Enquiries About Results (EARs)

policy and procedures

Version 10 (September 2014)

Contents
1. Policy

2. Scope

3. Regulatory authorities criteria

4. Enquiries About Results (EARs)

4.1
4.1.1
4.1.2
4.1.3
4.2
4.2.1
4.2.2
4.2.3
4.2.4
4.3
4.3.1
4.3.2
4.3.3
4.3.4

EAR submission

Timescales
Multiple choice examinations
Late EAR submissions

1
1
2

EAR types

Type 1: Clerical check

Type 2: Clerical check and re-mark
EARs for multiple choice examinations
Note for candidates and accredited course providers

2
2
3
3

Enquiries About Results - individual requests

Individual EAR requests from candidates

Individual EAR requests from accredited course providers
Cost of individual EARs
Submission address

3
3
4
4

4.4 Enquiries About Results - batch requests by accredited course providers

4.4.1
4.4.2
4.4.3
4.4.4

5
5
5
5

Multiple choice examinations

Submitting batch EAR requests
Cost of batch EARs
Submission address

5. EAR processing
5.1
5.1.1
5.1.2
5.1.3
5.2

Timescales

Type 1
Type 2
MCQP EARs

6
6
6

Outcomes

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5.2.1
5.2.2

Individual EAR
Batch EARs

7
8

6. Appeals
6.1
6.1.1
6.1.2
6.1.3
6.1.4
6.2
6.2.1
6.2.2
6.2.3
6.2.4
6.3
6.3.1
6.3.2

Stage 1 Appeal

Application
Cost
Procedures
Outcomes

8
9
9
10

Stage 2 Appeal

10

Application
Cost
Procedures
Outcomes

10
11
11
11

Unresolved appeals

12

Application
Costs, procedures, outcomes

12
12

7. Document control

13

Acknowledgement
This document is based on current best practice including the Federation of Awarding Bodies (FAB) and the Joint Council for
Qualifications (JCQ) policy and procedures. NEBOSH would like to acknowledge these invaluable sources.
Published by NEBOSH
February 2014
The National Examination Board in Occupational Safety and Health
Dominus Way
Meridian Business Park
Leicester
LE19 1QW
tel +44 (0)116 263 4700
fax +44 (0)116 282 4000
email info@nebosh.org.uk
www.nebosh.org.uk

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1.

Policy

NEBOSH supports the right of candidates and/or accredited course providers to enquire about a
result where it does not meet reasonable expectations and to appeal against the outcome of
that enquiry. This document details the policy and procedures put in place to ensure that
enquiries about results and appeals are dealt with in a thorough and equitable manner.
2.

Scope

This policy applies to all Enquiries About Results (EARs) and appeals concerning NEBOSH
qualifications made by candidates and NEBOSH-accredited course providers for all
assessments.
For definitions of terms used in this document, please see the Glossary of NEBOSH Policy
Terms document available here: http://www.nebosh.org.uk/About_Nebosh/
3.

Regulatory authorities criteria

NEBOSH is an awarding body approved by Scottish Qualifications Authority (SQA)

Accreditation, which has a UK-wide regulatory remit.
In addition to statutory duties, this policy is intended to meet the relevant requirements of the
regulatory criteria as set out in Principle 13 of the SQA Accreditation Regulatory Principles
(2014):
13. The awarding body and its providers shall have clear, fair and equitable procedures to
manage appeals.
4.

Enquiries About Results (EARs)

4.1

EAR submission

4.1.1

Timescales

If a candidate believes that the result of an assessment does not match his/her reasonable
expectations, an Enquiry About Result (EAR) may be made within 20 working days of the
result/s notification date (as shown on the examination entry confirmation) of the result to which
it relates (this is known as the EAR closing date).
4.1.2

Multiple choice examinations

For multiple choice examinations, EARs may be made within one calendar month of the
confirmed date (not the issue date) of the unit to which the result relates. The confirmed date
is the date that the results (including unit result notifications (URNs)) are available to accredited
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course providers on the NEBOSH website for the relevant multiple choice examination. It is the
responsibility of accredited course providers to inform candidates of their results as soon as
possible.
NB: Candidates should be aware that waiting for an EAR outcome before deciding to reregister for the examination/assignment may result in the candidate missing the registration
closing date for the next examination or assignment submission date.
Candidates submitting an EAR but considering re-taking their assessment(s) are advised to
register for the next available examination or assignment submission date following the
expected EAR outcome issue date in case their enquiry is not successful.
4.1.3

