Appeals Policy

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1 Introduction

As part of its quality management criteria, and the QCA NVQ Code of Practice 2006, the CQI Awarding Body has an appeals procedure for the award of the CQI Diploma in Quality (Assurance and Management) and Certificate in Quality Assurance.

2 Scope and definitions

2.1 There is now a general and reasonable expectation that organisations providing services to the public should have effective systems for handling complaints. Candidates are entitled to no less effective a system to operate within education than operates in other public services that they may use.

2.2. The entitlement of candidates to raise the complaint has to be balanced by the legitimate requirement of the CQI Awarding Body that its procedures should not be deliberately misused or its staff and candidates abused.

2.3. Recourse to the formal appeals procedure should be necessary only as a last resort.

2.3.1 A complaint is defined as any specific concern about the provision of a programme of study or related academic service.

2.3.2 An appeal is defined as a request for a review of a decision of an academic body charged with making decisions on candidate progression, assessment and awards.

2.4. Academic appeals are part of the CQI assessment arrangements and should be dealt with in a formal way using procedures which will ensure that possible outcomes are clearly framed in official regulations, codes or guidance documents.

2.5 Complaints can be raised about a very wide range of events and activities and may involve single or multiple complaints. Procedures need to be flexible and responsive to ensure that a fair and just outcome is assured in each case.

2.6 There is an overriding preference for complaints and appeals to be resolved as closely as possible to their point of origin, with a minimum of formality, but in a way which a disinterested observer would find reasonable in all circumstances.

3 Coverage of the CQI procedure

The procedure relates to the academic appeals by candidates who register for the CQI's Diploma or Certificate in Quality Management programmes at a nationally or internationally assessed centres.

3.1 Matters outside the procedure
The matters that are not susceptible to review through the appeals procedure will include, for example:

3.1.1 challenges to the academic judgment of examiners on an assessment outcome or the level of an award recommended or granted.
3.1.2 claiming that academic performance was adversely affected by factors such as ill health when there is no contemporaneous independent, medical or other evidence to support the application.

Any complaints about the provision of the programme should be made following the procedures of the providers of the programme.

3.2 'Candidates' are defined here as the persons registered or enrolled at the CQI to follow a programme of study which may or may not lead to an CQI award or qualification.

4 Grounds for making an appeal

4.1 Appeals made be made on the grounds that there was such procedural defect in the conduct of the examination or assessment, or in the subsequent processing of marks (including the proceedings of the Awarding Committee) or in information revealed in feedback letters as to render the decision of the assessor unsafe.

4.2 The grounds in Regulation 4.1 above may include, but are not limited to mitigating circumstances such as:

• failure to consider evidence, such as medical evidence, available to the assessor
• information that came to light after the result had been published which may have influenced the Awarding

4.3 The academic judgment of the examiners, having acted according to all relevant regulations and procedures, shall not be called into question by these regulations.

5 Procedure

5.1 The appeal will be lodged in writing with the CQI Education Manager.

5.2 The appeal must be lodged with the CQI as soon as possible and in any case no later than one calendar month after the date shown on the results letter to the candidate or within two weeks of receipt of individual examiner's feedback after a request for a results enquiry.

5.3 The letter of appeal should include:

• the name of the candidate and their student number.
• an address or addresses at which the candidate may be contacted during the period of the appeal.
• the module and element of assessment for which an appeal is made.
• the grounds for claiming procedural defect and evidence of procedural defect.
• cheque for the current appeal fee, which is refundable if the appeal is then upheld. Costs are reviewed on an annual basis therefore please look on the CQI web site www.thecqi.org/education for the current fee.

5.4 The letter should be signed and dated by the candidate.

5.5 The Education Manager will acknowledge receipt of the appeal within 5 working days.

5.6 The CQI Awarding Body will decide whether there are grounds for an appeal.

6 Investigation

6.1 The Education Manager, will consider the facts of the case and if it is decided that there are no grounds for an appeal the candidate will be informed of the grounds for the decision, and of the candidate's right of appeal against the decision.

6.2 If the candidate decides to appeal against this decision, the appeal against the decision should be addressed to the Chairman of the CQI Qualification Board. This 'preliminary appeal process' will consist solely of the consideration of the information already submitted to the Education Manager. The decision of the Chairman of the CQI Qualification Board will be final and binding.

6.3 The Education Manager, will report any such appeals and the reasons for them having been rejected, to the next meeting of the CQI Professional Policy Board (PPB).

7 Appeal Review

7.1 If the Education Manager decides that there are grounds for an appeal, she/he will request that the nominated Independent Appeals Assessor (IAA) review the appeal. The IAA will have played no part in the examination process, nor be a member of any related committee.

7.2 The IAA will decide whether the facts provided justify a reconsideration of the matter with a view to confirming or adjusting the original decision, and will inform the Education Manager of the outcome, which the Education Manager will communicate to the candidate.

7.3 The IAA will not provide feedback on strengths and weaknesses of the candidate's script. There is a separate results enquiry procedure for this.

8 Appeal against the Independent Appeals Assessors decision

8.1 If the IAA decides against reconsideration of the candidate's mark, the candidate will have the right of appeal against this decision.

8.2 For such an appeal to be heard, the candidate must write no later than 21 days after receipt of the letter from the Education Manager communicating this decision. The letter should request that the Education Manager invokes the formal procedures for the second stage of appeal.

8.3 On receipt of such a request, the Education Officer will:

• acknowledge receipt within 5 working days
• call a meeting of the Appeals Committee chaired by the CQI Chairman of the Qualification Board.

8.4 The Appeals Committee will consist of:

• CQI Chairman of the Qualification Board
• two members of the Qualification Board who are not also members of any committee involved in the Awarding process
• a co-opted academic member of the Institute, appointed by the CQI Chairman of the Qualification Board, to advise the Committee

8.5 The Appeals Committee will meet as soon as is practicable. It may invite the appellant or a representative to appear before it and/or to give written evidence if desired. The appellant can be accompanied by a friend, but not by a legal adviser.

8.6 The Appeals Committee may ask any other person including the IAA to appear before it and/or to give written evidence if desired.

8.7 The Education Manager, will make a record of the proceedings of the Committee.

8.8 The Committee may make one of the following decisions:

• that the appeal be allowed and the matter referred back to the IAA
• that the appeal be dismissed
• that another decision be substituted for the original decision of the IAA

8.9 The Education Manager will communicate the decision of the Committee in writing to the appellant and inform the chairman of the PPB and give him/her a brief record of the reasons for the decision. The communication will confirm that the decision is final.

8.10 If the matter is referred back to IAA in accordance with Paragraph 8.6, the IAA will review the matter and their decision will be final.

9 Final decision

The decision of the Appeals Committee is final. The consideration of an appeal under these regulations exhausts the opportunities open to a candidate of the CQI Awards.

10. Where the outcome of an appeal may affect the accuracy of the results for other candidates, the Education Manager will submit their papers to the Independent Assessor (Paragraph 7) for review.

11. Centre Feedback

Where the results of the appeal involve the conduct of centre, the outcome of the appeal will be sent to the centre. The centre will be asked to respond, if this is constituted appropriate.