HABC Core Manual. Revision Date: 21 June 2016 Version: 5

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1 HABC Core Manual Revision Date: 21 June 2016 Version: 5 1

2 Contents Contents... 2 HABC MONITORING PROCEDURES FOR CENTRES... 3 HABC CENTRE ACTIVITY POLICY... 9 HABC SANCTIONS POLICY...12 HABC REGISTRATION OF LEARNERS POLICY...17 HABC EXAMINATION AND INVIGILATION PROCEDURES...19 HABC DISPATCH OF EXAMINATION AND ASSESSMENT MATERIALS POLICY...29 HABC MONITORING AND EVALUATION PROCEDURES FOR REASONABLE ADJUSTMENTS...30 HABC WITHDRAWAL OF A CENTRE POLICY...31 HABC RECOGNITION OF PRIOR LEARNING POLICY...32 HABC USE OF LANGUAGES AND TRANSLATIONS POLICY...34 HABC USE OF HABC LOGO POLICY

3 HABC MONITORING PROCEDURES FOR CENTRES 1. Introduction 1.1 HABC is dedicated to ensuring that the delivery and award of qualifications are transparent, accessible and delivered to a high standard of excellence to maintain the integrity of all qualifications. To ensure this, HABC has a dedicated Quality Team to offer Centres support and guidance. To uphold the quality and integrity of all qualifications it is essential that Approved Centres commit to the following monitoring standards; The Centre Contact at Approved Centres will be provided with access rights to the Core Manual setting out the standards Centres have to meet to maintain Approved Centre status. It is a condition of Centre Approval status that all Centres adhere to the contents of the Core Manual Approved Centres will be monitored to ensure compliance with HABC s criteria for approved Centre status Centres will receive advice on the monitoring process and be informed of proposed dates for monitoring visits A monitoring report system will be used to inform Centres of the outcome of monitoring visits In the event of Centres being required to accept increased monitoring to maintain the integrity of accredited qualifications, timely notice of additional monitoring visits will be given and a calendar of visits established. Unscheduled visits may also be carried out Approval of tasks set to learners, assessment criteria and/or mark schemes will be a compliance requirement for Centres and closely monitored by HABC Where HABC has concerns that learner registrations or claims for certification are not compliant with its requirements for approved Centre status or do not meet its quality standard, HABC may impose a moratorium on learner registrations or claims for certification until the issues are resolved Where the performance of a Centre causes serious concern, HABC will advise the Centre that its approval is suspended, pending investigations and review of its status by HABC. Following a full investigation, should 3

4 2. Evaluation the situation not be resolved to HABC s satisfaction, HABC may decide to withdraw approval from a Centre and/or a Tutor/Assessor. 2.1 HABC will monitor Nominated Tutors, examiners, moderators, independent assessors and internal verifiers to ensure full compliance with its own quality standards and operational guidelines and, where applicable, those of the Regulatory Authority. 2.2 HABC will monitor that the Centre maintains sufficient resources to enable it to effectively and efficiently undertake the delivery of the qualification(s). 2.3 HABC will monitor that the Centre is implementing and reviewing regularly the internal quality of delivery. 3. Responsibility and Accountability of Centres 3.1 The Centre The Centre is accountable to HABC for all the training and assessment it provides in accordance with the procedures set out in the HABC Core Manual The Centre is responsible for providing HABC with confirmation of actions taken and/or evidence in response to mandatory requirements arising from an engagement visit The Head of Centre is responsible for ensuring that all HABC policies and procedures are adhered to by all Centre personnel at all times The Centre is responsible for ensuring that it is meeting the requirements of the qualifications The Centre Contact is responsible for informing HABC that the qualifications are delivered by qualified/ competent staff. 4. The Engagement Process of HABC-Led Assessment 4.1 Prior to the visit Ordinarily the Approved Centre is informed of the intention to monitor in good time and a convenient date is arranged. There may be occasions when the Centre will not be advised in advance of a monitoring visit, for example, if malpractice has been suspected. 4