Late EAR submissions

Requests received after the EAR closing date will not be accepted and payments will be
returned. If there are extenuating circumstances for the late submission, the decision to accept
the EAR application will be at the discretion of NEBOSH.
4.2

EAR types

EARs in all cases are offered and charged separately for each unit making up a qualification.
4.2.1

Type 1: Clerical check

A clerical check confirms that all parts of a script have been marked, that the addition of the
marks for each question or section is correct, that the correct mark for each answer or section
has been transferred on to the script cover and that the correct overall mark has then been
transferred into the NEBOSH database. Where a discrepancy is found by such a check,
NEBOSH will, as appropriate, arrange for any unmarked answer/s, or parts of answer/s, to be
marked and/or for any addition errors to be rectified. Where an error has been found, the
revised mark will be entered into the NEBOSH database and an URN will be issued to the
candidate (this will happen irrespective of whether the unit/overall mark/grade has changed).
NEBOSH applies rigorous procedures following the marking of scripts by Examiners to check
for unmarked pieces of work and for accuracy in the totalling and recording of marks. A Type 1
enquiry, therefore, forms an additional check that these procedures have been carried out
correctly.
4.2.2

Type 2: Clerical check and re-mark

A Type 2 EAR includes a clerical check (as Type 1) and a re-mark of the candidates script.
NEBOSH applies rigorous procedures following the marking of scripts by Examiners to check
the quality of Examiner marking. A Type 2 enquiry, therefore, forms an additional check that
these procedures have been carried out correctly.

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4.2.3

EARs for multiple choice examinations

NEBOSH multiple choice examinations (eg Unit HSW1 Workplace safety foundations) are
marked using an automated scanning system. Candidates and accredited course providers
should note that for this reason only Multiple Choice Question Paper (MCQP) EARs are
available for units assessed by multiple choice examination. An MCQP EAR will involve the
candidates answer sheet being manually re-marked by senior NEBOSH staff.
4.2.4

Note for candidates and accredited course providers

Submission of a Type 1, Type 2 or MCQP EAR does not guarantee that a mark (or grade) will
be adjusted upwards after review. It is important to note that a mark (or grade) may also be
adjusted downwards following an EAR review.
4.3

Enquiries About Results - individual requests

4.3.1

Individual EAR requests from candidates

Candidates wishing to make an Enquiry About Result (EAR) should download the NEBOSH
EAR request form (EAR1) from the NEBOSH website; the completed form must be posted with
full payment to NEBOSH by the EAR closing date (see page 1).
Candidates who have already received unit certificates and/or a qualification parchment
showing their pre-EAR result must return them to NEBOSH with their EAR request form.
If unit certificates/qualification parchments are found to have been issued but not returned with
the EAR form, the EAR request and payment will not be processed until they are received by
NEBOSH.
If unit certificates/qualification parchments have not been issued, NEBOSH will retain these until
after the EAR outcome is known. Following the issue of the EAR outcome, if the candidate is
still eligible to receive the unit certificate/s and/or qualification parchment, this/these will be
issued directly to the candidate either with the EAR outcome paperwork or within 15 working
days of the issue of the EAR outcome if they cannot be printed at the time that the EAR
outcome is issued.
The original certificates will no longer be valid from the date that a revised result is issued.
4.3.2

Individual EAR requests from accredited course providers

An accredited course provider may submit an EAR on a candidates behalf by submitting form
EAR1. However, the accredited course provider must arrange for the candidate to complete
and sign an EAR candidate consent form (EAR2), which is also available on the NEBOSH
website, for inclusion with the EAR request form and payment. This is to ensure that the EAR
request has been made with the full knowledge and express permission of the candidate. If a
candidate consent form is not enclosed with form EAR1 the application will be returned to the
accredited course provider and will not be processed. All paperwork and full payment must
reach NEBOSH by the EAR closing date (see page 1).

