Our Quality Assurance Requirements. March 2011 Version 1.1 GUIDANCE FOR CENTRES

Similar documents
QUALIFICATION HANDBOOK

Level 1/2/3 Award in Computerised Accounts (8989)

Level 2, 3 & 4 Diplomas in Customer Service ( ) August 2014 Version 3.0 (October 2016)

Awards and Certificates in Personal and Social Development (7577)

Level 2 Certificate in Driving Goods Vehicles Motor/Pedal Cycle ( )

7591 Employability for Apprentices Level 3 and 4 Unit Pack. September 2011 Version 1.0 UNIT PACK

Level 2/3 Diploma in Legal Administration ( /13) October 2017 Version 4.1

QUALIFICATION HANDBOOK

Level 3 Operational Delivery (Advanced) ( )

QUALIFICATION HANDBOOK

Level 3 Diploma in Warehousing and Storage ( )

Level 3 NVQ in Logistics Operations Management ( ) Qualification handbook

Level 3 NVQ Diplomas in Electrotechnical Technology (2357)

Level 2 Certificate in Warehousing and Storage Skills (QCF)

Level 3 & 4 Awards & Certificates in Assessment and Quality Assurance

Level 3 NVQ Diplomas in Electrotechnical Technology (2357) Qualification handbook for centres

Level 3 Diploma in Electrical Power Engineering - CT/VT Metering ( )

Level 2 Certificate/Diploma for Sustainable Waste Management Operative (0746)

Level 3 NVQ Diplomas in Electrotechnical Technology (2357) Qualification handbook for centres

Level 2 Diploma in Reception Services ( )

Qualification Specification. Level 2 Award in INFORMATION, ADVICE OR GUIDANCE

Awards in Employment Awareness in Active Leisure and Learning

Report on recognising organisations as awarding bodies

ILM Recognition Endorsed and Development programme guidelines

Level 3 Certificate for Traffic Office ( )

Centre guide for Learning and Development Awards

Internal Quality Assurance Policy (IQA)

Approval Criteria. April Version 5

Awards, Certificates and Diplomas in Employability Skills Level 2 Units (5546) Candidate logbook

Level 4 Diploma in Software Development Methodologies ( )

QUALIFICATION HANDBOOK

Level 4 NVQ Certificate/Diploma in Business and Administration ( /94)

Level 1 Certificate in Hospitality and Catering

Level 3 Certificate/Diploma in Retail Skills (Visual Merchandising) (7536)

N/SVQ Guide. for centres and candidates Recording forms. June 2005 Version 2.2 Updated February 2006

Qualification Specification. Level 5 Diploma in MANAGEMENT AND LEADERSHIP

Performing Microchip Implantation in Animals

BIIAB Level 5 Diploma in Management and Leadership (QCF)

Level 1 2D Drawing and Planning Software (DPS )

Level 6 NVQ Diploma in Construction Site Management (Construction)

Entry Level 3 Certificate in Personal Progression through Employment ( )

Qualification Handbook. Leadership and Management

Level 3 Diploma in Management. Qualification Specification

Qualification Specification. Level 5 NVQ Diploma in MANAGEMENT AND LEADERSHIP

Level 3 NVQ Certificate in Occupational Health and Safety

Qualification Specification. Level 2 Award in SAFEGUARDING AND PROTECTING CHILDREN AND YOUNG PEOPLE

Level 3 Software testing ( )

Systems and Qualification Approval Guide

QUALIFICATION HANDBOOK

Level 2 NVQ Certificate in Spectator Safety (QCF) ( )

Level 2 NVQ Diploma in Performing Manufacturing Operations ( )

Skillsfirst Awards. Handbook. Level 2 Diploma In Team Leading (QCF) TLD2

Level 2 Award in Employee Rights and Responsibilities in the Logistic Industry (QCF)

Level 3 Develop software using SQL (Structured Query Language) (7266/ ) ( )

Qualifications Handbook. Assessing Competence and Vocational Achievement

Level 2 First Diploma in Travel and Tourism (4872) Qualification handbook

Level 3 NVQ Diploma in Controlling Lifting Operations Supervising Lifts (Construction)

CICM Professional Qualifications. Money & Debt Advice Syllabus

Level 5 NVQ Diploma in Management and Leadership. Qualification Specification

QCF. Learning and Development. Centre Handbook

BIIAB Level 2 Certificate in Community Arts Administration

Level 3 Principles, Practices and Legislation for the Periodic Inspection, Testing and Condition Reporting of Electrical Installations.