5 4.2 The Monitoring Visit More often than not monitoring visits will take less than one day to complete, although there are instances whereby visits can take longer to carry out. This is dependent upon the scale of the training provision The EQS will observe the training/ assessment without interrupting the session or impeding the Nominated Tutor/Assessor. It is advised that the Nominated Tutor provides an opportunity for the EQS to both introduce him/herself and inform the learners of his/her presence as a representative of HABC The Centre Contact and Nominated Tutor may both be required to be in attendance on the day of the visit to deal with any queries. Learners, clients and other staff may also be questioned about course delivery and management at suitable times throughout the day The monitoring process is designed to be objective and clear. The EQS may provide verbal feedback as the day progresses, providing initial impressions regarding identified strengths and weaknesses. 5. The Engagement Process for Centre-Led Assessment 5.1 HABC allocates an External Quality Support (EQS) to Centres depending on their area of expertise and geographical location and in doing so ensure that EQS will not be allocated to a Centre at which there is or has been a personal interest. 5.2 In addition to helping the Centre successfully deliver HABC qualifications and units and providing it with effective and informed ongoing information, advice and guidance in relation to developments with HABC and the wider education and funding systems, the EQS is responsible for ensuring that each Centre has appropriate quality assurance systems in place. 5.3 The EQS will normally assure the quality of delivery by engaging with and working in partnership to monitor the performance of the Centre. The purposes of which are to: address any queries the Centre may have; provide the Centre with up-to-date information and advice in line with HABC awards and Regulatory Authority guidance and requirements; review various arrangements at the Centre in accordance with a tailored visit plan for the Centre. For example: 5

6 ensuring, through appropriate sampling/moderation, that assessment arrangements are fit for purpose and the criteria against which learners performance is differentiated are being applied consistently by assessors within and across Centres and in accordance with requirements specified for each qualification; ensuring the Centre is taking all reasonable steps to prevent the occurrence of malpractice or maladministration; confirming that any previously identified action points have been met; confirming that assessments are conducted by appropriately qualified/ occupationally expert assessors; confirming all learners undertake an initial assessment in order to identify barriers to assessment, exemptions and/or recognition of prior learning (RPL); sampling assessment decisions to confirm that the learner evidence is authentic and valid and that national standards are being consistently maintained and regulatory requirements adhered to; checking that assessment decisions are regularly sampled, through internal verification, for accuracy against the national standards; checking that claims for certification are authentic, valid and supported by auditable records and that learners have met the specified level of attainment; ensuring the Centre is retaining appropriate records of assessment and internal verification decisions for a suitable period of time; providing advice and support on the interpretation of national standards, learning outcomes and assessment criteria. 6

7 6. Quality Monitoring Report 6.1 After the visit a report will be produced that will be sent electronically to the Centre via a HABC EQS Coordinator which will include: the date of the visit; details of the monitoring activities undertaken, including information on any sampling undertaken and who was interviewed; feedback to the Centre on the quality and consistency of its assessment process and the effectiveness of quality assurance arrangements; areas of good practice; details of any actions the Centre must take if its performance does not meet our requirements, when these actions must be completed and who is responsible for completing them If applicable, and only if serious weaknesses are found, details of any sanctions that may be imposed, or will be recommended to HABC to impose with a rationale for such a decision Upon receiving the report the Centre will have the opportunity to review its factual accuracy and will be encouraged to provide feedback on the: conduct of the HABC Representative; findings and outcomes of the visit. If the Centre disagrees with any of the findings and the matter could not be resolved on the day, then it has the opportunity to raise the matter; services and/or support offered by HABC Please note: In the event that HABC undertakes a visit to your Centre but is unable to carry out such visit (for example: due to the representative being refused access to the premises or nobody is present or available/willing to speak to our representative), HABC reserves the right to charge an additional fee (ordinarily 350 plus VAT) to contribute towards the costs of a subsequent visit. In such circumstances, HABC reserves the right to suspend registration and certification of candidates until this fee is paid. 7

8 6.1.9 HABC uses consultants to undertake monitoring activities on HABC s behalf. Each consultant is engaged contractually, which includes payment in the event that a visit is cancelled with insufficient notice In light of the above, in the event that a Centre cancels an agreed visit with less than 2 working days notice, HABC reserves the right to charge the Centre a cancellation fee of 350 plus VAT at its absolute discretion. 8

9 HABC CENTRE ACTIVITY POLICY 7. Introduction 7.1 This policy will adhere with HABC s communication promise to all of our customers while providing standardisation to our day to day working practices. 7.2 HABC, where required, will contact centres regarding examination paperwork discrepancies e.g. Learner name spellings, date of birth queries or more generic questions. It is usually the case that HABC will be unable to process examinations and issue certificates without obtaining this required information. 7.3 It is sometimes the case that Centres do not respond to HABC notwithstanding numerous attempts by HABC to make contact. This policy therefore highlights the steps HABC will take to obtain required information from its Centres. It will also set out the consequences of Centres failing to respond to requests for information by HABC. 7.4 Centres are reminded that it is a strict condition of their Centre Approval to respond to requests for information from HABC in a timely manner. Centres should therefore be clear that in the event that no satisfactory contact is made with the centre, the examination paperwork in question may be confidentially destroyed in accordance with our internal policies. This will mean that the candidates to whom the paperwork relates to may not receive their examination results and certificates. HABC does not keep examination paperwork in perpetuity. 7.5 In the circumstances described in 1.4 above, the Centre is obligated to work to assist any Learners adversely affected by their actions. Failure to do so could result in sanctions against the centre, including termination of Approved Centre status. 8. Definitions 8.1 Course Query 8.2 Whereby HABC need to open communication with a centre to seek additional information regarding a course and/or Learner. 8.3 Dormant Course Query 8.4 Whereby communications have been opened with the centre and no response/resolution has been attained after 6 months. Course Query and Paperwork will become dormant and archived. No further communications will be 9

