Qualifications and Credit Framework Requirements for Approved Centres Version 2

Transcription

1 Qualifications and Credit Framework Requirements for Approved Centres JULY 2013 Version 2

2 Published by, CITB-ConstructionSkills, Bircham Newton, King s Lynn, Norfolk PE31 6RH First published June 2010, Revised April 2011, September 2012, July 2013 Version 2 Construction Industry Training Board 2010 CITB, CIC and CITB Northern Ireland are working as ConstructionSkills, the Sector Skills Council for Construction. (CITB Registered Charity Number ) has made every effort to ensure that the information contained within this publication is accurate. This pack has been prepared as a downloadable resource. It may be freely printed without further permission from on the condition that it is used solely within the purchasing organisation and is not used for profit or gain. 2

3 Contents Context and Scope 4 How to become a approved centre 4 Adding additional qualifications/units 5 Equality of opportunity and diversity 5 Centre s enquiries, appeals, complaints and conflicts of interest statement 6 Staff resource for the delivery of qualifications with NVQ in the title 6 Staff resource for the delivery of training qualifications 7 Data requirements for qualifications with NVQ in the title 8 Data requirements for training qualifications 8 Registration and certification 9 Delivery methodologies for qualifications with NVQ in the title 9 Delivery methodologies for training qualifications 10 Use of language in assessment for all qualifications 10 Quality assurance for qualifications with NVQ in the title 11 Quality assurance for training qualifications 11 External quality assurance 11 Malpractice 12 Withdrawal of centre 13 Appendix 1 - Centre approval criteria Management and systems 14 Resource, equipment and staff 16 Learners 17 Assessment, training and quality assurance 18 Records 19 Appendix 2 - Exemptions for trainers and quality assurance staff working with training qualifications 20 Appendix 3 - Centre status Centre status methodology 21 Persistence 21 Reoccurrences 21 Appendix 4 - Verb descriptors Bibliography 22 Glossary 23 3

4 Context and Scope Context As an awarding organisation recognised by Ofqual, is responsible for the qualifications awarded under the brand of. This means must ensure all qualifications issued are safe and the assessment, training and internal quality assurance is robust. This document has been designed by to explain and amplify the regulatory publications for the Qualifications and Credit Framework (QCF) and will form requirements for approved centres. This document, through Appendix 1, will form the written enforceable agreement required by the Ofqual General Conditions of Recognition (November 2012). Scope The regulatory and external publications that form the scope of this document are: Ofqual General Conditions of Recognition (November 2012) (Ofqual/12/5247) Ofqual Regulatory Arrangements for the Qualifications and Credit Framework (2008) (Ofqual/08/3726) ConstructionSkills Sector Skills Council s (SSC s) Consolidated Assessment Strategy for the QCF (December 2010) Ofqual Operating Rules for Using the Term NVQ in a QCF Qualification Title (2008) (Ofqual/08/3760) JACQA guidelines (October 2009) QCA Regulatory Principles of E-assessment (2007) (QCA/07/3107) How to become a approved centre This section describes how you become a approved centre. The Centre approval criteria (Appendix 1) details the documents, processes and staff you will need to meet the requirements of both and the regulators. To ensure a consistent approval process, decisions will be based on the published Centre approval criteria (Appendix 1). 1. Your centre approval will allow you to operate in England, Wales and Northern Ireland. If you wish to deliver qualifications outside of these territories a separate approval and centre number will be required. will apply the same level of quality assurance requirements to centres operating outside of England, Wales and Northern Ireland to ensure the integrity of our qualifications is upheld. By applying to become approved by, you will accept this document or subsequent documents and agree to operate to the Centre approval criteria (Appendix 1) and Centre status (Appendix 3). Centre approval is subject to there being sufficient management experience required to support and manage the delivery of qualifications. Centres must take all reasonable steps to comply with the Ofqual General Conditions of Recognition (November 2012). 2. Prior to your application you must ensure that you are registered as a learning provider with the United Kingdom Register of Learning Providers (UKRLP), and have a Provider Registration Number (PRN) (paragraphs 23 and 26). 3. If your centre has a partnership arrangement with another organisation, the roles, responsibilities and accountabilities for each organisation must be clearly documented. This needs to include responsibility for quality assurance, assessments and administration of the qualifications. You must also demonstrate how communication between the two organisations is maintained. 4. will provide you with guidance and support to enable you to meet the approval requirements. Further support is available through the quality advisor team who are based across the United Kingdom. You can arrange an advisory visit to help you with the approval process by contacting. 5. Once you have all the documents and processes in place you can complete your approval application online at An approval visit will be agreed and arranged with you. Following the visit you will be given either an plan or Approval. will assign your customer co-ordinator who will be available on as your single point of contact. You will also receive a unique log-in for the learner management system Online. This system is used for learner registration, certification and invoicing. 4

