14 - NVQ - Edexcel · 14 - NVQ 298 Edexcel Information Manual 2007—2008: September 2007 14 1 Key dates 1.1 Registration deadlines For programmes that follow an academic year, ie

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Edexcel Information Manual 2007—2008: September 2007296

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1 Key dates 298

1.1 Registration deadlines 298

1.2 Certification deadlines 299

2 Administration of candidates 301

2.1 QCA NVQ Code of Practice (2006)/Statutory Regulation of External Qualifications (2004) 301

3 Gaining approval 302

3.1 How to make approval applications using Edexcel Online 302

4 Important procedures checklist 304

4.1 Registration 304

4.2 Validity 305

4.3 Candidate names 305

4.4 Evidence routes 305

4.5 Certification 305

4.6 Learning and Skills Council (LSC) funded candidates 305

4.7 Invoices 305

4.8 Deletion of registration 305

5 Equality of opportunity 306

6 Recognition of previous achievement 306

6.1 Accreditation of prior learning and/or experience 306

6.2 Claiming a qualification by APL 307

7 Candidates with particular assessment requirements: policies and procedures 307

7.1 Centre recruitment 307

7.2 Assessment and reasonable adjustments 307

7.3 Appeals by a candidate 308

8 Reporting of candidate success 308

8.1 General information 308

9 Certification 309

10 Registration/entry policies and procedures 309

10.1 Responsibility for registration/entry 309

10.2 Registration/entry date 309

10.3 Registration/entry fees 310

10.4 Invoices 310

10.5 Fees due 310

10.6 Payment of fees 311

10.7 Deletion of registration 311

10.8 Validity of registration 311

10.9 Methods of registration 311

10.10 Making registrations on Edexcel Online 311

10.11 Making registrations by EDI (Electronic Date Interchange) 311

10.12 Key codes 312

10.13 Confirmation of registration 313

10.14 NVQ log books 313

11 How to make registrations using Edexcel Online 313

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Edexcel Information Manual 2007—2008: September 2007 297

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11.1 Choosing header details 313

11.2 Register online 315

11.3 Register by spreadsheet 318

12 How to make registrations by EDI 320

12.1 Obtaining EDIFACT basedata 320

12.2 EDIFACT file content 321

12.3 Sending EDIFACT registration files (.erd) 322

12.4 Receiving EDIFACT registration number files (.ern) 322

13 Transfers and changes to registration details 323

14 Electronic amendments and transfers 323

14.1 Changing a candidate’s name, date of birth and other details 323

14.2 Transferring within the same centre 324

14.3 Transferring from a different centre 325

15 Centres’ responsibilities 326

15.1 Change of centre details and centre closure 327

15.2 Confirmation of achievement for candidates 327

15.3 Interim reporting 327

15.4 Dates for reporting results 327

15.5 Centre assessment records 327

16 Methods of reporting success 328

16.1 EDI transmission 328

16.2 Edexcel Online 328

17 Reporting for certification via EDI and EOL 328

17.1 Reporting success to Edexcel 328

17.2 Claiming via Edexcel Online (EOL) 328

17.3 EDI results reporting: EDIFACT format 332

17.4 Eligibility 333

18 External verification: certificate block or deferral 334

19 Amendment to reported success 334

20 Course Assessment Report (CAR) for all programmes 335

21 Evidence of achievement 335

22 Certificate of Unit Credit: NVQ programmes and individual units 335

23 Award date 335

24 Award list 336

25 Acknowledgement of receipt of awards: form SA6 336

26 Retention of certificates 336

27 Outstanding financial obligations to the centre 336

28 Centre and programme closures 337

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1 Key dates

1.1 Registration deadlines

For programmes that follow an academic year, ie, enrolment in September/October and completion in June/July, the registration deadline is 1 November 2007. Candidates enrolled in October must be registered by 15 November. Enrolment is defined as the day on which delivery of the candidate’s programme/unit commences.

For programmes that do not follow the academic year, that is, programmes where candidates have enrolled between November and August, or for any programmes of less than one academic year in length, and for individual units, registration is due within one month of enrolment.

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1.2 Certification deadlines

Certification deadlines Last date for SRFs to be received by Edexcel **

Last date for Edexcel Online certificate claims

Certificates will be in centres on

Wednesday 05 Sep 2007 Friday 14 Sep 2007 Friday 21 Sep 2007

Wednesday 12 Sep 2007 Friday 21 Sep 2007 Friday 28 Sep 2007

Wednesday 19 Sep 2007 Friday 28 Sep 2007 Friday 05 Oct 2007

Wednesday 26 Sep 2007 Friday 05 Oct 2007 Friday 12 Oct 2007

Wednesday 03 Oct 2007 Friday 12 Oct 2007 Friday 19 Oct 2007

Wednesday 10 Oct 2007 Friday 19 Oct 2007 Friday 26 Oct 2007

Wednesday 17 Oct 2007 Friday 26 Oct 2007 Friday 02 Nov 2007

Wednesday 24 Oct 2007 Friday 02 Nov 2007 Friday 09 Nov 2007

Wednesday 31 Oct 2007 Friday 09 Nov 2007 Friday 16 Nov 2007

Wednesday 07 Nov 2007 Friday 16 Nov 2007 Friday 23 Nov 2007

Wednesday 14 Nov 2007 Friday 23 Nov 2007 Friday 30 Nov 2007

Wednesday 21 Nov 2007 Friday 30 Nov 2007 Friday 07 Dec 2007

Wednesday 28 Nov 2007 Friday 07 Dec 2007 Friday 14 Dec 2007

Wednesday 05 Dec 2007 Friday 14 Dec 2007 Friday 21 Dec 2007

Wednesday 12 Dec 2007 Thursday 20 Dec 2007 Friday 28 Dec 2007

Wednesday 19 Dec 2007 Friday 28 Dec 2007 Friday 04 Jan 2008

Wednesday 26 Dec 2007 Friday 04 Jan 2008 Friday 11 Jan 2008

Wednesday 02 Jan 2008 Friday 11 Jan 2008 Friday 18 Jan 2008

Wednesday 09 Jan 2008 Friday 18 Jan 2008 Friday 25 Jan 2008

Wednesday 16 Jan 2008 Friday 25 Jan 2008 Friday 01 Feb 2008

Wednesday 23 Jan 2008 Friday 01 Feb 2008 Friday 08 Feb 2008

Wednesday 30 Jan 2008 Friday 08 Feb 2008 Friday 15 Feb 2008

Wednesday 06 Feb 2008 Friday 15 Feb 2008 Friday 22 Feb 2008

Wednesday 13 Feb 2008 Friday 22 Feb 2008 Friday 29 Feb 2008

Wednesday 20 Feb 2008 Friday 29 Feb 2008 Friday 07 Mar 2008

Wednesday 27 Feb 2008 Friday 07 Mar 2008 Friday 14 Mar 2008

Wednesday 05 Mar 2008 Friday 14 Mar 2008 Friday 21 Mar 2008

Wednesday 12 Mar 2008 Friday 21 Mar 2008 Friday 28 Mar 2008

Wednesday 19 Mar 2008 Friday 28 Mar 2008 Friday 04 Apr 2008

Wednesday 26 Mar 2008 Friday 04 Apr 2008 Friday 11 Apr 2008

Wednesday 02 Apr 2008 Friday 11 Apr 2008 Friday 18 Apr 2008

Wednesday 09 Apr 2008 Friday 18 Apr 2008 Friday 25 Apr 2008

Wednesday 16 Apr 2008 Friday 25 Apr 2008 Friday 02 May 2008

Wednesday 23 Apr 2008 Friday 02 May 2008 Friday 09 May 2008

Wednesday 30 Apr 2008 Friday 09 May 2008 Friday 16 May 2008

Wednesday 07 May 2008 Friday 16 May 2008 Friday 23 May 2008

Wednesday 14 May 2008 Friday 23 May 2008 Friday 30 May 2008

Wednesday 21 May 2008 Friday 30 May 2008 Friday 06 Jun 2008

Wednesday 28 May 2008 Friday 06 Jun 2008 Friday 13 Jun 2008

Wednesday 04 Jun 2008 Friday 13 Jun 2008 Friday 20 Jun 2008

Wednesday 11 Jun 2008 Friday 20 Jun 2008 Friday 27 Jun 2008

Wednesday 18 Jun 2008 Friday 27 Jun 2008 Friday 04 Jul 2008

Wednesday 25 Jun 2008 Friday 04 Jul 2008 Friday 11 Jul 2008

♦Friday 04 Jul 2008 Friday 25 Jul 2008 Friday 08 Aug 2008

Wednesday 06 Aug 2008 Friday 15 Aug 2008 Friday 22 Aug 2008

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Wednesday 13 Aug 2008 Friday 22 Aug 2008 Friday 29 Aug 2008

Wednesday 20 Aug 2008 Friday 29 Aug 2008 Friday 05 Sep 2008

Wednesday 27 Aug 2008 Friday 05 Sep 2008 Friday 12 Sep 2008 Wednesday 03 Sep 2008 Friday 12 Sep 2008 Friday 19 Sep 2008

♦ End of academic year, peak results period

** Although Edexcel is no longer automatically issuing SRFs, claims via SRFs already held in centres will still be accepted during 2007/8

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2 Administration of candidates

This section of the manual gives instructions on the administrative procedures for candidates enrolled on NVQ programmes. It is strongly recommended that senior decision-makers in centres consider the use of electronic systems of management for examinations officers and NVQ administrators. Edexcel Online has been set up as a free resource for centres to manage their administration. Further information is available on the Edexcel website. To register, please contact Customer Services on 0870 240 9800, or go through our website: www.edexcelonline.org.uk .