10 8.5 Activity presented by HABC after 6 months. Affected Learners may not receive their results and certificates. 8.6 Communication between centres and HABC in any form, including; Telephone, visit, or letter; 8.7 Purchasing of qualifications and/or associated materials; and 8.8 Registering of Learners & Certificate Requests. 9. Outstanding Learner Queries 9.1 All examples of course queries are recorded and documented within HABC s IT system. Upon identification of a course query, an HABC Account Manager will open communications with the centre and record the communication within our IT system. HABC will only close a course query upon receiving an adequate resolution. Recorded communications will be presented by your HABC account manager using the following guidelines: Recorded communication within first week of identification (5 working days). After this, should there be any Learners that can have results released and certificated then this will be done. Learners effected by course queries will remain unreleased (results) and un-certificated Further recorded communication sent on week 2 of course query identification Further recorded communication sent on week 4 of course query identification Further recorded communication sent on week 12 of course query identification If after 5 Months of no response/resolution from the centre a final reminder is ed from HABC advising that course query will become dormant in a months time If after 6 months of no response/resolution from the centre the course query becomes dormant and you will receive no further communication from HABC relating to the course query If after 12 months of no response/resolution from the centre the course query will be closed and associated course paperwork will be subjected 10

11 to confidential waste destruction in accordance with our internal policies Should a centre provide a response after 12 months, HABC may not be able to release results and award a Learner as associated paperwork may have been destroyed (see 9.1.7). 10. Remedial Action 10.1 HABC may conduct a quality assurance audit of your next course which you will be required to pay in the event that you fail to respond to HABC queries 10.2 HABC reserves the right to impose sanctions on your centre, in the event that you fail to respond to HABC queries. Such sanctions could include termination of Centre status. 11. Centre Inactivity 11.1 Centres that spend less than 1,000 during the preceding calendar year (1 January 31 December) will be subject to an annual fee of 300+VAT Centres spending over 1,000 during the preceding calendar year will be exempt from the fee referred to in 11.1 above. For existing centres the first year will be January December (i.e. the first time centres could possibly be charged would be January 2015) Should a centre not purchase, register or request certification within a 12 month period, HABC reserve the right to remove centre approval status for nonactivity. 11

12 HABC SANCTIONS POLICY 12. Introduction 12.1 This policy is aimed at Centres delivering HABC qualifications or units and who have failed to meet aspects of HABC delivery requirements and/or the standards laid down by the Regulatory Authorities in respect of regulated qualifications and units. This policy sets out the sanctions HABC may impose on Centres in such situations. 13. Centre s Responsibility 13.1 It is important that your staff involved in the delivery of HABC qualifications are fully aware of the contents of the policy and its possible implications on your Centre should the requirements, that are specified by HABC in relation to the delivery of our qualifications (some of which are required of HABC by the Qualification Regulators), not be met. 14. Review Arrangements 14.1 HABC will review the policy annually as part of our self-evaluation arrangements and revise it as and when necessary in response to customer feedback, trends from our internal monitoring arrangements, changes in our practices, actions from the Regulatory Authorities or external agencies or changes in legislation. 15. Ensuring the Standards of HABC Qualifications and Units 15.1 HABC has a responsibility to the learners taking our qualifications and the UK Regulatory Authorities to ensure that Centres deliver HABC qualifications and units in accordance with relevant regulatory requirements. 16. Approach to Sanctions 16.1 HABC has a range of sanctions that can be imposed on a Centre depending on the seriousness of the situation, the level and track record of the Centre s noncompliance and the risk to the interests of learners and the integrity of the qualifications and units and/or the effect on public confidence in HABC qualifications Nonetheless, HABC aims to ensure that the application of sanctions is a last resort and through our approach to Centre support and management, and the creation of appropriate action plans, we will work with Centres to prevent situations arising that would warrant a sanction being imposed However, if sanctions are required then they will be applied depending on the nature of the situation. For example, if the Centre has: 12

