Appeals and Complaints

OCNSER Centre Guidance – Enquiries, Appeals and Complaints Procedures

Procedures for Dealing with Enquiries about Results for OCNSER Qualifications

OCNSER 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. In this case OCNSER must respond to learners with accurate information for example:

1.     If recommendations for credit awards for internally assessed units have not yet been received from the centre.

2.     If external moderation to verify results has not yet taken place.

3.     If the verified results are with OCNSER, but have not yet been checked for accuracy and processed.

4.     If external assessment results have not yet been received from the external marker.

In all cases above, OCNSER will:

1.     Record the enquiry, including the learner's name, learner number and the nature of the enquiry, logging contact details for responding to the learner.

2.     Within five working days of the enquiry, assess the status of the results. This will include internal investigation, but also may include contacting the Centre, Quality Reviewer or external marker.

3.     Once the status of the results has been established the learner should be contacted with the outcomes and a clear response given 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 five days of the enquiry, the learner must be contacted before the end of the five-day period with:

o       Confirmation that the enquiry is being dealt with.

o       A timescale when a full response will be provided to the learner.

In all cases:

o       The learner will receive communication within five working days.

o       The full response to the enquiry will be 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 OCNSER 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, OCNSER will respond to the enquiry.

4.     Within five working days of the enquiry, the OCN will assess the position of the results with respect to the enquiry. This will include:

5.The factual outcomes of the OCN 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 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:

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

Where OCNSER gets an enquiry by telephone from a centre about a learner's results of external assessment, the centre will be asked to put its enquiry in writing (email or letter) providing contact details.

On receipt of the written enquiry, OCNSER will assess the nature of the enquiry.

Enquiries are likely to fall into two categories:

   Category 1.   Enquiries about a cohort’s results (failure to achieve)

   Category 2.   Enquiries about a named individual learner's results

For each category above, OCNSER 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.

4.           Other Enquires

Any enquiries that fall outside these procedures, especially any enquiries which may indicate a failure in quality assurance, must be notified immediately to the OCNSER Director of Quality and Operations in writing.  In particular, but not exclusively, this includes results incorrectly awarded to learners for either internally assessed units or for external assessment.