 2 of the procedure summarised below. If the appeal goes to Stage 2 or 3 a £50 appeal fee is applicable. An appeal at Stage 2 or 3 will not be accepted without the correct fee.

Learners will receive acknowledgement of the appeal received by Sports Leaders UK.

Stage 1: Review by Tutor/Assessor and/or Internal Verifier
The appeal will go to Stage 1 if the learner disagrees with the final assessment. Under these circumstances an administrative check will be carried out to ensure that the assessment result has been carried out according to the course syllabus and Assessment Criteria and recorded properly.

Stage 2: Review by the respective National Appeals Panel
An appeal will go to Stage 2 in the following circumstances:

Appeal against the Stage 1 decision
Appeal against the decision of the Tutor/Assessor regarding personal or extenuating circumstances
All other bases for appeals that fall outside the Stage 1 review.

Stage 3: Review by Sports Leaders UK National Appeals Review Committee
An appeal will go to Stage 3 if the learner is dissatisfied with the outcome of Stage 2.

Overview of Stages

The QAM will make an initial assessment on an application for an appeal. If there are sufficient grounds for the appeal to be considered then the application will proceed to Stage 1 as outlined above.

3.0 Composition Of Review Bodies

3.1 National Appeals Panel (Stage 2)

Membership

Chairman (member of the National Advisory Panel)
Three National Advisory Panel members
Two experienced Verifiers/Tutor/Assessors
Secretary

The secretary shall be a senior member of the secretarial team at Sports Leaders UK. The secretary shall not be a member of the National Appeals Panel and shall have no vote.

Attendance will be required by two National Advisory Panel members and one other member to achieve a quorum.

All members may cast a vote and a decision is taken by a simple majority of members attending. In the case of equality of votes, the Chairman may cast an additional, deciding vote.

Individual Panel members will be required to withdraw from any case where there is a possible conflict of interest.

3.2 National Appeals Review Committee (Stage 3)

Members of the National Appeals Panel cannot serve on the National Appeals Review Committee.

Membership

Chairman
Three further National Advisory Panel members
Two members that are wholly independent of Sports Leaders UK
Secretary

The two independent members must not have been at any time during the past seven years, a member of the Awarding Organisation's board of committees, or an employee or examiner of Sports Leaders UK. The secretary will be a member of secretariat staff of Sports Leaders UK (not previously involved in the dispute). The secretary of the National Appeals Review Committee shall not be a member of the National Appeals Panel and shall have no vote.

The Committee shall elect a Chairman immediately after its formation. A quorum shall consist of two Sports Leaders UK National Advisory Panel members and one lay member.

No individual shall be a member of the respective National Appeals Review Committee if there is a possible conflict of interest.

Where required, outside specialist advice will be sought. Where this is the case, the learner will be notified.

3.3 Roles and responsibilities

The Chairman of the National Appeals Panel is responsible for taking decisions during the appeal process. The Panel Secretary is responsible for the administration of the Stage 2 appeals, including monitoring of progress of the appeal and timescales.

The Chairman of the National Appeals Panel is empowered to decide on any dispute over documents or witnesses to be presented to the Panel.

The same principles will apply to the National Appeals Review Committee, in that the Chairman is responsible for taking decisions during the appeal process, and is empowered to decide on any dispute over documents or witnesses to be presented to the Committee.

The Committee Secretary is responsible for the administration of the Stage 3 appeals. The Committee Secretary will continue to be responsible for the overall monitoring and reporting of appeals activity.

It is expected that the QAM will be the best informed and qualified member of personnel to fulfil the role of Panel or Committee Secretary in most cases.

4.0 Appeals Procedures

All correspondence will be dealt with on a confidential basis by post.

4.1 Charging and costs

A fee of £50 must accompany an appeal at Stage 2 or 3. This will be refunded in the case of successful appeals.

If the appeal is successful learners may receive, if requested, the reimbursement of reasonable incidental costs incurred. Such costs will be determined by the National Appeals Panel. An application for costs may include reasonable travel and subsistence expenses, but cannot include legal or other professional fees unless such fees have been authorised in advance. The National Appeals Panel has an absolute discretion as to whether to authorise such fees.