It is important that copies of this document should be made available to the examinations officer/NVQ administrator, and to all coordinators and members of staff responsible for the preparation of documents for enrolment, registration, assessment and reporting of achievement for all NVQ programmes.

When a centre enrols candidates on an NVQ programme, the candidates should be registered within one month of enrolment. This will ensure that Edexcel is aware that a programme is running, and that an external verifier (EV) will need to be appointed. The external verifier will make visits to the centre to externally verify the programmes for quality assurance prior to candidate certification being granted.

All candidate stationery for registration and certification purposes is sent to the approved centre, c/o the examinations officer at the main address of the centre. However, you may request a sub-centre or separate site address. If you encounter any problems with delivery to the address used, please notify Customer Services to amend the centre records as soon as possible. (See the Contact Information section of this manual).

2.1 QCA NVQ Code of Practice (2006) and Statutory Regulation ofExternal Qualifications (2004)

The above regulations specify the quality assurance and control requirements which apply to and reflect the distinctive character of NVQs. All staff involved with the delivery of NVQs should be familiar with their contents. Copies of the documents can be found on the QCA website: www.qca.org.uk .

It is highly recommended that examinations officers and NVQ administrators are briefed on any issues which are affected by the above regulations. These could include (among others) the 10-week rule, direct claims status and record-keeping. (These issues are discussed in parts 4.1, 8, 10.2, 15, 15.5 and 28 of this section of this manual.)

Also, all staff involved must be aware that centres need to have approval with Edexcel before they can register candidates and deliver awards (see part 3). It is essential that the deadlines given in part 1 are strictly adhered to.

The NVQ Code of Practice requires that centre records, including all recording information, internal verification and assessment records, are retained for auditing purposes for a period of three years.

There is no penalty for withdrawing candidates, if they are no longer on a programme or have transferred to another programme or centre.

Having accurate data enables us to provide appropriate solutions to centres’ needs to meet their quality assurance obligations. We can also provide better responses to any queries they may have about administration.

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3 Gaining approval

Centres are advised that they must gain approval from Edexcel in order to offer NVQ qualifications. You can gain approval in one of two ways: by contacting your regional Edexcel office or by using the Edexcel online approval system. If you wish to find out which is your regional office, please visit the Edexcel website: www.edexcel.org.uk .

3.1 How to make approval applications using Edexcel Online Please see the Edexcel Online section of this manual for details on how to register for this service, if you have not already done so.

Centres that are approved to offer NVQ qualifications can use Edexcel Online to gain further approvals. This service allows centres to gain approval for NVQ qualifications without the need to submit any paperwork. The process is entirely electronic and approval is granted immediately where relevant criteria have been met. Your centre must already have approval for an NVQ at a higher level within the same sector as that being requested. If you do not meet this criterion, please contact Customer Services on 0870 240 9800, who will be able to advise you further.

The approvals option can be found in the ‘Qualifications’ menu under the NVQ tab.

After selecting the ‘Approve Awards’ option, you will be directed to the ‘Approval Agreement Form’ where you will need to agree or disagree with the terms of approval.

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If you agree to the terms of approval, you will be directed to the ‘Approval Enquiry Form’.

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Using the drop-down option, select the qualification level, sector and specific programme you wish to gain approval for. After selecting the header fields, it is compulsory to state the predicted number of registrations.

After submitting the request, your centre will either be given approval for the qualification or advised that the approval criteria have not been met. You will then be given the contact details for your regional office. Where approval is granted, an approval letter is generated and sent to your Edexcel Online mailbox. This letter will contain the qualification number, which is to be used when making registrations.

4 Important procedures checklist

4.1 Registration Registration must be completed within one month of enrolment/sign-up at the centre, unlessotherwise agreed. Enrolment at the centre is defined as the day on which delivery of the candidate’s programme/unit of learning commences. In order to ensure that all necessary quality-control procedures are carried out, there must be at least a 10-week period between receipt at Edexcel of registration and a claim for certification, in accordance with QCA regulations.

The NVQ Code of Practice requires that centres notify candidates of their registration status.

Registrations should be made using EDI or Edexcel Online. SA1(BTEC) forms have been withdrawn for all registrations from September 2006, except in exceptional circumstances. If you wish to make registrations on an SA1(BTEC) form for any reason, please contact Customer Services to discuss your requirements.

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4.2 Validity Registrations are only valid until the issue of certificates, or until the expiry of the period of registration, or within the certification period specified by QCA for the qualification. Centres need to ensure that they have formal programme approval with Edexcel before they can register candidates. They must also note the QCA certificate end date for the candidate’s NVQ, as this is the last date that they may apply for the NVQ qualification. These dates may be checked through Edexcel Online by clicking on the NVQ tab, then selecting the ‘Qualifications — Approved Awards’ option. Details of the programme’s approval period are also shown on the programme definition issued at the time of programme approval. You can obtain a copy of the programme definition through Edexcel Online by clicking in the ‘Qualifications — Reports’ option on the NVQ tab, where you can order the required programme definition.

4.3 Candidate names Names cannot be substituted, even where the original candidate has withdrawn.

4.4 Evidence routes If these are identified on your programme definitions, enter the appropriate code in the relevant field on Edexcel Online or the EDI file when registering candidates.

4.5 Certification In line with QCA regulations, certificates cannot be claimed less than 10 weeks after registration. This applies to full NVQ programmes and the Assessor and Verifier qualifications. It is therefore important to register within one month of enrolment, in accordance with our policies.

Note: Certificates cannot be issued for new approvals until after the external verifier has visited and authorised certification.

4.6 Learning and Skills Council (LSC) funded candidates Ensure the LSC code (see part 11.2) is entered in the appropriate field when submitting registrations so that we can send confirmation of NVQs issued direct to the LSC.

4.7 Invoices Invoices will be issued weekly, following initial registration. Payment is due by the end of the month following issue, unless otherwise agreed. Any queries on invoices should be directed to BTEC RACS (Registration and Certification Services).

Edexcel reserves the right to:

refuse to accept new registrations from a centre, if the centre has a debt outstanding to Edexcel at the due date of submission of new registrations withhold certificates from the centre, if the centre has a debt outstanding to Edexcel at the due date of issue of certificates.

4.8 Deletion of registration Registrations will not be deleted, or fees refunded, once registrations have been accepted by Edexcel. A new candidate cannot replace an individual who has been registered and has subsequently left the programme.

However, we are aware that there may be candidates who drop out from academic year programmes over the Christmas period. Therefore, we will accept all requests for the deletion of candidates registered from September 2007, provided we are notified by letter before 31 January 2008 and the learners have not completed any units. The withdrawal of candidates online or on the SRF can take place throughout the year and will not credit back any fees. You must give the

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candidate name and registration number in the letter. This provision does not apply to any other candidate intake.

5 Equality of opportunity

Equality of opportunity is a tenet of our provision and is embedded in Edexcel’s policies. There should be no artificial barriers to Edexcel/BTEC programmes and awards, which must be:

available to everyone who can achieve the required standard and be free from barriers which restrict access to progression free from overt or covert discriminatory practices with regard to age, colour, creed, ethnic origin, gender, nationality, marital status, race or sexual orientation, and pay due regard to the particular requirements of individuals, including those who may require support to undertake learning and assessment free from any restrictions that are not legally required.