5 plan 5a. This is issued when the requirements have not been met in full and further work is required before approval can be given. A written action plan will give clear guidance and advice and realistic timescales for the actions to be completed. You will not be able to register any learners until the action plan has been completed and full approval has been given. Approval 5b. This is given when all the requirements have been met and you have a robust quality system. Learners can be registered from the day of approval. If all of the requirements are not met but the fundamental principles of training and assessment are not affected, which are outlined in the Centre approval criteria (Appendix 1), you may be given approval and actions to complete to meet all of the requirements. Direct claims for new qualification/unit approvals (competence) 5c. This is given when you have demonstrated an understanding of the assessment and quality processes and can provide evidence of assessment practice (observation of assessment), as well as at least five completed portfolios for sampling. Direct claims for new qualification/unit approvals (training) 5d. This will be given when you have demonstrated an understanding of training delivery and internal quality assurance, and provided an opportunity to observe invigilation of synoptic and knowledge tests. 6. You must inform us if you cannot continue to meet Centre approval criteria (Appendix 1). Notification can be made by contacting your customer co-ordinator. Adding additional qualifications/units 7. You can apply for additional qualifications/units once you have been approved as a centre. This is an online process available on the website. On receipt of your application will contact you to book a visit or inform you if a desktop approval can be used to process your application. From time-to-time additional qualification/unit approvals may be declined. However, your quality advisor will work with you to resolve any issues. Desktop approval 7a. This process is an option if you have been registered as an approved centre with us for more than 12 months, do not have any actions open and can demonstrate a robust quality assurance history. This means you have had no actions identified during the previous 12 months. Additional approval visits 7b. If you have outstanding actions or your centre is newly approved, a visit will be required to approve the additional qualifications/units. Your quality assurance history since your centre has been approved will be taken into account. Direct claims for additional qualification/unit approvals (competence) 7c. This is given when you have demonstrated an understanding of the assessment and quality processes and can provide evidence of assessment practice (observation of assessment), as well as at least five completed portfolios for sampling. Direct claims for additional qualification/unit approvals (training) 7d. This will be given when you have demonstrated an understanding of training delivery and internal quality assurance, and provided an opportunity to observe invigilation of synoptic and knowledge tests. Equality of opportunity and diversity The Equality of Opportunity and Diversity and Reasonable Adjustments and Special Considerations policy, is available on the website. 8. You need to ensure you have an equality of opportunity and diversity policy that clearly details how learners can access the policy. The policy needs to take account of the most current legislation in relation to access to fair assessment and equal opportunities. 9. You need to record and evaluate learner data relating to achievement of units, qualifications and early leavers, identifying and monitoring trends between different groups of learners. 5

6 Centre s enquiries, appeals, complaints and conflicts of interest statement 10. You must be able to demonstrate that you have an up to date enquiries, appeals and complaints procedure for learners to enquire/appeal against assessment and testing decisions. 11. You must demonstrate how this is communicated to all learners registered on qualifications/units. The procedure must have a formal process with documented timescales and an opportunity for escalation if the appeal is not resolved. All appeals must be formally acknowledged upon receipt and conclusions formally communicated at the close of the appeal to all those involved. 12. You must have a documented complaints procedure that is made available for sampling during the quality advisor visit, including the individual complaints. 13. You are required to maintain an up to date conflicts of interest policy and log, that details the conflict and mitigation taken to manage conflicts. A conflict or perceived conflict can be defined as a situation in which a person has a private or personal interest sufficient to appear to influence the objective exercise of his or her official duties as, say, an assessor, an IQA, or an employee. Staff resource for the delivery of qualifications with NVQ in the title 14. You are responsible for appointing appropriately qualified staff to carry out assessment and internal quality assurance and registering them with before they carry out any assessment or internal quality assurance duties. To do this you must ensure an appropriate member of staff completes the assessment and training staff registration form available on the website. The assessor/internal quality assurer/trainer who is being registered must not complete the form. 15. You are responsible for demonstrating through written evidence how you have made your decision to appoint and register your assessors, internal quality assurers and trainers. Registration of staff who are not appropriately qualified will be subject to investigation. Assessors 16. You must ensure your assessors conducting assessments for qualifications with NVQ in the title are occupationally competent to perform their role and provide them with opportunities for Continuous Professional Development (CPD). can help through a range of events that can be found on the website. Assessors must also: hold a Level 3 Award in Assessing Competence in the Work Environment or Level 3 Certificate in Assessing Vocational Achievement, an A1 Award in Assessing Candidates Using a Range of Methods, a D32/33 Assess Candidate Performance Using Differing Sources of Evidence, or achieve an appropriate learning and development qualification for assessment within 12 months of registration be registered on an appropriate learning and development qualification prior to any assessment work undertaken with learners if the assessor is unqualified carry out assessments to the agreed learning and development standards have verifiable knowledge of the occupational standards at or above the level being assessed keep up to date with industry practice for the duration of their role meet the SSC s Consolidated Assessment Strategy for each qualification being assessed. 17. Unqualified assessors must have their assessment decisions countersigned by an occupationally competent and qualified assessor registered at your centre. The countersigning assessor must be occupationally competent in the relevant qualification/unit being countersigned. There must be a plan in place for the unqualified assessor to achieve their assessment learning and development qualification within set timescales. It is important to note the qualified assessor is making the assessment decision, not just signing the evidence. 6