13 outstanding actions; poor records to confirm assessment decisions; no internal quality assurance (IQA) personnel in place; proven collusion or persistent bad marking of Centre-marked assessments; suspected or proven cases of maladministration/malpractice which are being investigated; made certification claims before learners have completed the unit(s) or qualification(s); an increased likelihood of an adverse effect/incident occurring (for example, something that is likely to have an adverse effect on the standards of the qualifications they are delivering or public confidence in qualifications); refused access to premises and/or records to the staff of HABC or the Regulatory Authorities It is important to note that the following are not classified as sanctions, but are regarded as standard, good Awarding Organisation or business practice; When a Centre is first recognised and approved by HABC to offer one of our qualifications, and/or if it has subsequently applied and been approved to offer another qualification in a sector or qualification type that is significantly different from previous qualifications it offers, HABC may approve the Centre to offer the qualification(s) but reserves the right not to process any certificate claims for the qualification(s) until the Centre has demonstrated the correct processes to meet HABC s Internal Quality Assurance standards. This approach is intended to help ensure that Centres are delivering the new qualification effectively before certificates are issued Should a Centre refuse to pay outstanding fees after various contacts with our Finance department, then HABC may remove approval and/or Centre recognition with immediate effect. Such a decision would not be considered a sanction but a commercial decision Undertaking additional visits to a Centre to provide them with a greater level of support and/or monitoring depending on their needs and performance. 13

14 Requiring specific Centre staff to undergo additional training and/or scrutiny by the Centre if there are concerns about their ability to undertake their role in the delivery of HABC qualifications effectively. Such decisions would normally be communicated to the Centre via an action or recommendation following a Centre engagement visit. 17. Sanctions on an Individual 17.1 HABC reserves the right to impose a number of sanctions against individuals at any time. Ordinarily sanctions would be imposed against individuals either during or prior to conducting an investigation into maladministration or malpractice connected to a Centre with whom the individual(s) is/are connected. Sanctions against individuals may include: temporary or permanent withdrawal of Centre Contact status; temporary or permanent withdrawal of approval to deliver a specific or range of qualification(s) (in capacity of teaching or internal quality assurance); not permitting the individual to invigilate HABC examinations or assessments; altering the way, and the period in which, Centres receive examination/assessment materials from HABC if there are concerns around their ability to maintain the security and confidentiality of such materials; and appointing independent invigilators to observe an exam at the Centre if there are concerns around the Centre s arrangements and/or the Centre is unable to resource particular exams. Such actions will be discussed with the Centre during or after a Centre engagement visit Centre staff may be terminated for up to 5 years if found to be deliberately involved in malpractice 18. Sanctions that may be Imposed 18.1 The sanction to withhold and/or suspend the issue of certificates (for example, suspending certification status) or preventing further registrations can be recommended by an EQS or HABC employee in relation to: a single qualification; an entire qualification sector; 14

15 an entire qualification type; all qualifications Such recommendations may be made following a Centre engagement activity undertaken at the Centre and/or following an investigation into a complaint or malpractice/maladministration investigation involving the Centre The implementation of any sanction recommended by an EQS or employee will be reviewed by the Quality Assurance Manager and Head of EQS, who is responsible for overseeing the work of the EQS and for ensuring the appropriateness and consistency of their work, to ensure there is clear evidence of non-compliance by the Centre and/or a sufficient rationale for the sanction to be imposed Only in exceptional circumstances of extremely serious non-compliance or the persistent failure of the Centre to address outstanding actions, and/or the failure of previous sanctions to address the issue, would HABC impose, via the Quality Assurance Manager the ultimate sanction of removal of qualification approval in relation to: a single qualification; an entire qualification sector; an entire qualification type; all qualifications and in turn the Centre s recognition with HABC (in which case its access to the HABC system may be deactivated) HABC expects that it would not impose the immediate withdrawal of approval for a qualification or range of qualifications without: the Centre being given an opportunity to address the area(s) of noncompliance; first of all imposing one of the previous sets of sanctions; there being evidence that the non-compliance poses a significant threat to the interest of learners or the integrity of the qualifications and units Should a Centre have its approval for a qualification/suite of qualifications removed, HABC will take all reasonable steps to protect the interests of any learners currently registered on the qualification(s) in line with the details outlined in our process for Centres withdrawing from offering our qualifications. 15

16 For example, HABC will either certificate learners for any achievements achieved to date and/or seek to transfer them where possible and feasible to another Centre to enable them to carry on with their learning In all instances the nature of the sanction and the rational for its application will be communicated in writing to the Centre via Please note HABC has a duty, under the Regulatory Authorities General Conditions of Recognition and Regulatory Principles, to inform any stakeholders and/or Regulatory Bodies in relation to the application of some sanctions (for example, applied following an incident of malpractice or maladministration) In cases where HABC have imposed a sanction on an individual, HABC reserves the right to inform Centres that the individual has, or may have in future, a working relationship If a Centre disagrees with the decision they should raise the matter with HABC in accordance with the arrangements outlined in our Appeals Policy. 16