Qualification Specification. Level 3 Diploma in MANAGEMENT

Level 3 IT Project Management ( )

Level 2 ICT Systems monitoring and operation ( )

Level 3 Certificate, Subsidiary Diploma, 90-Credit Diploma, Diploma, Extended Diploma in Agriculture ( )

Level 2 Award/Certificate/Diploma in Mail Services ( )

Quality Assurance and Improvement Framework

AIM Awards Suite of Safeguarding Skills for Life and Work (QCF) Qualifications

Policy Title: Internal Verification Procedure Date: September 2016

Level 3 Develop software using COBOL (7266/ )

BIIAB Level 2 Award in Employment Responsibilities and Rights in Health, Social Care, Children and Young People s Settings (QCF)

QUALIFICATION HANDBOOK

Technical Qualifications Employer Involvement Centre Guidance

Level 2 NVQ Diploma in Passenger Carrying Vehicle Driving (Bus and Coach) ( )

ABBE Level 3 NVQ Diploma in Site Inspection (QCF) Qualification Handbook

Delivering and Assessing ABC Awards Qualifications

Level 3 Data management software (DMS )

handbook Level 3 Certificate in Principles of Recruitment Practice (QCF) RPP3

BIIAB Level 1 Certificate in Business Administration

Regulation. Annual Statement of Compliance Report 2016

Assessment Strategy for Improve s Accredited Qualifications Scotland

Qualification Specification. Level 4 NVQ in BUSINESS ADMINISTRATION

QCTO Assessment Quality Partner (AQP) Criteria and Guidelines

Quality Assurance Handbook for English for Speakers of Other Languages

Level 5 Diploma in Principles of Management and Leadership (QCF)

Level 3 Customer support provision 3 (7266/ )

Level 2 Systems architecture ( )

Internal Quality Assurance of Assessment Processes and Practice

Business Administration. Centre Handbook. OCR Level 3 Diploma in Business Administration Entry code Version 2 Issued June 2017

Handbook. Level 4 NVQ Diploma in Business Administration (QCF) BUSD4

Qualification Specification 601/3688/1 icq Level 3 Diploma in Management (RQF)

Post-Recognition Monitoring Report: City & Guilds. March Ofqual/11/4871

Pearson Edexcel Level 4 NVQ Diploma in Management (QCF) Specification

Internal verification:

SFJ Awards Level 4 Diploma in Fire Safety (Fire Inspectors)

Guide to Systems Verification for centres

Higher Level Qualifications Level 4 Higher Professional Diploma in Business Administration (4455)

Becoming an Approved Assessment Centre. Application Guide

Pearson Edexcel Level 4 NVQ Diploma in Construction Site Supervision (Construction)

Transcription:

Our Quality Assurance Requirements March 2011 Version 1.1 GUIDANCE FOR CENTRES

Contents 1 Introduction 3 2 Glossary 5 3 Code of Conduct for centres 8 4 Centre approval 9 5 Data requirements 11 6 Monitoring and evaluation 13 7 Issuing certificates 15 8 Assessments in a language other than English, Welsh or Irish (Gaeilge) 16 9 Assessment methodology 17 10 Dealing with malpractice and maladministration 18 11 Post-approval monitoring criteria 19 Appendix 1 Assessment criteria 25 Appendix 2 Internal quality assurance criteria 27 2 Our quality assurance requirements

1 Introduction This document This document encompasses the relevant requirements of the following documents, which apply to all centres working with the City & Guilds Group: Regulatory Arrangements for the Qualifications and Credit Framework (2008) SQA Awarding Body Criteria (2007) NVQ Code of Practice (2006) Its purpose is to promote quality, consistency, accuracy and fairness in the awarding of all our qualifications. To achieve this you must adopt and implement the principles in this document across all of your qualification provision. To make the principles crystal clear this document: specifies the quality assurance and control requirements that apply to all centres sets out the basis for securing high standards, for all our qualifications. For more information on QCF exemptions, please refer to the Ofqual document entitled Exemptions in the Qualifications and Credit Framework - June 2009 The City & Guilds Group is made up of the following awarding organisations:- City & Guilds City & Guilds is the biggest name in UK vocational education, issuing over one million certificates every year. Institute of Leadership & Management (ILM) ILM is the UK s largest awarding organisation for qualifications in leadership, management, coaching and enterprise. Our quality assurance requirements 3

For clarity In this document: the terms us, we and our mean the City & Guilds Group which is made up of City & Guilds and ILM and you and your refer to your centre we use other similar terms as appropriate for instance in Section 3, they, them and their refer to, The Quality Co-ordinator (City & Guilds)/ The Quality Manager (ILM) and/or allocated Consultants (C&G) / External Verifiers (ILM). 4 Our quality assurance requirements