7 Internal quality assurers 18. You must ensure your internal quality assurers involved in the internal quality assurance of qualifications with NVQ in the title have the occupational expertise to perform their role, and you must provide them with opportunities for Continuous Professional Development (CPD). can help through a range of events that can be found on the website. Internal quality assurers must also: hold a Level 4 Award in the Internal Quality Assurance of Assessment Processes and Practice or Level 4 Certificate in Leading the Internal Quality Assurance of Assessment Processes and Practice, a V1 Award in Conducting Internal Quality Assurance of the Assessment Process, a D34 Internally Verify the Assessment Process, or achieve an appropriate learning and development qualification for internal quality assurance within 12 months of registration carry out internal quality assurance to the agreed learning and development standards understand the content, structure, assessments and training/testing requirements of the units they are quality assuring and any Rules of Combination (RoC) and exemptions that apply have sufficient and relevant technical/occupational expertise in the qualifications/units they are internally quality assuring be fully conversant with the standards and assessment criteria in the units to be assessed meet the SSC s Consolidated Assessment Strategy for internal quality assurance. 19. Unqualified internal quality assurers must have all quality assurance judgements countersigned by a qualified internal quality assurer with occupational expertise, who is registered at your centre. You must also ensure there is a plan in place for achieving their internal quality assuring learning and development qualification within set timescales but no more than 12 months after registration onto their qualification. Staff resource for the delivery of training qualifications Trainers 20. You are responsible for appointing appropriately qualified staff to carry out training, and registering them with before they are involved with the delivery of training qualifications. Registration of staff who are not appropriately qualified will be subject to investigation. To do this you must complete the assessment and training staff registration form available on the website. The trainer who is being registered must not complete the form. You must ensure trainers are occupationally competent to perform their role and provide them with opportunities for Continuous Professional Development (CPD). Trainers must also: hold or be working towards the learning and development qualification Level 3 Award Assessing Vocationally Related Achievement, or one of recognised Exemptions (Appendix 2) keep up to date with industry best practice maintain a Continuous Professional Development (CPD) record. Quality assurance staff 21. You are responsible for appointing appropriately qualified staff to carry out quality assurance, and registering them with before they are involved with the quality assurance process for any training qualifications. To do this you must complete the assessment and training staff registration form available on the website. The quality assurance staff member who is being registered must not complete the form. Staff responsible for quality assuring training qualifications must have occupational expertise (construction) in the subject and hold, as best practice, Level 3 Award Assessing Vocationally Related Achievement, or one of recognised Exemptions (Appendix 2). 22. Training qualifications must be quality assured by the centre (see paragraph 40). However, there is no requirement for training qualifications to be internally verified. 7

8 Data requirements for qualifications with NVQ in the title 23. To operate in the Qualifications and Credit Framework (QCF) you will need to be registered with the United Kingdom Register of Learning Providers (UKRLP) and obtain a Provider Registration Number (PRN). You can register at You must have and maintain a reliable and auditable system for assessment decisions and keep information on assessments, internal quality assurance and training for a minimum period of three years. This information could be used to substantiate any claims for certification or resolve any learner s appeals during the three year period. 25. This information must be made available to and/or the regulatory authorities on request. For qualifications with NVQ in the title the following information must be included. Lists of all learners registered for qualifications/units offered, including: learner name learner registration number Unique Learner Number (ULN) or evidence of ULN opt out date of birth contact address workplace address and contact details assessor(s) name internal quality assurer(s) name. Learner assessment records detailing: assessment plans assessment details including who assessed, what, where and when recorded assessment decisions records of any exemptions used the assessment methods used for each unit/component locations of supporting evidence assessment reviews. Records of internal quality assurance activity including: details of the sample selected and internal quality assurance strategy internal quality assurance details including who verified, what, where and when minutes of internal quality assurance standardisation meetings assessor support meetings records of certificates claimed, including unit certificates, who claimed them and when. Data requirements for training qualifications 26. To operate in the Qualifications and Credit Framework (QCF) you will need to be registered with the United Kingdom Register of Learning Providers (UKRLP) and obtain a Provider Registration Number (PRN). You can register at You must have and maintain a reliable and auditable system to record learning outcomes, exams, and Synoptic Practical Assignments and record learning hours, quality assurance activity and staff training for a minimum period of three years. This information could be used to substantiate any claims for certification or resolve any learner s appeals during the three year period. 28. For training qualifications the following information must be made available to and/or the regulatory authorities on request. Lists of all learners registered for qualifications/units offered, including: learner name learner registration number Unique Learner Number (ULN) or evidence of ULN opt out date of birth contact address workplace address and contact details trainer(s) name internal quality assurance staff name(s). 8

