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Last updated: July 2025
Introduction
Scope and purpose
Kaplan SQE Limited (Kaplan SQE) has been appointed by the Solicitors Regulation Authority Limited (“SRA”) as the sole provider of the Solicitors Qualifying Examination (“the Assessment”) and the End Point Assessment Organisation (“EPAO”) for Solicitor Apprentices. Kaplan SQE handles appeals in accordance with this Policy as required by the SRA.
This Policy sets out the procedures to be followed in cases where a candidate wishes to appeal against a decision of the Assessment Board. For the avoidance of doubt, an upheld appeal cannot result in a change to the pass mark or a change to a candidate’s marks.
Where an appeal contains a complaint, we will suspend the complaint. The complaint process will progress once the Appeals process has been concluded. Please also refer to the Complaints Policy.
Fairness
We are committed to ensuring that this Policy is fair and transparent and is operated in a manner which:
Confidentiality
Information provided by candidates under these procedures will be treated confidentially and only shared with those persons necessary to consider their appeal.
Timescales
We expect that candidates will meet the time limits outlined in the policy. Where there are exceptional circumstances which mean a candidate cannot reasonably meet such time limits they must communicate this to us at the earliest opportunity and submit evidence to justify the delay. Where accepted, and where possible, new timescales may be agreed (see paragraphs 4.10 and 7.10).
Candidates with a disability
Where a candidate indicates that they have a disability, information will be made available to them in appropriate formats and reasonable adjustments may be made to accommodate their needs.
Review of this Policy
This Policy will be monitored on an ongoing basis and any necessary amendments will be made and implemented at the earliest opportunity. As a minimum, Kaplan SQE will review this and all associated policies on a regular basis as part of its quality assurance procedures.
Definitions
Mitigating circumstances:
A mistake or irregularity in the administration or conduct of the assessment; or
Evidence of bias in the conduct of the assessment; or
Subject to the Fit to Sit Policy and SQE Assessment Regulations a candidate's illness or other personal circumstances beyond their reasonable control
which have, or are likely to, materially and adversely affect a candidate's marks or performance in the assessment.
Appeals
This Policy provides for a formal appeals process with two stages: a first stage appeal and a final stage appeal.
The standard of proof in an appeal is on the balance of probabilities.
First stage appeal
For the purpose of this Policy, a first stage appeal means a request for a review of the decision of the Assessment Board to fail a candidate in any assessment comprising SQE1 and/or SQE2 of the Solicitors Qualifying Examination (SQE) or of a finding of malpractice or improper conduct.
A first stage appeal may be made on one or more of the following grounds only:
there are mitigating circumstances which could not have been put before the Assessment Board before it made its decision; or
the decision of the Assessment Board, or the manner in which that decision was reached involved material irregularity and/or was manifestly unreasonable and/or irrational; or
the candidate disputes the Assessment Board’s finding of malpractice or improper conduct.
An appeal on the basis that a candidate disagrees with the outcome of their mitigating circumstances claim will only be considered if there is new information or evidence that could not be presented at the time in support of the original mitigating circumstances claim.
For the purposes of 4.2.1 the fact that the candidate was not yet aware of their results is not a reason why a mitigating circumstances claim could not have been put before the Assessment Board.
No appeal will be considered on the grounds that a candidate:
wishes to challenge the academic judgement of the assessor or the criteria applied to assess the candidate’s work. Academic judgement means the professional and scholarly knowledge and expertise which the assessors have drawn on to reach a decision about a candidate’s performance in an assessment;
did not understand or was not aware of the SQE Assessment Regulations.
Submitting a first stage appeal
A candidate must submit their first stage appeal by 16:00 GMT on the tenth working day after the date of release of results. Where evidence cannot be provided within the 10 working days, the first stage appeal form must be submitted within the time limit with evidence to follow. A revised deadline for submitting delayed evidence may be agreed with the candidate as outlined in paragraph 4.10.
Where the first stage appeal is in respect of a SQE1 mitigating circumstances claim, the candidate must submit their first stage appeal form within 10 working days of the date of the outcome letter of the mitigating circumstances claim.
Where the appeal is in respect of a malpractice or improper conduct case, the appeal must be submitted within 10 working days of the Assessment Board outcome letter.
A charge of £350 will be made for a first stage appeal. This will be refunded if the appeal is upheld.
Where the basis of the first stage appeal is a mistake or irregularity in the provision of the agreed reasonable adjustment plan, the candidate is exempt from payment of the first stage appeal charge.
Within 2 working days of submitting the first stage appeal form, the candidate will receive an email instructing them to call the Candidate Services Team to pay the appeal charge, informing them of the deadline for payment and consequences of non-payment.
Submission of a first stage appeal occurs when the appeal form and any supporting evidence has been submitted and the appeal charge has been paid. All must be completed by the deadlines.