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Important note if an EAR application is submitted either by the candidate or accredited

course provider on successful unit/s (ie the unit/s has/have been passed) or the EAR
application is on a unit where the candidate has successfully completed all units for that
qualification, NEBOSH will retain the unit certificate/s and qualification parchment (if applicable)
after printing.
If the unit certificates/qualification parchments have been posted out to the accredited course
provider or candidate, NEBOSH will request their return; in this case, the EAR procedure will not
commence until the unit certificate/s and/or qualification parchment has/have been returned to
NEBOSH.
The original certificates will no longer be valid from the date that a revised result is issued.
Following the issue of the EAR outcome, if the candidate is still eligible to receive the unit
certificate/s and/or qualification parchment, this/these will be issued directly to the candidate
either with the EAR outcome paperwork or within 15 working days of the issue of the EAR
outcome if they cannot be printed at the time that the EAR outcome is issued.
4.3.3

Cost of individual EARs

For the cost of individual EARs, please see the current NEBOSH Fees List available from the
NEBOSH website: www.nebosh.org.uk. Cheques or postal orders should be made payable to
NEBOSH. NEBOSH also accepts credit/debit card and BACS payments.
4.3.4

Submission address

All completed EAR applications and payment should be sent to:

Enquiries About Results (EARs)
NEBOSH
Dominus Way
Meridian Business Park
Leicester
LE19 1QW
4.4

Enquiries About Results - batch requests by accredited course providers

Accredited course providers may make a Type 2 EAR request for a batch of scripts. However,
an accredited course provider making a batch EAR request cannot ask for specific candidate
scripts within a unit to be re-marked but must have all scripts from that unit (eg NGC1) cohort
or sitting included.
Scripts and assignments from different cohorts/sittings, units or qualifications cannot be part of
the same batch.
A batch EAR includes a clerical check (as Type 1) and a re-mark of each candidates script.
For batch requests, a short report on the overall performance of the script batch, by
question/section will be provided.
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4.4.1

Multiple choice examinations

As previously noted (see 4.2.3), Type 2 EARs are not available for NEBOSH multiple choice
examinations. For this reason, batch EARs are not available for these unit examinations.
4.4.2

Submitting batch EAR requests

If an accredited course provider submits a batch EAR request, all candidates must complete
and sign an EAR candidate consent form (EAR2), which is available on the NEBOSH website,
for inclusion with the EAR request form (EAR1) and payment. This is to ensure that the EAR
request has been made with the full knowledge and express permission of the candidates.
Batch EAR requests received from accredited course providers without completed candidate
consent forms will be returned to the accredited course provider and will not be processed. All
paperwork and full payment must reach NEBOSH by the EAR closing date.
Accredited course providers submitting an EAR on behalf of a batch of candidates must ensure
that if the candidates have already received the unit certificate/s and/or qualification parchments
showing their pre-EAR result they are returned to NEBOSH with the EAR request form.
If unit certificates/qualification parchments are found to have been issued but not returned with
the EAR form, the EAR request and payment will not be processed until they are received by
NEBOSH.
If a batch EAR is submitted before the issue of certification, NEBOSH will retain unit certificate/s
and/or qualification parchments until after the EAR outcome is known. Following the issue of
the EAR outcome, if the candidate/s is/are still eligible to receive the unit certificate/s and/or
qualification parchments, this/these will be issued directly to the accredited course provider
either with the EAR outcome paperwork or within 15 working days of the issue of the EAR
outcome if they cannot be printed at the time that the EAR outcome is issued.
The original certificates will no longer be valid from the date that a revised result is issued.
4.4.3

Cost of batch EARs

For the cost of Type 2 batch EARs, please see the current NEBOSH Fees List available from
the NEBOSH website: www.nebosh.org.uk. Cheques or postal orders should be made payable
to NEBOSH. NEBOSH also accepts credit/debit card and BACS payments.
4.4.4

Submission address

See 4.3.4

Submission address on page 4.

5.

EAR processing

5.1

Timescales

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5.1.1

Type 1

Type 1 EAR requests will not be acknowledged on receipt but written notification of the outcome
will be provided no later than ten working days after receipt of the enquiry by NEBOSH.
Type 1 clerical checks are carried out by senior NEBOSH staff and reviewed by senior
management.
5.1.2

Type 2

Candidates should receive written acknowledgement of their Type 2 EAR request/s within
ten working days of receipt.
NEBOSH will provide written notification of the Type 2 EAR outcome/s within forty working
days of the closing date for receipt of enquiries.

