D13 - Centre Compliance Manualaofatraining.co.uk/Associates/Downloads/AOFAQSupport/D13 - AoFAQ... · Any and all amendments to policy and procedure which are necessary for the continued

Page No 1 Version 3.2 – 20th June 2014

D13 - Centre Compliance Manual


Contents Page No:

Section 1: Welcome to the AoFAQ Centre Manual ............................................................................. 4

1.1 Purpose & Document Ownership ............................................................................................... 4

1.2 Introducing AoFA Qualifications (AoFAQ) ................................................................................... 5

1.3 You can contact us by: ................................................................................................................ 5

Section 2: Our Products and Services ................................................................................................... 6

2.1 Supporting our Customers .......................................................................................................... 6

2.2 Our Website ................................................................................................................................ 7

2.3 Marketing support for our Centres ............................................................................................. 7

2.4 Qualifications & Programmes ..................................................................................................... 8

2.5 AoFAQ – Pricing Policy ................................................................................................................ 8

Section 3: Programme Administration ............................................................................................... 10

3.1 Terms and Conditions and Contractual responsibilities ........................................................... 10

3.2 Using the AoFAQ name and logo .............................................................................................. 11

3.3 Copyright ................................................................................................................................... 12

Section 4: Helping you to become an approved Centre ..................................................................... 13

4.1 Approval Process ....................................................................................................................... 13

4.2 AoFAQ Training Manager .......................................................................................................... 14

4.3 Withdrawing a Centre’s approval ............................................................................................. 15

4.4 Suspending approval ................................................................................................................. 15

4.5 Changes to your details ............................................................................................................. 15

4.6 Protecting interest of Learners ................................................................................................. 16

4.7 Additions to your bank of approved trainers/assessors/IQA’s ................................................. 17

4.8 Changes to Qualifications ......................................................................................................... 17

4.9 When a Centre is dormant ........................................................................................................ 17

Section 5 - Your internal quality assurance ........................................................................................ 18

5.1 Internal Quality Assurance Cycle .............................................................................................. 18

5.2 Procedures for Training delivery ............................................................................................... 20

5.3 Learner Registration and Certification ...................................................................................... 21

5.4 Reasonable Adjustment ............................................................................................................ 23

5.5 Special Consideration ................................................................................................................ 23

5.6 Application for an Exemption/Equivalence/Recognition of Prior Learning .............................. 23


Section 6: Our External Quality Assurance (EQA) .............................................................................. 24

6.1 Ensuring the Standards of our Qualifications and Units ........................................................... 24

6.2 Centre Self Assessment ................................................................. Error! Bookmark not defined.

6.3 EQA Process .............................................................................................................................. 24

6.4 Moderation Process .................................................................................................................. 26

Section 7: AoFAQ Policies for Centre compliance. ............................................................................. 27

7.1 Bilingual Policy .......................................................................................................................... 27

7.2 Data protection ......................................................................................................................... 27

7.3 Cheating and plagiarism ............................................................................................................ 28

7.4 Equal opportunities ................................................................................................................... 29

7.5 Reasonable adjustments or special consideration ................................................................... 30

7.6 Complaints and Appeals ........................................................................................................... 36

7.7 Malpractice and Maladministration ......................................................................................... 39

7.8 Sanctions Policy ......................................................................................................................... 45

Section 8: Glossary of Terms ............................................................................................................... 45


Section 1: Welcome to the AoFAQ Centre Manual 1.1 Purpose & Document Ownership This manual is for use by AoFAQ Centres, training AoFAQ qualifications. It gives an overview of the

AoFAQ and covers the quality and governance required to become and maintain AoFAQ approval as

an Authorised AoFAQ Centre.

Document Name: Centre Compliance Manual Document Number: D13 Issued to: Signed: Main Point of Accountability at the Centre Any and all amendments to policy and procedure which are necessary for the continued compliance of the Centre shall be notified by prominent notice on the Training Manager by AoFAQ. The named person for the main point of accountability at the Centre will be responsible to ensure the latest version of this manual is in use.


1.2 Introducing AoFA Qualifications (AoFAQ) AoFA Qualifications is the awarding arm of the Association of First Aiders (AoFA), which is UK’s

largest independent first aid association with over 3,500 members.

AoFAQ is a recognised awarding organisation by Ofqual and Welsh Government and is able to offer a

range of regulated qualifications. Underpinning the importance of the qualifications, AoFAQ have

received support from a range of Sector Skills Councils including HSE, Skills for Care and

Development, Skills for Health and Lifelong Learning UK (now LSIS).

1.3 You can contact us by:

Telephone: 01908 610093

Email: [email protected]

Web: www.AoFAQualifications.org

Post: 24 Thomas Drive, Newport Pagnell, Buckinghamshire, MK16 8TH Who to contact: It is AoFAQ policy that all enquiries will be dealt in a clear and friendly manner.

Subject Job Title

• Centre Approvals • Trainer/Assessor/IQA Approvals • Qualification Support • Quality Assurance • Complaints and Appeals • EQA queries

Compliance Administrator

• Certification • Training Manager Support • General Support & Enquiries

Support Officer / Operations

• Invoicing and Accounts queries Accounts Administrator

• Marketing Support and Materials Marketing Assistant

• Regulatory Updates Responsible Officer

mailto:[email protected]


Section 2: Our Products and Services It is our mission to provide our customers including our Centres, their staff and their learners, with the very best of service, support, advice and facilitation. 2.1 Supporting our Customers Centre Support: We will endeavour at all times to provide you (i.e. Centres) with:

• A user-friendly and supportive application process.

• Full technical support in respect of IT and subject matter.

• A dedicated support and download area for your staff.

• A dedicated support and download area for your learners.

• Access to a fully supportive dedicated online area at all times in respect of administration.

• Access to a range of resources that will enhance your delivery, image and service that you offer your customers.

• An assurance of quality in respect of procedures and processes.

• An encouragement to be actively involved in making decisions that will enhance the experience for the learner.

• A turnaround of certificates from receipt of the results within 5 working days.

• Regular seminars and updates of a technical nature to enhance CPD for your instructors.

• Qualifications that have been developed with, and have the support of, (where appropriate) the relevant Sector Skills Council.

• An assurance that our business is conducted in a professional manner at all times, and offering you best value for money.

• Support for your business, enabling you to be successful.

General Support: We will endeavour at all times to:

• Respond to all telephone and e-mail enquiries within 24 hours.

• Ensure a respectful, friendly and supportive attitude at all times to everyone visiting and associated with the company, in whatever capacity.

• To respond to a complaint within 5 working days.

• Listen to and respond positively, in respect of feedback and suggestion.

• Ensure that the staff and associates of the company are appropriately qualified and fit for purpose.

• Provide publications and assessment materials in the Welsh or Irish language, or in an alternative format, where appropriate and on evidence of sufficient demand.


2.2 Our Website To ensure maximum support and guidance is provided to our Centres our website contains the following up to date and essential information:

• Centre manual available for download in PDF format. • Qualification specifications documentations, setting out the aims and objectives, entry

requirements, structure, programme delivery and assessment for each qualification. • Centre resources of a wide range of materials, templates and information to help you deliver

and assess AoFAQ programmes. • Study Guides on our qualifications and programmes. • Guidelines for Endorsed and Development Programmes. • Centre support toolkit – a one-stop-shop of marketing tools including posters, PowerPoint,

DVD and marketing materials to help you promote your business. • Guide to Fees. • Funding information, giving you the latest update on what is available to you both in your

area and nationally. • Centre Newsletters circulated via email to Centres and trainers. • Centre Events programme of schedule of upcoming events throughout the year.

2.3 Marketing support for our Centres AoFA Qualifications have a range of marketing materials and services to help support you as a Centre in providing a professional service to your Customers. These are as follows:

• Access to AoFAQ qualification promotional materials. • Website Centre search – Centre or provider listing on our website accessible to employers

and individual learners. • The ‘Customer Support Toolkit’ to use at sales presentations - ‘Intro to AoFAQ’ PowerPoint

along with promotional posters. • The opportunity to use the AoFAQ name and logo in promotional materials.

Professional development events Throughout the year we run a full programme of seminars/events. These events provide support for our Centres on the following key topics:

• Overview of AoFA Qualifications • Registration and certification processes • Marketing. • Internal quality assurance • Assessment • Learning Strategies

We’re always updating our events programme, so for the most up-to-date information visit: www.AoFAQualifications.org

http://www.aofaq.com/centreevents



2.4 Qualifications & Programmes AoFAQ has a continuingly expanding range of qualifications in the following sectors:

• First Aid / Pre-Hospital

• Trainer / Education / Assessment

• Food Hygiene

• Health & Safety

You can browse the full range of AoFA Qualifications at www.AoFAQualifications.org

2.5 AoFAQ – Pricing Policy Pricing Policy It is the policy of AoFAQ to maintain a pricing structure that is:

• Fair and appropriate, having regard to the qualification and assessment needs. • Clear and transparent, with no hidden extras. • Value for money for Centres, recognising their need to be commercially competitive. • Value for money for Learners, providing an incentive to continued learning.

Price Match AoFAQ will price match, where possible, similar qualifications with other Awarding Organisations. Bespoke non-QCF qualifications AoFAQ supports the development of bespoke courses, by Centres or organisations, for which national qualifications are not available, or not appropriate. Fees for the registration and accreditation of such courses will be determined on application. Approved Centre Logos Approved Centre logo on certificates (up to 2 logos per certificate), subject to the approval of AoFAQ, can be printed on a certificate. This service is free of charge. Postage & Packaging There is no additional charge for the provision of certificates in the UK. An additional charge will be required for postage outside the UK. Provision of manuals will be charged postage on quantity and weight.

http://www.aofaqualifications.org/


Payments Payment must be made by credit/debit card at the time of order or, for business account holders, within 30 days of invoice. Terms are subject to change dependent on Centre performance. We reserve the right to suspend accounts if payment terms are not adhered to. Cheque Make cheques payable to AoFAQ and write your Centre number on the back. Include details of the invoice(s) the cheque covers and send it to: AoFAQ, Finance Department, 24 Thomas Drive, Newport Pagnell, MK16 8TH BACS Send your BACS remittance advice to AoFAQ Finance department, stating our invoice number and the date you made the payment. Please make sure you quote the AOFAQ invoice number on the transfer details. Our bank details are available on request.