2 Glossary When we say Approval (centre) Assessment Assessor Awarding Organisation Centre Consultant (City & Guilds)/External Verifier (ILM) it means A process through which an organisation wishing to offer particular qualifications is confirmed as being a centre and able to maintain the required quality and consistency of assessment The process through which evidence of learners attainments is evaluated against agreed criteria to provide the evidence for a qualification A person appointed by the centre responsible for the support and judgement of learner performance against defined standards expressed as assessment criteria or mark schemes An organisation such as City & Guilds/ILM that offers recognised qualifications. Its main functions are the design and development of qualifications and the operation of assessment and quality assurance systems to support the qualifications. An awarding organisation issues certificates or certificates of unit credit to learners achieving the requirements of a qualification An organisation (such as a school, college, training provider or workplace) accountable to an awarding organisation for the assessment arrangements leading to a qualification A person appointed by the City & Guilds Group to support, monitor and quality assure the assessment process Our quality assurance requirements 5

External Quality Assurance Internal Quality Assurer Moderation National Occupational Standards Qualification Quality Co-ordinator (City & Guilds) / Quality Manager (ILM) Regulatory authority Quality assurance procedure to monitor locally based (devolved) assessment (S/NVQs/VQs/QCF qualifications). External quality assurance includes inspection of procedures and sampling of assessments by the centre and by a City & Guilds Group Consultant The person appointed by the centre to co-ordinate the assessment process internally The process of checking assessors judgements of learners competence with the view to correcting them through advice and instruction if the assessment is not up to standard. These checks are carried out by both Internal Quality Assurers and Consultants. There is also network moderating or standardisation, by asking participants to rate model portfolios Standards of occupational competence developed by a Standards Setting Body (SSB) and approved by the regulatory authorities A certificate of achievement or competence specifying awarding organisation, qualification title, credit (if appropriate) and level Your local point of contact, for all matters related to approvals and external quality assurance An organisation designated to establish national standards for qualifications and to secure consistent compliance with them, such as Ofqual, SQA, DCELLS and CCEA 6 Our quality assurance requirements

Standards Generally refer to competence statements and specifications. Standards are a short expression for standards of competence which are developed by a Standards Setting Body (SSB). These define what an individual working in an occupational area is expected to be able to do. They are further specified in terms of performance criteria, range and their corresponding underpinning skills and knowledge Our quality assurance requirements 7

3 Code of Conduct for centres The City & Guilds Group is committed to a vision and a set of values. We adhere to these values in all our dealings with centres, and work hard to achieve the service standards we have set for ourselves in our Customer Service Statement. With those standards in mind we expect our quality assurance teams to: establish and maintain a professional working environment, built on our values of courtesy and professional behaviour uphold this code of conduct. In return we expect you to: be courteous and professional in all communications apply this code of conduct in all your dealings with the quality assurance teams, and allocated Consultants/External Verifiers and: o enable them to carry out their activities openly and honestly o provide timely evidence that will enable them to report honestly, fairly and accurately on your centre s assessment and quality assurance provision o work with them to minimise disruption and bureaucracy o take all reasonable steps to ensure their health and safety, while on your premises o maintain positive relations and a purposeful dialogue with them o raise any concerns about their activity with them, promptly and appropriately o respect their right to observe practice and quality assure assessment, and to talk to staff and learners as and when they need to. This Code of Conduct must be adhered to and failure to follow it may affect your Centre Monitoring Rating/Centre Support Status (ILM) (There is more on this is Section 11). 8 Our quality assurance requirements

4 Centre approval Organisations that are not already approved to offer City & Guilds Group qualifications must apply for centre and qualification approval at the same time. These are the Centre Approval Criteria. Criteria Sources of evidence City & Guilds Group Centre Approval Application ref The centre a) has a single named centre contact for quality assurance b) can hold and securely transmit details of assessment outcomes c) has the staff, resources and systems needed to support: the assessment of units the award, accumulation and transfer of credits where necessary, the recording of exemptions A documented named point of accountability for (and/or management of) quality assurance, with contact details Documented procedures to ensure security when sending and receiving details of results to the City & Guilds Group Documented quality assurance procedures An organisational chart Up to date CVs, original certificates of the assessment/delivery team Learner tracking documentation Documented procedures for recording exemptions An appeals procedure Induction plans An Equal Opportunities policy, and procedures A Health & Safety policy, and procedures 1.6, 9 5.3 6.3-6.7, 6.9, 7.2 Our quality assurance requirements 9