Re-marking as part of a Type 2 EAR is carried out by examination Team Leaders, Principal
Examiners or senior NEBOSH staff and the outcomes are reviewed by the Standards Manager or
Quality Assurance Officer.
5.1.3

MCQP EARs

MCQP EAR requests will not be acknowledged on receipt but written notification of the outcome
will be provided within forty working days of the closing date for receipt of enquiries.
MCQP EARs are carried out by senior NEBOSH staff and reviewed by the Standards Manager.
5.2

Outcomes

There are three possible outcomes following a Type 1, Type 2 or MCQP EAR:

the EAR outcome results in the mark being revised upwards and this will replace the
original mark;
the EAR outcome results in the mark remaining unchanged;
the EAR outcome results in the mark being revised downwards and this will replace the
original mark.

Outcomes will be issued in writing to candidates (and accredited course providers where
appropriate) by means of email, where a valid email address has been supplied. However, if an
accredited course provider submits and pays for the EAR on behalf of the candidate then the
outcome will be sent to the accredited course provider (one copy of the paperwork for the
candidate and one copy for the accredited course provider files). An accredited course provider
will also be notified of the EAR outcome if any of the following applies:

any part of the EAR is successful, ie if any unit has gone from Refer to Pass;
if the candidate's grade has improved, eg from Credit to Distinction;
if the candidate's grade has been reduced, eg from Pass to Refer.

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In cases where there has been no change in grade the accredited course provider will not be
notified.
Please note that due to the personal and confidential nature of candidate results, NEBOSH
regrets that EAR outcomes cannot be provided by telephone under any circumstances.
5.2.1

Individual EAR

In the event that an EAR for a unit-based qualification results in the unit mark remaining
unchanged, a revised URN will be issued but the EAR fee will not be refunded.
In the event that an EAR for a unit-based qualification results in an upward adjustment of the
unit mark without affecting the unit or overall qualification grade, a revised URN will be issued
but the EAR fee will not be refunded.
In the event that an EAR results in a downward adjustment of the unit mark without affecting
the unit or overall qualification grade, a revised URN will be issued but the EAR fee will not be
refunded.
In the event that an EAR results in an upward re-grading of a unit (eg from Refer to Pass)
following a Type 1, Type 2 or MCQP enquiry, a revised URN will be issued and the enquiry fee,
and any relevant re-registration fee (see notes below), will be reimbursed. If the outcome
requires the issue of a unit certificate, this will be done free of charge.
In the event that an EAR results in a downward re-grading of a unit (eg from Pass to Refer)
following a Type 1, Type 2 or MCQP enquiry, a revised URN will be issued. The enquiry fee,
and any relevant re-registration fee, will not be refunded. The original certification that was
either returned to NEBOSH or held by NEBOSH pending the EAR outcome will no longer be
valid from the date that the revised result is issued. In this case the candidate will no longer
qualify for unit certificate/s and/or qualification parchment.
In the event that an EAR results in an upward re-grading of the overall qualification (eg from
Pass to Credit), following a Type 1 or Type 2 EAR, then a revised URN will be issued and the
enquiry fee, and any relevant re-registration fee, will be reimbursed. The original certification
that was either returned to NEBOSH or held by NEBOSH pending the EAR outcome will no
longer be valid from the date that the revised result is issued. NEBOSH will issue unit
certificate/s and qualification parchment reflecting the new grade; this will be done free of
charge.
In the event that an EAR results in a downward re-grading of the overall qualification (eg
from Credit to Pass), following a Type 1 or Type 2 EAR or for a MCQP EAR (Pass to Refer),
then a revised URN will be issued. The enquiry fee, and any relevant re-registration fee, will not
be refunded.
The original certification that was either returned to NEBOSH or held by NEBOSH pending the
EAR outcome will no longer be valid from the date that the revised result is issued. If

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applicable, NEBOSH will issue unit certificate/s and/or a qualification parchment reflecting the
new grade; this will be done free of charge.
If a candidate has registered to re-take a unit that is undergoing an EAR and re-sits the unit
assessment before the issue of the EAR outcome, the examination registration fee will not be
refunded in this case, even if the EAR outcome for the unit is successful.
All results issued following an EAR will have a new issue or (for Multiple Choice examinations)
confirmed date. However, enquiries may be made once only per unit result.
If a candidate or accredited course provider remains dissatisfied with the EAR outcome/s, they
may request an appeal (see Section 6).
5.2.2

Batch EARs

Refunds for a batch EAR will be issued per successful individual EAR only; for example, if a
batch of ten EARs is submitted and three result in the unit or overall qualification grade being
revised upwards, only the fees for the three successful EARs will be refunded.
6.