Section 3: Programme Administration 3.1 Terms and Conditions and Contractual responsibilities This section sets out our formal terms and conditions and the rules you sign up to when you become an approved Centre. Along with the other documents set out below, they form part of our legal agreement so you need to know them from the start. As a Centre or recognised provider you must at all times: • Operate to the policies, regulations, requirements, procedures and guidelines in this manual. • Comply with our conditions of payment. • Comply with the requirements of any relevant regulatory authority – for example you must

retain records of assessment and internal quality assurance for a rolling period of 4 years. • Comply with national laws and regulations i.e., the Data Protection Act. • When requested, give AoFAQ and the appropriate regulatory bodies access to premises,

meetings, learners and staff, and all relevant documents and data. • Inform us of any changes to the information originally provided for the Centre approval process

which forms the basis of your contract with AoFAQ. This includes changes to personnel involved in the delivery, assessment and internal quality assurance of AoFAQ programmes.

• Keep any confidential information about our business or affairs secure and protected against theft, damage, loss or unauthorised access and not disclose any information of this nature to any other person.

Contractual responsibilities As well as the operating terms and conditions above, you need to understand and meet these contractual responsibilities. The Contract between the Centre and AoFAQ: • Represents the entire understanding between the Centre and AoFAQ and neither party has

entered into it relying on any statement or representation except those contained or referred to in the Contract.

• May only be changed if both the Centre and AoFAQ agree in writing. • A Centre may not transfer its rights to anyone else, or allow anyone else to exercise them

without AoFAQ’s written consent. • The Centre will respond to any reasonable request that we make, for information to help us

check whether the Centre has complied or is complying with its obligations. The Centre’s employees, sub-contractors and agents will provide full and accurate information when such a request is made.

• The Centre will make good any loss that AoFAQ incurs as a result of any action, failure to act, or negligence by the Centre or its employees, sub-contractors or agents.

• Neither the Centre nor AoFAQ is liable to the other for: o anything that is due to circumstances outside their control o loss of profits, goodwill or anticipated savings and/or indirect or consequential loss or

damage.


3.2 Using the AoFAQ name and logo The AoFAQ logo is a registered trademark. It is a sign of excellence and represents quality giving confidence to customers and learners. If you are a registered AoFAQ Centre you can display the logo to let your customers know that you are a partner with AoFA Qualifications.

The AoFAQ logo can be used for the marketing and promotion of AoFAQ qualification and services on the following media:

• Corporate / business stationary – letterhead, compliment slips, business cards, envelopes and other similar stationary.

• On your website pages which relates to AoFA Qualifications and the Centre’s email. • Reports, printed brochures, leaflets • Exhibition stands • Advertising and promotion of AoFAQ accredited qualifications

The conditions set with regard to use of the AoFA Qualifications logo are specified by its Board. The Board has consented to the use of the logo by registered Centres in order to promote your businesses, but insists that certain criteria must be observed in order to prevent infringement of AoFA Qualifications registered copyright.

AoFAQ registered training Centres can obtain an electronic version of the AoFA Qualifications registered training Centre logo, as shown below, for printing and design purposes by contacting AoFA Qualifications.

The logo for AoFA Qualifications registered Centres is to be shown in its original colours or greyscale ONLY as depicted below;

TM TM

PANTONE COLOURS: Dark Green – 5615 (CMYK - C52 M34 Y67 K10) Light Green – 5365 (CMYK - C33 M18 Y47 K0)

There are various resolutions for both printed and web production. It is important to select the correct images to suit your application. You can access the logo via our website or by contacting AoFAQ on 01908 610093 or email [email protected]



3.3 Copyright AoFA Qualifications publications are protected by the Copyright Designs and Patents Act 1988. No part of AoFA Qualifications publications may be copied or reproduced, stored in a retrieval system, issued, adapted or transmitted in part or in whole in any form or by any means without the prior permission of AoFA Qualifications. Materials generated by AoFA Qualifications, eg. Lessons plans, Scheme of Work and PowerPoints are strictly for use on AoFA Qualification courses and must not be used on any other third party courses. AoFAQ PowerPoints are available for purchase for use on third party courses. To purchase please telephone 01908 610093 or email [email protected] Training Materials As a trainer, you may be granted permission to reproduce and adapt materials included in the training packs for use in face-to-face training sessions for AoFA Qualifications. In all cases the copyright is retained by AoFAQ. To obtain permission please telephone 01908 610093 or email [email protected] Copyright and Visual Impairment One exception to the general copyright rule applies to assist visually impaired users who may request permission make whatever transcription, copy or format changes they require to enable personal access to the work, provided that the work is not readily commercially available in a suitable format. Circulation of the AoFAQ Centre Manual The AoFAQ Centre Manual is provided to Centres that are approved by AoFA Qualifications to offer qualifications. They should not be circulated outside the Centre. Every effort has been made to ensure the information contained in this publication is true and correct at the time of publication. However, AoFAQ products and services are subject to continuous development and improvement and the right is reserved to change products and services from time to time. AoFAQ cannot accept liability for loss or damage arising from the use of information in this publication.




Section 4: Helping you to become an approved Centre 4.1 Approval Process AoFAQ operates Centre recognition, qualification and trainer approval process that is based on work initiated by the regulatory authorities and deemed good practice.

Applying for Centre Approval – Forms C1, CQ1 and CT1 New Centres wishing to offer an AoFA Qualification will need to complete the Centre Registration Form (C1), Centre Qualification Form (CQ1) and the Trainer/Assessor Registration Form (CT1). These forms can be obtained on line from our website www.AoFAQualifications.org.

As well as completing the application forms above, the following supporting documents are required to be submitted at the same time:

• Liability insurance • Membership to the AoFA (where applicable) • Organisation chart

For each CT1 Trainer/Assessor/Internal Quality Assurer application form submitted, the following additional evidence must be provided:

• Up to date CVs. • Copy of relevant certificates.

When submitting a CT1 form, please ensure the individuals nominated meet the occupational competence requirements for the qualifications being applied for. If you are unclear on what the occupational competence requirements are, these are detailed in each qualification specification and are available on AoFAQ website. The following policies are required when applying for approvals. Exemplar policies can be found in CS001, provided to Centres upon Approval.

• Health and Safety Policy • Equal Opportunities Policy • Data Protection Policy • Learner Appeals Policy • Complaints Policy • Reasonable Adjustment Policy • Malpractice and Maladministration Policy • Conflict of Interest Policy

Applications must be sent in with all supporting documents and signed by the Head of Centre, otherwise this will delay your Centre application being processed. Applications and documents can be sent in via post or e-mail. Receipt of your application shall be acknowledged within 5 working days.




A review on your application and supporting documents will take place within 14 working days and the Centre will be advised of any additional information required to continue processing your Centre application with AoFAQ. Verifying you for Centre Approval Completed forms are reviewed by AoFAQ to ensure that they have been appropriately completed and all relevant information has been attached. If the Centre is applying for initial Centre recognition AoFAQ will, where considered necessary, assign an External Quality Assurer (EQA) to visit the Centre to ensure that they have the appropriate resources in place to be able to deliver AoFAQ courses in accordance with the qualifications specifications for the qualifications they wish to offer. These are handled on a case by case basis from the information supplied on the Centre registration form and a fee for this service may be levied. In the event that a pre-approval visit is required, only upon receipt of a satisfactory report from the EQA, will AoFAQ recognise the Centre accordingly and approve it to offer the relevant qualification(s) they applied for. We will reserve the right to assign specific conditions to this recognition/approval if required. Visits are not required for ‘qualification approval’ only applications, unless there are concerns about the Centre’s track-record and/or ability to deliver a new qualification type effectively. Notification of Centre Approval Once the relevant forms have been received and are satisfactory we will confirm your approval in writing together with:

• The qualifications you have been granted approval for • Your Centre Number • The invoice, if applicable, for the approval process

Centre approval will normally last for 4 years. Re-approval will follow the same process as the initial approval. During the 4 year period or at re-approval you can apply to add extra qualifications and trainer/assessors to your account. Please be aware that we will require all new Centres to undergo a basic credit check before any form of credit or payment account is offered. In the event that a Centre is unable to supply the details required or fails the credit checking process payments for all services provided by AoFAQ must be made in advance by debit/credit card. 4.2 AoFAQ Training Manager

Upon Centre approval, your Centre details will be registered and given a user name on AoFAQ’s Training Manager.

The Training Manager is an online portal that is provided to all AoFAQ approved Centres to support in the management and delivery of qualifications. The Training Manager consists of the following features:


• Manage courses with external clients/customers • Log of all Trainers/Assessors/Internal Quality Assurers approved by AoFAQ • Register learners • Claim for certification on line • Download printable documents such as qualification specification, learner joiner

instructions, evaluation forms, etc. • Marketing and Business support

A full instruction manual on how to use the Training Manager will be provided to new Centres upon approval.

4.3 Withdrawing a Centre’s approval Centre approval or approval for specific AoFAQ qualification(s) may be withdrawn by our written notice to you at any time if: • The Centre has not complied with the approval criteria, or any of our policies, regulations,

requirements, procedures and guidelines as stated in this Centre Compliance Manual. • There are major deficiencies in the programme operation, including assessment and internal

quality assurance process, and AoFAQ reasonably believes that the Centre can no longer ensure the appropriate quality of its provision.

• Malpractice or maladministration is detected in the Centre. • We lose the right to offer the qualifications the Centre is approved for – for example if the

regulator decides to withdraw our accreditation because of low learner numbers registering for the qualification.

• The Centre does not meet its payment terms, or does not pay us for the services we provide. • The Centre – or any individual agency if the Centre is made up of a group, multiple

delivery/assessment sites or consortium – becomes bankrupt or insolvent or goes into liquidation, or is subject to any voluntary or compulsory winding-up resolution or order.

• There is any change in control of the Centre, or (in the case of multi-site Centre) any change in the membership of the group.

4.4 Suspending approval We may suspend all or any of a Centre’s activities – for example, its ability to register learners, claim certificates or make purchase orders – for a set period, or indefinitely. This may be to give us time to find a remedy for a situation that would otherwise lead to withdrawal. Or it could be because we feel it is the appropriate action to take to protect learners or AoFAQ – for example if the Centre is under investigation. 4.5 Changes to your details You must keep us informed of any changes or potential problems, including:

• Changes to contact details – Centre or contact name, address, email, etc. • Anything that may affect your ability to meet our requirements for delivering or assessing

programmes. • Any changes to the staffing of any programme.