17 19. Introduction HABC REGISTRATION OF LEARNERS POLICY 19.1 Ideally learners will be registered by the relevant member of Centre staff no later than at commencement of the course; however this is often not possible and learners should be registered on the relevant qualification and/or unit(s) as soon as possible thereafter It is the Centre s responsibility to take all reasonable steps to confirm the identity of the learners and they do this by requesting sufficient personal data to complete the registration form and inputting a unique learner number (ULN) if the learner opts to have a ULN to ensure the learner can be clearly and uniquely identified Each Centre will nominate personnel who will be authorised to check and submit course registration/certification requests. Centre staff are responsible for ensuring that the course has been delivered effectively; the learner has completed the relevant parts of the course and the identification of the learner has been confirmed. In addition, they will check course paperwork and registration requests and certificate claims to ensure they have been fully and correctly completed, including: That result information match course registration details Only appropriately competent trainers, assessors and verifiers were involved in the delivery/assessment The correct HABC documentation was used Learner details are correctly completed Investigating any suspicious entries or reasons for omissions of key data, resolving any issues with the relevant trainer, assessor and/or internal verifier and when required raising the matter with HABC Any completed Examination Answer Sheets must also be checked by the Centre to ensure full and clear completion and that the correct qualification and/or unit(s) has been listed, as well as being signed off by a suitable empowered and authorised member of staff The initial trigger for all certificate claims rests with Centres. Only when they are satisfied that a learner has completed the relevant assessments and have reached the specified level of attainment for the units and/or qualification should a Centre make a claim for certification to HABC to claim the full qualification 17

18 certificate and credits or individual units and credits if the learner failed to complete the entire qualification for whatever reason Note: their internal arrangements for compliance with these arrangements will be monitored from time to time by the External Quality Support allocated to their Centre to ensure robust arrangements are in place, specified procedures have been followed and that the Centre has arrangements which minimise the risk of fraudulent or mistaken certificate claims being made. Should any issues arise through these visits of through other means (such as a complaint or via an Ofqual investigation) that calls in question the validity of a certificate claim then the Centre Contact must be immediately notified and a formal investigation carried out (in accordance with our malpractice and maladministration policy). 18

19 EXAMINATION AND INVIGILATION PROCEDURES 20. General 20.1 To uphold the integrity of HABC qualifications, it is imperative that policies and procedures are put in place and strictly adhered to by Centres, Nominated Tutors and examination Invigilators/Assessors It is the responsibility of the person(s) designated as Centre Contact to ensure compliance with all HABC policies and procedures It is the responsibility of the person(s) designated as Centre Contact to ensure that all Nominated Tutors/Invigilators/Assessors are suitably trained to carry out these particular roles All Nominated Tutors/Invigilators/Assessors should be given access to the HABC policies and procedures. It is the responsibility of the Centre Contact(s) to ensure that all chosen Nominated Tutors/Invigilators/Assessors adhere to all HABC policies and procedures It is the responsibility of the Centre Contact(s) to ensure that all Nominated Tutors/Invigilators/Assessors are given a copy of the HABC Examinations and Invigilation Procedures Centres are required to inform HABC of the date, time and venue of the course and/or examination at least five working days before it is due to take place although we do appreciate this is not always possible. Please note that HABC reserves the right to attend the course with or without notice for auditing purposes. 21. Ordering Examination Materials 21.1 All examination materials can be ordered online or using the Examination Material Booking Form. The designated Centre Contact(s) should sign this form. Copies of the form can be found in the Members Area of the HABC website All orders for examination materials must be submitted online, posted, faxed or ed to HABC All orders for written examination materials must be received by HABC at least five working days before the examination. Orders received less than three working days before the examination will be processed at HABC s discretion, although HABC will not be able to guarantee that the materials will be received in good time. Such orders may be subject to an additional post/courier charge. Details of all fees can be found on the website. 19