Appeals

If a candidate or accredited course provider remains dissatisfied with the EAR outcome/s, they
may request an appeal. There are two stages in the appeal process. Stage 1 consists of a
review of the case by NEBOSH. Stage 2 consists of consideration of the case by an Appeals
Panel. When making an appeal, the candidate or accredited course provider should establish
the grounds for the appeal. These may include:

a reasonable belief that the case was not dealt with in accordance with the policy and
procedures;
a reasonable belief that the evidence has been misinterpreted;
further evidence that changes the basis of the decision coming to light ;
a reasonable belief that the outcome is not in line with the guidelines or procedure.

6.1

Stage 1 Appeal

6.1.1

Application

Notification of an intention to appeal must be made within fourteen days of the date of issue of
the outcome of the EAR.
To submit a Stage 1 Appeal, please write to NEBOSH at the address overleaf including the
following details:

candidate and/or Head of accredited course provider name (as appropriate);

NEBOSH student number;

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accredited course provider name;

assessment name and date (found on the candidate examination entry confirmation /
confirmation of examination registration, where applicable);
consent form signed by the candidate;
grounds for the appeal (see 6. Appeals) and any supporting evidence where applicable;
payment (please see current NEBOSH Fees List available from the NEBOSH website:
www.nebosh.org.uk).

Standards Manager
NEBOSH
Dominus Way
Meridian Business Park
Leicester
LE19 1QW
NEBOSH will acknowledge the request within five working days of receipt.

6.1.2

Cost

The Stage 1 Appeal fee covers the administrative costs of the investigation.
For the cost of submitting a Stage 1 Appeal, please see the current NEBOSH Fees List
available from the NEBOSH website: www.nebosh.org.uk. Cheques or postal orders should be
made payable to NEBOSH. NEBOSH also accepts credit/debit card and BACS payments.
6.1.3

Procedures

A Stage 1 Appeal consists of an investigation of the case by a senior NEBOSH staff member
nominated by the NEBOSH Standards Manager. The investigation will focus on whether:

NEBOSH used procedures that were consistent with the regulatory criteria;
NEBOSH applied procedures properly and fairly in arriving at judgements;
the candidate has been disadvantaged by a failure to apply these procedures;
any further work relating to the appeal should be authorised (eg re-marking of scripts).

The investigation is not concerned with making judgements about a candidates work and does
not include further re-marking of candidate scripts. However, further re-marking can be ordered
if the investigation finds that procedures have not been satisfactorily followed.
The written evidence and the findings of the investigation will be reviewed by the NEBOSH
Standards Manager.
The Head of accredited course provider or candidate will receive written confirmation of the
outcome within ten working days of the Stage 1 Appeal request being received.

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6.1.4

Outcomes

If the Stage 1 Appeal investigation recommends a re-mark of the script/s and it results in an
upward re-grading of a unit (eg from Refer to Pass) and/or an overall qualification grade of the
candidate:

appeal and EAR fees will be refunded to the candidate or accredited course provider (as
appropriate). Any relevant re-registration fee already paid by the candidate will also be
refunded;
if the outcome requires the issue of unit certificates or re-issue of qualification parchment,
this will be done free of charge.

However, the candidate will be required to return any unit certificate/s and/or qualification
parchment already issued and NEBOSH will not issue replacement/s until the original/s
has/have been received. The parchment issued for the original result will become invalid from
the date that the revised result is issued.
Please note that (as with EARs) units or qualifications may be downgraded as the result of an
appeal. In this case no refund will be issued but unit certificate/s and/or the qualification
parchment will be re-issued (where necessary) free of charge.
6.2

Stage 2 Appeal

If a candidate or accredited course provider remains dissatisfied after a Stage 1 Appeal they
may proceed to Stage 2.
6.2.1

Application

Notification of an intention to appeal must be made within 14 days of the date of issue of the
outcome of the Stage 1 Appeal.
To submit an appeal please write to NEBOSH at the address overleaf including the following
details:

candidate or Head of accredited course provider name;

NEBOSH student number;
accredited course provider name;
examination name and date (found on the candidate examination entry confirmation /
confirmation of examination registration, where applicable);
consent form signed by the candidate;
grounds for the appeal and any supporting evidence where applicable;
payment (please see current NEBOSH Fees List available from the NEBOSH website:
www.nebosh.org.uk).