• If you’re planning to run a programme that you haven’t delivered in the previous two years – so we can confirm you are working to the current specification.

• If you intend to stop operating as an AoFAQ Centre. • Major change of Centre ownership.

To inform AoFAQ of any changes use Form C2 Centre Changes Notification Form, which can be obtained on line from our website www.AoFAQualifications.org.

4.6 Protecting Interest of Learners In the event that the Centre withdraws from its role in delivering a qualification, AoFAQ will take reasonable steps to protect the interest of Learners.

Should a centre wish to cease offering any of our qualifications, it should ideally provide AoFAQ with 12 weeks’ notice by submitting a “C27 – Qualification Withdrawal Notification Form” to us via post or email with details of the withdrawal and rationale and details of any learners that may be affected. This form can be downloaded from our website. What We Will Do Next? Upon receipt of the notification the Compliance Administrator will be responsible for taking the request forward and for ensuring that we take all reasonable steps to protect the interests of any learners currently registered on the qualification(s). For example, they will:

• Work with the centre and/or any learners affected by the withdrawal in order to transfer them – where possible and feasible – to another centre to enable them to carry on with the qualification(s) they are registered on.

• If no alternative centres are available/suitable for any learners affected by the withdrawal, and/or the learners do not wish to carry on with the qualification(s), they will seek to ensure the learners are certificated for any units they have completed to date in accordance with the requirements of the associated qualification specification(s).

• Update the centre’s record upon activation of the withdrawal to reflect the fact the centre is no longer approved to offer the qualification(s)

At all times the Compliance Administrator will seek to ensure that all parties affected by the withdrawal are kept appropriately informed throughout. What if Learners are Unhappy with the Situation? If any learners are unhappy with the situation or with how AoFAQ may have dealt with the withdrawal they should contact [email protected] or telephone 01908 610093.





4.7 Additions to your bank of approved trainers/assessors/IQA’s You may as your Centre grows and from time to time wish to utilise the services of additional trainers and/or assessors. You must register all new trainers and or/assessors with us if they did not form part of your initial Centre / qualification approval process. You do this by completing form CT1 (which is downloadable from our website) and returning it to us with:

• Current and up to date CV for the applicant trainer/assessor • Copies of training/teaching certificates for the applicant trainer/assessor • Copies of subject specific certificates for the applicant trainer/assessor • Copy of Form C2 ‘Centre Changes Notification’

4.8 Changes to Qualifications If there are any qualifications that are due to be replaced we will inform you as soon as we have the details so that you may make the changes quickly and with minimum disruption to your Centre’s activities. It is your responsibility to ensure that you convert your approval to cover any new or replacement qualifications. 4.9 When a Centre is dormant Where a Centre is inactive and has no plans for any registrations, AoFAQ agrees with the Centre to withdraw the approval status and give the Centre dormant status. As and when the Centre plans to become active again you will need to contact AoFAQ. If the Centre is still within the 4 year approval period, but has been dormant for 12 months or more, the Centre may need to go through a form of the approval process again, to ensure it still meets the AoFAQ Approved Centre Criteria’s. AoFAQ may charge for this service.


Section 5 - Your Internal Quality Assurance 5.1 Internal Quality Assurance Cycle One of the approval conditions is that you operate your own robust internal quality assurance system, to maintain the consistency and accuracy of assessments. The five key features of effective internal quality assurance systems are that they must:

1. Be planned, to cover a representative sample of assessments. 2. Include the monitoring of assessments and a way of standardising assessment judgements. 3. Support and develop the assessment team. 4. Be accurately recorded to provide a clear audit trail. 5. Be carried out by suitably qualified and competent staff.

1. How to plan your sampling Your sample must present an accurate picture of your assessment quality and include a representative spread across the registered learners. The key points to note when sampling are:

• If you have more than one assessor and/or site, sample base is included from them all. • Work which has been internally quality assured and work that has not. • Learners with borderline marks, special consideration or reasonable adjustment. • The sample base is a pre-determined number of learners.

Recording your assessment plan You must record your plan:

• Plan your internal quality assurance samples for each component of the qualification you are marking and assessing in the Centre.

• Indicate which learners’ work you plan to select for internal quality assurance checks.

2. Monitoring assessments The monitoring process includes: • Observing the assessor in action – for instance, assessing learner workplace performance, or

in activities such as giving presentations. • Evaluating all aspects of their performance – including assessment planning where relevant

giving feedback to the assessors. • Maintaining internal quality assurance records. It should also extend to checking that learners are fully aware of: • The qualification they are working towards and the assessment process. • The progress they’re making towards achievement. • Their right to unit certification (if provided within the qualification). • Their own role in meeting the assessment requirements. • The role of their assessor(s). • The appeals procedure. • How to request additional support for unmet learning needs.


Standardising assessment judgements Standardisation means to ensure there is consistency and fairness across all assessment decisions. Effective standardisation means assessors reaching their own judgements on example assessments, then comparing the results and discussing processes and outcomes to achieve a consensus. Regular standardisation meetings shall take place between assessors to ensure learners are being given a consistent experience and that the Centre is interpreting the qualification and assessment requirements accurately.

3. Supporting and developing your assessment team Supporting and developing your assessment team is a continuous responsibility, and therefore you should ensure that everyone in the assessment team has:

• Copies of the AoFAQ Qualification Specifications and the assessment requirements and/or the relevant national occupational standards.

• All the information the Centre produces on the assessment process, including guidance to learners, records and report forms.

• Information about appeals, equal opportunities, health and safety, quality and any other relevant Centre policies and procedures.

• Information about AoFAQ and the appointed EQAs. • Information on the learners, including special learning/assessment needs.

4. Recording internal quality assurance activities You must record your internal quality assurance activities. AoFAQ are not prescriptive on the format, however we do advise you to adhere to the following guidelines when recording your quality assurance activities:

• Clear, comprehensive and relevant to the programme concerned. • Consistently maintained, with clear comments providing an audit trail. • Signed and dated. • Available to the Centre’s assessors as and when appropriate. • Available to the External Quality Assurer or other AoFAQ representatives on request.

5. Qualified and occupationally competent staff AoFAQ has a requirement that all staff involved in delivering or assessing qualifications, are competent and suitably qualified. It is the Centre’s responsibility to check the qualification and occupational competence requirements for all members of your staff. It is also the Centre’s responsibility to ensure in your staff’s continuous professional development (CPD), including their work to achieve the relevant assessment and quality assurance qualifications. You must keep the originals or validated copies of all certificates on file, with staff’s current personal profiles or CVs, which must show they hold relevant qualifications at an appropriate level, and current or recent relevant occupational experience.


Ensuring the Quality of Trainers/Assessors Each trainer and assessor shall be observed on a 12 month cycle and the observation shall cover, dependent on qualification, a minimum of 2 practical and 2 theoretical sessions or as many sessions as defined by AoFAQ.

In addition AoFAQ Form C13 – Trainer/Assessor Feedback Summary shall be kept for each trainer and assessor. The information entered here will be derived from the learner evaluations as submitted to the Training Manager System.

Unqualified or new staff With new or unqualified staff, any decisions they make, must be countersigned by a qualified assessor or IQA. For AoFAQ to authorise a member of staff you need to send their current CV and copies of certificates, including:

• Their relevant qualifications. • Relevant assessment and quality assurance along with Information on their role within the

Centre and the role they will play in relation to the qualification/programme.

5.2 Procedures for Training delivery Introduction AoFA Qualifications has developed a training delivery so that our Centres and trainers can achieve the highest standards possible. In principle you must apply the following:

Procedures for Centres • Centres must provide pre-course information to all learners, which should include:

o outline the scope and content of the qualification o what will be expected of learners o their rights of appeal o written equality policy o any requirements which are course specific

• Learners should be informed that proof of identity (for example a passport or full UK driving licence) is required to take the examination/assessment.

• Learners should be informed that special needs can be accommodated under the ‘Procedure for reasonable adjustment’.

• All buildings and premises used for training must abide by the relevant health and safety legislation and provide appropriate and safe access for all learners.

• Only employ/subcontract AoFA Qualifications registered trainers to deliver AoFA Qualifications. • Keep appropriate records of all the trainers employed. • Agree to provide AoFA Qualifications and associated regulatory authorities with access to

premises, personnel and records, as and when requested. • Agree to cooperate with AoFA Qualifications auditing procedures. • Inform AoFA Qualifications of any changes to Centre or training personnel details.


Procedures for Trainers The following procedures are guidance for trainers when delivering training: • All trainers should be provided with appropriate pre-course information. These should include:

o joining instructions o details of the venue o course start and finish times o examination/assessment completion date o a course programme with timings o a map of the venue o learner names, register and evaluation (smart sheet) forms o details of any dress code to be observed o health and safety information

• Trainers should ensure that sufficient time will be allocated to cover adequately all proposed course content in accordance with the needs of learners, clients and AoFA Qualifications.

• Each training course should be supported by a written session plan that is reviewed on a regular basis.

• As part of the commitment to ensuring that all learners receive a fair and equal service, trainers must assess individual learner requirements with regard to the following categories:

o a permanent or long-term disability, medical condition, or specific learning need o a temporary disability, medical condition or specific learning need o indisposition at the time of the examination/assessment o English being a second or additional language

However, trainers should note that it is the Centre’s responsibility to ensure that all learners requiring reasonable adjustment or special consideration are satisfied.

• Trainers should keep their knowledge up to date and ensure that any changes in legislation or policy are incorporated into the training resources.

• Trainers are responsible for maintaining records of their training, which supports their evaluation processes to maintain standards.

• Trainers should provide learners with an AoFAQ end of course evaluation form to determine their perception of the venue, content and delivery.

• All evaluation strategies should be considered as part of the training provider’s review process. Noted areas for improvement should lead to appropriate corrective action being taken. Notes on the review and on corrective actions must be retained for a minimum of 4 years.

5.3 Learner Registration and Certification Course Registration Course registration is an online activity via the AoFAQ Training Manager System. Courses shall be booked onto this system, where possible not less than 10 working days prior to the delivery of the training.