Every approved centre must have an equal opportunities policy and a strategy for monitoring and reviewing:

access to assessment and learning prevention of discrimination provision for candidates with particular requirements a mechanism for dealing with candidate appeals.

It is essential that centres recruit with integrity and fully explore with applicants any issues which may prevent them from achieving in any areas of their proposed qualification.

Centres should assess each applicant’s potential and make a judgement about his/her ability to successfully achieve the programme of study. This should include access to specialist resources and/or essential skills such as basic and key skills. Initial assessment is highly recommended, with particular regard to the Disability Discrimination Act as applicable.

Centres should refer to the appropriate Occupational Standards, the Evidence Requirements and, where available, the Assessment Strategy, for the particular NVQ title when giving advice to prospective candidates. As part of this process, centres should advise candidates if there is a more appropriate qualification, or if they would only be able to achieve unit certification, rather than the full qualification.

6 Recognition of previous achievement

6.1 Accreditation of prior learning and/or experience Accreditation of Prior Learning (APL), Accreditation of Prior Experiential Learning (APEL) and Accreditation of Prior Achievement (APA) are assessment processes which allow achievement from a range of activities, using any valid assessment method, to be recognised. Provided that the assessment requirements of a given unit or qualification have been met, the use of these processes is acceptable for accrediting part of a unit, unit(s) or a qualification.

Evidence submitted under these systems must be:

validauthenticcurrentrelevantsufficient.

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The centre assessor has the responsibility for ensuring that all the requirements of a unit have been met and also for keeping appropriate records. It is also important that the internal quality assurance process has taken into account the needs of the assessment strategies for the qualifications for which these are being accredited.

Further information on assessment strategies, where applicable, can be found in the product centre guide for the qualification or from the relevant standard-setting body. Where a Sector Skills Council (SSC) has an operation licence, the information can be found on the Sector Skills Council Development Agency (SSDA) website: www.ssda.org.uk .

Centres are expected to establish their own policy with regard to APL, in line with Edexcel policy. Centres should refer to the policy on APL and the guidance on establishing and implementing an APL process, which can be found on the Edexcel website.

6.2 Claiming a qualification by APL After assessment of the candidate’s previous achievements, registration should be effected in the usual way. APL achievement may then be reported as normal achievement, using form SRF or via electronic data interchange (EDI)/Edexcel Online. The 10-week rule will apply.

7 Candidates with particular assessment requirements: policies and procedures

Specific assessment policy is detailed in the guidelines for each NVQ qualification. Centres should refer to the reasonable adjustment arrangements for Edexcel/BTEC vocational qualifications, which can be found on the Edexcel website.

7.1 Centre recruitment While access to our awards should be as open as possible, it is not in the interests of the individual if centres encourage unrealistic candidate expectations or set unattainable goals.

Centres must ensure that their recruitment process is conducted with integrity. Counselling on the appropriateness and feasibility of a particular course or qualification is very important to ensure the best match with individuals’ needs.

7.2 Assessment and reasonable adjustments Centres can put in place reasonable adjustment arrangements for candidates with particular requirements if they have, for example:

permanent or long-term disability or learning difficultya temporary disability, illness or indisposition.

These arrangements are intended to allow candidates to demonstrate their achievement. However, any reasonable adjustment arrangements must not:

advantage or disadvantage the candidatealter the assessment demands of the qualification.

Centres should notify Edexcel in writing to the Quality Standards Manager of any reasonable adjustment arrangements they are putting in place to support candidates.

Edexcel reserves the right to request further clarification or information in relation to any proposed arrangements.

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7.3 Appeals by a candidate As part of the approvals process, centres are required to provide evidence that they have a published internal appeals procedure which can be accessed by candidates.

From time to time, candidates do contact Edexcel directly about issues relating to the delivery and assessment of the programme they are following. On receipt of any such communication we would, in the first instance, refer the candidate back to the centre’s own internal appeals procedure. Candidates are advised that they must fully exhaust this system before Edexcel can become involved.

If a candidate does access the centre’s internal system and does not feel that the outcome is satisfactory, he/she can contact Edexcel again.

Candidates should provide the following information when making an appeal to Edexcel:

an outline of the nature of the issue and details of communication with the centreevidence that they have fully completed the centre’s internal appeals processclear details of why they feel the outcome to be unsatisfactory.

At this stage, we would take the appropriate steps to investigate the complaint. The outcomes of any such reviews are confidential between Edexcel and the centre. Edexcel may charge for carrying out these reviews.

The external verifier’s role is to monitor the conduct of the appeal in line with the centre’s published appeals procedure. External verifiers are not permitted to arbitrate in appeals.

8 Reporting of candidate success

8.1 General information In order to ensure that certification is received as soon as possible, please refer to part 1 of this section for the schedule of dates. In line with QCA regulations, a claim for certification cannot be made less than 10 weeks after registration and must be made using EDI or Edexcel Online.

Direct claim status (DCS) allows the centre to claim certification in between external verifier visits. DCS exists when the external verifier has confirmed ‘Yes’ to certification on the front of the Qualification Report Form. It is not necessary to await a final visit from your external verifier, except for a new programme/unit or where he/she has blocked certification.

All claims should be validated by an occupationally competent and qualified internal verifier. Centres must ensure that all claims for certification are authentic and valid and can be supported by auditable records.

Success must be reported for each candidate, even where he/she has withdrawn from the programme.

Amendments to units achieved should be submitted on form SA16(BTEC) and sent with the original certificates to BTEC RACS. Requests for amendments to units achieved after final certification has been issued should be accompanied by a written explanation of how the error occurred and what steps, if any, have been taken to prevent a recurrence.

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9 Certification

Centres should note the following:

Awards are issued to the centre weekly as required. Awards are sent by recorded delivery or courier service. Awards will be issued on the dates specified in part 1 of this section. If there are any problems, please contact Customer Services.

Certificates will only be issued for new approvals after the initial external verifier visit. An occupationally competent and qualified internal verifier should ensure that all certificate claims are valid. An awards list will be issued with each timetabled awards run, which can be used to claim output-related funding. This list will identify an LSC if the information was given to us on registration. We will also send these details monthly to the LSC for their audit purposes. Certificates will not be issued until at least 10 weeks after registration has taken place.

Edexcel reserves the right to:

refuse to accept new registrations from a centre, if the centre has a debt outstanding to Edexcel at the due date of submission of new registrations withhold certificates from the centre, if the centre has a debt outstanding to Edexcel at the due date of the issue of certificates.

10 Registration/entry policies and procedures

10.1 Responsibility for registration/entry When a centre has enrolled candidates onto an approved Edexcel NVQ programme or individual NVQ units, candidates must then be formally registered with Edexcel so that achievement can be reported and awards issued.

Responsibility for the registration/entry of candidates and for the submission of fees lies with the approved centre. Franchisee centres are not able to register candidates directly and the responsibility lies within the franchiser (ie, the approved centre), to register and identify the franchisee centre attended by each candidate. The NVQ Code of Practice requires that centres inform candidates of their registration status.

10.2 Registration/entry date Candidates must all be registered with Edexcel within one month of enrolment, unless agreed otherwise, and registration can be submitted at any time of the year.

For centres whose programmes follow the academic year, candidates enrolled/signed up in September must be registered by 1 November of that academic year.

In order to ensure that all necessary quality control procedures are carried out, there must be at least a 10-week period between registration and a claim for certification, in line with QCA regulations.

For the roll-on roll-off and assessment only programmes, which commence at various times within a year, it is acceptable for registrations to be submitted monthly if this assists the centre’s administration.

All candidates must still be registered within one month of enrolment so that registration documentation can be produced at the earliest opportunity after enrolment.

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10.3 Registration/entry fees The registration fee is a once only payment and no other fees are normally due. The programme on which the candidate registers, and the type of registration, determine the fee due. Only one qualification can be claimed per registration. Candidates completing more than one qualification must be registered separately for each qualification.

10.4 Invoices Invoices and credit notes (where appropriate) will normally be issued weekly, with payment being due within 30 days of the date of the invoice.

When you register candidates through Edexcel Online, you have the option of entering a 6-character order number which will then be shown on the invoice. This will help you reconcile the invoice with your internal records, and give you an order number if required for your finance department.

For registrations made by EDI, you may also enter your own 6-character order number within the EDI file. We can only include your order number on the invoice if you enter the order number at the time of candidate registration. Do not supply a separate purchase order number as we cannot include this on the invoice.