As set out in paragraph 1.4, candidates are expected to meet the time limits in communicating with us. In the event that relevant evidence cannot be provided within the 10 working days, candidates must contact the Equality and Quality Team (equality.quality@sqe.sra.org.uk to explain the reason for the delay in submitting the written evidence. The Equality and Quality Team will advise the candidate of any revised deadline for submission of the outstanding written evidence. A new submission deadline will be determined by the date of the scheduled First Stage Appeal Panel, as specified in paragraph 5.1 of the policy.
First stage appeals submitted after the deadline in paragraph 4.6 will not be accepted. After these dates, a candidate may submit a Request to submit an out of time first stage appeal in accordance with paragraph 10.
Procedure for considering a first stage appeal
The First Stage Appeal Panel will meet within 25 working days of the deadline by which candidates must submit their first stage appeal.
The First Stage Appeal Panel will comprise three members which will include at least one panel member who is independent from Kaplan and the SRA. None of the panel members will have been members of the Assessment Board which considered the candidate’s result or made a finding of malpractice or improper conduct. At least one member will be a Solicitor of England and Wales (practising or non-practising). One member will chair the panel.
The First Stage Appeal Panel will determine whether the appeal:
is made on one or more of the grounds set out at 4.2; and
is substantiated by the evidence provided.
The First Stage Appeal Panel may consult with the Chair of the Assessment Board, Assessment Board members and any other relevant persons for evidence and information.
Decision of the First Stage Appeal Panel
The First Stage Appeal Panel will reach one of the following decisions:
uphold the appeal
dismiss the appeal
The First Stage Appeal Panel cannot change a pass mark.
In the case of an upheld appeal about a finding of malpractice or improper conduct the candidate’s mark in the assessment will stand.
Candidates whose appeals are upheld will ordinarily have the attempt discounted.
Where an appeal submission for SQE2 made under paragraph 4.2.1 or 4.3 is upheld, the First Stage Appeal Panel will decide the outcome in accordance with the principles of the Mitigating Circumstances Policy.
Where the attempt which was subject to the appeal is discounted, all or part of the assessment fee may be refunded in accordance with the principles in paragraph 13.5 of the SQE Assessment Terms and Conditions.
Where the First Stage Appeal Panel upholds the appeal they may recommend further action.
The Chair of the First Stage Appeal Panel will advise the candidate of the decision within 35 working days of the deadline by which candidates must submit their first stage appeal, giving reasons.
The outcome of the first stage appeal will be minuted and recorded in the Appeals Register which is subject to inspection by the Solicitors Regulation Authority (SRA) and will be reported to the Assessment Board.
Final stage appeal
For the purpose of this Policy, a final stage appeal means a request for a review of the decision of the First stage Appeal Panel.
A final stage appeal may be made on the following ground only:
The decision of the First stage Appeal Panel, or the manner in which that decision to dismiss was reached, involved material irregularity and/or was manifestly unreasonable and/or irrational.
A final stage appeal may not be submitted where the First Stage Appeal Panel upheld the first stage appeal.
Submitting a final stage appeal
A candidate must submit their final stage appeal within 20 working days of the date the candidate was notified of the decision of the First Stage Appeal Panel.
In cases where the first stage appeal was dismissed, the candidate may request copies of the evidence presented to the First Stage Appeal Panel if this will assist in informing a decision to submit a final stage appeal.
The request for copies of evidence must be made within 5 working days of the date of the outcome of the First Stage Appeal Panel.
The evidence will be sent to the candidate within 15 working days of the date of the outcome of the First Stage Appeal Panel decision.
The final stage appeal must be submitted on the SQE Final Stage Appeal Form that can be found in the Candidate Account It must contain full details of the appeal and be accompanied by copies of all relevant documentation and evidence supporting the ground for appeal.
A charge of £850 will be made for a final stage appeal. This will be refunded if the appeal is upheld.
Where the final stage appeal relates to a mistake or irregularity in the provision of an agreed reasonable adjustment plan, the candidate is exempt from payment of the final stage appeal charge.
Within 2 working days of submitting the final stage appeal form, the candidate will receive an email instructing them to call the Candidate Services Team to pay the appeal charge and informing them of the deadline for payment.
Submission of a final stage appeal occurs when the final stage appeal form and the charge under paragraph 7.7 has been paid in full.
As set out in paragraph 1.4, candidates are expected to meet the time limits in communicating with us. In the event that relevant evidence cannot be provided within the twenty working days, candidates must contact the Equality and Quality Team (equality.quality@sqe.sra.org.uk) to explain the reason for the delay in submitting the written evidence. The Equality and Quality Team will advise the candidate of any revised deadline for submission of the outstanding written evidence. A new submission deadline will be determined by the date of the scheduled Final Stage Appeal Panel, as specified in paragraph 8.1 of the policy.
Final stage appeals submitted after the deadline in paragraph 7.4 will not be accepted. Candidates who miss the deadline must submit a Request to submit a final stage appeal out of time in accordance with paragraph 10.
Procedure for considering a final appeal
The Final Stage Appeal Panel will meet within 30 working days of the deadline by which candidates must submit a final stage appeal.