Training must not be carried out prior to entering course information on the Training Manager.

Once the course has been registered the following documents shall be downloaded from the AoFAQ Training Manager System prior to the commencement of the training activity:


• Register of Attendance • Evaluation Feedback Forms (learner ‘happy sheets’) • Assessor Questionnaires (as applicable to the qualification concerned) • Examination Papers/Logbooks (as applicable to the qualification concerned)

Registering Learners Learner details shall be entered on to the Training Manager System not less than 5 working days prior to the delivery of the training. AoFAQ appreciate however this is often not possible and learners should be registered as soon as possible thereafter.

The identity of each learner shall be verified and logged on AoFAQ Form C4 Learner Registration Form, along with the following information which shall also be entered into the Training Manager System;

• Learners first, middle names and last name • Learners previous name (if applicable – i.e. maiden name) • Learners full postal address (required unless for security purposes or where a learner

declines) • Learner Date of Birth • ULN (if applicable) • Email address (where possible)

This applies regardless of whether the course is a corporate/closed course or a public entry/open course.

Certification Requests The outcome (pass or fail) for each learner shall be logged on the AoFAQ Training Manager System along with the details as provided by the learners on the Evaluation Feedback Forms. This action then completes the Training Manager System and enables AoFAQ to print the certificates for the successful learners. In this instance there is no additional form to complete for the request of certificates.

On receipt of certificates, details shall be checked for correctness. Any errors or omissions shall be notified to AoFAQ using Form C6 Replacement Certificate Request.

Certification Each Centre will nominate personnel who will be authorised to check and submit course registration particulars. These Centre staff are responsible for ensuring that the course has been delivered effectively and that the learner has completed the relevant parts of the course. In particular they will check course paperwork and AoFAQ Training Manager system to ensure it has been fully and correctly completed, including:

• That result information matches course registration particulars. • Only registered trainers, assessors and IQAs were involved in the delivery. • The correct AoFAQ paperwork was used. • Learner details are fully and correctly completed.


• Investigating any suspicious entries or reasons for omissions of key data, resolving any issues with the relevant trainer, assessor and/or IQA and when required raising the matter with AoFAQ.

Only when satisfied should they make a claim for certification to AoFAQ. Replacement/Reprinted Certification Requests Should a replacement certificate be required for any reason then AoFAQ Form C6 - Replacement Certificate Request From shall be downloaded, completed and returned to AoFAQ. All requests will be reviewed by AoFAQ, upon satisfaction that the claim is valid the AoFAQ will authorise the issue of a replacement certificate that will be an exact replica of the original certificate with the key exception being the words “Replacement” being clearly visible on the certificate. The only exception to this being where a learner has not received their original certificate or where the Learner’s name has been spelt incorrectly. Original certificates shall be returned to AoFAQ or held securely within the Centre for EQA inspection. All correct certificated shall be signed by the Centre Responsible Officer and sent to the Client/Learner within 5 working days.

5.4 Reasonable Adjustment For some learners the usual format of assessment may not be suitable, in this instance AoFAQ Form C7 Reasonable Adjustment request shall be completed. Requests for Reasonable Adjustment shall be made to AoFAQ no later than 10 working days prior to the commencement of training.

5.5 Special Consideration Special Consideration is applicable to a learner who, on the day of their examination/assessment, has temporary illness, injury or other adverse circumstances. Requests for Special Consideration shall be made using AoFAQ Form C8 – Special Consideration Request, which can be accessed via our website. Special Consideration Requests must not result in an unfair advantage and should be applied for no later than 5 working days after the assessment.

5.6 Application for an Exemption/Equivalence/Recognition of Prior

Learning For some qualifications offered by AoFAQ, it is possible for learners to have recognised relevant prior learning (RPL), which may lead to an exemption from undertaking certain parts of the course as the RPL is equivalent to the unit affected. If this is the case AoFAQ Form C12 – Application for Exemption/Equivalence/RPL shall be completed, which can be accessed via our website.


Section 6: Our External Quality Assurance (EQA) 6.1 Ensuring the Standards of our Qualifications and Units

AoFAQ has a responsibility to learners taking our qualifications and to the UK regulatory authorities to ensure that Centres deliver our qualifications and units in accordance with relevant national standards. In addition to helping Centres successfully deliver our qualifications and providing guidance in relation to developments within AoFAQ and the wider education and funding systems, the EQAs are responsible for ensuring that each Centre has appropriate quality assurance systems in place. 6.2 EQA Process In line with Ofqual requirements AoFAQ operate a risk based approach to EQA.

An EQA will only visit a Centre if there is indication that there is a need for such a visit to take place. In addition, Centres which are already approved by another Awarding Organisation must supply a copy of the most recent EQA visit report which may have been carried out by the other Awarding Organisation. This will be used in conjunction with the Centre application to determine risks posed and therefore the ongoing requirement for an AoFAQ EQA visit.

An EQA will normally assure the quality of delivery by engaging with Centres, working in partnership with you to monitor performance. The purposes of which are to:

• address any queries the Centre may have • update the Centre on relevant AoFAQ or sector developments • review various arrangements at the Centre, which may include:

o the induction arrangements for learners o the administration arrangements in place at the Centre and learner and

assessor records o that staff have the appropriate expertise and competence o the appropriateness of the Centre’s various policies and procedures o the appropriate planning and delivery of each qualification – including at

various sub/satellite sites where applicable o the assessment methods used, decisions made and the recording of learner

evidence o the approach and management of the Centre’s assessment, internal quality

assurance and standardisation arrangements o the appropriateness of the qualification delivery arrangements o the Centre’s arrangements to prevent malpractice or maladministration from

occurring


o the Centre’s compliance with the terms and conditions of their AoFAQ recognition status

After the visit the EQA will produce a report that will be sent to the Centre. The report will include:

• Details of the areas covered during the visit and the associated findings and current level of operational compliance at the Centre

• Details of any assessment decisions that have been overturned if they feel that an assessment decision made by an assessor/internal marker may be inaccurate and/or inconsistent.

• Actions, if applicable, the Centre will need to address (each action will have a deadline date assigned)

• Where serious weaknesses are found, details of any recommended sanctions, along with rationale, to be imposed by AoFAQ.

Upon receiving the report the Centre will have the opportunity to review its factual accuracy and will be encouraged to provide feedback on the:

• conduct of the EQA • findings and outcomes of the visit (if the Centre disagrees with any of the findings

and the matter cannot be resolved with the EQA, they then have the opportunity to raise the matter with AoFAQ through the arrangements outlined in our Enquiries and Appeals policy)

• services and/or support offered by AoFAQ As an integral part of the AoFAQ Training Manager system, qualification outcomes and evaluation feedback scores are statistically monitored to help determine the requirement for External Quality Assurer monitoring. An EQA will be allocated to Centres depending on their area of expertise and geographical location. AoFAQ Qualifications Manager is responsible for the allocation process and will ensure that an EQA will not be allocated to a Centre at which they have had or have a personal interest.

Once the visit date has been agreed the External Quality Assurer will contact the Centre to outline the activities they propose to undertake. The Centre will be required to ensure that the appropriate members of staff attend the meeting, all requested documentation is provided and access to course and staff records are available. Other records that may be reviewed include:

• Course register • Assessment Papers • Learner registration forms

The EQA will also carry out random checks on records of Assessors and IQAs to ensure valid qualifications are held, or were held at the time of delivering or assessing a course.


The EQA will give an oral summary report at the end of the visit indicating any particular weaknesses found and remedial action required. This will be confirmed in a subsequent written report. If a serious weakness is found, the EQA will issue an Action Plan that may request the provision of further evidence and/or particular action to be taken within a prescribed time frame. If a serious weakness is found AoFAQ reserves the right to withdraw or restrict Approved Centre status, permanently or temporarily. It shall be noted that EQA contact is not limited to physical visits. EQA’s will make use of the technology available to them via AoFAQ and will conduct a web meeting with each Centre they are assigned within two months of receiving such an assignment. In addition to EQA visits and web meetings, AoFAQ reserves the right to carry out other pre-arranged or unannounced visits in the interests of ensuring the maintenance of quality standards. Such visits may be undertaken by the External Quality Assurer or other representative(s) from AoFAQ. Please note that all records must be maintained for a period of 3 years minimum and that an EQA visit may take place within six month of de-registrations. If the Centre is unhappy with the conduct or outcome of a quality assurance visit the matter should be taken up through our Appeals process as stated within this Centre Compliance Manual and by completing and returning C9 Appeals and Enquiry Form which can be accessed via our website.

6.3 Moderation Process Where a qualification is marked by the Centre or where the qualification requires moderation AoFAQ will undertake moderation of the qualification and will request support from the Centre relating to all relevant learner materials and assessment information.


Section 7: AoFAQ Policies for Centre compliance. 7.1 Bilingual Policy AoFAQ intends to offer its qualifications and units in England, Wales, and Northern Ireland for the foreseeable future. We are aware of the regulatory authorities’ requirements for offering qualifications and assessments in other languages where required. Therefore, AoFAQ undertakes to provide such materials in other languages, most notably Welsh and British Sign Language where appropriate and on evidence of sufficient demand. In doing so commit to: • Engaging with DfES to procure approved Welsh translators and/or details of individuals who will

be able to help and in doing so look to access, if appropriate, relevant funding available for such delivery in Wales.

• Identify and engage with any other relevant national body in relation to identifying appropriate resources to help us support the delivery of our provision in a language other than English.

In implementing any arrangements to support other languages, we will engage with the relevant regulatory body to seek further advice and guidance on the most appropriate arrangements to put in place to ensure comparability of assessments, moderation and awarding. For units or qualifications designed for the workplace, assessments will normally be available in English or Welsh only. Assessments in other languages will only be allowed where proficiency in English or Welsh is not required in the workplace for individuals to be deemed capable of carrying out the role associated with the qualification. 7.2 Data protection This policy applies to AoFAQ approved Centres under the Data Protection Act, 1998. In the course of dealings with AoFAQ, we may need you to provide us with personal data in relation to your Centre employees, contractors, registered learners and customers. Your legal responsibilities and compliance

• You have a legal requirement under the Data Protection Act 1998 to let your data subjects know what you do with the personal information they provide you with.

