Learner Appeals Policy and Procedures
- Principles for Handling Appeals
- Definition and Scope
- Appeals Procedure
- 3.1. Grounds for Appealing a Formal Decision made by Kind Learning Academy
- Deadline for Appeals
- Submitting an Appeal
- Appeals Procedure
- The Appeals Panel
- Review of Procedures
- Review by the Office of the Independent Adjudicator
- Fair Treatment of Appellants
- Protection of Personal Data
- Review and Update of this Policy
1. Principles for Handling Learner Appeals
1.1. The following sets out the policy and procedures for handling learner appeals against formal decisions made by Kind Learning Academy (KLA).
1.2. This Appeals policy and procedure should not be used to handle decisions made by the awarding body, Ascentis. Instead, should a learner be dissatisfied with an Ascentis decision, effort will be made by Kind Learning Academy to attempt an early resolution with the learner. Should the learner remain dissatisfied, they must submit a formal appeal to Ascentis directly.
1.3. Regardless of where responsibility lies for receiving and investigating learner’s academic appeals, Kind Learning Academy works in partnership with its awarding bodies to ensure that:
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- All appeals are handled in manner which is fair, objective and timely to facilitate speedy resolution;
- No learner will be discriminated against or in any way disadvantaged as a result of having made an appeal, regardless of whether or not the appeal is upheld;
- Specific procedures are readily accessible to learners, taking into account equality and diversity issues, and barriers to access;
- Training and guidance are available for staff in conducting appeals procedures, or complying with awarding bodies’ procedures;
- Where possible and to maintain impartiality, staff dealing with any stage of escalation of an academic appeal will not have been involved in any of the previous stages, except in an advisory capacity where required;
- Appropriate action is taken promptly following an appeal process, and such actions are recorded, monitored and reviewed for the purpose of supporting continued enhancement;
- Learners submitting an appeal will be treated respectfully and courteously at all times throughout the appeals process;
- The substance of an appeal and any supporting evidence submitted, will be confidentially and in accordance with the Kind Learning Academy Data Protection Policy.
1.4. In all instances, appeals must be submitted within 10 days of notification of the decision the learner wishes to appeal. Kind Learning Academy will assist learners in the process of submitting an academic appeal in the correct format.
1.5. Appeals cannot be back-dated to a previous event, as the appeal should be raised within the 10 days notification issued following the event/outcome the learner wishes to appeal against.
1.6. Learners may only raise an appeal against the most recent decision.
1.7. Kind Learning Academy will attempt to resolve all appeals within 90 days of an appeal being submitted, and where this is not possible will explain to the learner in good time the reason for the delay.
1.8. Upon induction to Kind Learning Academy, learners will be made aware of their right to appeal formal decisions made by Kind Learning Academy affecting their personal studies. Guidance on submitting an appeal will be given within Learner Handbooks. Learner Support staff will additionally help any learner seeking to lodge an appeal.
1.9. The learner has the right to withdraw their appeal at any time.
2. Definition and Scope
2.1. For the purposes of this policy, an appeal is defined as ‘a request for a review of a decision of an academic body charged with making decisions on assessment, learner progression and awards’. However, Kind Learning Academy will ensure that appeals procedures are flexible enough to accommodate issues which fall under more than one process (for example for attendance-related issues decisions). This policy does not however apply to:
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- Those applying to study at the Kind Learning Academy; and
- Third parties wishing to raise an appeal on behalf of a learner, for example parents, guardians, or the spouse or partner of a learner.
2.2. Should a learner submit evidence with their appeal that is fraudulent, includes unauthorised amendments, false information and/or demonstrates illegal activity will be rejected on receipt and reported. Learners involved in such instances will be subject to disciplinary action.
2.3. For academic decisions made by Ascentis, a learner wishing to appeal must submit a formal academic appeal directly to Ascentis. Academic appeals submitted to Ascentis can only be raised on the grounds of a procedural irregularity. Appeals submitted as a result of learner dissatisfaction or disappointment in a result or grade will not be considered.
2.4. Ascentis Contact details
2.5. Evidence provided to support an academic appeal to Ascentis must be factual and specific, and relevant to the appeal raised. All evidence provided should be the original version, and include the decision email or e-mail notification which states the information the learner is complaining against.
2.6. Kind Learning Academy does not exert any control over the investigation of academic appeals by Ascentis. It will however comply with requests for information or clarification regarding issues under review to facilitate a timely resolution.
3. Appeals Procedure
3.1. Grounds for Appealing a Formal Decision made by Kind Learning Academy
3.1.1. This policy may be used to challenge:
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- A particular assessment result (only if based on a decision made by the Kind Learning Academy);
- A decision by the Kind Learning Academy Assessment Board;
- A decision that a learner is to be withdrawn from the Kind Learning Academy (other than as a result of disciplinary/academic offences) e.g., because they have failed to satisfy the attendance, engagement, submission and/or attainment requirements;
- A decision resulting from another Kind Learning Academy process and/or procedure which the learner is able to demonstrate that they have grounds for the decision to be reviewed, e.g., a Complaints or Code of Conduct outcome. In these cases, appeals would be raised through the review stage of the process in question.