10.5 Fees due For information about the standard fees payable to Edexcel for candidates registering on NVQ programmes and units, see the Fees information issued separately. Please contact Customer Services for further information about registration fees. (See the Contact Information section of this manual.)

Note: A candidate cannot achieve more than one qualification per registration, unless he/she is registered on an approved Modern Apprenticeship Scheme made up of two or more qualifications.

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10.6 Payment of fees Fees, due by the end of the month following issue of the Edexcel invoice, should be made payable to Edexcel Ltd and sent to the Edexcel Finance Department. (See the Contact Information section of this manual.)

10.7 Deletion of registration Registrations will not be deleted, or fees refunded, once registrations have been accepted by Edexcel. A new candidate cannot replace an individual who has been registered and has subsequently left the programme.

However, we are aware that there may be candidates who drop out from academic year programmes over the Christmas period. Therefore, we will accept all requests for the deletion of candidates registered from September 2007, provided we are notified by letter before 31 January 2008 and the candidates have not completed any units. The withdrawal of candidates online can take place throughout the year and will not credit back any fees.

You must give the candidate name and registration number in the letter. This provision does not apply to any other candidate intake.

10.8 Validity of registration Registrations are normally valid for a period of five years, or until the issue of the certificate, whichever is the earlier. This is conditional on any claim being made before the last certificate date (certificate-end-date) set by QCA.

Where registration lapses (either because an award is issued or the period of registration has expired or the certificate-end-date has passed), the candidate must be re-registered and complete a currently approved programme.

10.9 Methods of registration SA1(BTEC) forms have been withdrawn for all registrations from September 2006, except in exceptional circumstances. If you wish to make registrations on an SA1(BTEC) form for any reason, contact us to discuss your requirements. Registrations should be made by EDI or on Edexcel Online.

10.10 Making registrations on Edexcel Online Edexcel Online is a web-based service designed to make the administration and access of candidate information easier and faster. It allows you to make registrations within a few minutes and receive confirmation of registration numbers immediately.

Full details of how to make registrations online can be found in the BTEC section of this manual.

Please note that the default enrolment date for NVQ registrations is the current date. It is important that this is amended to accurately reflect the start date of the candidates on the particular programme. This date is used in determining the fees due, which are calculated at the rate for the academic year in which the candidate is registered. The date of enrolment defines the due date for registration and for roll-on roll-off programmes. You are advised to submit groups of registrations monthly, entering the earliest enrolment date for the group.

There is a separate scheme number for a Modern Apprenticeship Scheme and, in these cases, you should not register candidates on individual programme/unit numbers. The Modern Apprenticeship Scheme number begins MAS and is followed by 5 digits. It is now possible to register candidates for Modern Apprentice Schemes through Edexcel Online.

10.11 Making registrations by EDI (Electronic Data Interchange) We would encourage you to use EDI to make registrations, as it provides benefits in terms of the accuracy and speed of the registration process.

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There are two EDI formats, EDIFACT and JCQ. The EDIFACT format supports the registration of candidates on NVQs but the JCQ format does not. The EDIFACT file formats may be found under ‘Requirements for Centre Management Information System (Centre MIS) Providers’ on the Edexcel website (www.edexcel.org.uk) in ‘Services for Centres’, ‘EDI and Basedata’, ‘Centre Support’. EDIFACT supports the following activities:

provision of centre-specific basedata (Edexcel to centre) registration of candidates for BTEC and NVQ qualifications/units (centre to Edexcel) email acknowledgement of file receipt and processing (Edexcel to centre) provision of registration numbers (Edexcel to centre) confirmation of candidate unit achievement (Edexcel to centre).

Software suppliers and CMIS packages supporting BTEC EDIFACT EDI Please refer to the Edexcel website for a list of software packages that support BTEC EDI. Advice on the operation of a software package should be sought from the software provider. Edexcel is unable to provide technical support for specific software issues.

Becoming a BTEC EDI centre You don’t need specific approval to operate BTEC EDI with Edexcel. However, there are certain key details that we require to enable us to provide you with the full range of EDI services. Please let us know, in writing or through ‘Contact Us’ on the Edexcel website, your:

file transmission method (AVCO, Redstone, RM or email) to allow us to send registration and results acknowledgement files to you centre EDI contact name, job title, telephone, fax and email address to enable us to email file receipt and processing acknowledgements to you. This should be a generic address where possible, eg, [email protected] .

TestingThere is no need to send a test file of data prior to starting to use EDI with us but we would ask that, when you send your first file, you contact us through our Customer Services or through ‘Contact Us’ on the Edexcel website to advise that you have sent a file. We will inspect the file and monitor its progress to ensure that there are no formatting or processing problems.

If you do wish to send a test file prior to starting to use EDI, please contact us through our Customer Services and we will advise you how to proceed.

Sending files Files may be sent to Edexcel by Value Added Networks (VANs):

AVCO ExamService RM SecureNet Redstone webXchange.

Please contact the appropriate VAN for further details of how to send files. Alternatively, you may send and receive files via email. Simply attach a file to an email and send it to: <your centre number>@edidata.edexcel.org.uk .

Note: Please note that this is an automated file receipt address and any correspondence will not be replied to and non-EDI formatted files will not be processed.

10.12 Key codes The outcome of registration is the creation of an individual record for each candidate on an approved programme at a specified centre.

A unique registration number is allocated and this number, together with the centre number and the programme number allocated by us on approval, will identify the award.

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The code numbers listed below are essential components of registration and subsequent award issue.

Field Code required

Candidate registration number 1 letter indicating year of registration + 6 digits

Centre number

5 digits (National Centre Number register)

Note: Additional suffixes to the centre number can be allocated on request to ensure that documentation is sent to a specific centre site.

NVQ number Q + 7 digits

NVQ unit number U + 7 digits

Modern Apprenticeship Scheme number

MAS + 5 digits

QCA Qualification Accreditation Number (QAN)

8 characters, alphanumeric. Printed on unit and qualification certificate

10.13 Confirmation of registration After registration, we will produce a list of candidates, their registration numbers, with the centre reference number where submitted. For centres registering by EDI, registration numbers and their centre reference numbers will be transmitted to the centre electronically in order to update the appropriate system.

Listings will normally be produced weekly and will include all registrations processed that week. Centres are requested to verify details, especially the candidate names, and report any necessary changes online. Candidates not listed will normally have already been queried by us or will appear in a subsequent listing.

10.14 NVQ log books The registration fee payable on NVQ programmes does not include the issue of NVQ log books. Log books can be ordered from Edexcel Publications. Please refer to the Contact Information section of this manual for details of Edexcel Publications.

11 How to make registrations using Edexcel Online

Please see the Edexcel Online section of this manual for details of how to register for the service if you have not already done so.

11.1 Choosing header details The ‘Register Students’ option can be found in the ‘Candidates’ menu under the NVQ tab. If your centre has more than one sub-site, please ensure that the correct one has been chosen at the top of the page.

This screen allows you to enter information that will apply to a whole group of candidates on a particular programme or unit. The individual candidate information will be entered in the next stage.

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Registration type — full award, individual units or apprenticeship The full award option should be selected when the candidate will be completing an NVQ programme.

The individual unit option should be selected when the candidates are completing particular units from an NVQ programme. This should not be chosen if you intend the candidates to meet the requirements of the full programme. See below on how to customise units.

Apprenticeship should only be used when registering candidates for a Modern Apprenticeship Scheme programme linking more than one registration.

Enrolment date It is important that the enrolment date accurately reflects the time in which the group commenced the NVQ programme. The enrolment date defines the due date for registrations for roll-on roll-off programmes. The default enrolment date for NVQ registrations is the current date. It is important that this is amended to accurately reflect the start date of the candidates on the particular course.

By clicking on the ‘Next’ button, you are confirming that the enrolment date accurately reflects the candidate commencement date.

Order number The order number will be printed on the invoice arising from the registrations. It may be up to 6 characters (alphanumeric) and can be whatever you choose. The order number can be left blank but you should have some system in place to ensure that invoices can be reconciled to the registrations.

Registration listing Edexcel Online allows you to claim certificates for candidates online. A registration listing will be produced and sent to you.

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Customising individual units Before selecting the individual unit to be registered for a candidate, that unit must be customised. This involves selecting which individual units you will be registering for so that you are not required to choose from all your approved units each time you register.