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Customer Services Manager

NEBOSH
Dominus Way
Meridian Business Park
Leicester
LE19 1QW
NEBOSH will acknowledge the request within five working days of receipt.
6.2.2

Cost

The appeal incurs a fee to cover the administrative costs of organising the Appeals Panel.
For the cost of submitting a Stage 2 Appeal, please see the current NEBOSH Fees List
available from the NEBOSH website: www.nebosh.org.uk. Cheques or postal orders should be
made payable to NEBOSH. NEBOSH also accepts credit/debit card and BACS payments.
6.2.3

Procedures

The case will be presented to an Appeals Panel consisting of:

two senior NEBOSH representatives (eg managers) who have not been involved in the
original investigation and;
one independent representative, who has not at any time during the past seven years been
a member of the awarding body's board or committees, or an employee or Examiner of the
awarding body.

In line with the regulatory criteria, in the case of appeals against assessment decisions, the
investigation will focus on whether:

NEBOSH used procedures that were consistent with the regulatory criteria;
NEBOSH applied procedures properly and fairly in arriving at judgements;
the candidate has been disadvantaged by a failure to apply these procedures;
any further work relating to the appeal should be authorised (eg re-marking of scripts).

The Appeals Panel is not concerned with making judgements about a candidates work and
does not re-mark candidate scripts. However, further re-marking can be ordered by the Panel, if
it finds that procedures have not been satisfactorily followed.
The Head of accredited course provider or candidate will receive written confirmation of the
outcome within 50 working days of the Stage 2 Appeal request being received.
6.2.4

Outcomes

In the event that the Stage 2 Appeal leads to an upward re-grading of a unit (eg from Refer to
Pass) and/or an overall qualification grade of the candidate:

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appeal and EAR fees will be refunded to the candidate or accredited course provider (as
appropriate). Any relevant re-registration fee already paid by the candidate will also be
refunded;
if the outcome requires the issue of unit certificate/s and/or the qualification parchment, this
will be done free of charge.

However, the candidate will be required to return any unit certificate/s and/or qualification
parchment already issued and NEBOSH will not issue replacement/s until the original/s
has/have been received. The parchment issued for the original result will become invalid from
the date that the revised result is issued.
Please note that (as with EARs) units or qualifications may be downgraded as the result of an
appeal. In this case no refund will be issued but unit certificates and/or qualification parchment
will be re-issued (where necessary) free of charge.
6.3

Unresolved appeals

If following the outcome of an appeal, the candidate or accredited course provider remains
dissatisfied, and where the relevant NEBOSH qualification is accredited in Scotland by SQA
Accreditation and was assessed within the UK, they may seek regulatory advice from SQA
Accreditation: http://www.sqa.org.uk/sqa/42256.html
A list of NEBOSH qualifications accredited by SQA Accreditation can be found here:
http://www.sqa.org.uk/sqa/42333.2729.html
NB: Appeals relating to qualifications not accredited by SQA Accreditation or cases
where an SQA-accredited qualification has been assessed outside the UK, may not be
submitted for SQA regulatory review.
6.3.1

Application

The candidate or Head of accredited course provider has fourteen days from the date of issue
of the Stage 2 Appeal outcome. To make an application for regulatory review of an unresolved
Stage 2 Appeal, please write to this address:
The Senior Regulation Manager
SQA Accreditation
Optima Building
58 Robertson Street
Glasgow
G2 8DQ
6.3.2

Costs, procedures, outcomes

These will be communicated by SQA Accreditation following receipt of the application for
regulatory review.

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7.

Document control

Ref:

ST008

Version:

10

Date:

September 2014

Owner:

NEBOSH Standards Manager

Review due date:

August 2017

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