• To comply with your legal requirements when you are collecting data from data subjects, you must produce a data protection notice. A sample data protection policy is available for you to download from our website.

• You must make it clear to your learners and staff that AoFAQ may use or otherwise process Personal Data and Sensitive Personal Data, for the following purposes:

o Staff, Agent and Contractor Administration o General Advice Services o Accounts & Records


o Education Training o Learner and Staff Support Services o Research o Use by Health & Safety Executive for monitoring and approvals o To meet statutory duties o Qualification Awarding Organisations for monitoring and approvals o Approval and monitoring bodies and organisations for monitoring and approvals o Learners Employer or Engager for statutory duties or training provision o Training & Qualification verification o Omissions, amendments and updates

• As a Centre you must ensure that the Personal Data and Sensitive Personal Data you hold is accurate and up to date. You must inform AoFAQ of any amendments to records immediately. These include the following:

o There is any change or correction to any Personal Data or Sensitive Personal Data that you previously disclosed to AoFAQ

o You delete or otherwise archive any Personal Data or Sensitive Personal Data for a Data Subject whose records you have already sent to AOFAQ

o A Data Subject exercises their right to opt out of or refuse processing.

The Centre is responsible to AoFAQ for any loss we may suffer as a result of a Centre’s failure to comply with the Act, or any of the obligations set out in this policy.

7.3 Cheating and Plagiarism Plagiarism is when a learner presents or passes off someone else’s work as if it is their own. It could include: • Presenting the whole or parts of published or unpublished works as their own, without giving

credit to the source by using an approved academic referencing convention. • Paraphrasing the writings or ideas of another, without giving credit to the source by using an

approved academic referencing convention. • Copying the work of another past or present learner. As an approved AoFAQ Centre you must ensure that you have taken measures to prevent your learners from resorting to plagiarism. It is your responsibility to explain to your learners what plagiarism is, how to deal with it, and the correct way to acknowledge someone else’s work. How we deal with plagiarism In a case of minor plagiarism we may require the learner to redo all or some of an assessment, and then if the subsequent work is of an acceptable standard we may decide to award the minimum pass mark for that assessment component. If it is proved that the learner committed a major act of plagiarism, we discuss the situation with all the relevant parties and may decide to withhold certification, or provide only unit certification in the case of full-length qualifications. Your internal plagiarism policy Your own plagiarism policy must include details of:


• How you inform learners about what plagiarism is, and how you deal with it. • The person responsible for dealing with incidents of plagiarism in the Centre – including keeping

the suspected learner updated with progress, and informing them of the final ruling, and explaining their right to appeal.

• The actions/stages in the internal investigation if plagiarism is suspected, including the point at which the learner is told of the suspicion/investigation.

• When to report an incident to the AoFAQ and the format the report should be in. • The timescale for completing an investigation. • How to document and record the final ruling, and prepare a copy for the learner. • The record-keeping arrangements for all instances of suspected and/or proven plagiarism. • The sanctions for minor plagiarism – for example the learner may be requested to redo all or

some of an assessment, and then if the subsequent work is of an acceptable standard, may be awarded the minimum pass mark for that assessment component.

• Learners who commit, or are suspected of committing, acts of major plagiarism MUST be reported to AoFAQ.

7.4 Equal opportunities AoFAQ is an equal opportunities organisation and we expect our Centres to perform likewise.

There shall be no discrimination on the grounds of gender, marital status, race, disability, age, religion, and sexual orientation. Centres shall have a policy to comply with these intentions. What we require of all Approved Centres One of our approval conditions is that your Centre adopts, implements and monitors an equal opportunities policy. It must be a sound and solid overarching policy that meets the requirement of national cultural and disability legislation, and the requirements of the regulatory authorities. The following paragraphs give guidance on the issues that must be covered in your policy. It is guidance, and is not intended to be legally accurate nor does it constitute legal advice: • Incorporate specific and appropriate duties in respect of implementing the equal opportunities

policy into the work objectives of all staff. • Provide equality training and guidance as appropriate including training on induction as well as

further on-going courses as identified via your internal management and review arrangements. • Communicate, as appropriate, this policy to employees and all those associated with the services

provided by particular Centres. • Ensure that the policy is applied in all aspects of your activities. • Ensure that there are no barriers to entry to units and qualifications it develops and delivers

and/or offers for disabled people, for women or men, or people from different racial groups, other than those directly related to the integrity of units or qualifications. The nature of any barriers will be stated and the inclusion of the requirements that create the barrier justified only and explicitly in terms of the integrity of unit or the qualification. Any details of how the effect of any barriers will be mitigated, including using access arrangements, including reasonable adjustments, will be recorded.

• Make every practical effort to ensure that materials, services and facilities are not only free from bias but will also support Centre employees and learners in maximising employment and personal development opportunities.


How we monitor your approach to equal opportunities AoFAQ will comply with all current and relevant legislation and this policy will be monitored and reviewed annually. Relevant legislation, which at the time of writing includes, but is not limited to, the Equality Act 2010. As part of the monitoring of learners registering for an AoFAQ qualification we will collect information on diversity, requests for special considerations and reasonable adjustments, access arrangements and feedback from learners, Centres and other stakeholders. All relevant issues identified that suggest that our provision or services may have unnecessarily impacted on learners will be reported back to the Responsible Officer who will be responsible for leading on introducing amendments to provision and/or services where necessary and in accordance with our documented procedures for developing and reviewing units and qualifications. Details of the outcomes of each review will be made available to the qualification regulators upon request.

7.5 Reasonable Adjustments or Special Consideration AoFAQ is committed to complying with all current and relevant legislation in relation to the development and delivery of our qualifications and, which at the time of writing includes, but is not limited to the Equality Act 2010. We seek to uphold human rights relating to race relations, disability discrimination and special educational needs of our learners and to provide equal reasonable adjustments and special considerations for all learners registered on our qualifications. As a recognised Centre, we expect you to have a fair access to assessment policy in operation, which reflects the following principles and guidelines. Assessments should be a fair test of learners’ knowledge and what they are able to do, however, for some learners the usual format of assessment may not be suitable. We ensure that our qualifications and assessments do not bar learners from taking our qualifications. We recognise that reasonable adjustments or special considerations may be required at the time of assessment where:

• learners have a permanent disability or specific learning needs • learners have a temporary disability, medical condition or learning needs • learners are indisposed at the time of the assessment.

The provision for reasonable adjustments and special consideration arrangements is made to ensure that learners receive recognition of their achievement so long as the equity, validity and reliability of the assessments can be assured. Such arrangements are neither concessions to make assessment easier for learners, nor advantages to give learners a head start. There are 2 ways in which access to fair assessment can be maintained:

• through reasonable adjustments and • through special considerations.


Process for Requesting Reasonable Adjustments and/or Special Considerations If a Centre is making a request on behalf of its learners it should complete a Reasonable Adjustments or a Special Consideration request form (Forms C7 and C8 respectively) which can be downloaded from www.AoFAQualifications.org) and in doing so supply relevant supporting information. For example:

• learner’s name and AoFA registration number • nature of, and rationale for, the request • supporting information/evidence (e.g. medical evidence or a statement from the invigilator

or any other appropriate information) Requests for reasonable adjustments should be submitted no later than 10 working days before the assessment. Requests for special consideration should be submitted as soon as possible after the assessment and not later than 5 working days after the assessment. Requests for special consideration may only be accepted after the results of assessment have been released in the following circumstances:

• application has been overlooked at the Centre and the oversight is confirmed by the Centre co-coordinator.

• medical evidence comes to light about a learner’s condition, which demonstrates that the learner must have been affected by the condition at the time of the assessment, even though the problem revealed itself only after the assessment.

If the application for special consideration is successful, the learner’s performance will be reviewed in light of available evidence. It should be noted that a successful application of special consideration will not necessarily change a learner’s result. Definition of Reasonable Adjustments A reasonable adjustment is any action that helps to reduce the effect of a disability or difficulty that places the learner at a substantial disadvantage in the assessment situation. They are made to an assessment for a qualification to enable a disabled learner to demonstrate his or her knowledge, skills and understanding of the levels of attainment required by the specification for that qualification. Reasonable adjustments must not affect the integrity of what needs to be assessed, but may involve:

• changing usual assessment arrangements, for example allowing a learner extra time to complete the assessment activity.

• adapting assessment materials, such as providing materials in Braille. • providing assistance during assessment, such as a sign language interpreter or a reader. • re-organising the assessment room, such as removing visual stimuli for an autistic learner. • changing the assessment method, for example from a written assessment to a spoken

assessment. • using assistive technology, such as screen reading or voice activated software.


• providing the mechanism to have different colour backgrounds to screens for onscreen assessments or asking for permission for copying to different coloured paper for paper-based assessments.

• providing and allowing different coloured transparencies with which to view assessment papers.

Reasonable adjustments are approved or set in place before the assessment activity takes place; they constitute an arrangement to give the learner access to the programme. The use of a reasonable adjustment will not be taken into consideration during the assessment of a learner’s work. AoFAQ and Centres are only required by law to do what is ‘reasonable’ in terms of giving access. What is reasonable will depend on the individual circumstances, cost implications and the practicality and effectiveness of the adjustment. Other factors, such as the need to maintain competence standards and health and safety, will also be taken into consideration. Definition of Special Consideration Special consideration can be applied after an assessment if there was a reason the learner may have been disadvantaged during the assessment. For example, special consideration could apply to a learner who had temporarily experienced:

• an illness or injury • some other event outside of their control

And which has had, or is likely to have had, a material effect on that learner’s ability to take an assessment or demonstrate his or her level of attainment in an assessment. Special consideration should not give the learner an unfair advantage; neither should its use cause the user of the certificate to be misled regarding a learner’s achievements. The learner’s result must reflect their achievement in the assessment and not necessarily their potential ability. Special consideration, if successful, may result in a small post-assessment adjustment to the mark of the learner. The size of the adjustment will depend on the circumstances and reflect the difficulty faced by the learner. Centres should note that:

• where an assessment requires the learner to demonstrate practical competence or where criteria have to be met in full, or in the case of qualifications that confer a License to Practice, it may not be possible to apply special consideration.

Making reasonable adjustments Adjustments to assessments: • Should not invalidate the assessment requirements of the qualification. • Should not give the learner an unfair advantage. • Should reflect the learner’s normal way of working. • Should be based on the individual need of the learner.