9 Records of training delivery: learning outcomes which have been trained and tested, by whom and when a record of any exemption/recognition of Prior Learning (RPL) used records of progress/assessment criteria measured in Guided Learning Hours (GLH) and Learning Time (LT) records of the completed unit multiple-choice test papers records of the online knowledge test records of the Practical Assignments including any evidence generated details of the internal quality assurance sampling activity internal quality assurance sample plan for training qualifications. Registration and certification 29. You must make arrangements to ensure learners are registered prior to any assessment or test, onto the, Online system within 12 weeks of their induction, for both qualifications with NVQ in the title and training qualifications. This can be an electronic or manual process depending on your centre systems. 30. For qualifications with NVQ in the title assessments must not be carried out prior to the registration date, as they will be invalid. 31. For all training qualifications, learners must not sit any test prior to registration. 32. You must offer learners the opportunity for unit certification and credit accumulation for all types of qualifications. This process must be documented and available upon request. Delivery methodologies for qualifications with NVQ in the title 33. You must ensure your assessment teams are working to the most up to date learning and development standards and the appropriate current SSC s Consolidated Assessment Strategy for all qualifications with NVQ in the title. You will be responsible and accountable for the following: Manage and retain a suitable qualified and competent workforce to effectively deliver assessment and internal quality assurance Managing a documented and auditable assessment system, for assessment planning, assessment decisions, and review/feedback Ensure the assessment process is carried out by impartial assessors and internal quality assurers to avoid conflicts of interest Where the conflict cannot be avoided is informed prior to assessment and an independent assessor signs off the assessment decisions. If the conflict links to the internal quality assurance process an independent internal quality assurer signs off the internal quality assurance judgement Ensuring the appropriate resources are in place to support all elements of the delivery of the qualification as required by the qualification specification Assessing evidence of learners competence against the qualification specification for qualifications/units to the agreed learning outcomes and assessment criteria Ensure that any use of Recognition of Prior Learning (RPL) can demonstrably identify how the assessment criteria has been met Ensuring learners evidence is valid, authentic and sufficient Maintaining accurate and verifiable learner assessment and achievement records as detailed in the Centre approval criteria (Appendix 1) Ensure an occupationally competent and qualified assessor countersigns assessment decisions made by an unqualified assessor Ensure assessors use and record all opportunities for assessment including Recognition of Prior Learning (RPL) and exemptions listed in the qualification specifications available on the website. 34. For qualifications/units with NVQ in the title, assessors and learners must provide a signed written declaration that all evidence is authentic and the assessments are based on the conditions or context set out in the assessment specification. This declaration must be completed at the end of the assessment process and include: learner name qualification title and level endorsement (if applicable) unit numbers dates of achievement. Failure to provide this document will lead to suspension of your registration and certification status. 9

10 35. If you have an e-portfolio system you must be able to demonstrate how it meets the QCA Regulatory Principles of E-assessment (2007), and include any necessary safeguards in place to ensure that evidence is authentic. e-portfolio system Skillsfile meets the regulatory requirements for e-assessment and works with the learner management system Online. More information can be found on the website or telephone on Your assessment strategies must detail how you use e-portfolio systems with learners for assessment. Delivery methodologies for training qualifications 36. You must ensure your trainers are working to the occupational standards for learning and development or the recognised Exemptions (Appendix 2). You will also be responsible for ensuring the following: Manage and retain a suitable qualified and competent workforce to deliver training and internal quality assurance The appropriate amount of space is available for each learner as detailed for each qualification for practical training, demonstration and measurement of learning outcomes There are appropriate facilities including water supplies, drainage, washing down areas, waste disposal and mixing areas, as well as specific equipment required by the qualification Classroom areas are appropriate for theory training including a desk for each learner with a view of the trainer, lecture boards, stationery and appropriate classroom equipment during each session Recording of progress against learning outcomes and assessment criteria, including the number of Guided Learning Hours and Learning Time for each learner Ensure that any use of recognition of prior learning (RPL) can demonstrably identify how the assessment criteria has been met All examinations are invigilated as required by Invigilation policy for Training Qualifications available on the website Practical assignments are delivered under examination conditions outlined in the Invigilation policy for Training Qualifications Ensure that training process is carried out by an impartial trainer and internal quality assurer to avoid a conflict of interest Where the conflict cannot be avoided is informed prior to training delivery and an independent trainer signs off the training process. Use of language in assessment for all qualifications 37. All qualifications (competence and training) must be delivered in English, Welsh or Irish (Gaeilge), learners must therefore have an appropriate level of understanding of these languages before their qualification commences. Interpreters and translators are not acceptable for any part of the qualification or examination. 38. If a learner is assessed in Welsh (in Wales) or Gaeilge (in Northern Ireland) must be notified prior to commencement to ensure certificates are endorsed with the assessment language. 10