d) has arrangements in place to obtain a Unique Learner Number (ULN), Scottish Candidate Number (SCN) and a learner record if required to do so Documented procedures in place for obtaining ULN/SCN 7.3 e) has arrangements in place to access learner records and ascertain previous achievements, to maximise opportunities for credit transfer/exemption Documented procedures for accessing learner records 7.4 f) has administrative systems in place to track the learner s progress g) has arrangements in place that allow for the Recognition of Prior Learning (RPL) h) documents the respective roles and responsibilities of any partnership arrangements i) agrees to give us access to premises, people and records, and to cooperate with any of the allocated activities that are identified through the centre approval process j) declares any withdrawn centre or qualification approvals from the City & Guilds Group and other Awarding Organisations Records of learner tracking systems Assessment records Individual Learning Plans (ILP) Records of initial assessment procedures Learner induction Individual Learning Plans (ILP) Partner contracts and service agreements Recorded agreements for roles and responsibilities Completion and sign-off of the Centre Approval Application (CAP) declaration Sign-off of Centre Approval Application (CAP) declaration 6.1, 6.2, 7.1 7.5 2.2, 2.3, 6.8 9 9 10 Our quality assurance requirements

5 Data requirements You have to collect and retain a range of accurate, up to date and relevant information, and provide it when we ask for it. These are the specifics. a) You must set up and maintain reliable, auditable quality assurance systems for documenting and recording assessment decisions. b) You must keep adequate records to track learner progress and allow for the independent authentication of certification claims, and these records must include the following:- 1. A list of all learners registered for each qualification offered, including: i. the learner s name, date of birth and contact address ii. their workplace address and details (where applicable) iii. their starting date at the centre iv. their date of registration with the awarding organisation v. their learner registration number vi. their Unique Learner Number/Scottish Candidate Number (if applicable) vi. the Assessors and tutors names vii. the Internal Quality Assurer s name (or names). 2. Learner assessment records detailing: i. who assessed what and when ii. the assessment decision iii. the assessment methods used for each unit iv. the location and storage location of the supporting evidence. 3. Records of internal quality assurance activity detailing: i. who quality assured what and when ii. the sample selected and the rationale for choosing that sample iii. the sampling strategy iv. Internal Quality Assurer standardisation meetings, along with any evidence of internal updating v. Assessor support meetings vi. Assessor and Internal Quality Assurer competence, including copies of certificates, CVs and records of their continuing professional development and their monitored progress towards required qualifications Our quality assurance requirements 11

vii. records of certificates claimed who claimed them and when viii. records of appeals who appealed, about what, when, and the outcome ix. records of complaints who complained, about what, when, and the outcome c) You must keep these records for at least a minimum of three years, in case any issues arise. You must make these records available to us on request, and also to the relevant regulatory authorities if they ask to see them. d) It will affect your Centre Monitoring Rating (for ILM your Centre Support Status) if you do not comply with these requirements for auditable records, and cannot substantiate claims made on behalf of learners. This section is also referenced within Section 6 of the Centre Approval Form (CAP) 12 Our quality assurance requirements

6 Monitoring and evaluation We use a range of monitoring and evaluation activities to: evaluate and monitor the quality, consistency and integrity of all our centres check that each centre continues to meet our requirements. a) You must: monitor and maintain the quality, consistency and integrity of assessment practice and decisions within your centre and between satellite sites ensure a standardised approach to quality assurance practice, under a single quality assurance system that is documented and systematically review the system regularly, and act on the findings of those reviews. b) You must provide us with access to premises, people and records relating to learner assessment, achievement and internal quality assurance. If you do not, we will suspend your right to register learners and claim certification until you do. c) You must inform us of any changes to the details on your initial approval application, including your: centre s name and address centre contact, and their contact details staffing resources, including directors and senior management physical resources satellite sites assessment sites. If you do not, we will suspend your right to register learners and claim certification. While we recognise that all centres share our commitment to consistent and universal quality, we have the right to apply serious sanctions in any situations of non-compliance. d) If our monitoring and evaluation show that you are not meeting the quality assurance requirements set out in this document, we will: take what we deem to be the appropriate action set a deadline for you to conform to the requirements. e) If we find that you have made any inaccurate or deliberately misleading statements and/or submissions during the centre approval process or qualification approval process, or at any time in the assessment process, we will take the action we deem to be appropriate. Our quality assurance requirements 13

f) If you do not implement the remedial actions we specify and we withdraw centre and/or qualification approval, we shall inform the relevant regulatory authorities. This section is also referenced within Section 6 of the Centre Approval Form (CAP). This section is also referenced within Section 4 of the Qualification Approval Form (QAP). 14 Our quality assurance requirements