In order to do this, you will need to select ‘customised units’ from the ‘Qualifications’ menu on the left-hand side. You will then be presented with a list of all currently approved NVQ units in alphabetical unit title order. By selecting the units required and clicking the ‘Save’ button, you will update your profile of customised units to be used later.

Selecting programme or apprenticeship After clicking the ‘Next’ button, you will be given the chance to choose which programme or apprenticeship you wish to register the candidates on.

You will now be given a drop-down box listing all of your currently approved programmes or apprenticeships. Simply select the required programme or apprenticeship and click ‘Next’ to proceed. If the programme that you wish to register for is not listed, please check your currently approved programmes in the qualifications menu.

11.2 Register online After selecting all of the header records that apply to all candidates in a group, you can now enter the individual candidate details.

The register online option allows you to enter all the candidate details individually. For large groups of registrations the ‘Register by Spreadsheet’ option may be easier. The information required for each is the same.

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14 Centre reference This field allows you to enter a reference for your own administrative convenience. It should be alphanumeric up to a maximum 10 digits in length.

First names The forename must be no more than 20 characters, including spaces.

Last name The surname should be no more than 30 characters, including spaces.

SexSelect either M for male, or F for female.

Date of birth This is a required field and should be in the format: dd/mm/yy (eg, 01/01/87).

Planned completion This date must be in the future and should be of format: dd/mm/yy (eg, 01/07/08).

LSC (Learning and Skills Council) code This should only be used in cases where the candidate is funded by an LSC and you would like us to confirm the candidate’s achievement directly to the LSC. The code entered should be for your local LSC and should be 3-digit numeric. Where an LSC code is entered, candidates’ results will be confirmed directly to the LSC monthly. An award list will be produced listing the successful candidates for each specific LSC, which can also be submitted as confirmation of candidate completion. Please refer to the list of valid codes which follows.

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LSC code LSC Description

000 National LSC (Cheylesmore House)

001 National LSC (Lockhurst Lane)

002 National LSC (NECS)

010 Derbyshire

020 Nottinghamshire

030 Lincolnshire and Rutland

040 Leicestershire

050 Northamptonshire

060 Norfolk

070 Cambridgeshire

080 Suffolk

090 Bedfordshire and Luton

100 Hertfordshire

110 Essex

120 London North

130 London West

140 London Central

150 London East

160 London South

170 Northumberland

180 Tyne and Wear

190 County Durham

200 Tees Valley

210 Cumbria

220 Lancashire

230 Greater Merseyside

240 Greater Manchester

250 Cheshire and Warrington

260 Milton Keynes, Oxfordshire, Buckinghamshire

270 Berkshire

280 Hampshire and Isle of Wight

290 Surrey

300 Sussex

310 Kent and Medway

320 Devon and Cornwall

330 Somerset

340 Bournemouth, Dorset and Poole

350 West of England

360 Wiltshire and Swindon

370 Gloucestershire

380 Shropshire

390 Staffordshire

400 Black Country

410 Birmingham and Solihull

420 Herefordshire and Worcestershire

430 Coventry and Warwickshire

440 North Yorkshire

450 West Yorkshire

460 South Yorkshire

470 Humberside

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Study mode Choose the main mode of study from the drop-down list.

Franchise number This should be left blank unless the candidate is attending a franchisee institution approved to offer the programme. This will enable us to ensure that the appropriate verification processes are complete.

Completing the registrations Once you have entered all the required information for a particular candidate, you need to click the ‘Add’ button. This will then start a list of candidates to be registered at the bottom of the screen. You need to keep adding learner details until you have everyone for that particular course. At this point, you have the option to delete candidates from the list using the ‘Del’ button, or to amend any details incorrectly entered using ‘Edit’ next to each candidate’s name.

Once you are happy that all information is correct, proceed by clicking the ‘Register’ button. The data will then be checked and, if no problems are found, registration numbers will be displayed on screen. A confirmation report will be available at this point for you to print or save electronically for your records.

Possible errors Any errors relating to the data entered will be displayed with instructions in red advising of the problem, for instance, invalid characters in the name field or a completion date in the past. You will have an opportunity to correct the date before uploading once more.

The registration will also be rejected if it is found that a registration already exists for that candidate and programme. If this is the case, the candidate will be highlighted in green and their existing registration number will be displayed. You will need to remove this candidate from the list to be registered before continuing. Where a record is highlighted in green, you can view the specific error message by ‘hovering’ the mouse pointer over the highlighted record.

11.3 Register by spreadsheet This option allows you to use a standard format of an excel spreadsheet template which can be downloaded in order to provide candidate details. The spreadsheet, once downloaded, can be completed offline either by the person who intends to make the registrations, or sent to another member of staff for updating of candidate details to be uploaded at a later date. This might be a more convenient way of registering large numbers of candidates on different programmes.

The information required for the fields: centre reference, first name, last name, date of birth, completion date, franchise number and LSC code is the same and in the same format as required above in part 11.2.

SexType either M for male, or F for female.

Study mode It is important that a letter is entered in the study mode column for all candidates. This should be one of the letters shown below and must be in this format.

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A Full-timeB Short full-time C SandwichD Block release E Part-time day F Part-time day/evening G Evening only H Open learning J Distance learning K Open and distance learning L Flexible Z Assessment only (APL): this is only available where the candidate has approached you on the

basis of a complete portfolio of previous qualifications or experience.

Individual unit registration by spreadsheet This spreadsheet has the addition of unit code columns. At least one valid NVQ unit code must be entered for each candidate in the unit code column.

Evidence routeEnter the appropriate NVQ evidence route code. If applicable, this is printed on your programme definition (eg, ER000210).

Uploading the completed spreadsheet When your spreadsheet has been completed and saved, you are ready to upload it to us. Click on the ‘Browse’ button to locate the file on your computer; once selected, click ‘Upload’.

Once registered, the registration numbers of the candidates will be listed in the right-hand column and you will be able to access the confirmation report for your records if you wish.

Possible errors Any errors relating to the data entered will be displayed with instructions in red advising of the problem, for instance, invalid characters in the name field or a completion date in the past. You will have an opportunity to correct the date before uploading once more.

The registration will also be rejected if it is found that a registration already exists for a particular candidate and programme.

If this is the case, the candidate will be highlighted in green and their existing registration number will be displayed. You will need to remove this candidate from the list to be registered before continuing. Where a record is highlighted in green, you can view the specific error message by hovering the mouse pointer over the highlighted record.

Possible reasons for errors:

column added or deleted from spreadsheet column headings deleted or amended (must be in bold font) required field not completed DOB or Completion Date not in dd/mm/yyyy format sex entered as Male or Female rather than M or F study mode not entered as a single letter LSC code entered when course not LSC funded.

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12 How to make registrations by EDI

12.1 Obtaining EDIFACT basedata EDIFACT basedata contains details of all programmes and their unit structures and all units approved at your centre. This can be downloaded into your software package to enable you to register candidates onto NVQ programmes and individual units.

You can download your centre’s basedata from Edexcel Online. You can request all BTEC or NVQ programmes or a single BTEC or NVQ programme. When you order all programmes, you will automatically receive all programmes and a list of all units of that qualification type (BTEC or NVQ) approved for your centre.

Basedata is only issued for programmes and units that have current year approval. In June each year, the default is changed to the forthcoming academic year.

Click on ‘NVQ’ .

Click on ‘EDI Basedata’ on the left-hand menu.

Select Basedata Format as ‘EDIFACT’.

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Select Approval Year required. (Basedata will be available for 2 years’ approvals. From 1 July the next two academic years will appear. After this date you will have to contact Edexcel should you require basedata for old approvals.)

Select either ‘All Programmes’ or a single programme number from the drop-down list (you cannot request more than one single programme at a time).

Select or ‘Include Units’ ‘Exclude Units’. (If you exclude units, you will still receive all units attached to each programme. This is a list of all units approved at your centre that you will only need if you are offering stand-alone individual units.)

Press ‘Submit’.

If there is a problem with producing basedata for you, an error message will appear asking you to contact Customer Services. They will log your call with the BRACS Operations and EDI team who will investigate the matter and get back to you.

If the request accepts, a basedata file will be emailed to your user email address. If you click on the file, you will be able to view the basedata or save to file.

12.2 EDIFACT file content It is essential that EDI registration files contain all the required centre, programme and candidate details.

Programme registrations should include the appropriate header and footer lines, one registration header line per programme and one registration detail line per learner. The registration header must include registration type (R or S), your centre number, programme number, date of candidate enrolment and form/order number.