11 Quality assurance for qualifications with NVQ in the title 39. Qualifications that use NVQ in the title must be internally quality assured. You must ensure your internal quality assurance teams are working to the most current learning and development standards and the appropriate SSC s Consolidated Assessment Strategy for all qualifications with NVQ in the title. You will be responsible and accountable for: ensuring you have a documented internal quality assurance strategy that assists the risk management of the delivery team and demonstrates how you will ensure a safe and robust delivery and claims for certification ensuring you have a documented sample plan that covers all aspects of the assessment process as well as all learner types, all assessors, all units, and all qualifications over a measured time period detailed in your internal quality assurance strategy ensuring internal quality assurance is planned, documented and occurs throughout the assessment process and provide support to the assessor following all internal quality assurance activity ensuring standardisation activities are planned and documented for all assessors by internal quality assurance staff ensuring an occupationally expert and qualified internal quality assurer who is registered with the centre and countersigns all unqualified internal quality assurers ensuring all unqualified internal quality assurers achieve the appropriate internal quality assurance qualification within 12 months of commencement of their qualification registration providing Continuous Professional Development (CPD) opportunities for the assessment team ensuring all claims for certification are authenticated by a learning and development qualified, or equivalent, occupationally expert internal quality assurer prior to the claim being made providing information to, and facilitating visits from, the quality advisor as required agreeing and implementing any actions and timescales identified during your quality advisor visits. Quality assurance for training qualifications 40. You are responsible for: having systems in place to manage the delivery of the programme. This must include delivery and quality assurance strategies that document the processes for delivery and quality assurance arrangements developing a sampling plan that quality assures all aspects of the qualification ensuring that training qualifications are being delivered by following documented lesson plans that meet all learning outcomes and assessment criteria ensuring all examination and test papers, both electronic and hard copy, are kept in a secure environment until they are required for a unit test, as detailed in Invigilation policy for Training Qualifications ensuring all tests and exams follow the Invigilation policy for Training Qualifications requirements, available on the website ensuring an appointed occupational expert quality assures and authenticates all claims for certification prior to any claim being made providing information to, and facilitating visits from, the quality advisor as required agreeing and implementing any actions and timescales identified during your quality advisor visits. External quality assurance 41. All centres approved to deliver qualifications will receive external quality assurance visits from quality advisors. Quality advisors will quality assure qualifications with NVQ in the title as well as training qualifications. 42. The frequency of these visits will be determined by the visit planning tool and strategy, but will be no less than one visit per annum. 43. The visit planning is an inclusive process that will start with a telephone call from your quality advisor to discuss the forthcoming visit not more than 21 days prior to the visit. This has been designed to give you the opportunity to discuss your centre s activities and final arrangements for the visit. Following this discussion you will receive not less than 14 days prior to the visit an electronic visit planning e-card. If your quality advisor is unable to contact you by telephone, a confirmation of the telephone call attempt will be detailed in the e-card. 11

12 44. Throughout each visit the quality advisor will discuss their findings and give you an opportunity to resolve any prevailing issues as the day progresses. At the conclusion of the visit the quality advisor will feedback to you and the management team and if required provide further clarity. You will also be given sight of the full report at the end of the visit, as well as receiving an electronic report by within 48 hours of the visit (the report will not be changed at any point after the quality advisor has left the centre). The report will detail the visit findings including any action plans referenced to the Centre approval criteria (Appendix 1). If your quality advisor is unable to provide you with an electronic copy, you will receive a paper copy of the report at the end of the visit. 45. As part of your approval to offer qualifications you are obliged to comply with any requests for access to premises, people and records for the purpose of quality assurance. Failure to comply will result in registration and certification being withheld until access is granted. 46. If you wish to cancel a pre-arranged quality advisor visit, you must be able to demonstrate the cancellation request is reasonable. Any cancellations made within 14 days of the planned visit will be charged at the standard daily rate detailed in Fees listing which is available on the website. Direct claims for certification will be withheld until another quality advisor visit takes place. 47. reserves the right to request visits at short or no notice to minimise the risk of unsubstantiated claims for certification. 48. The quality advisor is responsible for monitoring the centre against the Centre approval criteria (Appendix 1) and providing you with support, advice, guidance and actions if required. 49. reserves the right to moderate the quality advisor visit reports and reduce or escalate their decisions. Any changes to the visit report or actions required will be communicated in writing following the moderation of the visit reports. Malpractice 50. Malpractice is a deliberate or reckless act of an individual or business to dishonestly claim learning outcomes and/or certificates for learners. Furthermore, malpractice is an act that does not comply with or regulatory authorities conditions and brings the authenticity, reliability and integrity of a qualification into question. 51. You must have in place, and review at least annually, arrangements for preventing and investigating malpratice/maladministration, which include how you will deal with and report all occurrences. 52. You are required as an approved centre to report all cases of alleged and proven malpractice that you identify in your centre to by ing your customer co-ordinator. All staff including assessors, trainers, internal quality assurers, quality assurance staff and administrators must have detailed knowledge of your centre s malpractice policy. 53. You must have in place a documented whistle blowing policy that has been communicated to all centre staff to enable them to safely report malpractice. 54. Upon receipt of any alleged malpractice complaints, will withdraw registration and certification from the centre to protect any future investigation and prevent learners being disadvantaged. 55. will notify the appropriate regulator and any other awarding organisation that may be affected by the alleged malpractice, and appoint an independent quality advisor to carry out the compliance investigation. This may include centre visits, staff interviews, learner interviews and investigation of all relevant paperwork (paragraphs 25 and 28). 56. A letter of the investigation will be sent to the centre manager, quality assurance manager and the appropriate regulatory authority. This will include any conclusions, evidence presented and recommendations of action required to resolve the matter. 57. In the event of any withdrawal of approval (voluntary or not) you must make all reasonable efforts to ensure learners are not disadvantaged. You must make provisions for all paperwork to be stored and accessible for a period of three years, and can help you with this. You must make provisions for learners that are still active and who have not achieved their qualification, and ensure that they have given permission for their personal details to be passed to a new provider, prior to the withdrawal. 58. If you fail to co-operate with at any stage of the investigation process this will result in a centre suspension. 59. If you are implicated in a case of malpractice that is upheld by ; your approval will be removed for all centres. 12