20 21.4 HABC will send the designated Centre Contact(s) the following materials normally within five working days: a sealed security bag containing individual examination papers and learner Examination Answer Sheets (EAS); Examination Learner List and Declaration. It is mandatory that Centres return a copy of this form in the sealed security bag after each examination session, unless the same information is submitted to HABC via our website; a pre-labelled unsealed security bag to return examination papers, Examination Answer Sheets, Examination Learner List and Declaration and unused materials to HABC. (Multiple bags will be sent for bulk orders.) 21.5 In conjunction with and , Centre Contacts are urged to print the following document which can be accessed on the HABC website: Examination Feedback Form - This is a non-mandatory form; however, Centres are encouraged to return this form to HABC after each course taken. Again this form can be accessed on the HABC website HABC reserves the right to raise a charge in the event that examinations are cancelled after the materials have been dispatched. 22. Ordering Retake Materials 22.1 This is the same procedure as set out in section 21 above. 23. Receipt and Storage of Examination Materials 23.1 The Centre Contact(s) should check the content of examination materials received on receipt of the goods. Any discrepancies/damage should be communicated to HABC immediately by telephone and/or The sealed security bag, containing each individual examination paper, must not be opened until no more than five minutes before the commencement of the examination. Prior to this, the examination papers should be kept in a locked, secure location. The recommended place to keep them would be in a locked safe, but this is not mandatory. Should the papers be taken to another site they should be transported in a secure, locked container The sealed security bag itself must be opened by the learner prior to commencement of the examination. 20

21 24. Instructions to Learners 24.1 Centres should make clear to learners well in advance of the examination that they should notify the Centre should they require Reasonable Adjustments and/or Special Consideration HABC s policies in respect of Reasonable Adjustments and Special Consideration can be found in the Core Manual All learners must be instructed to bring identification to the assessment for checking by the invigilator. This instruction should be given ahead of the course/assessment when the learner registers and/or with any pre-course materials. 25. Changes in Venue, Time or Date of the Examination 25.1 Any changes to the venue, time or date of the examination should be notified to HABC at least five working days before the course was originally due to take place. It is the responsibility of the Centre Contact(s) to notify HABC of any changes in writing ( is acceptable) before the course/examination In the event that HABC undertakes a visit and your Centre fails to notify HABC of the amendment, HABC reserves the right to charge an additional fee (ordinarily 350 plus VAT) to contribute towards the costs of a subsequent visit. 26. Cancellation of Examination 26.1 Should you have a requirement to cancel the course/examination, please ensure HABC is provided with five working days notice in advance. Failure to advise HABC of any cancellation in this timescale may lead to sanctions being imposed against your Centre In the event that HABC undertakes a visit and your Centre fails to notify HABC of the cancellation, HABC reserves the right to charge an additional fee (ordinarily 350 plus VAT) to contribute towards the costs of a subsequent visit In the event of an examination being cancelled, examination materials can be returned in the enclosed security bag. It is permissible to use the examination papers for an examination at a later date, as long as the procedures set out in the Examination and Invigilation Procedures are adhered to. 27. Learner Identification 21

22 27.1 It is the responsibility of the Centre to have systems in place to ensure that the person taking an examination is indeed the person they are claiming to be. All Centres are therefore required to ensure that each learner s identification is checked before they are allowed to sit the examination and write the type of identification provided by each learner on the Learner List under Identification Provided. HABC recommend the following as proof of a Learners Identity: valid passport (any nationality); signed UK photo card driving licence; valid warrant card issued by HM Forces, Police; other photographic ID card, e.g. employee ID card (must be current employer), student ID card, travel card In the event that a learner is unable to produce any of the forms of identification listed in above, an invigilator may accept another form of identity containing a signature, for example a credit card. The invigilator must however, be satisfied that the signature on the identity matches the learner s own signature on the learner list. Please note, HABC does not allow thirdparty ID verification for Security or Scottish Certificate for Personal Licence Holders qualifications under any circumstances If a learner is unable to supply any of the above then verification of a learner s identity by a third-party representative, such as a Line Manager, Human Resources Manager or invigilator, will be accepted. This situation may apply, for example, when all learners are employees of the Centre or company conducting the examination, or when all learners are either enrolled learners at a Further Education establishment or Centre. Please note, HABC does not allow thirdparty ID verification for Security or Scottish Certificate for Personal Licence Holders qualifications under any circumstances Any Nominated Tutor/Invigilator/Assessor who has any reason to suspect that a person attempting to take an examination is not the person they are claiming to be must not allow that person to take the examination All occurrences of a situation as described in 27.4 above must be reported to HABC immediately Approved HABC Centres delivering Security licence-linked qualifications must adhere to the identification requirements detailed in Security Licence-Linked Qualifications Examination Learner List and Declaration. 22

23 28. Examination Materials 28.1 At the beginning of the examination, the invigilator must check they are in receipt of the following materials: examination question papers and learner Examination Answer Sheets; Examination Learner List and Declaration; HABC self-addressed security bag to return all examination materials; spare pencils and erasers. 29. Invigilators 29.1 The invigilator must not be related to learners. It is the Centre s responsibility to ensure that the invigilator is suitable to invigilate examinations If the examination relates to a Security licence-linked qualification offered by HABC, in accordance with SIA requirements, the tutor who delivered the course is not permitted to act as the invigilator for said course s multiple-choice examinations. 30. Prior to the Examination 30.1 Prior to the examination, Invigilators/Assessors should: inspect the examination room to ensure that the accommodation is suitable and the seating is arranged in such a way to avoid malpractice; ensure that there is an Exam in Progress sign visible on any entry door to the examination room; ensure that all learning aids (such as workbooks, wall posters etc.) that may assist learners with the examination are covered or removed; verify that all learners are present; check the front of the sealed security bag to ensure that the correct examination materials have been sent; identify any individuals for whom special arrangements have been approved by HABC; familiarise themselves with the Examination and Invigilators Procedures; 23