7 Issuing certificates You must have a system in place that ensures that all your certification claims are: valid signed off by an appropriate person. a) Specifically, all claims for certification must be authenticated by an appropriate occupationally qualified Internal Quality Assurer. We do not accept certification claims without this. Where the centre does not have direct claim status for the qualification, the signature of the Consultant/External Verifier must be obtained before claiming certification. If you do not have someone suitably qualified, contact your local office and they will advise you about what to do. b) If you claim any certificates in error you must: notify us straightaway comply with the action that we specify. This section is also referenced within Section 6, question 6.1 of the Centre Approval Form (CAP) Our quality assurance requirements 15

8 Assessments in a language other than English, Welsh or Irish (Gaeilge) We must provide: in England, qualification specifications and assessment materials that are expressed in English in Wales, qualification specifications that are expressed in Welsh or English, or in Welsh and English; specifications must state explicitly in which language(s) assessment is available in Northern Ireland, qualification specifications that are expressed in English, and assessment materials that are expressed either in English, or in English and Irish(Gaeilge) We may allow assessment in a language other than English, Welsh or Irish (Gaeilge) provided that: the assessment is comparable to that offered in English, Welsh or Irish (Gaeilge) in qualifications designed for the workplace, lack of proficiency in English, Welsh or Irish (Gaeilge) does not prevent the learner from properly carrying out the role that is supported by the qualification We realise that learners may ask to take assessments in their own language. In the UK, where assessments are carried out in a language other than English, Welsh or Irish (Gaeilge) you must provide clear evidence that the learner is also competent in English, Welsh or Irish (Gaeilge) to the required standard. For ILM the qualifications may be taught and assessed in languages other than English, Welsh and Gaelige. This is approached on a case-bycase basis, and must be agreed in advance with the ILM Quality Manager. 16 Our quality assurance requirements

9 Assessment methodology We are committed to ensuring that our qualifications retain value and credibility. The key to this is valid and reliable assessment, and effective internal quality assurance plays a vitally important role in achieving and maintaining the right quality of assessment practice. For that reason we require you to adopt and implement this section across all qualifications, not only those that are competence-based. In those cases where it is not a competence based qualification the Tutor often assumes the role of the Assessor, with the Qualification Coordinator or Manager providing the internal quality assurance. The criteria are very detailed, and rather than set them all out here, we have included them in the appendices. Appendix 1 sets out the assessment criteria. Appendix 2 details our internal quality assurance criteria. This section is also referenced within Section 6, questions 6.1-6.6 of the Centre Approval Form (CAP) This section is also referenced within Section 2 & 4 of the Qualification Approval Form (QAP) For ILM please refer to the Qualifications specifications/standards for the assessment criteria and the ILM Centre Manual. Our quality assurance requirements 17

10 Dealing with malpractice and maladministration We are committed to providing high quality qualifications which are assessed and awarded consistently, accurately and fairly. To this end we require everyone involved in the implementation, assessment and internal quality assurance of our qualifications to demonstrate honesty and integrity. You must report any malpractice or maladministration suspected after learner registration. Failure to do so may affect your Centre Monitoring Rating (for ILM your Centre Support Status). If we suspect malpractice or maladministration in a centre or a partner organisation involved in administering or assessing the qualification we may: immediately suspend the centre from making claims for certification investigate whether the safeguards at the centre are up to the standard required to guarantee valid claims. For more information, please refer to the City & Guilds Group document, Managing Cases of Suspected Malpractice/Maladministration by Centres and Candidates. For ILM please refer to the ILM Centre Manual. 18 Our quality assurance requirements

11 Post-approval monitoring criteria We have developed post-approval centre monitoring criteria mapped to the NVQ Code of Practice (2006), Regulatory Arrangements for the Qualifications and Credit Framework (2008) and SQA Awarding Body Criteria (2007). This table details the initial centre approval criteria and ongoing centre monitoring criteria, and the implications of not achieving them. The numbers and letters against a criterion refer to the relevant sections of this document, Our quality assurance requirements. For ILM this is noted in the ILM Centre Manual, under the Centre Support Status and Qualification Quality Rating. Management systems L Low Allow registration and certification Previous sanction tariff: 00 & 01 No arrangements in place to obtain ULN/SCN and learner record if required to do so (4d) No documentation of partnership arrangements (4h) Failure to update the City & Guilds Group with changes to initial centre approval application on management systems (6c) Centre monitoring criteria M Medium Allow registration and suspend certification Previous sanction tariff: 02 No single named centre contact (4a) Failure to keep records of management systems (5b) H High Suspend registration and certification Previous sanction tariff: 3A & 3B No management systems, to support the assessment of qualifications (4c) Our quality assurance requirements 19

