OCNLR Enquiries, Appeals and Complaints Policy
Procedures for Dealing with Enquiries about Results for NOCN Qualifications
The Awarding Organisation is required to have in place a system whereby learners and centres can enquire about their results.
1. Enquiries about availability of results
In most instances learner and centre enquiries will relate to when results and/or certificates will become available. OCNLR will respond to learners with accurate information for example:
· if recommendations for credit awards for internally assessed units have not yet been received from the centre
· if external verification to verify results has not yet taken place
· if the verified results have been received by OCNLR, but have not yet been checked for accuracy and processed
· if external assessment results have not yet been received.
In all cases above, OCNLR will:
· record the enquiry, including the learner’s name, learner number and the nature of the enquiry, logging contact details for responding to the learner
· within two working days of the enquiry, assess the status of the results; this will include internal investigation, but also may include contacting the centre, External Verifier or Quality Reviewer
· once the status of the results has been established, contact the learner with the outcomes and a clear response with respect to:
· the explanation of the reasons for the delay
· a timescale within which results will be issued.
In all cases regardless of the mode of enquiry (e.g. telephone, e-mail, letter) a written record of the response will be forwarded to the learner. If the learner requests that a written response is not required a file note of the response must be made.
If a full response cannot be given within two days of the enquiry, the learner must be contacted within the two-day period with:
· confirmation that the enquiry is being dealt with
· a timescale when a full response will be provided to the learner.
In all cases:
· the learner will receive communication within two working days.
· the full response to the enquiry will be issued within ten working days.
2. Enquiries about Results
Learners and centres may enquire about actual results. For learners, these enquiries may relate to the results for unit credits and external assessment. For centres the enquiries will normally only relate to the results of external assessment, as the centre will already have unit results records. In most instances both sets of enquiries are likely to relate to non-achievement of credit or external assessment.
Learners’ enquiries about the results of the unit achievement which are assessed through internally set tasks.
Where a learner is enquiring about the non-achievement of internally assessed unit credit, the following procedure must be followed.
1. Record the enquiry, including the learner’s name, learner number, centre name and the nature of the enquiry, logging contact details for responses.
2. Where the learner has not already requested information from the centre, the learner should be advised to make the enquiry directly to the centre. The learner should also be advised that if the centre fails to respond to the enquiry, they should contact OCNLR again. A file note to this affect should be made.
3. Where the learner has already enquired with the centre, but feels further information is necessary, OCNLR will respond to the enquiry.
4. Within five working days of the enquiry, OCNLR will assess the position of the results with respect to the enquiry. This will include:
a. contacting the assessor for factual information
b. contacting the Quality Reviewer and/or External Verifier for factual information
c. advising the learner or centre of any information or action with a timescale for receipt of the outcomes of the enquiry.
5. The factual outcomes of OCNLR’s investigation will be conveyed to the learner in writing. If the factual information conveyed confirms non-achievement of the credit awards, the learner will be forwarded a copy of the OCNLR appeals procedure.
6. If the factual investigation shows that an error was made and the learner should have been awarded credit the learner will be informed. The following is the minimum information to be conveyed:
· that an error had been made in their results
· the actual results obtained with unit titles, credit value and level
· an apology for the error and an explanation as to how the error occurred
· a copy of the OCN complaints procedure.
7. In all cases the learner will receive communication including details of when the outcomes of the enquiry will be available. The full outcomes of the enquiry will be available to the learner within twenty working days from the date of the original enquiry.
3. Enquiries about Results of External Assessments
If OCNLR receives an enquiry by telephone from a centre about a learner’s results of external assessment, OCNLR will require the centre to put its enquiry in writing (email or letter) providing centre contact details.
On receipt of the written enquiry, OCNLR will assess the nature of the enquiry.
Enquiries are likely to fall into two categories:
Category 1 – Enquiries about cohort results (failure to achieve)
Category 2 – Enquiries about a named individual learner’s results
For each category above, OCNLR will supply to the centre:
Category 1 – Enquiries about cohort results (failure to achieve)
A report detailing general issues relating to the performance across the cohort as a whole. This report cannot be used as the basis for individual appeals. The report will be made available to all centres.
Category 2 – Enquiries about a named individual learner’s results
A report detailing the assessment criterion/a that were not demonstrated through the learner’s submitted evidence. This may be used as the basis for an individual’s appeal, and will only be available to the party seeking the information.
When an enquiry results in the production of a report in either category above, the OCNLR Director of Quality must be informed and copied into all correspondence.
4. Other Enquiries
Any enquiries that fall outside these procedures, especially any enquiries which may indicate a failure in quality assurance, must be notified immediately to the OCNLR Director of Quality in writing. In particular, but not exclusively, this includes results incorrectly awarded to learners for either internally assessed units or for external assessment.
OCNLR Arrangements for Considering Appeals and Complaints concerning OCNLR Qualifications and Units of OCNLR Qualifications
Introduction
This document sets out OCNLR's procedures for considering appeals and complaints about OCNLR Qualifications and units of OCNLR Qualifications. Issues of malpractice are addressed in the document titled ‘Guidelines and Arrangements for dealing with Suspected Malpractice with reference to OCNLR Qualifications and Units of OCNLR Qualifications’.
