Appeals and Complaints

Introduction

This document sets out OCNSER’s procedures for considering complaints and appeals by users and members of OCNSER, regarding decisions reached by OCNSER or the operation of OCNSER procedures.

These procedures cover:

• Complaints about conduct of OCNSER business (to include OCNSER’s internal service functions and/or communication.)
• Appeals against decisions relating to centre approval or programme approval/validation;
• Appeals against the outcomes of moderation
• Learner appeals against assessment decisions

These procedures do not cover complaints about alleged malpractice or irregularities of providers, or appeals about their internal quality assurance.  Procedures for these are addressed in documents produced by providers. Learners only have a right of appeal to OCNSER where they have exhausted the provider’s appeals procedures.

Procedures

Complaints

Complainants are advised to raise and discuss any concerns with OCNSER’s Chief Executive Officer informally in the first instance, in order to ascertain whether the matter can be resolved without adopting formal procedures.  If the matter cannot be resolved the following procedures will be followed.

Complaints should normally be made in writing to the Chief Executive Officer of OCNSER and all complaints should be clearly identified as a formal complaint. Complaints should be received within 30 working days of the action or notification of action which is the subject of the complaint.

Any complaints concerning the action of the Chief Executive Officer should be made to the Chair of OCNSER and be received within 10 working days of the action or notification of action which is the subject of the complaint.

All complaints will be acknowledged within 5 working days.

The Chief Executive Officer will conduct an assessment and review of the complaint.  Should the complaint not fall within the scope of OCNSER complaints described in Paragraph 2 above, the complainant will be notified within 10 working days of initial receipt.

In the event that the complaint is being made against the Chief Executive Officer, the assessment and review will be undertaken by the Chair or Deputy Chair of OCNSER.  Should the complaint be against the Chair of OCNSER, the appeal will be presented to the Deputy Chair of OCNSER.

The Chief Executive Officer, or other investigating officer, will seek all relevant documentation and evidence within 15 working days of receipt of the complaint.  When the investigating officer is satisfied that all relevant evidence is present, the evidence will be assessed and an initial conclusion reached.  The investigating officer will write to the complainant providing a judgement on each point in the complaint, referenced with relevant evidence.  The initial report will be issued within 25 days of receipt of the complaint.  The complainant will be asked to comment on factual accuracy within 10 working days.

The investigating officer will consider any additional information provided, before reaching a final conclusion which will be reported to the complainant within 10 working days.

If the complainant is dissatisfied with the conclusion s/he may refer the complaint to the Chair of OCNSER within 10 days of receipt of the report.  The Chair of OCNSER will respond within 15 working days.  The decision of the Chair is final. (In the event that the complaint is about the actions of the Chair, this section is amended to read Deputy Chair).

Appeals

All appeals will in the first instance be the concern of the Director responsible for either Access to HE Quality or OCNSER Quality, and then referred to the relevant Quality Committee.  Appeals against decisions relating to centre recognition and membership will be received by the OCNSER Director for Quality and the Quality Committee on behalf of the Board of Trustees.

Appellants are advised to raise and discuss any concerns with the appropriate Director of Quality informally in the first instance, in order to ascertain whether the matter can be resolved without adopting formal procedures.  If the matter cannot be resolved the following procedure will be followed.

All appeals must be made in writing to the appropriate Director of Quality within 10 working days of notification of the decision which is the subject of the appeal.  The appeal should include the basis and grounds for the appeal and provide evidence to support the appeal.

All appeals will be acknowledged within 5 working days.

The Director of Quality will conduct an initial review of the appeal and the supporting evidence.  Should the appeal not fall within the scope of OCNSER as described in Paragraph 3 above, the appellant will be notified within 10 working days of initial receipt.The appropriate Quality Committee of OCNSER will convene an Appeals Panel which will comprise:

A Quality Committee Member who will chair the Panel, with the Minutes Secretary in attendance to provide secretarial support;

Two other individuals who have not been involved in the decision or circumstances leading to the appeal but who would have the necessary knowledge and experience to conduct an appeal process.  A further person independent of OCNSER processes will also be invited.

The Appeal Panel will meet as soon as is practically possible but within 20 working days and will:

• Consider evidence from the appellant and clarify evidence if necessary.
• Consider evidence from OCNSER and clarify evidence if necessary
• The Appeals Panel will reach one of the following conclusions:
• That the appeal is upheld
• That the appeal is denied
• A verbal response to the appellant will be confirmed in writing within 3 working days.
• The Appeals Panel decision will be final.

The Appeals Panel will provide a report for OCNSER’s Quality Committee on its conclusions.  The report will include conclusions, referenced by evidence on each point in the appeal, together with an overall conclusion and outcome.