• Should not jeopardise the integrity of the qualification that may be awarded. These principles should be followed when making decisions about a learner’s need for adjustments to assessment. We and our Centres have a responsibility to ensure that the process of assessment is robust and fair and allows the learner to show what they know and can do without compromising the assessment criteria. When considering whether an adjustment to assessment is appropriate, AoFAQ and our Centres need to bear in mind the following: • Learners should potentially be able to achieve the assessment requirements. Adjustments to

assessment should not compensate the learner for lack of knowledge and skills. The learner must be able to cope with the content of the assessment and be able to work at the level required for the assessment.

• Any adjustment to assessment must not invalidate the assessment requirements of the

qualification/award or the requirements of the assessment strategy. Competence standards should not be altered. Please note that whilst we will take all reasonable steps to ensure that learners with a disability or difficulty are not placed at a substantial disadvantage in terms of access to assessment, we are not required to make any adjustment to a provision, criterion or practice which is defined as a competence standard. All learners’ performance will be assessed against set standards. These standards cannot be altered, but it may be possible to change the delivery or process of assessment so that each learner has an equal opportunity to demonstrate what they know and can do.

• Any adjustment to assessment must not give the learner an unfair advantage nor should it

disadvantage the learner. The qualification of a learner who had an adjustment to assessment must have the same credibility as that of any other learner. As some of our qualifications may lead to employment, achievement of such qualifications must give a realistic indication to the potential employer of what the holder of the certificate can do.

• Any adjustment to assessment must be based on the individual need of the learner. Decisions

about adjustments to assessment should be taken after careful consideration of the assessment needs of each individual learner, the assessment requirements of the qualification and the nature and extent of the support given as part of normal teaching practice. Centres should not assume that the same adjustment will be required for all assessments. Different qualifications and different methods of assessments can make different demands on the learner. Learners should be consulted throughout the process.

• Any adjustment to assessment should reflect the learner’s normal way of working providing this

does not affect what is being assessed in any way. The learner should have experience of and practice in the use of the adjustment.


• Arrangements for reasonable adjustments for the internal assessment must ensure that the resulting learner’s evidence:

o meets the performance criteria. o is assessable. o is capable of internal verification/moderation and external verification/moderation.

Adjustments that can be made by our Centres without prior authorisation from AoFAQ The following arrangements may be implemented by you for both the internal and external assessment components without prior application to us. If you implement any arrangements for the internal assessment please ensure they’re clearly referenced in the relevant learner work (e.g. portfolio) so the External Quality Assurer can see this when they visit. Learners who have a learning difficulty e.g. dyslexia: • Use of a reader • Use of a scribe • Use of audio-cassettes • Use of a speech synthesiser • Use of word-processing or transcription packages/typewriters (except where hand writing is an

assessment objective) • Use of coloured overlays

Learners who have a hearing impairment: • Use of a communicator/interpreter • Use of mechanical/electronic aids • Use of any other suitable aids (recommended by a teacher of the hearing impaired)

Learners who have a visual impairment: • Use of a reader • Use of a scribe • Use of mechanical/electronic aids (e.g. audiotape, speech synthesiser) • Use of coloured overlays

Learners who have a permanent physical impairment: • Use of a reader • Use of a scribe and/or interpreter • Use of mechanical/electronic aids • Use of an assistant in practical tasks

Learners who have a medical condition or temporary injury: • Use of a reader and/or scribe and/or interpreter • Use of mechanical/electronic aids • Use of an assistant in practical tasks


Changing an assessment room Minor changes to the organisation of the assessment room may benefit some learners with autistic spectrum disorder, with visual or hearing impairment or with physical difficulties. For example: • Visually impaired learners may benefit from sitting near a window so that they have good

lighting. • Hearing impaired learners may benefit from being seated near the front of the room. • Removing visual/noise stimuli, such as a ticking clock, from the room.

Learners who require extra time and/or rest brakes Except where performance within a specific timescale is an assessment objective, you are empowered to grant additional time up to a maximum of 25% of external assessment time, and/or rest breaks, to learners with particular requirements and where you have appropriate evidence of the need. You can manage this yourself and don’t need to inform AoFAQ beforehand although it does need to be noted with the claim for certification after the assessment. If the learner requires more than 25% extra time you’ll need to complete the request form and return it to us for approval. Learners who require separate invigilation Arrangements for the separate invigilation of any learner may be made at your discretion. Any invigilation arrangements for such learners should not advantage or disadvantage these learners over other learners. Please note anyone involved in implementing Reasonable Adjustments; such as a reader, scribe or interpreter (although please see the further guidance below on the use of foreign languages) should be employed by the Centre but not involved in the course delivery. In using such individuals you must ensure that they are not providing any additional help to the learner. Learners whose first language is not English or Welsh Please note for units or qualifications designed for the workplace assessments must normally only be available in English or Welsh or only. Assessments in other languages will only be allowed where proficiency in English or Welsh is not required in the workplace for individuals to be deemed capable of carrying out the role (associated with the qualification). At all times requests for reasonable adjustments in relation to the use of other languages must be approved by AoFAQ in advance. Reviewing your request When we receive your application, we’ll review it and let you know our decision within 48 hours of receipt. If our review is going to take longer, we’ll contact you to let you know what we intend to do.


7.6 Complaints and Appeals

Complaints about AoFAQ For any complaints about AoFAQ, the Centre will need to put in writing and send this to AoFAQ, 24 Thomas Drive, Newport Pagnell, MK16 8TH. The letter should include:

• Brief explanation of the complaint • When the complaint occurred • Who is raising the complaint AoFAQ will investigate, except for anything: • That happened more than 30 working days before the matter is raised • Involving another awarding organisation • Involving points of law • That is or should be dealt with under an employer’s disciplinary or grievance procedures. Where appropriate, AoFAQ will put in writing the findings from its investigations and any required actions within 30 days of receipt of complaints. Appeals

Your internal appeals procedure As a Centre you must have a sound internal appeals procedure, in case a problem, disagreement, dispute or complaint cannot be resolved informally between you and your learners. Your internal appeals procedure must state very clearly:

• The stages in the procedure. • Exactly who – or which position in the Centre – the person wanting to appeal should refer

their issue to. • What form the appeal should be in – for example, in writing. • Any time limits for lodging an appeal, and the timescale for the Centre to respond (generally

given in ‘working days’). • The objective and independent process the Centre will use to respond to the appeal –

possibly an appeals panel, consideration by a named individual, or some other appropriate alternative.

• Any support or representation the appellant may bring to the appeal. • How the Centre notifies the appellant of the outcome. • The written records and evidence the Centre keeps, and for how long.


Escalation to AoFAQ - Process for raising an enquiry or appeal You (and your learners) have 4 weeks from the date we notified you of the outcome in which to lodge an appeal against our decision or an enquiry. Hence please advise your learners/staff to retain their course evidence until they receive their result. If you appeal on behalf of your learners please obtain the learners’ permission in the first instance. Learners who wish to appeal about their assessment results or about a decision affecting their learning should either be supported by your Centre or should have exhausted your Centre’s own appeals process before appealing to us. In the latter case, learners must provide us with evidence that they have first appealed to your Centre. It is expected that learners will only appeal directly to us in exceptional circumstances. Please complete the AoFAQ Appeals/Enquiries Form C9, which is available from our website or on request by telephone 01908 610093. Alternatively, you may submit your own report accompanied with documents and supporting evidence. Reports must include:

• Centre name, address and number • learner’s name and AoFAQ registration number • date(s) you or the learner received notification of AoFAQ’s decision • title and number of the AoFAQ qualification affected or nature of service affected • full nature of the appeal or enquiry about a result • contents and outcome of any investigation carried out by you or the learner relating to the

issue • date of the report and the appellant’s name, position and signature

What AoFAQ will do next

• We’ll acknowledge your enquiry/appeal within 10 working days of receipt. • We’ll arrange for appropriate independent AoFAQ personnel to review your enquiry/appeal

– someone who has not had any previous involvement in the matter and does not have a personal interest in the decision being appealed.

• We aim to have reviewed the enquiry/appeal and respond to you within 20 working days of receipt of your report. Please note that in some cases the review and appeals processes may take longer, for example, if a Centre visit is required. In such instances, we will contact all parties concerned to inform them of the likely revised timescale.

• We will inform you of the outcome within 5 working days of making our decision. Following the initial review of the potential appeal we will write to you with details of our decision to either:

1. amend our original decision in light of the new rationale/evidence being put forward and which has now been reviewed

2. to confirm we stand by our original decision and in doing so the rationale for this decisions and request that you confirm, within 15 days, whether you now accept this decision or if wish to formally proceed to our formal appeals process, carried out by our Appeals Panel.


Appealing the outcome of our review If you or your learners are dissatisfied with the outcome of our review of your enquiry/appeal, you may apply to our Appeals Panel, which will comprise, as appropriate:

• Compliance Administrator • Ad-Hoc Board Members as appropriate

We will arrange for the panel to review the case and we’ll let you know the outcome of the review. The review process may involve:

• A discussion with you or the learner and AoFAQ personnel • A request for further information from you, the learner or AoFAQ personnel • A Centre visit by authorised AoFAQ personnel • In cases where panel decisions are required, the majority vote will apply

Seeking an independent review If you are unhappy with the decisions of the review panel and the case is still unresolved, we’ll arrange for an independent review to be carried out. This will be carried out by someone who is not an employee of ours, an assessor working for us, or otherwise connected to our organisation. They will also be someone with the relevant competence to make a decision in relation to the appeal and will have not a personal interest in the decision being appealed. The Independent Reviewer will review all the evidence which took place in the above stages and review if we have applied our procedures fairly, appropriately and consistently in line with our policy. The independent review process may involve:

• A discussion with you or the learner and AoFAQ personnel • A request for further information from you, the learner or AoFAQ personnel • A Centre visit by authorised AoFAQ personnel.

