T-300.1 Appeals Policy 1 June 2015 Version 1.0 T-300.1 151157_008.docx
Table of Contents Document Control... 3 Glossary of Terms... 4 List of Abbreviations... 5 Appeals Policy... 6 1. Purpose... 6 2. Scope... 6 3. Policy Statement... 6 4. Roles and Responsibilities... 6 5. General Appeal Procedures... 6 6. Initial Appeal... 7 7. Appeal Review... 9 8. Appeal outcomes... 10 9. Examination re-mark process... 11 10. Confidentiality... 11 11. Notice and Service of Documents... 11 12. Correspondence to APC... 12 13. Related documents/links... 12 14. References... 12 2
Document Control Document Details Document ID: Version: 1.0 Status: Classification: File Location: APPROVED Unclassified S:\Governance\Policy\APC Policies reorganised\apc Appeals Policy v1.0.docx Effective Date: 22 June 2015 Approved By: Council Next Review Date: June 2017 Custodian Details Managed By: Document Custodian: Responsible Officer: Chief Executive Officer Deputy CEO EA/EO Version Control History Version Release Date Remarks Revision Class (Major/Minor/No Change) Author 0.1 TBC Combined previous Examinations and Assessments, Accreditation and Credentialing Appeals Policy into one document Legal review Major N Ford 3
Glossary of Terms Term Accreditation Advanced practice Meaning Evaluation of a degree program, intern training program (ITP) and continuing professional development (CPD) activity against defined standards. This evaluation ensures that the education and training leading to registration as a pharmacist is rigorous and prepares individuals to practise safely. Practice that is so significantly different from that achieved at initial registration that it warrants recognition by professional peers and the public. Recognition of the expertise of the practitioner and the education, training and experience from which that capability was derived. APC Appeals Panel The panel convened in accordance with paragraph 6. APC Business Unit Director The person who as is appointed or occupies the position of APC Business Unit Director for the relevant area from time to time. Appellant The person making an appeal under this Policy and paragraph 5.3. Appeal Credentialing Examination Independent Appeals Committee Initial eligibility assessment Policy Program A formal request by an individual pharmacist for review of a decision or administrative process. Process by which the APC reviews and verifies a practitioner s qualifications, skills experience and competencies against defined standards. An assessment tool used to determine an individual s knowledge or competency against a required minimum standard. The committee convened in accordance with paragraph 7. The decision made by the APC of the suitability of and appropriate pathway for overseas pharmacists to follow to commence the registration process in Australia (eg. Stream A or B). This Australian Pharmacy Council Appeals Policy as approved and amended from time to time. A course of study provided by an education provider. 4
List of Abbreviations Abbreviation APC CPD IAC ITP Term Australian Pharmacy Council Continuing Professional Development Independent Appeals Committee Intern Training Program 5
Appeals Policy 1. Purpose The purpose of this Policy is to indicate the processes and procedures available to APC stakeholders wishing to appeal an APC decision. 2. Scope Subject to paragraphs 2.2 and 2.3, this Policy applies to APC Accreditation, Assessment, Credentialing or Examination activities or decisions. Credentialing decisions: Advanced practice credentialing appeals will only be accepted in relation to decisions made about the evaluation of specific evidence submitted with the original advanced practice application, as mapped to a specific competency. If an applicant wishes to submit additional evidence against a specific competency for the purpose of re-assessment, the process for resubmission (not appeals) should be followed. Examination results: Examination results (e.g. Fail ) cannot be appealed. APC will not apply special consideration or change an Examination result as part of the appeals process (e.g. a Fail result will not change to Pass ). Where a review of an Examination result is sought, the applicant should apply for a manual remark of the Examination results in accordance with paragraph 9. 3. Policy Statement Under the Health Practitioners Regulations Act 2009 (the Law), accrediting bodies must maintain and make available an appeals process to those programs and individuals they assess. The APC maintains a two-tier appeals process as set out in paragraphs 5 to 8 below. 4. Roles and Responsibilities The relevant APC Business Unit Director is responsible for ensuring, so far as is practicable: that programs or individuals have access to this Policy when reasonably required (in the event concerns are raised regarding an APC decision); that the relevant parties have access to information concerning the procedures required for each type of appeal; and that the relevant appeal panels are convened and decision outcomes communicated in a timely fashion and in accordance with this Policy. 5. General Appeal Procedures 6
An APC accreditation, assessment, credentialing or examination stakeholder may appeal an Accreditation, Credentialing, Examination or Initial eligibility assessment decision by APC (Appellate Decision) in accordance with this Policy. An appeal may be made to an Appellate Decision on one or more of the following grounds: that a Program, ITP or CPD Accreditation decision was in error or that there was a breach of the Accreditation process leading to that decision; that an Advanced practice Credentialing decision was in error or that there was a breach in the Credentialing process leading to that decision; that an initial eligibility assessment decision was in error or that there was a breach in the assessment process leading to that decision; or that there was an administrative breach during an Examination. All appeals must be made in writing (letter or email) to APC by the person or program who is the subject of the decision and who is