Assessment Appeals Policy and Procedure

Assessment Appeals Policy & Procedure

Dv8 Brighton 2011

POLICY:

Assessment Appeals Policy and Procedure

AUTHOR: / Lorna Charlwood / Date Created / 5th May 2011
DATE 1st ISSUED: / REVISED DATE:
Glossary

AAF – Assessment Appeals Form
CADA – Candidate Assessment Decision Appeal
ILP – Individual Learning Plan
Assessor – tutor carrying out assessment decisions
I.V/M – Internal Verifier/moderator; checks that assessment process is fair, accurate and robust
E.V/M – External Verifier/Moderator; represents the Awarding Body accrediting the course
M.D – Managing Director of Dv8 Brighton

Assessment Appeals Policy and Procedure

Here at Dv8, it is especially important to ensure decisions are accurate and fairly made. With this in place, the candidate is safe, valued, healthy, growing and achieving in their learning journey. As with any assessment –based learning programme, every candidate has the right to appeal. With the candidate at the centre of this assessment process, the candidate and Assessor work together to record evidence via formative and summative feedback opportunities. Therole of the Assessor is to guide and support candidate learning; assessors also identify when evidence is sufficient, authentic, compliant, valid, reliable and fit for purpose.

The Quality Chain at Dv8

Candidate

It is the candidate’s responsibility to work to towards the evidence for their chosen course with purpose, integrity, accuracy, validity and authenticity. It is the evidence alone (as assessed against the national standards for their course) that they are assessed against.

Assessor

The assessor presents learning opportunities and subsequent evidence opportunities throughout the guided learning hours set for the course. With up-to-date knowledge and expertise, their assessment decisions are made against the national standards set for the learning they are preparing the candidate for.

The assessor, then, supports the candidate to collect evidence, which will demonstrate that they are competent. Candidate progression must be tracked to show when achievement and so accreditation is reached.

Assessor and Candidate

The assessor and candidate will work closely together to agree plans to produce appropriate evidence. Through regular reviews recorded on I.L.P’s, the assessor and candidate reflecton achievements/ planning for future action; further sources of evidence required or emerging.

It is the Assessor’s responsibility to make all candidates aware of their entitlement to appeal any assessment decision. Further, the grounds upon which an appeal is made must be thoroughly and clearly explained to the candidates.
It is the candidate’s responsibility to raise an appeal within ten working days of the assessment decision being made known to them. The grounds upon which the appeal is made is set out in this policy (page 4).

Internal Verifier/Moderator

The internal verifier/moderator monitors the quality of assessment practice carried out. Assessors are allocated an I.V/M to supportand develop their assessment practice. The I.V/M will also oversee decisions made to ensure they are fair, accurate, sufficient, authentic, compliant, valid/ reliable and fit for purpose.

Lead I.V/M

The lead I.V/M ensures that the quality assurance process for assessment and internal verification is robust, fair, accurate and fit for purpose. The lead I.V/M works closely with the Centre Managers in preparation for the External Verifier’s visit.

The lead I.V/M is an experienced assessor and I.V/M. They work closely with the I.V/M’s to support, guide and advise on both centre and assessor matters.

External Verifier/Moderator

The External Verifier/Moderator is the person appointed by the awarding body issuing certificates for courses. The E.V/M ensures that the qualification requirements are being met and that the learner work presented is of a suitable standard. The E.V/M make judgements about the work presented; their decision is binding and the changes identified must be met.

The E.V/M checks all aspects of the assessment and internal verification procedures: for example, worksheets, video evidence and planning/recording documents used. Everything must be fit for purpose and in accordance to the national standards under consideration.

The E.V/M will usually visit a centre twice a year. Additional visits are arranged for specific issues. Any decision they make is final and binding.

Grounds

Candidates may only appeal on the grounds that they do not agree with the assessment decision made by the Assessor or that the assessment procedures have not been carried out properly ifthe candidate feels that:

Personal

They have beendiscriminated against on the grounds of gender, marital status, social class, colour, race, ethnic origin, cultural background, sexuality, religion, disability, HIV status, specific learning requirements or conditions/requirements not relevant to performance (e.g. health, housing, personal interests)

Preparation Stage

Plans for collecting the evidence are not within the assessment plan/action plan
The assessment plan/action plan had not been discussed and signed by thecandidate and assessor
The interpretation of the standards was not discussed/ documented by the candidate and the assessor before the assessment

Evidence Stage

The assessor intervened in the gathering of evidence, other than on grounds of health and safety or malpractice
The assessor used inappropriate methods during theassessment process (e.g. out of date national standards for the award)
Arrangements to meet the candidate’s individual needs, as agreed, were not met (e.g. partially sighted not using specific screen settings)

Feedback Stage

Feedback is not given in accordance with the assessment agreement
Feedback decisions of ‘not yet sufficient’- either verbally or in writing – are not formally relayed to the candidate
The assessor’s assessment decision is based on insufficient assessment methods (e.g. made without consultation/reference to the national standards).