The Final Appeal Panel will comprise three members which will include two independent panel members. None of the panel members will have been members of the Assessment Board which considered the candidate’s claim or result or a member of the First Stage Appeal Panel that considered the case. At least one will be a Solicitor of England and Wales (practising or non-practising). One member will Chair the Panel.
The candidate may elect for an oral appeal hearing or a paper-based determination. If the candidate elects an oral appeal hearing, they have the right to be accompanied by a friend or relative.
The candidate and the Final Stage Appeal Panel will be provided with all documentation that will be considered by the Panel at least 5 working days prior to the Final Stage Appeal Panel meeting to consider the appeal. Late evidence may be circulated only with the consent of the candidate and the Chair of the Panel.
If, having elected for an oral appeal hearing the candidate fails to attend, the hearing will proceed with the candidate "in absentia" and on the information already supplied. If the candidate provides a documented acceptable reason for their absence the hearing date may be rearranged.
Additional attendees may be required to attend for the sole purpose of providing appropriate advice. They will not participate in the discussions of the Final Stage Appeal Panel nor are they entitled to vote in any decision.
Final Stage Appeal Panel decision
The Final Stage Appeal Panel will reach one of the following decisions:
reject the decision of the First Stage Appeal Panel
uphold the decision of the First Stage Appeal Panel
The Final Stage Appeal Panel cannot change a pass mark.
Where an appeal for SQE2, originally made under paragraph 4.2.1 or 4.3 is upheld, the Final Stage Appeal Panel will decide the outcome in accordance with the principles of the Mitigating Circumstances Policy.
Where the Final Stage Appeal Panel upholds the appeal they may recommend further action.
The Chair of the Final Stage Appeal Panel will advise the candidate of the decision of the Final Stage Appeal Panel within 15 working days of the hearing or paper-based determination, giving reasons.
The decision of the Final Stage Appeal Panel is final.
The outcome of the final stage appeal will be minuted and recorded in the Appeals Register which is subject to inspection by the SRA and reported to the Assessment Board.
Request to submit a first stage appeal or a final stage appeal out of time
Appeals submitted outside of the time limits set out in paragraphs 4.6 and 7.4 will only be considered in exceptional circumstances as set out in paragraph 10.6. A Review Panel will decide whether to accept the late appeal submission.
The candidate must submit a request (“Request”) by email to equality.quality@sqe.sra.org.uk with details to explain the exceptional circumstances why the appeal could not be submitted by the deadline in this policy and that the Request has been made at the earliest opportunity. Relevant independent written evidence must be submitted to substantiate the request.
Where independent written evidence cannot be provided, the Review Panel will reach a decision whether to accept a late submission based on the information available and circumstances in the Request.
A charge of £150 will be made for a Request to submit an appeal out of time.
If the request to submit a first stage appeal out of time is approved, the £150 appeal charge will be credited towards the total £350 appeal charge.
If the request to submit a final stage appeal out of time is approved, the £150 appeal charge will be credited towards the total £850 appeal charge.
Where the first stage appeal or final stage appeal relates to a mistake or irregularity in the provision of the agreed reasonable adjustment plan, the candidate is exempt from the £150 charge.
A Review Panel will meet within 20 working days of submission of the completed Request. The Panel will comprise three members which will include one independent panel member. None of the panel members will have been members of the Assessment Board which considered the candidate’s result or made a finding of malpractice or improper conduct. At least one of the members will be a Solicitor of England and Wales (practising or non-practising). One member will chair the panel.
The Review Panel will determine whether there are exceptional circumstances, substantiated by any relevant independent evidence, why the appeal could not be submitted by the relevant deadline and that the Request has been made at the earliest opportunity.
Decision of the Review Panel
The Review Panel will reach one of the following decisions:
To accept the Request to submit an appeal out of time;
To reject the Request to submit an appeal out of time.
When a Request to submit a first stage appeal out of time has been accepted:
The candidate must submit their appeal on the first stage appeal form, submit relevant supporting evidence and pay the balance of the first stage appeal charge of £200 within 10 working days of the date the candidate was notified of the decision of the Panel.
The first stage appeal will be considered by the First Stage Appeal Panel in accordance with paragraphs 4, 5 and 6 of this Policy, apart from the date of the Panel in paragraph 5.1. The first stage appeal will be considered at the next convened First Stage Appeal Panel.
Where a Request to submit a final stage appeal out of time has been accepted:
The candidate must submit their appeal on the final stage appeal form, submit relevant supporting evidence and pay the balance of the final stage appeal charge of £700 within 10 working days of the date the candidate was notified of the decision of the Panel.
The final stage appeal will be considered by the Final Stage Appeal Panel in accordance with paragraphs 7, 8 and 9 of this Policy, apart from the date of the Panel in paragraph 8.1. The final stage appeal will be considered at the next convened Final Stage Appeal Panel.
SQE Appeals Policy for assessments from May 2023 to April 2025 (PDF 216KB)
SQE Appeals Policy for assessments taken up to May 2023 (PDF 153KB)
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