seeking the appeal (the Appellant). The appeal must be accompanied by the relevant fee (if applicable). Appeals must state the grounds and reasons as to why one or more of paragraphs 5.2 or 7.1 applies and otherwise conform to the requirements of paragraph 6.5 or 7.7 as applicable. Appeals that are incomplete, not accompanied by payment of the applicable fees or otherwise do not comply with this Policy will not be processed or accepted. In submitting an appeal under this Policy, the Appellant acknowledges that: 6. Initial Appeal the Appellant bears the onus of demonstrating that the subject decision was in error and, until that onus is discharged to the reasonable satisfaction of the relevant appeal body, the appealed decision shall remain valid and unchanged; and that the APC bears no liability for any delay in the accreditation, assessment, credentialing or examination processes even where the process of review or appeal extends beyond the expected or anticipated timelines. Appeal to the APC Appeals Panel At first instance, the Appellant may make an appeal to the APC Appeals Panel (the Appeal). The APC Appeals Panel will consist of at least three (3) members all of whom are to be independent of the Appellant, have formally agreed to uphold the APC Conflict of Interest Policy and must not have participated in the original decision. No member may sit on the APC Appeals Panel if they have a material personal conflict or material perceived conflict in relation to the Appellant or the subject of the Appeal. Appeal Process The Appellant must lodge the Appeal with the APC within 30 days of receipt of the original decision. 7
The Appeal must include the following: payment of the relevant appeal fee (if applicable); an address for service for the Appellant (email or postal address); a written summary identifying the decision to be appealed and the circumstances giving rise to the Appeal; and any relevant supporting documentation or other material relating to or supporting the Appeal and upon which the Appellant relies. The APC will, within five (5) business days of lodgement of the Appeal: acknowledge receipt and acceptance of the Appeal (Acceptance Date); or if the Appeal is incomplete or does not otherwise meet the requirements of this Policy, give notice of the rejection of the Appeal. Within ten (10) business days of the Acceptance Date, the APC will convene the APC Appeals Panel to consider and assess the Appeal, supporting documentation and any other documentation or information pertinent to the Appeal. Request for Input In conducting its review the APC Appeals Panel must consider and assess all the information and material provided to it in relation to the Appeal. Any assessment or treatment or relevance of any information provided is within the unfettered discretion of the APC Appeals Panel. During the course its review, the APC Appeals Panel: may contact the Appellant in writing requesting the provision of additional information; if the Appeal concerns an Accreditation decision regarding physical facilities, may conduct a site inspection of those facilities subject to paragraph 6.10; may make its own inquiries as it sees fit and seek such further information from the parties who made the original decision, from third parties and third party sources as it considers appropriate without limit (but it has no obligation to do so), and in each case it must take into account the confidentiality requirements of this Policy; may obtain any other information that may be, in the unfettered opinion of the APC Appeals Panel, appropriate, prudent, relevant or necessary to the subject or circumstances of the Appeal and the Appellant without limit (but it has no obligation to do so) and in each case it must take into account the confidentiality requirements of this Policy; and must contact the Appellant in writing and notify them of any new information received during the course of the review which the APC Appeal Panel consider is relevant to the Appeal and seek the Appellant s further input or response to that information. 8
Where a site visit is proposed for the purposes of the Appeal, the Appellant will be responsible for paying all costs reasonably incurred by the APC Appeals Panel for the site visit. The APC Appeals Panel will notify the Appellant in writing of the proposed site visit and seek the Appellant s consent to the estimated costs. If the Appellant declines to fund the said costs, then the Appellant shall be deemed to have withdrawn their Appeal. If the Appellant refuses or fails to respond within the timeframe specified in the request made under 6.8(a), 6.8(e) or 6.10 (provided it is not less than 2 business days), the Appellant will be deemed to have waived their right to respond and the Appeal will be determined based on the written information supplied to the APC Appeals Panel. Appeal Determination The APC will notify the Appellant of the outcome of the Appeal in writing within 30 days of the Acceptance Date or where a site visit is required, within 35 days of the Acceptance Date (the Appeal Decision). The Appeal Decision must state the reasons for the decision and advice that the Appellant has 30 days to seek a review of the Appeal Decision, but need not indicate any weighting as to relevance any or all information provided or considered. 7. Appeal Review Appeal to the Independent Appeals Committee The Appellant may only seek a review of the Appeal Decision by the Independent Appeals Committee if the Appellant believes there has been a breach of the administrative or appeals process that preceded the Appeal Decision (Review Request). The Appellant may not appeal the initial decision/outcome. A Review Request under this paragraph 7 must be in writing and conform to the requirements of paragraph 7.7, noting that the subject decision shall be the decision of the APC Appeals Panel. Any decision made by the Independent Appeals Committee is final and binding on the Appellant. The Independent Appeals Committee will consist of at least three members, all of whom are independent of the APC, the APC Appeals Panel, have formally agreed to uphold the APC Conflict of Interest Policy, and who did not participate in the original decision or the Appeal Decision. Two of the members will be registered pharmacists and at least one member will be a member of a different profession with experience relevant to the Appeal. No member may sit on the Independent Appeals Committee if they have a material personal conflict or material perceived conflict in relation to the Appellant or the subject of the Review Request. Appeal Review Process The Appellant must lodge the Review Request with the APC within 30 days of receipt of the Appeal Decision. 9