13 Withdrawal of centre 60. If you wish to withdraw from qualification delivery or centre approval, you must ensure: have been notified in writing prior to taking any action you claim all completed units all learners agree to be transferred to a new provider and keep a record of their permission to share personal data you make provision to store all records for a period of three years you allow a closure visit with. 13

14 Appendix 1 - Centre approval criteria This table details requirements for approved centres. It has been designed for you to use as a referencing sheet for your quality manual and shows how the quality advisor will apply corrective actions if there are any areas of non-compliance. Management and systems approved criteria Criteria Examples Reference For centre use Centre status 1.1 The management understands and communicates policies to the assessment, quality assurance and training teams and reviews all policies appropriately. Policies Conflicts of interest Invigilation Equal opportunities Malpractice Appeals Training strategy Assessment strategy Quality assurance strategy Fair access to assessment Meeting minutes 1.2 Evaluation of the equality and opportunity data gathered by the centre takes place periodically and changes are made based on the findings. Evaluation of equal opportunities data Changes made 1.3 The roles and responsibilities are understood by all staff involved in assessment and training. Organisational chart CVs Job descriptions 1.4 Assessors/trainers/quality assurers have sufficient time, resources and authority to perform their roles. Job descriptions Case loads 1.5 Centre communication with the assessment/training/verification/ internal quality assurance teams and is effective. Meeting minutes Communication evidence with 1.6 Technical and general queries from assessment/training/quality assurance teams and learners to the centre quality assurance team are resolved, recorded or reported to. Question and resolution process Records of questions and resolutions 1.7 Changes to personnel involved in assessment, training and internal quality assurance are notified to. Records of updates to Assessment and training staff Registration applications 14

15 Appendix 1 - Centre approval criteria (continued) Management and systems (continued) approved criteria Criteria Examples Reference For centre use Centre status 1.8 Unit certification is made available to learners. Policy for early leavers Evidence of communication for unit certification 1.9 There is regular standardisation of assessment and training between centre staff. Minutes of standardisation meetings 1.10 Claims for exemption identified by learners are considered and recorded by the centre. Evidence of exemptions made Evidence of communication with for exemptions 1.11 A ULN is obtained for each learner unless the learner opts out. Each learner has a ULN Evidence of opt out 1.12 Service level agreements are adequate to demonstrate partner organisation responsibilities. Copies of agreements 1.13 Conflicts of interest within a centre are dealt with appropriately Conflict report 1.14 Centre has the facilities to pass information on credit accumulation and credit transfers to LRS. UKPRN LRS contract 3rd party agreement 1.15 The centre complies with requests for access to records, information, staff and premises for the purpose of external quality assurance and quality assurance. Suspension 1.16 quality advisor visit reports are disseminated to all the assessment and training teams and corrective actions completed. Meeting minutes 15

16 Appendix 1 - Centre approval criteria (continued) Resource, equipment and staff approved criteria Criteria Examples Reference For centre use Centre status 2.1 For qualifications with NVQ in the title there are sufficient assessors and internal quality assurers to ensure the assessment process is supported and the qualification delivery is robust. For training qualifications there are sufficient qualified training and internal quality assurance staff (at least one per occupation) registered with. Job descriptions Case loads Quality assurance and quality assurance strategy Contract/service level agreements Suspension 2.2 Staff training and development needs are identified and recorded, to meet the requirements of assessment, quality assurance and training. Staff induction Minutes of meetings and briefings or training courses CPD records plans for development 2.3 Manage and retain a suitably qualified workforce for the management, assessment, training and quality assurance of the centre. Evidence of the staff resource being available Records of staff availability 2.4 The resources available for assessment and training meet the requirements as set out in the relevant health and safety acts. Public liability insurance Maintenance schedules and records Health and safety policy to Suspension 2.5 Centre resources i.e. schemes of work, lesson plans and handouts are in place and produced to acceptable quality standards. Lesson plans Handouts 2.6 There are the appropriate insurances to protect learners, staff and visitors as deemed by law. Insurance certificates Employers liability insurance Public liability insurance Indemnity insurance * Subject to the risk caused by non-compliance 16