24 explain evacuation arrangements to learners, in the event of an emergency; be confident that all the individuals attempting to take the examination are who they say they are; Ensure all learners add their details to the Learner List. 31. Starting the Examination 31.1 Prior to the examination, Invigilators/Assessors are required to: arrive at the examination location in good time; inform the learners of the correct Centre and Tutor Number; inform the learners of the start and finishing time of the examination, referring to a clock that should be visible to all learners; ensure that all learners are positioned sufficiently apart to avoid the risk of malpractice HABC recommend a minimum of 1.5 metres between learners; inform learners that they are not permitted to refer to any materials other than a standard dictionary. Invigilators/Assessors should check that only authorised materials are on the learner s desks; if a paper based assessment, inform learners that multi-media devices, such as mobile phones, tablets, smart watches, need to be turned off and not placed on the examination desk; inform all learners that they should read all instructions on the examination paper before answering the questions; inform all learners that they are prohibited from communicating with other learners during the examination and that the Invigilator/Assessor is not permitted to provide any further explanation or guidance on examination questions; once the learners are settled, ensure that the learners open the sealed security bag and check that they have the correct examination paper, noting the title of the examination and paper number Prior to the examination starting, the Invigilator/Assessor should ensure that all learners complete the following information on their Examination Answer Sheets: 24

25 the learner s full name; the Approved HABC Centre number; the HABC Tutor number of the person who delivered the training; the examination date; whether the examination is a resit; the examination start time Please note: The Security Code and Examination Paper Code should be preprinted on the learner Examination Answer Sheet Please note: Under no circumstances should any information, such as the above, be populated by the invigilator or any member of Centre staff. 32. During the Examination 32.1 The invigilator must supervise the learners at all times throughout the examination Absolute silence must be maintained throughout the examination. The invigilator is not permitted to read questions and/or provide definitions of words and/or questions to the learners. The invigilator is also not permitted to translate wording in any way Learners who arrive after the starting time for an examination may, at the discretion of the Invigilator/Assessor, enter the room and sit the examination providing that they do not disturb the other learners. They must, however, finish the examination at the same time as the other learners Learners who need to leave the examination room must be accompanied by an Invigilator/Assessor, who must ensure that they do not speak to anyone else, make a telephone call or refer to any notes Any learners wishing to leave the examination room early must hand in their answer sheet and examination paper and must not be readmitted to the room under any circumstances In the event that an Invigilator/Assessor observes or suspects a learner of malpractice, that learner should be asked to stop. Should the action be considered serious enough, a learner s examination paper and answer sheet should be collected and the learner asked to leave the examination room. In this 25

26 latter scenario the Invigilator/Assessor must submit a written report to the Centre who must notify HABC of the incident For further guidance on HABC procedures for dealing with malpractice, please refer to the Maladministration and Malpractice Policy Invigilators are expected to remind the learners of the time remaining approximately 15 minutes before the end of the examination. 33. Emergencies 33.1 In the event of an emergency, the Invigilator/Assessor should evacuate the examination venue in accordance with venue procedures. All examination papers and answer sheets must be left on the learners desks If an Invigilator/Assessor is satisfied that the integrity of the examination has not been compromised, the examination can be resumed for the remaining allocated time. The Invigilator/Assessor must submit a full report of the incident to the Centre. In turn, the Centre must notify HABC of the incident. 34. The End of the Examination 34.1 After the examination has finished, the Invigilator/Assessor should ask all learners to note the examination finish time on their Examination Answer Sheet and sign the document in the bottom right-hand corner The Invigilator/Assessor should check to ensure that the number of completed answer sheets and learner booklets matches the number of learners. They should also check to ensure that the learners have correctly entered their details on to the Examination Answer Sheets The Invigilator/Assessor should also check to ensure that they sign the declaration for the examination and any approval forms for learners who have special arrangements in place. Details of any extenuating circumstances should also be recorded The Invigilator/Assessor should check the dates of birth are entered for all learners Under no circumstance should the invigilator and/or assessor change any information on the examination sheet; or undertake their own marking of the examination (unless expressly stated within the qualification specification E.G Pool Life Guarding). 35. After the Examination 26