The Review Request must include the following: payment of the relevant appeal fee (if applicable); a written summary identifying the Appeal Decision to be appealed and the alleged breach the administrative or appeals process; any relevant supporting documentation or other material relating to or supporting the Review Request and upon which the Appellant relies. The APC will, within ten (10) business days of lodgement of the Review Request: acknowledge receipt and acceptance of the Review Request (AD Acceptance Date); or if the Review Request is incomplete or does not otherwise meet the requirements of this Policy, give notice of the rejection of the review. Within ten (10) business days of the AD Acceptance Date, the APC will: convene the Independent Appeals Committee to consider and assess the Review Request, the supporting documentation provided and other documentation or information which was before the APC Appeals Panel and provide its decision to the APC; and once convened, provide the Independent Appeals Committee with a record of the appeal process conducted by the APC Appeals Panel in respect of the Appeal Decision that is the subject of the Review Request, including all materials considered, information provided and correspondence entered into between the APC Appeals Panel and the Appellant and any other third parties. In conducting its review the Independent Appeals Committee must consider and assess the information and material provided to it in relation to the Review Request. The APC will notify the Appellant of the outcome of the Review Request in writing within 60 days of the AD Acceptance Date, stating the reasons for the decision. 8. Appeal outcomes If an Appeal or Review Request is upheld: against an Accreditation decision and/or process, any refund of fees will be dependent on the grounds and context of the appeal and a matter for the discretion of the APC; against a Credentialing decision and/or process, any refund of fees will be dependent on the grounds and context of the appeal and a matter for the discretion of the APC; against an Initial eligibility assessment decision, the APC will refund all appeal fees to the Appellant within 10 business days of that decision; against an administrative breach during an Examination, the APC will refund all Examination and appeal fees to the Appellant within 10 business days of that decision; 10
If an Appeal is upheld then the Appeal Decision will be the new decision, but that decision will not be subject to further appeal or review. 9. Examination re-mark process An APC stakeholder may request a manual re-mark of their Examination results. A request under paragraph 9.1 must be submitted to the APC in writing accompanied by payment of the relevant fee within 30 days of the date the results are posted online at the APC website. The APC will undertake a manual remark of the relevant Examination paper and give written notice of the outcome within 3-5 business days. 10. Confidentiality All activities surrounding the processing of an Appeal or Review Request under this Policy, including the content of any application by the Appellant and the decisions and deliberations of the APC Appeals Panel and Independent Appeals Committee are subject to the APC Privacy Policy. Members of the APC Appeals Panel and the Independent Appeals Committee will be required to sign an APC Confidentiality agreement prior to reviewing appeals. 11. Notice and Service of Documents Any documents or notice which must be served or delivered under this Policy are to be: delivered personally; sent by Australia Post registered post to the party s nominated address; sent by email to the party s nominated email address. A notice given in accordance with 11.1 takes effect when taken to be received (or such later time as is specified in the notice) and is taken to be received: if delivered personally, on delivery; if sent by post, two (2) business days after the date of posting (or seven (7) business days after the date of posting if posted to or from a place outside Australia) if sent by email, on the day it was sent, but if the delivery is not on a business day or is after 5.00pm on a business day, the notice is taken to have been received at 9.00am on the next business day. 11
12. Correspondence to APC Any correspondence to be sent to APC for the purposes of this Policy must be sent as follows: for any Appeals or Review Requests, Australian Pharmacy Council, PO Box 269 Civic Square ACT 2608, Australia; if the appeal relates to an Examination decision or an Examination re-mark is sought, to exams@pharmacycouncil.org.au; if the appeal relates to a Credentialing decision, to advanced.practice@pharmacycouncil.org.au; if the appeal relates to an Accreditation or Credentialing decision, to accreditation@pharmacycouncil.org.au; or if the appeal relates to an Initial eligibility assessment decision, to assessments@pharmacycouncil.org.au. 13. Related documents/links APC Privacy Policy APC Conflict of Interest Policy 14. References Fees for initial eligibility assessment or examination appeals can be found at: http://pharmacycouncil.org.au/content/index.php?id=15. 12
w pharmacycouncil.org.au e admin@pharmacycouncil.org.au p (+ 61 2) 6262 9628 f (+61 2) 6247 9611 Level 2, Ethos House 28-36 Ainslie Place Canberra ACT 2601 Australia PO Box 269 Civic Square ACT 2608 Australia ACN 126 629 785 ABN 45 568 153 354