The Independent Reviewer’s decision is final in relation to how AoFAQ will consider such appeals and we will let you know the outcome of the review within 20 days of receipt of the request for Independent Review. If the centre/learner is still unhappy with the outcome at this stage they are entitled to raise the matter with the relevant qualification regulator. Successful Appeals and/or Issues Bought to Our Attention by Ofqual In situations where an appeal has been successful, or where an investigation following notification from Ofqual indicates a failure in our processes, AoFAQ will give due consideration to the outcome and will as appropriate take actions such as:

• amending the profile record of the centre concerned. • identifying any other learners who have been affected correct or, where it cannot be

corrected, mitigate as far as possible the effect of the failure (e.g. and amend the results for the learner(s) affected following an appropriate investigation).

• reviewing our associated processes and policies to ensure that the ‘failure’ does not occur again or mitigate the situation as far as possible if the failure that occurred cannot be corrected.


We will also cooperate with any follow-up investigations required by the qualifications regulators (e.g. Ofqual) and if appropriate agree any remedial action with them. Fees We will only charge you or your learners a fee to cover the administrative and personnel costs in the following instances:

• If the appeal or enquiry about a result is not upheld. • In the case of group appeals, for those learners whose results do not change.

A deposit may be required prior to commencement of an Appeal.

7.7 Malpractice and Maladministration This policy is aimed at our Centres, including learners, who are delivering/registered on AoFAQ approved qualifications or units within or outside the UK and who are involved in suspected or actual malpractice/maladministration. It is also for use by our staff to ensure they deal with all malpractice and maladministration investigations in a consistent manner. It sets out the steps Centres and learners or other personnel must follow when reporting suspected or actual cases of malpractice/maladministration and our responsibilities in dealing with such cases. It also sets out the procedural steps we will follow when reviewing the cases. Centre Responsibility It is important that your staff involved in the management, assessment and quality assurance of our qualifications, and your learners, are fully aware of the contents of the policy and that your Centre has arrangements in place to prevent and investigate instances of malpractice and maladministration. A failure to report suspected or actual malpractice/maladministration cases or have in place effective arrangements to prevent such cases, may lead to sanctions being imposed on your Centre. If you wish to receive guidance/advice from us on how to prevent, investigate, and deal with malpractice and maladministration then please contact us and we will happily provide you with such advice and/or guidance. Your Centre’s compliance with this policy and how it takes reasonable steps to prevent and/or investigate instances of malpractice and maladministration will be reviewed by AoFAQ periodically through our ongoing Centre monitoring arrangements. Definition of Malpractice Malpractice is essentially any activity or practice which deliberately contravenes regulations and compromises the integrity of the internal or external assessment process and/or the validity of certificates. Malpractice may include a range of issues from the failure to maintain appropriate records or systems to the deliberate falsification of records in order to claim certificates.


For the purpose of this policy this term also covers misconduct and forms of unnecessary discrimination or bias towards a specific learner or group of learners. Definition of Maladministration Maladministration is essentially any activity or practice which results in non-compliance with administrative regulations and requirements and includes the application of persistent mistakes or poor administration within a Centre (e.g. inappropriate learner records). Examples of Malpractice and Maladministration The categories listed below are examples of Centre and learner malpractice and maladministration. Please note that these examples are not exhaustive:

• Denial of access to premises, records, information, learners and staff to any authorised AoFAQ representative and/or the regulatory authorities

• Failure to carry out internal assessment, internal moderation or internal quality assurance in accordance with our requirements

• Deliberate failure to adhere to our learner registration and certification procedures. • Deliberate or persistent failure to continually adhere to our Centre recognition and/or

qualification approval criteria or actions assigned to your Centre • Deliberate failure to maintain appropriate auditable records, e.g. certification claims and/or

forgery of evidence • Persistent instances of maladministration within the Centre • Fraudulent claim for certificates • The unauthorised use of inappropriate materials/equipment in assessment settings (e.g.

mobile phones) • Intentional withholding of information from us which is critical to maintaining the rigour of

quality assurance and standards of qualifications • Deliberate misuse of our logo and trademarks or misrepresentation of a Centre’s

relationship with AoFAQ and/or its recognition and approval status with AoFAQ • Collusion or permitting collusion in exams/assessments • Learners still working towards qualification after certification claims have been made • Contravention by our Centres and learners of the assessment arrangements we specify for

our qualifications • A loss, theft of, or a breach of confidentiality in any assessment materials • Plagiarism by learners/staff • Unauthorised amendment, copying or distributing of exam/assessment papers/materials • Inappropriate assistance to learners by Centre staff (e.g. unfairly helping them to pass a unit

or qualification) • Submission of false information to gain a qualification or unit • Deliberate failure to adhere to, or to circumnavigate, the requirements of our Reasonable

Adjustments and Special Considerations Policy.


Process for Making an Allegation of Malpractice or Maladministration Anybody who identifies or is made aware of suspected or actual cases of malpractice or maladministration at any time must immediately notify AoFAQ. In doing so they should put the details in writing/email and enclose appropriate supporting evidence. All allegations must include (where possible):

• Centre’s name, address and number • learner’s name and AoFAQ registration number • Centre/AoFAQ personnel details (name, job role) if they are involved in the case • details of the AoFAQ course/qualification affected or nature of the service affected • nature of the suspected or actual malpractice and associated dates • details and outcome of any initial investigation carried out by the Centre or anybody else

involved in the case, including any mitigating circumstances

If a Centre has conducted an initial investigation prior to formally notifying us, the Centre should ensure that staff involved in the initial investigation are competent and have no personal interest in the outcome of the investigation. However, it is important to note that in all instances the Centre must immediately notify us if they suspect malpractice or maladministration has occurred as we have a responsibility to the regulatory authorities to ensure that all investigations are carried out rigorously and effectively. In all cases of suspected malpractice and maladministration reported to us, we will protect the identity of the ‘informant’ in accordance with our duty of confidentiality and/or any other legal duty. Confidentiality and Whistle Blowing Sometimes a person making an allegation of malpractice or maladministration may wish to remain anonymous. It is always preferable that the identity and contact details are known, however where there is concerns about possible adverse consequences it is acceptable not to divulge the identity. AoFAQ can confirm that we are not obliged (as recommended by the regulators) to disclose information if to do so would be a breach of confidentiality and/or any other legal duty. While we are prepared to investigate issues which are reported to us anonymously we shall always try to confirm an allegation by means of a separate investigation before taking up the matter with those the allegation relates. At all times we will investigate such allegations from whistle blowers in accordance with relevant whistle blowing legislation. Responsibility for the Investigation In accordance with regulatory requirements all suspected cases of maladministration and malpractice will be examined promptly by AoFAQ to establish if malpractice or maladministration has occurred and will take all reasonable steps to prevent any adverse effect from occurring as defined by the regulators (e.g. Ofqual). All suspected cases of malpractice and maladministration will be passed to our Compliance Administrator and we’ll acknowledge receipt, as appropriate, to external parties within 5 working days. Our Compliance Administrator will be responsible for ensuring the investigation is carried out


in a prompt and effective manner and in accordance with the procedures in this policy and will allocate a relevant member of staff (e.g. an External Quality Assurer) to lead the investigation and establish whether or not the malpractice or maladministration has occurred, and review any supporting evidence received or gathered by AoFAQ. At all times we will ensure that AoFAQ personnel assigned to the investigation have the appropriate level of training and competence and they have had no previous involvement or personal interest in the matter. Malpractice/Maladministration by AoFAQ staff Where a member of AoFAQ’s staff is under investigation we may suspend them or move them to other duties until the investigation is complete. Throughout the investigation our Compliance Administrator will be responsible for overseeing the work of the investigation team to ensure that due process is being followed, appropriate evidence has been gathered and reviewed and for liaising with and keeping informed relevant external parties. If the AoFAQ Compliance Administrator is at fault, the responsibility for investigation will be undertaken by the Responsible Officer. Notifying Relevant Parties In all cases of suspected or actual malpractice, we’ll notify the Head of your Centre involved in the allegation that we’ll be investigating the matter and/or in the case of learner malpractice, we may ask your Centre to investigate the issue in liaison with our own personnel – in doing so we may withhold details of the person making the allegation if to do so would breach a duty of confidentiality or any other legal duty. Where applicable, our Responsible Officer will inform the appropriate regulatory authorities if we believe there has been an incident of malpractice or maladministration which could either invalidate the award of a qualification or if it could affect another awarding organisation. Where the allegation may affect another awarding organisation and their provision we will also inform them in accordance with the regulatory requirements and obligations imposed on AoFAQ by the regulator, Ofqual. If we do not know the details of organisations that might be affected we will ask Ofqual to help us identify relevant parties that should be informed. Investigation Timelines and Summary Process We aim to action and resolve all stages of the investigation within 30 working days of receipt of the allegation. Please note that in some cases the investigation may take longer; for example, if a Centre visit is required. In such instances, we’ll advise all parties concerned of the likely revised timescale. The fundamental principle of investigations is that they should be conducted in a fair, reasonable and legal manner, ensuring that all relevant evidence is considered without bias. In doing so investigations will be based around the following broad objectives:


• To establish the facts relating to allegations/complaints in order to determine whether any irregularities have occurred.

• To identify the cause of the irregularities and those involved. • To establish the scale of the irregularities. • To evaluate any action already taken by the Centre. • To determine whether remedial action is required to reduce the risk to current registered

learners and to preserve the integrity of the qualification. • To ascertain whether any action is required in respect of certificates already issued. • To obtain clear evidence to support any sanctions to be applied to the Centre, and/or to

members of staff, in accordance with our Sanctions Policy. • To identify any adverse patterns or trends.

The investigation may involve a request for further information from relevant parties and/or interviews with personnel involved in the investigation. Therefore, we will:

• Ensure all material collected as part of an investigation is kept secure. All records and original documentation concerning a completed investigation that ultimately leads to sanctions will be retained for a period of not less than four years. If an investigation leads to invalidation of certificates, or criminal or civil prosecution, all records and original documentation relating to the case will be retained until the court case and any appeals have been heard and for five years thereafter.

• Expect all parties, who are either directly or indirectly involved in the investigation, to fully co-operate with us.

