Guidance

Ofqual Enforcement Panel appeal rules

Published 30 October 2025

Applies to England

1. 1. An Awarding Organisation (AO) may appeal to the Enforcement Panel in respect of:
   1. a. a determination of non-compliance,
   2. b. a decision to issue a rebuke.
2. 2. For the purposes of these rules, a determination of non-compliance (a Determination) is a decision that the AO has failed to comply with a Condition of its Recognition in circumstances where:
   1. a. the AO did not declare that non-compliance or make any relevant admission, and
   2. b. the Determination was made in the context of a decision either that no further action should be taken if the breach was made out or that a rebuke would be issued if the breach was made out.
3. 3. Where a rebuke is issued following a Determination, the AO may appeal in respect of the Determination, the rebuke, or both elements.

Procedure

1. 4. The AO must submit the appeal through the Portal using a document with the title ‘Application for Appeal’ (the application). The application must include the following sections, in the order set out below:
   1. a. The decision: a summary of the decision being appealed, specifying the date of the Determination (or admission of non-compliance where relevant), the date of the rebuke (where relevant) and the condition(s) found to have been breached,
   2. b. The facts: a summary of the factual background on which the Determination subject to appeal was made, together with a summary of the representations made by the AO before the Determination,
   3. c. The grounds: why the AO considers the initial decision was wrong, specifying as relevant: how the AO considers the relevant condition(s) should be interpreted, any facts which the AO considers the decision-maker failed adequately to take into account, why the AO considers the decision to issue a rebuke to be unreasonable,
   4. d. The remedy: the outcome the AO seeks should the appeal be successful.

2. 5. The application must be submitted by the AO’s Responsible Officer and must be accompanied by a declaration that the contents are true and accurate, in accordance with Condition B1.4.

3. 6. The application must be received by Ofqual no more than 14 days after the relevant decision was issued.

Triage

1. 7. All applications will first be considered by a director in Ofqual’s legal team. The application will be rejected if the director considers the application to be incomplete, or inaccurate as regards any assertion of fact. A rejected application may be revised and resubmitted on no more than 2 further occasions.

2. 8. The director may, at their absolute discretion, invite the initial decision-maker to review or reconsider the Determination if on consideration of the application, the director considers such reconsideration may be appropriate.

Listing

1. 9. All applications which proceed after the triage stage will be listed for consideration by the Enforcement Panel. Applications will be listed as soon as practicable, having regard to:
   1. a. The availability of appropriate panel members,
   2. b. Whether it may be beneficial for particular cases to be considered together,
   3. c. Any particular urgency affecting the case.

2. 10. Where necessary, priority will be given to listing appeals concerning the issue of a rebuke.

3. 11. Unless otherwise determined, all applications for appeal will be considered at a meeting of the Enforcement Panel on the basis of written submissions - the AO will not be invited to address the Enforcement Panel in person.

Directions

1. 12. Directions concerning the management of an application for appeal, including directions for a hearing of the Enforcement Panel with the AO in attendance, may be given at any time by a director in Ofqual’s legal team or by the Enforcement Panel.

Powers

1. 13. At the conclusion of an appeal in relation to a Determination, the Enforcement Panel will either:
   1. a. allow the appeal and set-aside or vary the Determination,
   2. b. dismiss the appeal, confirm the Determination and confirm that no further action will be taken, or
   3. c. dismiss the appeal, confirm the breach and determine that any other action set out in the Supporting Compliance and Taking Regulatory Action policy should be taken.
2. 14. At the conclusion of an appeal in relation to the issue of a rebuke, the Enforcement Panel will either:
   1. a. allow the appeal against the rebuke and substitute a decision that no further action will be taken in relation to the breach,
   2. b. dismiss the appeal and confirm the rebuke, or
   3. c. dismiss the appeal and determine that any other action set out in the Supporting Compliance and Taking Regulatory Action policy should be taken in place of the rebuke.

3. 15. Where the appeal concerns a Determination and the issue of a rebuke, the Enforcement Panel may make such order from the preceding paragraphs, as it sees fit.

4. 16. Where the Enforcement Panel considers an alternative action should be taken in place of the Determination or rebuke, it will follow the relevant process set out in the Supporting Compliance and Taking Regulatory Action policy.

Test

1. 17. The Enforcement Panel will allow the appeal where it considers:
   1. a. the Determination relies on an interpretation of a condition which cannot be sustained,
   2. b. the Determination relies on an interpretation of the factual matrix known at the relevant time which cannot be sustained,
   3. c. the Determination overlooked evidence which was available to the decision-maker at the material time and which would inevitably have affected the Determination had it been taken into account,
   4. d. the decision to issue a rebuke was unreasonable in all of the circumstances of the case.

2. 18. The Enforcement Panel will dismiss the appeal in all other circumstances. The Enforcement Panel will give summary reasons for its decision to dismiss the appeal.

3. 19. The Enforcement Panel may substitute an outcome set out in the Supporting Compliance and Taking Regulatory Action policy where it considers on the available facts the initial decision to take no further action or to issue a rebuke was wrong. The Enforcement Panel will give a statement of its reasons in all such cases, which will specify the revised outcome and where necessary will constitute Notice of Intention in accordance with the Supporting Compliance and Taking Regulatory Action policy.

Amendment of these rules

1. 20. The Strategic Enforcement Committee will keep these rules under review and may revise the rules where it considers such revisions to be appropriate. The Strategic Enforcement Committee will consider whether any such revisions require consultation and the extent of any such consultation.