4.2 Making an appeal

The learner completes an Appeals Form (provided on request, setting out the grounds for the appeal).

The form is returned to the Quality Assurance Manager, Sports Leaders UK, 23-25 Linford Forum, Rockingham Drive, Linford Wood, Milton Keynes, MK14 6LY.

The QAM will make an initial assessment on the grounds of the appeal, where it may be rejected on the basis of lack of suitable grounds (in which case, reasons shall be given). The QAM will also decide whether the appeal should be dealt with under Stage 1 or Stage 2 of the appeals procedure. The National Appeals Panel will be notified of all appeals made and the outcome.

4.2.1 Stage 1: Review by Tutor/Assessor and Internal Verifier
The Secretary to the National Appeals Panel will inform the learner in writing of the outcome, including the reasons for the decision and record the information. If the learner is dissatisfied with the outcome of Stage 1 or 2 there is an automatic right of appeal to the next stage.

4.2.2 Stage 2: Review by the National Appeals Panel
The learner appeal form and, if appropriate, the learner's reasons for disagreeing with the Stage 1 or 2 decision, and QAM report are submitted to the Panel.

There is no standard format or requirement for additional information to be placed before the Panel, but any such additional information should be submitted at least 14 working days before the day fixed for the Panel hearing.

The learner has the right to attend the Panel meeting and to bring witnesses, and to ask someone to speak on their behalf.

The Tutor/Assessor and the learner will both be given the opportunity to present their case, question each other and to ask questions of the National Appeals Panel.

The Chairman will determine the precise procedure for each appeal hearing; members of the Panel may ask questions of those in attendance.

The Panel will set out a statement of reasons and advise the learner of the outcome by post.

If the learner is dissatisfied with the outcome of Stage 2, there is a right of appeal to Stage 3. The learner will be asked to state the reasons why he or she is dissatisfied with the Stage 2 decision and the statement of reasons produced by the National Appeals Panel.

4.2.3 Stage 3: Review by the National Appeals Review Committee
All papers and full minutes of the National Appeals Panel, together with the learner's reasons for appealing to the Panel, will be made available to Committee members.

There is no standard format or requirement for additional information to be placed before the Committee but any such additional information should be submitted at least 14 working days before the date fixed for the Committee hearing.

The learner has the right to attend the National Appeals Review Committee hearing and to bring witnesses, and to ask someone to speak on their behalf.

The Tutor/Assessor and the learner will both be given the opportunity to present their case, question each other and to ask questions of the Committee.

The Chairman will determine the precise procedure for each appeal hearing; members of the Committee may ask questions of those in attendance.

The Committee will reach a decision, set out a statement of reasons and advise the learner of the outcome by post.

4.3 Timescales

NOTE: All days are working days.

All appeals on personal and extenuating circumstances must be received within THREE MONTHS OF THE FINISH DATE OF THE COURSE.

The receipt of an appeal will be acknowledged within 14 working days. A decision on the acceptability of the grounds of appeal will be notified to the candidate within 14 working days.

Stage 1 determination will be completed normally within one month. The exact time taken will depend on the volume of appeals and the complexity of the individual cases. Learners will be kept informed of any changes to the expected timetable.

Stage 2 appeals must be received within ONE MONTH of the date of either the decision on the acceptability of the grounds, or the Stage 1 determination, whichever applies.

National Appeals Panel meetings will be held as required. The date may need to be varied to accommodate complex or extensive appeals, or where a learner wishes to include a witness. The Panel may decide to call additional meetings for complex cases. Learners will be kept advised of any changes to the expected timetable.

Learners will be notified of the Panel decision within 14 working days of the Panel hearing.

Stage 3 appeals must be received by the Secretary of the National Appeals Review Committee within 14 WORKING DAYS of the date of the respective National Appeals Panel decision.

Stage 3 appeals will be heard where possible within three months of receipt of the appeal against the Stage 2 decision. This may be extended at the discretion of the Chairman.

Notification of the National Appeals Review Committee decision will be made within 14 working days of the hearing.

Download an Appeals Application Form