The form/order number will be quoted in the corresponding registration fees invoice and will help to identify candidates.

Note: Please note that, if the date of candidate enrolment is omitted, the registrations will be initially rejected. We will then set a default date of 1 September for the current academic year and reprocess the registrations.

UNB+UNOA:2+99999+EDEX+20060111:1609+1182++++++0UNG+REGIST+99999+EDEXCEL+20060111:1609+1182+BT+4:2++UNH+1182+REGIST:5:1++1:FREG1+R+99999+Q5000151+20050904+00002++++REG2+143850+ELIZABETH +BURTON+F+19810623+++N++ REG2+65596+JANE +CRIGHTON+F+19581027+++N++ REG1+R+99999+Q5000150+20050904+00001++++REG2+108145+WENDY +MCADAMS+F+19660709+++N++ REG2+147734+JOHN+CAFFERTY+M+19541021+++N++UNT+6+1182UNE+1+1182UNZ+1+1182

Individual unit registrations should include the appropriate header and footer lines, one registration header line per programme, one registration detail line per candidate and one or more registration module detail lines per candidate. The registration header must include registration type (I), your centre number, date of candidate enrolment and form/order number. The programme number field must be blank.

The form/order number will be quoted in the corresponding registration fees invoice and will help to identify candidates.

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UNB+UNOA:2+99999+EDEX+20060111:1609+1182++++++0UNG+REGIST+99999+EDEXCEL +20060111:1609+1182+BT+4:2++ UNH+1182+REGIST:4:2++1:FREG1+I+99999++20050904+00003++++BUS.DEVREG2+147735+PETER +BROWN+M+19570928+20060701+A+N++ REG3+U5000287REG3+U5000288REG2+143851+FRAN ANN+DEELEY+F+19700811+20060701+A+N++ REG3+U5000287REG3+U5000288REG2+88634+LESLEY +GOLDING+F+19700112+20060701+A+N++ REG3+U5000287REG3+U5000288UNT+10+1182UNE+1+1182UNZ+1+1182

12.3 Sending EDIFACT registration files (.erd) Upon receipt of a file at Edexcel, your centre number will first be validated to ensure that the file can be allocated to your EDI account. Once this has occurred, the format of the content of the file will be validated to ensure that the content may be processed. An automated email receipt acknowledgement will be sent to the email address we hold on record for your centre (see ‘Becoming a BTEC EDI centre’ in part 10.11).

After successful validation of a file, the candidate details will then be processed through our candidate registration process. Once this has happened, an automated email processing acknowledgement will be sent, as described above.

Processing acknowledgements contain details of any processing rejections generated by our system. This is for information only and does not require you to take any immediate action. Edexcel will review all rejected candidate registration data and will contact you if we require you to take any further action but, where possible, we will resolve the error ourselves.

Note: Please note that remedial action taken by Edexcel may include reprocessing all or part of a file. This will generate a new processing acknowledgement email to the centre.

12.4 Receiving EDIFACT registration number files (.ern) Edexcel will send files of BTEC registration numbers to centres weekly (.ern files) for all candidates registered by EDI during the previous week. These files may be downloaded into your system to record the BTEC registration numbers of your candidates. These files will be in version 5 of the EDIFACT file format regardless of the format version of the registration file received at Edexcel. (Version 5 contains the programme number for the candidate. This is essential where candidates have multiple registrations.)

Edexcel is only able to send automated .ern files for candidates registered by EDIFACT EDI.

The .ern files will be sent out via the transmission record held on record for your centre. This does not need to be the same method by which registration (.erd) files were sent to us. For example, if a file is sent by carrier, we are able to send the .ern file back by email. If you require this, it is important that we have up-to-date EDI contact details for your centre (see part 12.3 above).

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13 Transfers and changes to registration details

Developments to Edexcel Online mean that you can now make amendments online and we will no longer be issuing form SA2(BTEC) for amendments or transfers of NVQ registrations. Instructions on submitting these amendments electronically are detailed in the BTEC section of this manual.

Electronic Data Interchange (EDI) registration changes NVQ amendments cannot be made by EDI and centres should use Edexcel Online to make amendments to candidates’ personal details or programme details.

Transfer of registration to a new centre or programme If, for any reason, the amendment cannot be made electronically, then the request should be put in writing to BTEC RACS with all details including centre number, registration number, name and details of the required amendment.

A candidate registration may be transferred between programmes and centres, with no extra fee payable, provided that the fee due for the new programme at the time of transfer is the same as, or less than, what was invoiced for the original registration. Where the fee for the programme the candidate is transferring to is higher than that invoiced for on the original registration, an invoice will be issued for the difference between the two fees.

A transfer may only take place within the period of validity of the NVQ, as specified by QCA on accreditation. As the receiving centre must first decide if programmes within the same level are compatible, it may be necessary to consult the external verifier in this decision.

A candidate may not be transferred from an individual unit registration to a full programme (qualification). In such cases, the candidate must be re-registered for a full programme Candidates may not be transferred from or to a Modern Apprenticeship Scheme and should be re-registered if they change to a new programme or scheme.

14 Electronic amendments and transfers

You have been able to use Edexcel Online to amend the candidate’s sex, planned completion date, study mode and combination for some time. In the past year, we have added the facility to amend the forename, surname and date of birth. In addition, it is now possible to transfer your candidates between NVQ programmes and transfer candidates in from other centres.

14.1 Changing a candidate’s name, date of birth and other details It is important that any errors made at the time of registration are corrected well before claiming certification. The candidate details screen can be found through the ‘Candidates’ menu, using either the ‘Search by candidate’ option, or ‘Search by course’.

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By clicking the ‘Edit’ button at the bottom of the screen you are able to amend all of the fields shown above, as well as being able to claim certification (see part 17.2).

In order to prevent the substitution of one candidate for another, you are able to change only one of the forename, surname or date of birth fields and only once. Once saved, any certificates issued will reflect the details on our database so a new SRF showing the correct details should not be necessary.

14.2 Transferring within the same centre Changing the registered programme for a candidate should be made on the screen shown below, which can be found in the ‘Candidates’ menu of the NVQ section.

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This screen allows you to transfer either groups of candidates, or individuals to any of your currently approved NVQ programmes. A new completion date is mandatory when transferring and you may choose whether you wish to receive new SRF forms. Groups of 20 or more candidates will be transferred overnight; otherwise, if successful, the transfer should take place almost immediately.

If you are unable to transfer a particular candidate, please contact us and we will advise if the transfer needs to be submitted in writing.

14.3 Transferring from a different centre Edexcel Online should be used to transfer candidates from other centres to your own; the screen can be found in the ‘Candidates’ menu.

In order that we may validate the identity of a candidate transferring into your centre, you will need to provide their date of birth along with their registration number. If these details match, you will be able to choose which currently approved NVQ programme you wish the candidate to be

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transferred to. It is important to ensure that any units completed by the previous centre are reported prior to the transfer taking place. The receiving centre should confirm the units completed by the candidate by viewing the unit certificate already gained.

15 Centres’ responsibilities

Centres are responsible for making recommendations on the achievement for each candidate in respect of all internal verification requirements for the programme for which he/she is registered, and for reporting success to Edexcel for interim or final certification.

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The external verifier should be given access to candidate portfolios in order to check that assessment is being carried out to appropriate standards.

If the programme has been awarded direct claim status (DCS) (see part 8.1), you can claim for certificates in between the EV’s visits. This is normally indicated by a ‘Yes’ to certification on the Qualification Report Form (QRF) at the last EV visit.

Note: A request to amend success already reported must be accompanied by a declaration of authenticity, signed by an individual designated by the centre to report achievement (usually the internal verifier), by using form SA16(BTEC). This should be sent to BTEC RACS, together with the certificate that requires amendment. Centres must ensure that all claims for certification are authentic and valid and can be supported by auditable records.

15.1 Change of centre details and centre closure Centres must notify Centre Records (see the Contact Information section of this manual) of any changes of address or details. When the centre proposes to close for business, it must notify BTEC Quality Standards in writing.

15.2 Confirmation of achievement for candidates It is essential that all centres accept the responsibility to provide candidates with evidence of achievement in order that they have early, official evidence of their success.

15.3 Interim reporting Success must be reported for every candidate registered who has achieved unit success, and also where he/she has withdrawn from the programme. In all cases of interim reporting, a Certificate of Unit Credit will be produced automatically.

15.4 Dates for reporting results In order to ensure that certificates are received as soon as possible, please refer to part 1 of this section for the required dates for success reporting.