17 Appendix 1 - Centre approval criteria (continued) Learners approved criteria Criteria Examples Reference For centre use Centre status 3.1 Learners are fully inducted on to the qualification prior to any assessment or training. Learners and potential learners are given appropriate guidance and advice to support the qualification. Induction materials Confirmation verbally by learner Appeals procedure 3.2 Initial assessment process identifies support and development for the learner and is recorded in the assessment plan. Initial assessment document (profiling) Assessment plans 3.3 For qualifications with NVQ in the title the assessment process must involve the learner and allow two-way written feedback on progress between the assessor and learner. Review documentation Updated assessment plans 3.4 Assessment and training is managed and the most appropriate method of assessment or training is used to prevent any barriers to entry. Assessment and training plans Policy for learners with particular assessment requirements to 3.5 The qualification requirements are used to ensure valid assessment and training methods are used. Meeting minutes Communication evidence with to Suspension 3.6 Learners are aware of their rights, e.g. appeals, equal opportunities policies, registration, induction and health and safety. Induction paperwork Registration number Appeals procedure Equal opportunities policy Health and safety policy 17

18 Appendix 1 - Centre approval criteria (continued) Assessment, training and quality assurance approved criteria Criteria Examples Reference For centre use Centre status 4.1 Internal quality assurance procedures and activities are clearly documented and assessment decisions are sampled to ensure consistency and compliance. Internal Quality Assurance strategies Written sample plan Quality assurance risk assessment Minutes of quality assurance team meetings 4.2 Assessment/testing decisions are consistent and sampled for all assessors and trainers working and registered at the centre. Records of standardisation activity are identified and acted upon appropriately. Evidence from portfolios Records of standardisation activity Minutes of assessor team meetings Internal quality assurance plans and records of all internal quality assurance activity Records of assessment sampling strategies to Suspension 4.3 Internal quality assurance processes ensure assessments/training cover all learning outcomes and assessment criteria prior to any claims for certification. Learners assessment documents portfolio/data requirements (paragraphs 23 and 26) to Suspension 4.4 There is sufficient assessment/training planning with learners. Centre assessment strategy Internal quality assurance reports Assessment plans and reviews 4.5 Assessors for qualifications with NVQ in the title are occupationally competent and meet the SSC strategy for conducting assessment activity. Suspension or removal of assessor 4.6 Trainers are occupationally competent and hold the appropriate qualifications. Suspension or removal of trainer 4.7 Internal quality assurers for qualifications with NVQ in the title meet the SSC strategy for conducting internal verification. Suspension or removal of Internal Quality Assurer 4.8 Qualified assessors/internal quality assurers as appropriate, countersign decisions of unqualified assessors/ internal quality assurers. Evidence from assessment records 4.9 The range of assessment/training methods is sufficient to progress learner including RPL. Centre assessment strategy Achievement rates RPL process used 4.10 A review of the internal quality assurance process to ensure it is appropriate must be carried out and reviewed against the quality advisor reports. to 18

19 Appendix 1 - Centre approval criteria (continued) Records approved criteria Criteria Examples Reference For centre use Centre status 5.1 Formal feedback is sought from learners and employers to evaluate the delivery of the assessment or training. Feedback documentation Evaluation of feedback Reports s taken from feedback 5.2 Records are sufficient to allow audit of assessment/training. Learners assessment documents portfolio/data requirements (paragraphs 22 and 25) 5.3 For qualifications with NVQ in the title the records of assessment meet the requirements listed in the qualification specification and the SSC assessment strategy. Evidence of the assessment process ning, assessment, review and feedback Suspension 5.4 Records of training and testing meet the requirements set out by. Lesson plans Invigilation policy Space norms Examination security 19

20 Appendix 2 - Exemptions for trainers and quality assurance staff working with training qualifications Qualifications PTLLS Level 3 CTLLS Level 3 DTLLS Level 5 PGCE C&G 7302 C&G 7303 C&G 7307 C&G 7407 PCET Construction t Competence Scheme Instructor card Certificate of Training Achievement Instructor card L Unit 9 (L9) L Unit 10 (L10) L Unit 11 (L11) L Unit 12 (L12) Full Titles Preparing to Teach in the Lifelong Learning Sector Certificate to Teach in the Lifelong Learning Sector Diploma in Teaching in the Lifelong Learning Sector Postgraduate Certificate in Education Certificate in Delivering Learning Preparing to Teach in the Lifelong Learning Sector Certificate in Delivering Learning/Teaching Adults Certificate in Further Education Teaching Post Compulsory Education and Training Construction t Competence Scheme Instructor card Certificate of Training Achievement Instructor card Create climate that promotes learning Enable learning through presentations Enable learning through demonstrations and instruction Enable learning through coaching/mentoring 20