Resources Learner support L Low Allow registration and certification Previous sanction tariff: 00 & 01 No arrangements in place for recognition of prior learning (RPL) (4g) Failure to update the City & Guilds Group on changes to initial centre approval on resources (6c) No arrangements in place to obtain ULN/SCN and learner record if required to do so (4d) No arrangements in place to access the learners previous achievement with learner consent (4e) No arrangements in place for Recognition of Prior Learning (RPL) (4g) Centre monitoring criteria M Medium Allow registration and suspend certification Previous sanction tariff: 02 No evidence of Assessor / Internal Quality Assurer development (9 Appendix 1b) H High Suspend registration and certification Previous sanction tariff: 3A & 3B No staff and/or resources, to support the assessment of qualifications (5c) No competent Assessor/Internal Quality Assurer(s) or Assessor/ Internal Quality Assurer(s) do not have the competency & experience to perform their role (9 Appendices 1b, 2c, 2e) 20 Our quality assurance requirements

Assessment L Low Allow registration and certification Previous sanction tariff: 00 & 01 Centre monitoring criteria M Medium Allow registration and suspend certification Previous sanction tariff: 02 No arrangements in place to hold and transmit securely details of assessment outcomes (4b) No administrative system to track and record learner progress (5b/4f) Assessment carried out in language other than English, Welsh or Gaeilge (8) Centre do not comply with assessment recording requirements (9 Appendix 1c) No countersigning of unqualified Assessor/ Internal Quality Assurer work (9 Appendices 1d and 2d) Assessment arrangements do not comply with assessment specification (9 Appendix 1g) H High Suspend registration and certification Previous sanction tariff: 3A & 3B No established and maintained internal quality assurance system (5a) Adequate records not kept (5b) No authentication of certification claims by Internal Quality Assurer (7a) Appointed Assessor/ Internal Quality Assurer does not act in a responsible and accountable manner (9 Appendices 1a & 2b) Ineffective internal assessment process and practices (5b) and (9 Appendix 1h) No explicit internal quality assurance procedures (9 Appendix 2a) No written declaration of authenticity for learner evidence (9 Appendix 1e) Our quality assurance requirements 21

Quality assurance Records L Low Allow registration and certification Previous sanction tariff: 00 & 01 Centre monitoring criteria M Medium Allow registration and suspend certification Previous sanction tariff: 02 No quality monitoring and/or consistency of practice within centre and across sites (6a) Previous set actions not met (6f) No notification of certificates claimed in error (7b) Insufficient evidence to demonstrate effectiveness of internal quality assurance procedures (9 Appendix 2g) Non-compliance with data requirements in section 6 (5d) Centre do not comply with assessment recording requirements (9c) H High Suspend registration and certification Previous sanction tariff: 3A & 3B No access provided to the City & Guilds Group to premises, people and records (4i) & (6b) Failure to adhere to this document (6d) Deliberately providing inaccurate statements in information and submissions (6e) Previous set actions not met (6f) Failure to report malpractice, and cooperate with any subsequent investigation (10) No declaration of previous withdrawal of centre/qualification approval (4j) No established and maintained or auditable internal quality assurance system (5a) Adequate records not kept (5b) Records are not retained for three years (5c) Non compliance with data requirements in section 6 (5d) 22 Our quality assurance requirements

Continuous improvement Impact of Centre Monitoring Rating (CMR) L Low Allow registration and certification Previous sanction tariff: 00 & 01 No appropriate training, support or development opportunities for Assessor/Internal Quality Assurer(s) (9 Appendices 1f, 2b, 2c, 2e) No evidence of Internal Quality Assurer development (9 Appendix 2e) The CMR is likely to cause minimal concern and would not: threaten the integrity, credibility and validity of the qualification have an adverse impact on the learner. Any issues identified, could be easily corrected without further consequence. Centre monitoring criteria M Medium Allow registration and suspend certification Previous sanction tariff: 02 The CMR could potentially damage the integrity, credibility and validity of the qualification and/or be detrimental to the learner H High Suspend registration and certification Previous sanction tariff: 3A & 3B The CMR could have a high impact on the integrity, credibility and validity of the qualification or the effective operation of a centre as a whole, if corrective action is not taken quickly If you fail to meet a Consultant s action plan, your Centre Monitoring Rating (for ILM your Centre Support Status) will move up to the next level. If you temporarily rectify non-compliances in response to action plans, but then display the same weaknesses again at a later date, we take your track record into account when considering whether to apply a higher monitoring rating. The monitoring ratings represent a minimum response to identified noncompliances, but there are circumstances in which we may judge that a higher level of monitoring is justified. Our quality assurance requirements 23