Appeals and Complaints
This procedure is intended to ensure that any appeals or complaints received by OCNLR are dealt with quickly, fairly and effectively. OCNLR aims to resolve appeals and complaints promptly. However, these matters can be complex and may require scrutiny of extensive documentation. OCNLR will aim to reach its final conclusion within three months of receiving the written appeal or complaint.
The Appeals/Complaints procedure may be used for:
· appeal against a decision concerning a Centre’s application to offer an OCNLR Qualification or units of a Qualification
· appeal by a learner against an internal assessment decision, once the Centre’s own appeals process has been exhausted
· appeal and/or complaint by a Centre against the contents of a Quality Reviewer report or conduct during a Quality Reviewer visit
· appeal against the outcome of an investigation into suspected malpractice
· appeal by a Centre against the decision to decline its request for reasonable adjustment arrangements
· enquiry or Appeal by a Centre and/or learner concerning external assessment results
· appeal by a Centre concerning removal of its approved status to deliver OCNLR Qualifications.
Applications to appeal against results of external assessment should be made as soon as possible after the assessment concerned and, at the latest, within four weeks of the learner receiving notification of results.
Appeals on the outcomes of Internal Assessment should be made as soon as possible to the Centre following the assessment decision. Once the Centre’s own process is exhausted, any appeal to OCNLR should then be made within four weeks of the learner receiving the outcomes of the Centre’s Appeal Process.
OCNLR will consider appeals or complaints from individual learners or their advocates, groups of learners or their representatives, or from a Centre or a group of Centres.
Procedure
The following procedure will be used when an appeal or complaint is made to OCNLR concerning OCNLR Qualifications and Units of OCNLR Qualifications. An appeal or complaint will normally be made in writing although, where this presents difficulty, other means of communicating will be accepted.
Stage 1
The Chief Executive or Representative of OCNLR will acknowledge the appeal or complaint within five working days of receipt. S/he will also determine whether the matter falls within the scope of OCNLR’s remit as outlined above. Where the appeal or complaint is not within its scope, the Chief Executive or Representative will write to the appellant/complainant giving the reasons why the appeal or complaint cannot be acted upon. If the appellant/complainant should follow an alternative complaints/appeals procedure, the matter will be referred as appropriate.
Stage 2
Within 15 working days the Chief Executive or Representative will seek relevant information and documentation from both the appellant/complainant and any other parties, for example a Quality Reviewer, External Verifier or External Assessor.
Within 10 working days of receiving the full documentation, the Chief Executive or Representative will consider whether the evidence presented is sufficient to reach a decision. If it is not, further documentation may be requested from relevant parties, or further clarification from the complainant/appellant.
Once the Chief Executive or Representative is satisfied that all relevant documentation is present, s/he shall reach an initial conclusion on the matter and write to the complainant/appellant, providing a judgement on each point raised and referencing this judgement with relevant evidence. The initial conclusions will, if appropriate, identify any recommendation or implications of the outcome.
The appellant/complainant will be invited to comment on the factual accuracy of OCNLR’s initial conclusion within 10 working days.
The Chief Executive or Representative will consider any additional information provided before reaching a final conclusion. A final conclusion will be confirmed to the appellant/complainant within 10 working days.
Independent review
If the appeal is unresolved or if the appellant/complainant is dissatisfied with the decision s/he may request that the appeal or complaint be referred to the Chair of OCNLR Board of Trustees for review. The OCNLR chair will undertake the review with two independent* members. The OCNLR Chair will respond within ten working days. The decision of the OCNLR Chair is final but centres or learners are entitled to complain to the qualifications regulators.
Outcomes of an Appeal
Where the outcome of an appeal against an assessment decision is such as to bring into question the accuracy or results of other learners in the same assessment, OCNLR will take appropriate steps to protect the interests of all learners and the integrity of the qualification. For example we will, as appropriate:
· amend the profile record of the centre concerned
· amend the results for the learner(s) affected
· carry out a review to assess the actual or possible impact on other learners at the centre or across centres that may be affected by a decision to change qualification results
· carry out a review of the qualification and its units if there is evidence to suggest that their integrity may have been compromised
OCNLR will report annually to the OCNLR Board of Trustees on the operation of its appeals and complaints arrangements (including enquiries related to appeals or complaints). This Report will cover the number and nature of enquiries and appeals submitted and their outcomes. Relevant records and data will be shared with the qualification regulators on request.
Fees
1. Centre Enquiry
An enquiry by a centre on the results of a cohort of learners will be charged as follows:
· £50 flat fee, plus £1 per learner in the cohort
OCNLR will produce a centre report for the centre.
2. Individual Learner Enquiry
An enquiry about an individual learner’s results (from the learner or the centre) will be charged as follows:
· £25 flat fee
OCNLR will provide a report for the learner.
3. Refunds
If the assessment decision is reversed a full refund will be made to the centre / learner.
* Independent in this context means that the independent member is not and has not been a member of OCNLR board or committee, or an employee, moderator, verifier or assessor, at any time during the past seven years. In addition, the independent members will have had no interest or involvement in the complaint/appeal.