Appeals policy

Purpose

Stockton-on-Tees Borough Council's Food Business Unit is committed to providing high quality teaching and learning for its learners.

Assessments are carried out in a fair, consistent and reliable manner in accordance with the awarding organisation's specification and subject specific associated documents.

Enquiry about results and assessment decisions

The qualifications offered by the Food Business Unit are assessed by multiple choice or combination of multiple choice and written examination papers which are externally set and marked by the awarding body. Any appeals surrounding the results of these examinations must be submitted to Highfield Awarding Body for Compliance.

Learners can appeal by writing to Highfield Awarding Body for Compliance within 10 working days of the result or assessment decision, setting out clearly what they would like Highfield to consider and the grounds to support the application.

The Food Business unit can make a request for an enquiry about a result or assessment decision on behalf of a learner. However, consent from the learner would need to be provided within the published time periods before Highfield would take it forward. This request regarding an assessment decision must be submitted to Highfield within 10 working days of the date that the result was released. Failure to do so is likely to result in the matter not being progressed any further.

On receipt of a valid request for an enquiry into a result or assessment decision, Highfield would undertake a clerical check of the work undertaken to consider whether any decision had been applied incorrectly by Highfield.

Highfield would endeavour to respond to a valid enquiry within 10 working days of receiving the submission.

The possible outcomes of an enquiry into a result or assessment decision are:

no change to the results or assessment decision
a change to the results or assessment decision (it is important to note that the decision could be either positive or negative)

The fee for making an enquiry into a result or assessment decision is currently £50 plus VAT. This could change from time to time at Highfield's absolute discretion. Please note this fee must be provided to Highfield within 10 working days of the date that the result or assessment decision was released. In the event that the fee is not received within this 10 working day time frame, Highfield reserves the right not to take it forward.

In the event that the outcome of the enquiry into a result or assessment decision results in a positive change for the learner, the fee would be refunded in full.

If, following an enquiry into a result or assessment decision, an interested party remains unsatisfied, consideration should be given to raising an appeal in accordance with the structure set out in the following section.

Full appeal

This part of the policy covers:

appeals relating to decisions concerning an application to offer a specific Highfield qualification
appeals regarding the contents of a Highfield report
appeals relating to a Highfield decision to decline a request to make reasonable adjustments or give special considerations
appeals in relation to the application by Highfield of a sanction or action resulting from:
- an engagement visit
- a formal investigation, for example, into malpractice or maladministration
- a decision to amend a learner's results following malpractice or a malpractice investigation
- a decision made by Highfield following an investigation into a complaint
appeals asserting that Highfield has not applied its procedures properly, consistently, or fairly
appeals regarding learners who are not satisfied with the conduct of the assessment and believe it has disadvantaged them
appeals regarding learners who feel that the premises or environment in which the qualification was conducted had disadvantaged them

Process for raising a full appeal to Highfield

Interested parties have 10 working days from the date they were notified of a decision you are appealing against in which to lodge an appeal. In the event that an interested party has raised an enquiry about a result or assessment decision the 10 working days will run from the date that Highfield sent its decision regarding that enquiry.

If you appeal on behalf of your learner(s), you must ensure that you have obtained the permission of the individual concerned.

Learners who wish to appeal about their assessment results or about a related decision should either be supported by their Centre and should have exhausted the Centre's own appeals process before appealing to Highfield. In the latter case, learners must provide Highfield with evidence that they have first appealed to their Centre. It is expected that learners will only appeal directly to Highfield in exceptional circumstances.

When submitting an appeal, the following supporting information where relevant is to be provided in writing:

learner's full name and Highfield registration number
learner's date of birth
name of the Centre
name of the Nominated Tutor
date(s) Highfield's decision was made
title of the Highfield qualification or nature of service affected (if appropriate)
full written grounds of the appeal together with evidence to support the appeal
contents and outcome of any relevant investigation carried out by the Centre relating to the issue
a copy of Highfield's decision which you would like to appeal against

First review of the appeal detail

Upon receipt of any appeal, a suitably experienced Highfield representative will usually acknowledge receipt of the appeal within 1 working day.