Where there are significant faults in the management of either a qualification or the centre as a whole, we reserve the right to withdraw qualifications and/or centre approval in accordance with the City & Guilds Centre Manual/ ILM Centre Manual. Examples of such faults include: failing to adhere to this document not completing actions while on a high monitoring rating malpractice, including inaccurate submissions/statements inappropriate use of our brand. We also take into consideration any sanctions applied by another Awarding Organisation, and reserve the right to withhold or withdraw qualification and/or centre approval. 24 Our quality assurance requirements

Appendix 1 Assessment criteria a) You must appoint Assessors to carry out centre assessment, and those Assessors are responsible and accountable for: 1. managing the assessment system, from assessment planning, negotiating assessment planning to recording assessment decisions against S/NVQs/VQs/QCF qualifications 2. managing the compilation of schemes of work, planning tutoring of practical knowledge, carrying out teaching and assignment planning, and practical assessments against vocational qualifications 3. assessing evidence of learner competence against the National Occupational Standards / Qualification Handbook for the qualification 4. ensuring that learners evidence is valid, authentic and sufficient 5. maintaining accurate and verifiable learner assessment and achievement records in line with our requirements 6. ensuring that learners are assessed only after they have been registered with us, if registration is required for the qualification. b) You must ensure that Assessors are competent to perform their role, and provide appropriate training and development opportunities to ensure that they meet the required standards set out in the National Occupational Standards/Qualification Handbook. c) You must know and comply with our requirements for recording assessment decisions and maintaining assessment records, and must be familiar with all relevant policy and guidance documentation. d) You must ensure that the assessment decisions of unqualified Assessors are checked, authenticated and countersigned by an Assessor or Internal Quality Assurer who is appropriately qualified, as specified in the relevant assessment strategy. The Internal Quality Assurer is responsible and accountable for arranging the countersigning process, and must sample an appropriate proportion of assessment decisions by unqualified Assessors. Internal Quality Assurers may only quality assure evidence that they did not assess, and this should be carried out before you claim certificates. e) Assessors and learners must provide a written declaration that learner evidence is authentic and that assessment took place under the conditions or context set out in the National Occupational Standards/Qualification Handbook. Failure to do this constitutes grounds for the suspension or withdrawal of approval for the qualification in question f) You must provide appropriate training, support and/or development opportunities to enable Assessors to meet their responsibilities. You must also allow them sufficient time to fulfil their duties, and keep records of all staff development as this will be monitored by the allocated Consultant(s). Our quality assurance requirements 25

g) Your internal assessment process and practices must be effective, and support the integrity and consistency of National Occupational Standards in the qualification. This is achieved through your own internal quality assurance, and the external quality assurance that we undertake. h) We will ensure that assessment arrangements at centres comply with those detailed in the National Occupational Standards/Qualification Handbook. This section is also referenced within Section 6, questions 6.1-6.6 of the Centre Approval Form (CAP) This section is also referenced within Section 2, question 2.2 of the Qualification Approval Form (QAP) For ILM please refer to The Qualification Specifications and ILM Centre Manual for this information. 26 Our quality assurance requirements

Appendix 2 Internal quality assurance criteria a) You must operate and maintain explicit, written internal quality assurance procedures to ensure: 1. the accuracy and consistency of assessment decisions between Assessors operating at the centre 2. that Assessors are consistent in their interpretation and application of the National Occupational Standards/ Qualification Handbook. b) You must appoint Internal Quality Assurers who are responsible for: 1. regularly planning sampling activities, and sampling (throughout and before certification) the evidence of assessment decisions made by all Assessors across all assessment methods, including observation of practice against competence based qualifications 2. regularly sampling and being present at practicals, grading of learners work, and carrying out moderation of grading decisions 3. maintaining up-to-date records of internal quality assurance and sampling activity, and ensuring that these are available for external quality assurance activities 4. establishing procedures to ensure that there is standardisation between Assessors 5. monitoring and supporting the work of Assessors 6. facilitating appropriate staff development and training for Assessors 7. providing feedback to the allocated Assessors and Consultant(s) on the effectiveness of assessment 8. ensuring that any action that we require is carried out, within agreed timescales. c) You must ensure that Internal Quality Assurers are competent to perform their role, and have sufficient time to fulfil their duties. You must provide appropriate training, support and/or development opportunities to ensure that Internal Quality Assurers meet the required standards set out in the National Occupational Standards/Qualification Handbook, and you must keep auditable records for checking by the Consultant. d) You must ensure that the decisions of unqualified Internal Quality Assurers are checked, authenticated and countersigned by an Internal Quality Assurer who is appropriately qualified, as specified in the relevant assessment strategy. e) As we monitor compliance with the above requirements, you must provide evidence of your Internal Quality Assurers development activities and qualifications f) Internal Quality Assurers may carry out assessment at the centre, but only if they have the qualifications and occupational expertise Our quality assurance requirements 27