Where possible, success should normally be reported, for all candidates who are following academic year programmes, by 5 July, and no later than 31 July for certification during August.

Where results are received after 31 July, due to extended terms or administrative difficulty, and where results are submitted for programmes finishing during the academic year, they will be processed as soon as possible after receipt. Awards are normally issued within 2 to 5 weeks, depending on the time of year.

15.5 Centre assessment records Centres are expected to make every effort to ensure the safety and security of candidate work which they are holding for assessment purposes. Centres must ensure that they have detailed and up-to-date assessment records for all candidates, which are kept separately from actual candidate work. Assessment and verification records left in candidate portfolios are likely to be unavailable when candidates leave programmes or complete certification. Centres need to retain assessment and internal verification records for three years, according to the NVQ Code of Practice.

Lost or destroyed learner workIf candidate work is lost or destroyed, centres will need to provide those assessment records that will verify what has been achieved in order to ensure that certification can proceed.

Centres must notify BTEC Quality Standards immediately when candidate work is lost or destroyed, ensuring they provide the following information:

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circumstances in which the work was lost or destroyed programme title and number details of the candidate(s) affected details of which unit(s) are affected centre, programme and assessment records any evidence of internal verification any supplementary information, such as witness testimonies.

Each case will be considered individually and certificates may be granted if:

sufficient centre records and supplementary evidence are available all other assessment on the programme has been subject to ongoing external quality assurance which identifies that national standards have been met.

16 Methods of reporting success

There are two methods of reporting success:

EDI transmission online reporting.

16.1 EDI transmission Candidates’ unit achievements and certificate claims may be transmitted electronically, in which case form SRF should not be submitted.

16.2 Edexcel Online Certificate claims and unit success may be entered through the NVQ screens of Edexcel Online. See the Edexcel Online section for details of how to register as an Edexcel Online user. If you report unit achievements and certificate claims by EDI or Edexcel Online, please read part 17 of this section.

17 Reporting for certification via EDI and EOL

17.1 Reporting success to Edexcel Success must be reported for all candidates via EDI or Edexcel Online:

immediately after completion on transfer of the candidate to another programme/centre for all candidates withdrawn from the programme, even if no success has been achieved.

Note: For further information on dates for reporting, see part 1 of this section.

17.2 Claiming via Edexcel Online (EOL) EOL is a web-based service designed to make the administration of candidate information easier, faster and more accessible. It allows you to report unit grades and claim certification within a few minutes. Once changes have been saved our in-house system updates instantly.

Choosing header detailsIf your centre has sub-sites, please ensure that the correct site has been chosen at the top of the screen. You will need to select the ‘NVQ’ tab from the qualification bar, followed by the ‘Candidates’ menu and ‘Search by Course’ option.

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You then need to use the drop-down menus to determine the qualification type and the session before clicking on the ‘Next’ box.

This will result in a new window appearing, which lists the programme numbers and number of learners registered for the qualification type and session selected. By clicking on the ‘Candidates’ link on the right for the programme the learners are currently registered on, a list will appear showing all learners for the specified criteria in numerical order of registration number. Locate the learner for whom you want to claim and then click the ‘Details’ link on the right. This will show the individual learner’s details. Scroll down and click on the ‘Edit’ button which then allows you to indicate the ‘Claim Type’.

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Select the correct claim type and then indicate the units achieved by the candidate, by selecting ’P’ (Pass) for each unit achieved. Once all unit results have been indicated, enter the award date (for full award only) and click on the ‘Save’ button. The screen will then refresh and confirm that each pass for each unit you indicated. For confirmation of the candidate’s record, please click on the ‘Confirmation Report’, which will allow you to print off the details.

Claim Type

Select the correct claim type.

Full Award

If the learner has completed the qualification appearing in the ‘Programme/Unit Details’ field, click the ‘Full Award’ button.

For learners registered on individual units, only click the ‘Full Award’ button if the learner has completed all the units.

It is important that a full award claim is made or a final qualification will not be issued. Please ensure that all the requirements for the programme have been satisfactorily completed and all units are showing on screen, as this entry closes the registration. You should only click the ‘Full Award’ button where the learner has completed all required units and is eligible for the qualification.

Interim

If the learner has not completed all the requirements for the qualification appearing in the ‘Programme/Unit Details’ field, click the ‘Interim’ button.

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Note: A Certificate of Unit Credit will be issued even where an interim claim is made, but this does not close the registration.

For learners registered on individual units, click the ‘Interim’ button if the learner has not completed all the units registered for and you wish to keep the registration open so that the remaining units may be completed at a future date.

A Certificate of Unit Achievement will be issued automatically for all learners registered for individual units.

Fallback

Clicking this button closes the learner’s registration, so you should only do so where you are sure that the learner will not be returning to continue the qualification at a later date.

Click ‘Fallback’ where the learner does not qualify for the final award for which he/she was registered, and chooses to receive a Certificate of Unit Achievement for individual unit achievement.

The Fallback Certificate of Unit Achievement does not state the title of the original programme of registration but merely lists units that have been successfully achieved. If a Certificate of Unit Achievement is claimed, the registration is terminated.

For NQF versions of BTEC qualifications, there may be alternative fallback qualifications. However, these will only be awarded when a transfer has taken place prior to certification being claimed.

Unit achievement

Units that have already been achieved at your centre will already appear on screen. These units may be upgraded where the final award or Fallback has not been issued. To delete a unit grade, see part 19 ‘Amendment to reported success’ of this section.

Click the Pass (P) button to indicate successful completion of all required components of each unit.

Unit success should not be reported until all the assessment necessary for individual units has been completed.

Award date

Enter mm/yy (eg, 06/07) to indicate the month and year that the programme was fully completed. Only enter an award date if you have indicated a ‘Full Award’ claim type. The date entered, which may be any month/year, will appear on the final award document.

Awards may not be post-dated.

Add units

Notes: NVQ units approved at the centre and taken in addition to the requirements of the qualification on which the learner is registered, may be added to the SRF and will appear on the Certificate of Unit Credit. If learners have also completed units from BTEC First, National and Higher National programmes, these may be added to the SRF for an NVQ programme, and they will be certified separately on a Certificate of Unit Achievement.

Additional units undertaken on an individual unit registration (I type) may be added and a fee will be charged and an invoice issued.

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Withdraw/reinstate candidate

Click on this box where the learner has withdrawn from the programme, or where he/she is transferring to another centre. This puts the registration on hold, but does not permanently close the registration. A Certificate of Unit Credit will be issued for any units reported.

Declaration (for centre)

When claiming certification online, the user is declaring that he/she attests to the authenticity of the information and claims submitted and confirms that he/she is authorised to make the statement on behalf of the centre.

17.3 EDI results reporting: EDIFACT format

Sending EDIFACT results files (.era)

EDIFACT file formats may be found in the ‘Requirements for Centre Management Information System (Centre MIS) Providers’ on the Edexcel website (www.edexcel.org.uk) in ‘Services for Centres’, ‘EDI and Basedata’, ‘Centre Support’.

It is essential that EDI results files contain all the required centre, programme and learner details. Results files should include the appropriate header and footer lines, one results header per learner and multiple module/unit grade lines for each learner. The learner results header must include registration number, centre number and programme number, together with the appropriate award application, award date, fallback claim, overall grade (Diploma in Foundation Studies in Art & Design Only) and withdrawal indicator.

UNB+UNOA+2+12345+EDEX+20080705:1548+45++++++0UNG+RESULTS+12345+EDEXCEL+20080705:1548+45+BT+5:1++UNH+45+RESULT: 5:1++1:F RES1+ Y220151+12345A+Q9999999++Y+200807++++ RES2+U2000287+PRES2+U2000288+PUNZ+3+45UNE+1+45UNT+71+45

Upon receipt of a file at Edexcel, your centre number will first be validated to ensure that the file can be allocated to your EDI account. Once this has occurred, the format of the content of the file will be validated to ensure that the content may be processed. An automated email receipt acknowledgement will be sent to the email address we hold on record for your centre (see ‘Becoming a BTEC EDI centre’ in part 10.11).

After successful validation of a file, the candidate details will then be processed through our internal candidate results programme. Once this has happened, an automated email processing acknowledgement will be sent as described above. This email will give details of how many candidates were processed and how many rejected.

Please note that remedial action taken by Edexcel may include reprocessing all or part of a file.This will generate a new processing acknowledgement email to the centre.