3.1.2. Such appeals may be made where there is compelling evidence of:
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- Procedural or administrative errors, where the process leading to the decision has not been carried out correctly. This would include arithmetical or other errors of fact;
- Irregularities in the conduct of procedures leading to the decision in question, that can be shown to have had a tangible effect on the outcome of the decision itself;
- Bias or an unacknowledged conflict of interest, where this can be shown to have had a tangible effect on the decision;
- Exceptional mitigating personal circumstances which were not known to Kind Learning Academy, and where the learner can show good reason why such circumstances could not have been notified to the Kind Learning Academy using the appropriate process before the decision was passed.
3.1.3. The following circumstances will not be considered grounds for appeal:
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- Perceived past shortcomings in tuition, communicated instructions, supervision or support not previously raised with the Kind Learning Academy, cannot be considered as grounds for appeal. Learners should use Kind Learning Academy’s Complaints procedures to address these issues as they arise.
- Disagreement with the academic judgement of an Assessment Board and/or practice-based professional judgement. The learner’s feeling that the judgement or feedback unfairly reflects their ability or the merit of their work, does not constitute grounds for appeal.
4. Deadline for Appeals
4.1. Appeals should be submitted within 10 working days of the learner receiving notification by letter or email of the decision they wish to appeal against (or the publication of assessment results), unless a different date has been agreed.
4.2. An appellant, unable to lodge an appeal within the 10-working day period shall, within that period, submit a declaration of intent by letter/email to do so with Kind Learning Academy, who may impose a time limit for the submission of the full appeal. Any appeal submitted beyond these limits must include reasons and relevant evidence showing why, through no fault on the part of the learner, the request could not have been made within the time limit.
4.3. If, in the opinion of Kind Learning Academy, these reasons are not valid or the learner has failed to provide supporting, relevant evidence, the appeal will be rejected as ‘Inadmissible’ and the learner will be informed by letter/email of the reasons. Any such decision will be made within 10 working days of receipt of the appeal.
4.4. Appeals cannot be back-dated to a previous event, as the appeal should be raised within 10 days of the learner receiving notification by letter or email of the decision they wish to appeal against.
5. Submitting an Appeal
5.1.
All appeals shall be headed ‘Application for Appeal’, and may be sent by letter or e-mail. It should include a statement indicating which of the grounds set out in 3.1 the appellant wishes to base their appeal on, and a statement of the facts constituting the basis for the appeal.The appeal may be submitted electronically to: appeals@kind-communities.org .
If providing Kind Learning Academy with a physical copy of the Appeal, the following address should be used: F.A.O. Quality Manager, Kind Learning Academy, Kind Communities, Suite 10, 80 Lytham Road, PR2 3AQ
5.2. If the Quality Manager considers that these facts are not adequately stated or further evidence is required, they may require the appellant to submit a further statement and may prescribe time limits within which any such statement shall be submitted. Any such response will be made within 10 working days of receipt of the appeal.
6. Appeals Procedure
6.1. When all relevant information has been gathered together and advice sought, an initial decision as to whether or not the appeal is admissible will be made by the Quality Manager on the basis of the evidence available. This initial decision will be made within 5 working days of receipt of the appeal, and the learner notified of the outcome by letter/email.
6.2. Where the appeal request does not constitute sufficient grounds for an appeal (i.e., does not satisfy any of the grounds for appeal given above, or there is insufficient supporting evidence presented), the case will be considered ‘inadmissible’. This includes instances where:
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- The learner has provided no substantial, relevant evidence of a procedural irregularity, or no third-party evidence has been provided of prejudice or bias.
- The procedural irregularity claimed by the learner, clearly could not have affected the decision to an extent that would have led to a different decision.
- The learner has provided no substantive reasons, as to why evidence of mitigating circumstances could not have been provided at an earlier time.
- The learner has provided no substantive reasons, as to why evidence of leave of absence or self-certification could not have been provided at an earlier time.
- The learner has submitted an appeal against a decision made by Ascentis using Kind Learning Academy’s policy and procedures.
6.3. If the appeal is considered inadmissible, a letter/email with the reasons for the decision will be sent to the learner.
6.4. Where it is believed that there may be grounds, the appeal will be considered to be admissible and it will be considered by the Appeals Panel. The appellant will be notified of the outcome of the Appeals Panel’s decision by letter/email within 20 working days of the referral by the Quality Manager.
6.5. Appellants should note that the original decision will be considered to be ‘in-effect’ whilst the appeal is being investigated. Lodging an appeal will not usually have the effect of temporarily suspending the original decision. However, Kind Learning Academy may, at its discretion, postpone certain actions resulting from the original decision until the matter has been fully investigated.
7. The Appeals Panel
7.1. Appeals which satisfy the grounds given above, and for which credible evidence has been presented, will be reviewed by Kind Learning Academy’s Appeals Panel. The membership of the Panel will vary to ensure that no person involved in the original decision under review has any influence over the outcome of the Panel’s deliberations.