21 Appendix 3 - Centre status Centre status methodology is required by Ofqual to have a methodology that ensures the delivery of qualifications is robust and claims made for certification are safe. In the interest of maintaining consistency has developed a process that will ensure centres are compliant with its requirements. Appendix 1 contains all of the requirements your centre must meet as part of your ongoing approval. If your centre fails to meet these requirements, the quality advisor will agree an action plan and sufficient number of days to address the issue(s). Appendix 1 also highlights a number of key requirements essential to the robust delivery and safe claiming of certificates. Centres failing to meet these key requirements will be suspended from registration and certification activities. Your quality advisor will help guide and support you in meeting these key requirements. This methodology has been developed to ensure that you receive a fully supported, timely and efficient approach to maintaining or returning to full approval status. Persistence If you fail to implement an agreed action plan, your quality advisor will recommend the next level of action is applied to your centre. Reoccurrences If you fail to rectify and maintain an agreed level of action your quality advisor will recommend a higher level of action for the reoccurrence. Suspension Non compliance of awarding organisation requirements. However, assessment decisions and quality assurance is robust and has a minimal impact on the learner An that requires urgent attention within agreed timescales which will not normally be more than 28 days. Failure to address a steer or fundamental requirement not met as detailed in Appendix 1. 21

22 Appendix 4 Verb descriptors reserves the right to withdraw scheme or centre approval for persistent failure to meet the requirements detailed in this document, or proven malpractice. The table shown below identifies the differences between each of the verbs that describe how each assessment criterion should be covered. Descriptor Performance or Knowledge Definition Describe Explain State Identify Use Interpret Assess Collect Examine Confirm Communicate Select Protect Knowledge Knowledge Knowledge Performance Performance Performance Performance Performance Performance Performance Performance Performance Performance Give an account of something or someone in words Make a clear and intelligible account, (More detail than would be expected for describe) Express in words (normally less detail than describe) Prove or recognise a person or a thing Put in to service or action Explain the meaning of; e.g. understand and act on a drawing Judge the worth or importance of Gather information together Look at closely, test the knowledge of, ask the question of Prove to be true, re-affirm, strengthen Discuss face-to face, in writing or with body language Choose a method, tool Carry out an action to make safe or eliminate the risk Bibliography Extracts in this document have been taken from: Ofqual Regulatory Arrangements for the Qualifications and Credit Framework (2008) (Ofqual/08/3726) QCA NVQ Code of Practice (2006) (QCA/06/2888) ConstructionSkills Sector Skills Council s (SSC s) Consolidated Assessment Strategy for the QCF (December 2010) Ofqual Operating Rules for Using the Term NVQ in a QCF Qualification Title (2008) (Ofqual/08/3760) JACQA guidelines (October 2009) QCA Regulatory Principles of E-assessment (2007) (QCA/07/3107) Ofqual General Conditions of Recognition (November 2012) (Ofqual/12/5247) 22

23 Glossary Term Definition A1 qualification Accreditation Additional qualification approval Appeal Approved centre Assessment Assessor Assessor qualifications Authentication Award Award of credits or qualifications Awarding organisation Online CCEA Assessor qualification The process through which regulators of a qualification confirm that a qualification conforms to the requirements of the QCF regulatory arrangements The process required to add additional qualifications to the centre s approval status A process through which a decision may be challenged on the outcome of an enquiry about results or, where appropriate, other procedural decisions affecting a centre or individual learner A company that is accountable to an awarding organisation for the assessment arrangements leading to the issue of qualifications or units A process of making decisions about the extent to which a learner s work meets the assessment criteria for a unit or qualification A person who is qualified to assess learners work and make decisions about competence Level 3 Award in Assessing Competence in the Work Environment and Level 3 Certificate in Assessing Vocational Achievement The process that confirms the work being put forward for assessment is the learner s and has been produced under the conditions set out in the qualification A qualification with a credit value between 1 and 12 A certificate issued to an individual that recognises achievement An organisation recognised by Ofqual to award qualifications and units registration and certification management information system Council for the Curriculum, Examinations and Assessment regulator for qualifications in Northern Ireland Centre approval The process required for companies wishing to deliver qualifications or units that has committed itself to hold and maintain the required quality and consistency of assessments and comply with other expectations of Centre contact Certificate (1) Certificate (2) Competence Corrective action CPD Credit Customer co-ordinator D32, D33 qualifications D34 qualification DCELLS Diploma E-portfolio Exemption Guided Learning Hours (GLH) Internal verifier/internal quality assurer A named individual in the centre responsible for the overall quality assurance, management and administration of awards A record of attainment of qualifications/units issued by an awarding organisation A qualification with a credit value between 13 and 36 credits The ability to carry out activities to the standard required A methodology to ensure the quality of assessment and training delivery is upheld and meets Centre approval criteria Continuous Professional Development An award made to a learner in recognition of the achievement of the designated learning outcomes of a unit A member of staff assigned to centres to give a single point of contact Assessor qualifications prior to A1 Internal verifier qualification prior to V1 Department for Children, Education, Lifelong Learning and Skills - regulator for qualifications in Wales A qualification with a credit value of 37 and above An electronic evidence storage system The process for a learner to claim an exemption from some of the achievement requirements of a QCF qualification, using evidence of a certificated, non QCF achievement deemed to be an equivalent value The number of direct contact hours required to teach a qualification or unit of a qualification An individual appointed by the centre to ensure accurate and consistent standards of assessments, both between assessors operating in the centre and between differing awards offered by the centre 23