Either at notification of a suspected or actual case of malpractice or maladministration and/or at any time during the investigation, we reserve the right to impose sanctions on the Centre in accordance with our Sanctions Policy in order to protect the interests of learners and the integrity of the qualifications. We also reserve the right to withhold a learner’s, and/or cohort’s, results for all the AoFAQ course/qualifications and/or units they are studying at the time of the notification or investigation of suspected or actual malpractice/maladministration. We may find that the complexity of a case or a lack of cooperation from a Centre means that we are unable to complete an investigation. In such circumstances we will consult the relevant regulatory authority in order to determine how best to progress the matter. Investigation Report After an investigation, we’ll produce a draft report for the parties concerned to check the factual accuracy and any subsequent amendments will be agreed between the parties concerned and ourselves. We will make the final report available to the parties concerned and to the regulatory authorities and other external agencies as required. If it was an independent/third party that notified us of the suspected or actual case of malpractice, we will also inform them of the outcome – normally within 10 working days of making our decision -


in doing so we may withhold some details if to disclose such information would breach a duty of confidentiality or any other legal duty. If it is an internal investigation against a member of our staff the report will be agreed by the Governing Board and Directors and appropriate internal disciplinary procedures will be implemented. Investigation Outcomes If the investigation confirms that malpractice or maladministration has taken place we may:

• impose actions in relation to your Centre with specified deadlines in order to address the instance of malpractice/maladministration and to prevent it from reoccurring

• impose sanctions on your Centre – if so these will be communicated to you in accordance with our sanctions policy along with the rationale for the sanction(s) selected.

• in cases where certificates are deemed to be invalid, inform the Centre concerned and the regulatory authorities why they are invalid and notify of any action to be taken for reassessment and/or for the withdrawal of the certificates. We will also ask the Centre to let the affected learners know the action we are taking and that their original certificates are invalid and ask the Centre – where possible – to return the invalid certificates to AoFAQ. We will also amend our database so that duplicates of the invalid certificates cannot be issued and we expect the Centre to amend their records to show that the original awards are invalid.

• amend aspects of our qualification assessment and/or monitoring arrangements and associated guidance to prevent the issue from reoccurring.

• Where this relates to AoFAQ staff, the necessary disciplinary action, dismissal or retraining will be undertaken.

• inform relevant third parties of our findings in case they need to take relevant action in relation to the Centre.

In proven cases of malpractice and/or maladministration by a Centre AoFAQ reserves the right to charge the Centre for any re-sits, re-issuing of certificates and/or additional external verifier visits. The fees for which will be communicated to the relevant Centre at the time of the investigation. In addition, to the above the Compliance Administrator shall record any lessons learnt from the investigation and pass these onto relevant internal colleagues to help AoFAQ prevent the same instance of maladministration or malpractice from reoccurring. If the relevant party or parties wish to appeal against our decision to impose sanctions, please refer to the Appeals process already discussed earlier in this document or contact AoFAQ.


7.8 Sanctions Policy Introduction AoFAQualifications takes quality as paramount. Quality not only assists in improving training, qualifications and standards but also affects the reputation of AoFAQ. Breaches in quality are taken seriously; the severity of a breach determines the action to be taken. This policy is aimed at Centres delivering AoFAQ approved qualifications or units who have failed to meet aspects of our delivery requirements and/or the standards laid down by the regulatory authorities in respect of regulated qualifications and units. It sets out the sanctions AoFAQ may impose on Centres in such situations. It is also for use by AoFAQ staff to ensure they apply any sanctions in a consistent manner. Centre Responsibility It is important that Centre staff involved in the delivery of AoFAQ qualifications are fully aware of the contents of the policy and its possible implications on your Centre should you fail to comply with requirements specified by AoFAQ in relation to the delivery of our qualifications (some of which are required of us by the regulators). Review Arrangements AoFAQ will review the policy annually as part of our self-evaluation arrangements and revise it as and when necessary in response to customer feedback, trends from our internal monitoring arrangements, changes in our practices, actions from the regulatory authorities or external agencies or changes in legislation. Approach to Sanctions AoFAQ will impose sanctions on a Centre depending on the seriousness of the situation, the level and track-record of the Centre’s non-compliance and the risk to the interests of learners and the integrity of the qualifications and units. AoFAQ aims to ensure that the application of sanctions is a last resort and through our approach to risk assessment and management and the creation of appropriate action plans we will work with Centres to prevent situations arising that would warrant a sanction being imposed. Where sanctions are required then they will be applied depending on the nature of the situation. For example if the Centre has:

• No lead quality officer/internal quality assurer in place • Not provided assessors with sufficient time, resources or authority to perform their role • Not ensured that decisions of unqualified assessors have been countersigned by

qualified assessor • Inconsistent assessment decisions • Insufficient internal quality assurance process • Insufficient records to allow an appropriate audit of assessment, or records of

assessment that show serious anomalies or they fail to confirm assessment decisions • Previously agreed corrective measures/actions that have not been implemented


• An assessment process that disadvantages learners and/or does not meet national standards

• Made unfair assessment decisions • Failed to provide access to requested records, information, learners and staff • Failed to check/ensure the authenticity of learners’ work/evidence • Made certification claims before learners have completed the unit(s)/qualification(s) and

the associated assessment requirements • Significant faults in the management and quality assurance for some/all qualification

programmes which result in an ongoing failure to meet the core requirements for the conduct of assessment

• Proven collusion or persistent bad marking of Centre marked assessments • Suspected or proven cases of maladministration/malpractice which are being

investigated • An increased likelihood of an adverse effect occurring (e.g. something that is likely to

have an adverse effect on the standards of the qualifications they are delivering or public confidence in qualifications)

• Refused access to premises and/or records to the staff of AoFAQ or the regulatory authorities (e.g. Ofqual or SQA)

Should a Centre refuse to pay outstanding fees after various forms of contact with our Finance team, then we may remove approval and/or Centre recognition with immediate effect. Such a decision would not normally be considered a sanction but a commercial decision. However where lack of financial control is indicative of insufficient quality assurance, sanctions may also be considered.

Sanctions Sanctions that may be imposed by AoFAQ following an EQA visit or other highlight of breach in the Quality Assurance process/procedures at a Centre include removing direct claims status and/or withholding certificates and/or preventing further learner registrations by the Centre (all of which will be monitored by our Compliance Administrator to ensure they have been applied consistently and fairly) for either:

• A single qualification, or • An entire qualification type, or • An entire qualification sector, or • All qualifications

Only in exceptional circumstances of extremely serious non-compliance or the persistent failure of the Centre to address outstanding actions, and/or the failure of previous sanctions to address the issue, would AoFAQ impose, via the Compliance Administrator, the ultimate sanction of removal of qualification approval in relation to either:

• A single qualification, or • An entire qualification sector, or • An entire qualification type, or


• All qualifications and in turn the Centre’s ‘recognition’ with AoFAQ (in which case its access to the Training Manager System and AoFAQ website will be deactivated)

AoFAQ expects that it would never impose the immediate withdrawal of approval for a qualification or range of qualifications without:

• the Centre being given an opportunity to address the area(s) of non-compliance • first of all imposing one of the previous sets of sanctions • there being evidence that the non-compliance poses a significant threat to the interest

of learners or the integrity of the qualifications or units. Should a Centre have its approval for a qualification/suite of qualifications removed, we will take all reasonable steps to protect the interests of any learners currently registered on the qualification(s) in line with the details outlined in our “process for Centres withdrawing from offering our qualifications”. For example, we will either certificate Learners for any achievements achieved to date and/or seek to transfer them – where possible and feasible – to another Centre to enable them to carry on with their learning. Communicating the Application of Sanctions Sanctions will only be imposed by AoFAQ if there is clear evidence of non-compliance by the Centre. In all instances the nature of the sanction and the rational for its application will be communicated in writing to the Centre. If a Centre disagrees with the decision the first point of call is the relevant EQA, then our Compliance Administrator and AoFAQ’s appeals arrangements. This policy should be read in conjunction with AoFAQ Malpractice and Maladministration Policy (document A15).


Process Flow Chart

A breach in the Quality Policy/Processes has been highlighted at a Centre; is it a...........

MINOR BREACH

Take informal action - verbal

Monitor – has improvement occurred?

Y

N

SERIOUS BREACH MAJOR BREACH

Issue resolved Action complete

Take formal action

• Establish the facts • Issue letter A5 –

Suspension of a Qualification

Take formal action

• Issue letter A6 – Suspension of Centre

Has the Centre provided the information requested in A5?

Y

N

EQA Visit

Are the contents of EQA3 - Visit Report acceptable?

Y

N

Has the Centre provided the information requested in A6?

Y

N

EQA Visit

Are the contents of EQA3 - Visit Report acceptable?

Take formal action

• Issue letter A10 – Prohibition Notice

Y

N

Issue resolved Action complete


Section 8: Glossary of Terms Assessment criteria The requirements that learners need to meet in order to achieve in a

qualification or unit.

Awarding Organisation An organisation or consortium that awards qualifications. AoFAQ is an awarding organisation.

Centre A registered training provider responsible for administering programmes for AoFAQ qualifications.

Centre approval A process through which a Centre wishing to offer particular qualifications is confirmed as being able to maintain the required quality and consistency of assessment and comply with other expectations of the Ofqual recognised Awarding Organisation.

Certificate The record of attainment in a unit or qualification issued by the awarding body.

Course A planned event when training is delivered in support of a qualification.

External Quality Assurer An individual appointed by AoFAQ to evaluate our Centre processes and procedures in order to ensure Centre compliance with the quality assurance as defined in AoFAQ Centre Compliance Manual (document D13).

Internal Quality Assurer An individual appointed by the Centre to ensure accurate and consistent standards are being applied to the delivery of qualifications and completion of assessments, including continuing professional development (CPD) of personnel involved in delivery, assessment and quality assurance of Centre qualifications.

Learner / Trainee Course participant and person taking the end-of-course assessment.

Reasonable adjustments

Is any action that helps reduce the effect of a disability or difficulty that places the learner at a substantial disadvantage in the assessment. Adjustments must not affect the integrity of what needs to be assessed.

Special consideration

Procedures implemented at the time of an examination to allow attainment to be demonstrated by learners who have suffered temporary illness, injury or indisposition at the time of the examination. Adjustments must not affect the integrity of what needs to be assessed. Special consideration can be applied after the assessment.

Standardisation To ensure there is consistency and fairness across all assessment decisions by sharing best practice with peer group and discussing interpretation of qualification assessments.

Documents

D13 - Centre Compliance Manualaofatraining.co.uk/Associates/Downloads/AOFAQSupport/D13 - AoFAQ... · Any and all amendments to policy and procedure which are necessary for the continued