7.2. The Appeals Panel will act as an advisory body. It will make recommendations to the appropriate managers with the expectation that such recommendations will be implemented or, where this not possible, referred back to the Panel with good reason.
7.3. The Panel will be guided by principles of natural justice, and will make its recommendations based upon the evidence presented to it, ultimately arriving at one of the following courses of action:
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- Reject: If the Panel believes that the original decision was fair, and does not contravene Kind Learning Academy regulations or policy, the appeal will be rejected. An appeal may also be rejected because the grounds for appeal are not clearly stated, or the appeal has been received late.
- Upheld: If the Panel believes that the original decision was unfair, or contravened Kind Learning Academy regulations, it will decide to uphold the appeal. If this happens, the Panel will recommend a course of action to resolve the situation.
- Defer: If the Panel believes that further information is required before it can make a decision, it will defer the case and ask the Quality Manager to write to the learner requesting more details. Where a case is deferred, every effort will be made to obtain additional information in time for the case to be considered at the next meeting.
7.4. The outcome of the Appeals Panel will be sent to the appellant and all stakeholders within 5 working days of the Panel meeting. This communication will detail the Panel’s rationale concerning its recommendations, and confirm any outstanding actions to be taken by Kind Learning Academy.
NB: Appellants should note that when an appeal is upheld regarding the marking of an assessment, the Panel cannot substitute the appealed mark with one of its own or make a judgment on the quality or standard of a learner’s work. In this instance, the Panel’s recommendations will be provided to the Assessment Board.
8. Review of Procedures
8.1. If a case is rejected by the Appeals Panel, a learner may submit a revised case to the Quality Manager, within 10 working days of receiving notification of the outcome of their appeal.
8.2. An application for review can only be made in the following circumstances:
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- If the learner has new evidence that was not available, or could not reasonably have been obtained, in time for consideration by the Appeals Panel;
- There was a procedural error in the consideration of the appeal by the Appeals Panel, that contravenes this policy.
8.3. The appellant must clearly outline which of the grounds stated below they wish to raise review under. Dissatisfaction with the outcome of an appeal, will not of itself constitute grounds for a review of a formal complaint decision
8.4. Where a request to review the Appeal Panel’s decision is received, it will be referred to the appointed Review Officer.
8.5. The Quality Manager will appoint a review officer, who has not been involved in any previous stage in the handling of the appeal. The review officer will consider the integrity of the original decision in respect of the request for review and any supporting evidence submitted. Their findings will be presented in a report to the Quality Manager within 10 working days of being instructed to investigate. The reviewer will be asked to evaluate whether:
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- The procedure was properly followed during the formal stage;
- The outcome was reasonable under any circumstance;
- New, substantive evidence has been presented which could have a material effect on the outcome;
- The learner has provided valid reasons for not submitting this evidence during the formal stage.
8.6. The appointed Review Officer, upon completion of the review will either:
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- Refer the matter to the next Appeals Panel for reconsideration at the earliest opportunity (within 30 days of the review request or where practical to do so),with their comments. The membership of the Panel may be different to previous one to ensure its impartiality;
- Refuse the appeal on the basis that the criteria in 8.2 was not satisfied. The appellant will be immediately notified of the Review Officers’ decision, and the rationale behind it in writing.
- Where a request for review is not accepted, or has been accepted and subsequently not upheld, the Quality Manager will communicate this in writing to the complainant. This will be provided in the form of a letter which outlines the reasons for the decision.
8.7. Where an appellant remains dissatisfied with the outcome of an appeal after Kind Learning Academy’s procedures above have been concluded, they may have recourse to request a review of the decision by the awarding body, Ascentis.
8.8. Any further actions arising from the awarding body’s consideration of the appeal, will be agreed between Kind Learning Academy and Ascentis. This will be promptly notified to the appellant in a letter setting out in detail the steps taken in considering the appeal, any action taken to resolve it and the rationale for Kind Learning Academy and the awarding body’s final decisions.
10. Fair Treatment of Appellants
10.1. Kind Learning Academy seeks to preserve an environment in which learners feel confident in challenging formal Kind Learning Academy decisions where they have reasonable grounds to do so, without fear of intimidation or reprisal. Where a learner feels that they have been victimised or unfairly placed at a disadvantage as a result of having made an appeal, , they should pursue this using Kind Learning Academy’s Learner Complaints Procedure.
11. Protection of Personal Data
11.1. Staff members presiding over the appeals process will routinely be in receipt of potentially sensitive information regarding a learner’s personal or medical circumstances in order to make sound and informed judgments. This information will be treated as controlled information in accordance with the Data Protection Act (1998), and shared only in the strictest confidence as per the guidance set out in the Kind Learning Academy’s Data Protection Policy. Such information will be kept securely in Kind Learning Academy’s archives for up to 1 year following the departure of the learner from Kind Learning Academy, after which it will be securely erased from the system.