The initial stage will be for Highfield to undertake an informal assessment to ascertain if the issue can be resolved before it goes to a formal appeal.

If the matter cannot be remedied through the informal assessment, then the matter will proceed to the First Review stage.

Highfield will aim to respond formally after the First Review within 20 working days. Please note that in some cases the First Review may take longer, for example, if a visit is required or interviews need to be undertaken. In such instances, Highfield will contact all parties concerned to inform them of the likely revised timescale.

Highfield may reject the appeal application if there is insufficient detail to support the appeal. As such, appellants are strongly advised to provide full and detailed grounds of appeal accompanied by as much supporting evidence as possible.

As far as reasonably practicable, Highfield will ensure that the person carrying out the First Review has had no prior involvement in the matter being appealed. It should, however, be noted that the person given the responsibility to undertake the First Review is likely to be a Highfield member of staff.

Following the First Review, Highfield will write to the appellant with details of the decision, which will be to either:

amend the original decision; or
confirm Highfield stands by the original decision

It is important to note that the person undertaking the First Review is not there to re-hear the matter in its entirety. They are there to form a view as to whether the decision that is being appealed was correct at the time that the decision was taken.

Applicants will be charged a fee of £350 plus VAT per should they wish Highfield to progress to a First Review. This fee is required before any appeal can be considered. If the appeal is upheld, the fee will be refunded in full. Please note the fee covers the administrative and personnel costs involved in dealing with appeals.

The appeal fee must be received by Highfield within 10 working days from the date we notified you of the decision you are appealing against. Highfield reserves the right not to hear your appeal in the event that the required funds are not received by Highfield within this 10 working day time limit.

Independent review

If you are unhappy with the decision of the appeal outcome, you have the right to invoke the final stage of the procedure and Highfield will arrange for an Independent Review to be carried out.

A further fee of £350 plus VAT is required (this is additional to the fee required for the First Review). The appeal fee, together with any written submissions you consider to be relevant, must be received by Highfield within 10 working days from the date we notified you of the decision of the First Review. Highfield reserves the right not to hear your appeal in the event that the required funds are not received by Highfield within this 10 working day time limit.

The Independent Review will be carried out by someone who is not an employee of Highfield or otherwise connected to our organisation (save for the fact they have been appointed by Highfield as an Independent Reviewer (at its absolute discretion)). The individual will also be someone with the relevant competence to make a decision in relation to this final stage of the appeal and will not have a personal interest in the decision being appealed.

The Independent Reviewer will review all the evidence gathered from the above stages and review if Highfield has applied procedures or policies fairly, appropriately and consistently, in line with the associated procedure and policy.

A request for an independent review must be submitted together with payment within 10 working days of the First Review appeal decision. Failure to submit a request of payment within this stipulated 10 working day deadline may result in Highfield declining to take forward an independent review.

The independent review process may include:

a discussion with the appellant or the learner, apprentice, or Highfield personnel
a request for further information
a visit

It is important to note that the person undertaking the Independent Review is not there to re-hear the matter in its entirety. They are there to form a view as to whether the decision taken by the person undertaking the First Review was reasonable from considering information and documentation available at the time that decision was made.

The Independent Reviewer's decision is final and will usually be made within 20 working days of receipt of the notification that the appellant would like the matter taking to an Independent Review. If the appellant is still unhappy with the outcome at this stage, they are entitled to raise the matter with a Relevant Regulator (RR).

Successful appeals

In situations where an appeal has been successful, or where an investigation following notification from a Relevant Regulator (RR) indicates a failure in Highfield's processes, Highfield will give due consideration to the outcome and will take appropriate actions. They may:

amend the record of the organisation concerned
amend the record of the individual concerned
identify any other parties that have been affected and correct, or where it cannot be corrected, mitigate as far as possible the effect of the failure (for example, amend the results for the learner affected)
review Highfield's associated processes and policies to ensure that the 'failure' does not occur again

Highfield will also cooperate with any follow-up investigations required by a RR and, if appropriate, agree any remedial action with them.