Receiving EDIFACT results acknowledgements (.ere)

Edexcel will send files of BTEC and NVQ results acknowledgements to centres weekly (.ere files) for all learners for whom results were reported by EDI during the previous week.

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EDIFACT .ere files contain confirmation of all unit outcomes.

Edexcel is only able to send automated .ere files for candidates for whom results were reported by EDIFACT EDI.

An electronic file of results for candidates for whom results were not reported by EDI may be downloaded from Edexcel Online (www.edexcelonline.org.uk)

All .ere files will be sent to centres via the transmission record we hold on record for your centre. This does not need to be the same method by which results (.era) files were sent to us. For example, if a file is sent via a carrier we are able to send the .ere file back by email. If you require this, it is important that we have up-to-date EDI contact details for your centre (see ‘Becoming a BTEC EDI Centre’ in part 10).

17.4 Eligibility This only applies where a full award application has been made for candidates on NVQ programmes. For full certification to be issued, the eligibility requirements must be met for that particular programme. Eligibility requirements are available to view on EOL for all NVQ programmes that have been/currently are approved at your centre.

For this particular programme, the requirements are ‘6(2A and 2B) and 0(0C)’. This means that 6 units are required in total, of which at least two must come from group A, two from group B and any other two that are part of group A or group B. Units from group C do not count towards eligibility for this particular qualification.

Where eligibility requirements have not been met for candidates’ full award claims, centres will be notified via a query form (see the BTEC section of this manual). Eligibility does not apply to unit registrations as there are no eligibility criteria for individual units.

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18 External verification: certificate block or deferral

NVQ programmes are normally required to receive two external verification visits annually to ensure that certificate claims are valid and that centres’ internal quality assurance systems meet regulatory requirements. Where problems have been encountered with the assessment of the programme or with the assessment of individual candidates, the external verifier (EV) will have reported this to Edexcel and certificates for candidates on these programmes may be withheld or blocked.

A block on certification may be the result of information received by Edexcel which raises doubt as to the validity of certificates issued. Or, a potential risk may have been indicated to or identified by Edexcel.

The decision to block certification may have been made by the regulator or by the funding providers. Centres are reminded of the NVQ Code of Practice (see part 2.1) and of the role of the awarding body in ensuring the validity of certificates. There is an overriding implication that the regulator and/or funding providers may influence this decision.

Following a visit by an EV, he/she will complete a Qualification Report Form (QRF) and an External Verifier Report. The QRF authorises claims for certification by allowing direct claim status (see part 8.1) or allows limited certification to be claimed by using a Limited Certification form. Where a certification box is checked as ‘No’, a further EV visit will be required before certification can be released and centres may be required to pay for this. Centres can keep track of the information on registrations and their associated certification through Edexcel Online.

The QRF and the External Verifier Report will also indicate the level of sanctions that is currently set for the programme. Further information on the approved centre criteria and the related tariff of sanctions is listed in the NVQ Code of Practice.

When programme teams are contacted by their allocated EV, they need to liaise with the EV to make the best use of EV time during visits, so as to ensure that the certification status of their programmes is upheld. Programme teams may use Edexcel Online to check their EV allocation.

19 Amendment to reported success

When unit success has been reported incorrectly, form SA16(BTEC) should be used to report the correct outcomes. This must be signed by the designated individual, as for the SRF, and forwarded to BTEC Registration and Certification Services.

Amendments to unit success requested after the final certificate has been issued must be accompanied by a written explanation, explaining how the error occurred and what steps, if any, have been taken to prevent a recurrence.

Where award documentation has already been issued, the original Certificate of Unit Credit must be returned so that a revised document may be issued.

Where the amendment is to the overall qualification, the original Certificate and Certificate of Unit Credit should be returned.

Any request to amend certificates made more than one month after the certificates were issued will be subject to the Edexcel duplicate award application fee which is applicable at the time the request is made.

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20 Course Assessment Report (CAR) for all programmes

A listing of units reported for all candidates, the Course Assessment Report (CAR), will be produced showing the current status of the candidate. This listing is for reference purposes only and no action needs to be taken by the centre. Any problems will be queried separately by us.

21 Evidence of achievement

Successful completion of all programme requirements will be recognised by the award of an NVQ certificate, as appropriate, together with a back-up document, the Certificate of Unit Credit, which lists all units successfully completed.

Where the candidate does not complete all programme elements, a Certificate of Unit Credit will automatically be issued. It will list all the units which have been successfully completed. This document gives evidence of completion in order that all units successfully achieved may be used as credits in the future. It also allows candidates to retake or add units under the same registration, free of charge, throughout registration validity.

Successful completion of individual units is recognised by the award of a Certificate of Unit Credit, which lists all units satisfactorily completed.

22 Certificate of Unit Credit: NVQ programmes and individual units

A Certificate of Unit Credit will be issued in respect of all candidates registered for an NVQ every time unit success is reported, whether interim or final. The Certificate of Unit Credit will list all units successfully achieved on the registration to date. A candidate may collect a number of Certificate of Unit Credits during completion of an NVQ and each document will be a cumulative record of achievement up to the date of issue.

23 Award date

The award documentation will show the month and year in which a programme was completed. Unless otherwise requested by entry on the final SRF or Edexcel Online, one of five standard months (depending on the date of receipt of the recommendation) will be printed by us on all award documents, as here:

Results received Award date

December—February December

March—April March

May—June May

July—September July

October—November September

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If, for any reason, results were submitted to us late, or the programme was of unusual duration, you can specify any month or year to be entered on the final award by making the appropriate entry when reporting achievement.

The termination of the programme and the appropriate month for inclusion on the final award must be taken as the month in which the total learning process (including the final assessment) was completed, and not the date on which any formal teaching finished.

Note: In order to ensure that the award date is correct, centres are advised to report this date for all candidates who do not complete the programme at the end of the normal academic year. The certificate also shows the issue date as part of the key data at the foot of the certificate.

24 Award list

An awards list will be issued for each programme. Where LSC codes have been reported, a separate list will be produced for each LSC.

Note: In order to provide a list for a specific LSC, you must enter the LSC code against the candidate on registration. (See part 11.2 of this section.)

We also confirm all qualifications, issued by a centre, to each LSC on a monthly basis where you have notified us at the time of registration that a candidate is LSC funded.

25 Acknowledgement of receipt of awards: form SA6

All awards received should be checked for accuracy. The personalised form SA6 awards-receipt acknowledgement is issued with the awards, and must be completed and returned to Edexcel within 14 days to confirm receipt. Any necessary amendments will be made and corrected documents will be sent to you within two weeks of receipt. Amendments requested to a certificate more than one month after the certificate was issued will be subject to Edexcel’s duplicate award application fee at the time of the request.

26 Retention of certificates

If candidates do not collect certificates, it is the centre’s responsibility to retain them for a minimum of 12 months; after this time the centre may then destroy them. However, candidates should be informed that a duplicate award fee will be due if a replacement is then required. Uncollected certificates should not be returned to Edexcel.

27 Outstanding financial obligations to the centre

Centres are reminded that certificates are and remain at all times the property of Edexcel. Where a candidate has been registered and an award has been claimed but he/she has an outstanding financial obligation to the centre and the centre is considering withholding the candidate's certificate until settlement of the financial obligation is made, the centre must always seek the prior consent of Edexcel to withhold the certificate. Edexcel reserves the right not to permit the centre to withhold a certificate.

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The additional charge of a late registration fee can be levied by a centre on a candidate who does not pay the initial registration fee when required to do so. In order to avoid problems, you are advised to ensure that you receive all necessary payments from candidates prior to registration.

28 Centre and programme closures

Centres are reminded that where there is a planned closure of a centre or programmes, it is a requirement that Edexcel is informed of this in writing. This communication should include information as to the proposed plan for candidates who are registered and active as well as those who are enrolled but not yet withdrawn. A progression plan would need to be proposed and agreed with BTEC Quality Standards.

Records should be kept for three years and a plan made of where they will be stored. Records which should be kept are those which allow for an audit trail of the process from registration to certification, including records of assessment and internal verification activities. Retaining records is an obligation for all centres that are approved to offer Edexcel qualifications.

Where there is an unexpected closure, it is important that BTEC Quality Standards is informed as soon as possible and once again as soon as the remedial actions are identified.

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Documents

14 - NVQ - Edexcel · 14 - NVQ 298 Edexcel Information Manual 2007—2008: September 2007 14 1 Key dates 1.1 Registration deadlines For programmes that follow an academic year, ie