I. Appeals and certificates

Rules about appeals, complaints and the content, design and issuing of certificates

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Appeals process

I1.1 An awarding organisation must establish, maintain and comply with an appeals process in relation to all qualifications which it makes available, which must provide for the appeal of –
(a) the results of assessments,
(b) decisions regarding Reasonable Adjustments and Special Consideration, and
(c) decisions relating to any action to be taken against a Learner or a Centre following an investigation into malpractice or maladministration.

I1.2 For the purposes of Condition I1.1, an awarding organisation’s appeals process must provide for –
(a) the effective appeal of results on the basis that the awarding organisation did not apply procedures consistently or that procedures were not followed properly and fairly,
(b) all appeal decisions to be taken by individuals who have no personal interest in the decision being appealed,
(c) appeal decisions to be only taken by persons who have appropriate competence
(d) the final decision in respect of the outcome of an appeal to involve at least one decision maker who is not an employee of the awarding organisation, an Assessor working for it, or otherwise connected to it, and
(e) timelines for the outcome of appeals.

I1.3 An awarding organisation must publish information on its appeals process to enable the results of assessments to be appealed.

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I1.4 Where the application of an appeals process in the case of a Learner leads an awarding organisation to discover a failure in its assessment process, it must take all reasonable steps to –
(a) identify any other Learner who has been affected by the failure,
(b) correct or, where it cannot be corrected, mitigate as far as possible the effect of the failure, and
(c) ensure that the failure does not recur in the future.

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Compliance with Ofquals appeals and complaints process

I2.1 An awarding organisation must comply with the requirements of any appeals and complaints process established by Ofqual in the form in which it may be published by Ofqual and revised from time to time.

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I2.2 An awarding organisation must give due regard to the outcome of any such appeals or complaints process in relation to a qualification which it makes available.

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I2.3 Where the application of any such appeals or complaints process in the case of a Learner leads an awarding organisation to discover a failure in its assessment process, it must take all reasonable steps to –
(a) identify any other Learner who has been affected by that failure,
(b) correct or, where it cannot be corrected, mitigate as far as possible the effect of the failure, and
(c) ensure that the failure does not recur in the future.

I2.4 Where Ofqual notifies an awarding organisation of failures that have been discovered in the assessment process of another awarding organisation, the awarding organisation must review whether or not a similar failure could affect its own assessment process.

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I2.5 Where, following a review, the awarding organisation identifies such a potential failure, it must take the same action as if a failure has been discovered in relation to it by virtue of the application of Ofqual’s appeals and complaints process.

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Design and content of certificates

Condition I3 does not apply to Ofqual-regulated apprenticeship end-point assessments

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Issuing certificates and replacement certificates

Condition I4 does not apply to Ofqual-regulated apprenticeship end-point assessments

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Go to J. Interpretations and definitions 

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