27 35.1 If photocopying facilities are available at the examination venue, then it is recommended that photocopies of learner answer sheets are taken immediately after the examination, in front of a witness. The invigilator should then bring the papers back and seal them in the examination room in front of a witness The invigilator should also consider taking photographs of the examination answer sheets. This will serve as an electronic copy for Centre records On no occasion, should the invigilator leave the examination room without the examination sheets being sealed in a grey bag If there are no copying facilities at the examination venue, then the invigilator will be unable to take copies (under no circumstances should the papers be taken out of the venue in an unsealed bag to be copied at a later date). In such cases the papers should immediately after the examination be sealed in the grey bag, in front of a witness Opened Examination question papers must be returned to HABC. It is NOT permitted to copy any part of the examination question paper The Centre is responsible for ensuring there is sufficient postage to cover the safe return of used examination materials to HABC. 36. Results and Certificates 36.1 Results and certificates will be processed within 7 working days from receipt; although HABC is currently working at a turnaround time of 4 working days. 37. Replacement Certificates 37.1 The process for obtaining replacement certificates can be found in the Core Manual. 38. Fees 38.1 HABC s Fee Structure is clearly defined via its website Centres are asked to provide payment of the examination materials up front or pay the invoice within 30 days of issue. HABC reserves the right not to provide any further examination materials and/or process any further examination documentation if a Centre fails to adhere to these payment provisions. HABC may also consider further sanctions. 39. Retakes 27

28 39.1 Any learner who fails an examination can retake as many times as they like. The retake fees can also be found in the Fee Table on the website. 40. Appeals Against Results 40.1 Any learner wishing to appeal against an examination result can do so by invoking the Appeals Procedure which can be found on the HABC website. 28

29 HABC DISPATCH OF EXAMINATION AND ASSESSMENT MATERIALS POLICY 41. Introduction 41.1 HABC will endeavour to dispatch orders for examination and assessment materials on the day the order is received. Orders placed after 15:30 may not be dispatched on that day but HABC will endeavour to do so. Should a Centre require delivery of goods within 2 working days, a 10 express delivery charge may be applied*. Orders required for Saturday delivery may incur a charge up to However, Centres should ensure all written examination material is ordered no later than 3 working days before the examination date. Late bookings may be subject to a late booking fee Orders for examination and assessment materials will be dispatched to the Approved Centre address. However, in exceptional circumstances HABC can deliver to an alternative address. In order to do so the Centre must provide confirmation of the measures it has in place to receive, check and store the materials securely at the alternative address Where such arrangements are required, Centres may be required to provide the following details when placing an order: Who will accept the delivery, for example, full name and responsibility/job title? Who will check the delivery and report discrepancies? Where should the delivery be sent (including room numbers and reception information etc. in the case of large buildings or hotels)? How will the Centre assure the papers are stored securely (under lock and key) and transported to the examination room? 41.5 Please note, HABC is by no means trying to create extra work for Centres, or make the ordering process difficult. It is a regulatory requirement to ensure the integrity of examination and assessment materials is upheld at all times, this applies to all Awarding Organisations and Centres alike Should you have any queries regarding the ordering process please do not hesitate to contact your Account Manager via or telephone ( ). * Express delivery may not be possible in some geographical locations. 29

30 HABC MONITORING AND EVALUATION PROCEDURES FOR REASONABLE 42. Introduction ADJUSTMENTS 42.1 In the interest of an inclusive assessment process, HABC will consider on the basis of legislation, regulation or good practice models, whether its procedures for Reasonable Adjustment should be applied where a request is received from a Centre, or an individual candidate for such Reasonable Adjustment. Any such adjustment will take into account its duty as an Awarding Organisation to ensure that the integrity of its qualifications and assessment is maintained at all times A working definition of Reasonable Adjustment is any action which addresses and helps to reduce the effect of the disability or difficulty which would substantially disadvantage a learner during an examination or assessment situation. The rationale is to make appropriate Reasonable Adjustments to standardised assessment arrangements to enable access. The following procedures apply: Centre Responsibilities: Centres must meet their responsibilities to learners and comply with current disability and equal opportunity legislation as well as meeting regulatory requirements. Each Centre must, therefore, consider in advance any difficulties learners may have in accessing assessment. All staff must have training in relevant access issues Centres must ensure that they can provide appropriate resources to make the necessary adjustment to assessment. The Awarding Body s procedures for requesting adjustments must be followed on each occasion such adjustment is required In the interest of Equal Opportunities and the avoidance of malpractice claims, only approved adjustments will be allowed and the approved level of assistance must not be exceeded Appropriate adjustments will be based on the specific assessment requirements of the particular qualifications, on the type of assessment and the particular needs and circumstances of the learner in question. 30

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