specified for Assessors by the relevant sector body. Internal Quality Assurers may only quality assure evidence they did not assess. g) As we monitor a centre s internal quality assurance process through our external quality assurance activities, you must provide evidence demonstrating the effectiveness of such internal quality assurance procedures. Failure to do so puts the integrity of assessment decisions at the centre at risk, and in that situation we will impose the appropriate Centre Monitoring Rating (for ILM your Centre Support Status). This section is also referenced within Section 6, questions 6.1-6.6 of the Centre Approval Form (CAP) This section is also referenced within Section 2, question 2.2 of the Qualification Approval Form (QAP) For ILM please refer to The Qualification Specifications and ILM Centre Manual for this information. 28 Our quality assurance requirements

Useful contacts UK learners General qualification information International learners General qualification information Centres Exam entries, Certificates, Registrations/enrolment, Invoices, Missing or late exam materials, Nominal roll reports, Results Single subject qualifications Exam entries, Results, Certification, Missing or late exam materials, Incorrect exam papers, Forms request (BB, results entry), Exam date and time change International awards Results, Entries, Enrolments, Invoices, Missing or late exam materials, Nominal roll reports Walled Garden Re-issue of password or username, Technical problems, Entries, Results, GOLA, Navigation, User/menu option, Problems Employer Employer solutions, Mapping, Accreditation, Development Skills, Consultancy Publications Logbooks, Centre documents, Forms, Free literature T: +44 (0)844 543 0033 E: learnersupport@cityandguilds.com T: +44 (0)844 543 0033 F: +44 (0)20 7294 2413 E: intcg@cityandguilds.com T: +44 (0)844 543 0000 F: +44 (0)20 7294 2413 E: centresupport@cityandguilds.com T: +44 (0)844 543 0000 F: +44 (0)20 7294 2413 F: +44 (0)20 7294 2404 (BB forms) E: singlesubjects@cityandguilds.com T: +44 (0)844 543 0000 F: +44 (0)20 7294 2413 E: intops@cityandguilds.com T: +44 (0)844 543 0000 F: +44 (0)20 7294 2413 E: walledgarden@cityandguilds.com T: +44 (0)121 503 8993 E: business_unit@cityandguilds.com T: +44 (0)844 543 0000 F: +44 (0)20 7294 2413 Every effort has been made to ensure that the information contained in this publication is true and correct at the time of going to press. However, City & Guilds products and services are subject to continuous development and improvement and the right is reserved to change products and services from time to time. City & Guilds cannot accept liability for loss or damage arising from the use of information in this publication. If you have a complaint, or any suggestions for improvement about any of the services that we provide, email: feedbackandcomplaints@cityandguilds.com

About City & Guilds City & Guilds is the UK s leading provider of vocational qualifications, offering over 500 awards across a wide range of industries, and progressing from entry level to the highest levels of professional achievement. With over 8500 centres in 100 countries, City & Guilds is recognised by employers worldwide for providing qualifications that offer proof of the skills they need to get the job done. About The Institute of Leadership and Management (ILM) The Institute of Leadership and Management (ILM) are the UK s largest awarding organisation for qualifications in leadership, management, coaching and enterprise. Around 90,000 learners register for ILM qualifications every year, well over half of all UK qualification-based management training, at all levels. We are also a professional body with over 30,000 practising managers as members. City & Guilds Group The City & Guilds Group includes City & Guilds, ILM (the Institute of Leadership & Management, which provides management qualifications, learning materials and membership services), and City & Guilds Centre for Skills Development. City & Guilds also manages the Engineering Council Examinations on behalf of the Engineering Council. Copyright The content of this document is, unless otherwise indicated, The City and Guilds of London Institute and may not be copied, reproduced or distributed without prior written consent. However, approved City & Guilds centres and candidates studying for City & Guilds qualifications may photocopy this document free of charge and/or include a PDF version of it on centre intranets on the following conditions: centre staff may copy the material only for the purpose of teaching candidates working towards a City & Guilds qualification, or for internal administration purposes candidates may copy the material only for their own use when working towards a City & Guilds qualification The Standard Copying Conditions (see the City & Guilds website) also apply. Please note: National Occupational Standards are not The City and Guilds of London Institute. Please check the conditions upon which they may be copied with the relevant Sector Skills Council. Published by City & Guilds, a registered charity established to promote education and training

City & Guilds 1 Giltspur Street London EC1A 9DD T +44 (0)844 543 0000 F +44 (0)20 7294 2413 www.cityandguilds.com The Institute of Leadership and Management (ILM) 1 Giltspur Street London EC1A 9DD T 01543 266867 www.i-l-m.com REFERENCE