Appeals and Complaints

OCNYHR works in partnership with our members and your staff and we strive to meet the highest standards of service. We believe in continuous improvement and we welcome feedback on any aspect of our work. We undertake Customer Service Surveys at intervals as a monitoring exercise.

Recognised Centres are required to meet the Awarding Body standards set out in the NOCN Centre Handbook, including Appeals and Complaints policies for all OCN accreditation to cover learners and staff.

Please note: The NOCN Policy on Appeals and Complaints concerning NOCN Qualifications and Units of Qualifications must be followed.

See the NOCN Centre Handbook in the Publications Section.

OCNYHR Definition of Terms

Appeal: this is a procedure through which a Centre may challenge the outcome of the OCN’s processes, for example, an Access to HE Validation Panel’s decision or an External Moderator’s decision about assessment.

Complaint: this is where a criticism of OCNYHR services is received, a reply is expected and there is an expectation of some change.

First Stage - Informal Review

In the event of an appeal or complaint OCNYHR would always hope to deal with issues informally, swiftly and sympathetically, either directly through the OCNYHR officer responsible for that area of work or through the Chief Executive.  The member of staff concerned will always brief the Chief Executive. All issues will be tracked through an internal process.

If the issue cannot be resolved by this informal route, then a formal appeal or complaint will need to be made in writing to the Chair of the Quality and Audit Committee for NOCN accreditation or the Chair of the Access to HE Committee for all Access to HE matters as below.

Appeals Against the Outcomes of the AVA’s Validation Process

Organisations have the right to appeal to an OCNYHR Appeals Committee against the outcomes of a Validation Panel on the following grounds:

  • OCNYHR procedures were not applied consistently.
  • That the outcomes contravened OCNYHR’s established procedures

Appeals should be made to the Chair of the Access to HE Committee in writing no more than 6 weeks after the receipt of the Recognition Panel report, setting out in full the grounds for, and the nature of, the appeal.

The Appeals Committee will consist of the Chair of the Access to HE Committee, one other impartial member of the Access to HE Committee, and one other representative from a member organisation.  The Chair may co-opt up to two additional representatives from member organisations as s/he deems necessary in order to secure appropriate additional expertise.

The organisation will be given, in writing, at least one week’s notice of the meeting and will have the right either to present their case to the Committee in person or to have the case decided on the basis of the written submission.

The Appeals Committee will meet within six weeks.  The Committee will normally consider during their deliberations:

  • The Programme Submission Document
  • The Panel Report
  • The letter of appeal from the programme provider
  • A written response from the OCNYHR Business Development Officer (BDO) in consultation, if necessary, with the Panel Chair

All evidence shall be in writing and circulated a week before the meeting.  If an organisation opts to present its case in person then the Business Development Officer (BDO) and/or Panel Chair should also be present.

The Appeals Committee may agree:

  • to endorse the decision of the Panel
  • to amend the decision of the Panel
  • to review the decision of the Panel

The decision of the Appeals Committee will be final and notified in writing within ten working days.

Appeals Against the Outcome of the AVA’s External Moderation Process

Organisations have the right to appeal to an OCNYHR Appeals Committee against the outcomes of External Moderation for Access to HE Diploma programmes on the following grounds:

  • That OCNYHR procedures were not applied consistently
  • That the outcome(s) contravened OCNYHR policy or that OCNYHR’s established procedures were not adhered to.

If a tutor or manager is dissatisfied with the outcome of external moderation, an appeal should be made in writing to the Chair of the Access to HE Committee within 6 weeks of receiving the External Moderator’s Report, setting out in full the grounds for, and the nature of, the appeal.

An Appeals Committee will be convened and will consist of the Chair of the Access to HE Committee and one other impartial member of the Access to HE Committee.  The OCNYHR Quality Manager will also have the right to be present.

The organisation will be given, in writing, at least one week’s notice of the meeting and will have the right either, to present their case to the Committee in person, or to have the case decided on the basis of the written submission.

The Appeals Committee will meet within 6 weeks.  It will normally consider during its deliberations:

  • The Programme Submission Document
  • The Moderator’s Report
  • The letter of appeal from the programme provider
  • A written response from the External Moderator
  • All evidence shall be in writing and circulated a week before the meeting.

If an organisation opts to present its case in person, then the External Moderator should also be present.

The Appeals Committee may agree:

  • to endorse the decision of the External Moderator
  • to amend the decision of the External Moderator
  • to review the decision of the External Moderator

The decisions of the Appeals Committee are final.

Complaints Concerning the Actions of OCNYHR Staff

Organisations may make a complaint in writing within six weeks of the incident to the Chair of the Quality and Audit Committee, setting out in full the grounds for, and the nature of, the complaint.

A Complaints Committee will be convened within 21 days.  This will be chaired by the Chair of the Quality and Audit Committee and will also comprise one other member of the Quality and Audit Committee and one member of the Finance and Staffing Committee.  The OCN staff member concerned will be invited to the meeting.  S/he may bring a representative to that meeting.  The organisation may also choose to attend the meeting.

All evidence should be made in writing, including a written response from the OCN staff member.  All written evidence will be circulated a week before the meeting.

The Committee can either reject or uphold the complaint.  If the complaint is upheld, the Committee will decide on the appropriate action to be taken.

The decision of the Complaints Committee is final.

Complaints or Appeals by Learners, Groups of Learners or their Representatives

If a learner, or group of learners or their representatives have exhausted the complaints and appeals procedures of the providing organisation, which they must use in the first instance, they have the right to submit a formal complaint in writing to the OCNYHR Chief Executive (CEO). The CEO will seek to address the matter informally though negotiation with the Centre as appropriate. A formal process will be set up at the CEO’s discretion.

A Complaints Committee may be convened within 21 days.  This will be chaired by the Chair of the relevant OCNYHR Committee with one other member of the Committee and one member of the Finance and Staffing Committee.

All evidence should be made in writing, including a written response from the organisation if appropriate.  All written evidence will be circulated a week before the meeting.

The Committee can either reject or uphold the complaint.  If the complaint is upheld, the Committee will decide on the appropriate action to be taken.

If the learner, group of learners or their representative is dissatisfied with the outcomes of a complaint or appeal with respect to the OCN and if the complaint is in respect of:

  • unreasonable behaviour, or a default in the duties or activities outside the terms of the NOCN licence
  • failure to follow procedure which affects assessment and award decisions

the complainant/appellant may then seek to utilise NOCN’s complaints procedures.

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