No other grounds will be considered.Appeal Process

Where the candidate disagrees withan assessmentdecision about evidence they have produced, and they feel the groundsidentified are appropriate, the Appeals Procedure is initiated; this may go through a number of stages.

Initiation

The candidate appeals to the assessor. This should be within 10 working days of the assessment decision being returned.
The candidate and assessor discuss the grounds. If the candidate wishes to proceed, a Candidate Appeal must be completed and submitted to the assessor in the timeframe listed above.
The assessor now notifies the I.V/M and starts the Assessment Appeals Form(AAF) and CADA
Stage one has now begun.

Stage One

The assessor should normally respond within 5 working daysto re-consider all the evidence and the original decision.

The assessor should be meet with the candidate to either:
Explain an amendment of the decision in the candidate’s assessment record, or
Clearly explain the original assessment decision and that the original decision stands.
Update the AAF and CADA
Meet with the I.V/M to discuss events and outcomes

2. Where the candidate still disagrees:

A referral to Stage 2 is made to the I.V/M.
Stage 2 has begun. -

Stage Two

The assessor sends the AAF (with Section 1 completed) to the Internal Verifier/Moderator. In addition, the assessor provides the original assessment record and, if appropriate, the candidate’s evidence for the appeal.

Upon receipt of the form, the lead verifier/moderator reconsiders the assessment decision by collecting and evaluating all of the evidence. This should normally be done within 10 working days.

The internal verifier will either:
Re-affirm the assessor’s decision, or
Amend the assessment decision, or
Update the AAF, section 2 and CADA

Where the candidate disagrees with the decision at this stage:
The AAF is sent to the Lead I.V/M.
The CADA is updated.
Stage 3 has begun.

Stage Three

Upon receipt of the AAF, the Lead I.V/M set up an Appeals Panel within 5 working days. The panel consists of the Lead I.V/M as chair, Centre Manager and I.V/M. Details of the date are sent to the assessor and candidate; they are entitled to make a presentation to the panel.

In preparation for this, the Lead I.V/M considers the AAF and all relevant evidence.

The Appeals Panel reconsiders all the evidence available and makes a decision. The decision of the Appeals Panel is the final internal stage. All decisions will be conveyed in writing to the candidate

A copy of the letter together and the AAF. (with Section 3 completed) will be added to the candidate’s record and made available to the appropriate awarding body’s external verifier or moderator.

Update the AAF and CADA

If the candidate is in disagreement with the decision of the Appeals Panel, they are entitled to raise the matter with the external verifier or moderator. The Lead I.V/M sends a copy of the AAF, along with a letter/email of explanation to the E.V/M.

The candidate is informed that the E.V/M’s decision is final.

Stage 4 has begun.

Terms of Reference

The panel will take into account all considerations: candidate, Assessor, I.V/M.
Any supporting evidence from the candidate's colleague/friend must also be considered.
The Appeals Panel then reach a decision (without the candidate present).
This decision will be final and will be conveyed to the candidate and the assessor in writing within 5 (five) working days of the Appeals Committee Meeting.
Update the AAF and CADA.
A copy of this letter together with the written evidence presented to the committee will be kept in the External Verifier's file.
The Managing Director of Dv8 is informed

Intervention

A review of the AAF and the procedure is now carried out by the Operations Manager. Within 5 days of the Appeals Panel, the M.D will:

Review all of the evidence, the AAF and the findings at each stage to;
Review the internal procedures are accurate, fair, consistent and reliable
Recommend the original assessor’s decision is upheld;
Engage an external Lead I.V/M to carry out an independent review;
Update the AAF and CADA
Instruct the Lead I.V/M to contact the E.V/M.
Stage 4 has begun.

Stage 4

The Lead I.V/M contacts the E.V/M/M within 5 working after the Appeals Panel. The E.V/M will:

Consider the AAF and arrange a date to review all evidence relating to the appeal;
Review all of the evidence and AAF; update the CADA
Make a final decision and inform the Lead I.V/M

The Lead I.V/M will then inform the candidate and all parties involved. A final, signed copy of the AAF will be kept securely at the centre – with all relevant documentation.

Appendix:

Candidate Appeals – Assessment Decision (CADA)
Completing the Assessment Appeal Form (AAF)

Candidate Assessment Decision Appeal

Candidate Name / Date of Appeal / Date of Assessment
Awarding Body / Reg. No
Course / Subject
Unit(s) ref.
Assessor name / I.V/M Name
Disagreement description
Reason for disagreement / Please refer to the Appeals Policy and Procedure
Supporting evidence

Candidate Declaration

I have read and understood the Appeals Procedure. I understand that there are four stages with one Intervention to the appeal process

I am aware that the External Verifier’s decision is final.

I understand that I may present further evidence relevant to the original assessment. I know that I can also call for witnesses or support.

I confirm that I wish to proceed with this appeal to the first stage of the Assessment Appeals Procedure.

Candidate / Assessor
Date
Name
Signed

Progression and Outcomes

N.B.
This refers to the Assessment Appeals Form and MUST be updated in accordance to this.