Section 3: Management systems and administration

Explanation

This criterion is to demonstrate and confirm that the centre has the required policies and procedures in place, that they are supported by senior management, are understood by delivery and assessment teams and that they are shared with learners.

The documented policies that will need reviewing are:

• Appeals
• Provider Contingency and Adverse Effects (to include withdrawal of provider approval status and protection of the learners’ interest in the case of such a withdrawal)
• Complaints
• Conflicts of Interest (COI) – if NCFE has been notified of a COI the QR will also request evidence to confirm internal processes have been followed, as per the centre policy
• Equality, Diversity, and Inclusion (EDI)
• Data Protection including GDPR
• Risk Assessment and Health and Safety (including Public Liability)
• Learner Recruitment, Registration, and Certification
• Learner support/protocol
• Malpractice and Plagiarism
• Safeguarding
• Special Considerations and Reasonable Adjustments
  • Form VQ/IA will be reviewed for any reasonable adjustments made for internal assessments
• RPL
• Transfer of credits and recordings of exemptions and withdrawal of learner or qualification(s) from NCFE admissions and/or enrolment
• Controlled Assessment
• Assessment and Internal Quality Assurance (to include the use of an internal quality assurance strategy)

Evidence to meet this criterion must include:

• Copies of policies and procedures including who is responsible for updating them and when
• Details of how and when these are provided to learners
• Confirmation of support from senior managers to run the product

Please note: This criterion is only applicable when running qualifications with a mandatory work placement.

Explanation

The centre will need to demonstrate that they have sufficient and suitable work placement opportunities available for all learners to be able to achieve the work placement requirement of the qualification(s). They will also ensure policies and procedures are in place to ensure the work placement environment is suitable and safe. 

Evidence to meet this criterion could include:

• Copies of relevant policies and procedures
• Risk assessment documentation
• Copies of formal agreements between the learner, provider, and industry placement
• Process for recording the placement hours to show the number of hours is in line with the required hours outlined within the qualification specification
• Communication channels between employers/work placements.

Explanation  

This criterion is confirming that the centre is continuing to recruit sufficiently competent, suitable, and knowledgeable Assessors and Internal Quality Assurers (IQA) who are able to meet the demand of qualifications being delivered. Where applicable the QR will also need to confirm that staff are registered with regulators in accordance with Qualification Specifications.

The induction processes for Assessors and IQAs will be reviewed to ensure an appropriate induction is in place for their role and that they are provided with appropriate information, training and support they need to deliver, assess and internally quality assure NCFE qualifications in line with NCFE requirements.

For T Level Providers only: If a provider wishes to allow a third party (for example training provider or satellite centre) to deliver any part of the T Level qualification, including its assessments, the approved provider must seek written agreement from NCFE before the third party is approved. 

Evidence to meet this criterion could include:

• Example job descriptions
• Recruitment and interview process/policy
• Induction manual, schedule or checklist indicating policies and procedures shared with staff
• Staff induction handbook
• Mentoring process
• Written confirmation from NCFE if using a third-party supplier (where applicable)

Explanation 

This criterion is to ensure the centre is continuing to provide all staff access to training and support, to enable them to maintain and update their skills as required in the qualification specification. We don’t specify the amount of time to be spent on staff development, but any updates affecting the qualifications being delivered should be accommodated as they take place.

Attendance at administration and standardisation training will be reviewed in this section for centres delivering Technical Qualifications and V Certs.

Evidence to meet this criterion could include:

• Confirmation of support available to ensure the reliable delivery, assessment, and internal quality assurance of NCFE qualifications
• Copies of staff development programmes and department development plans
• Records of training undertaken, such as CPD records
• CPD policy

Explanation

This criterion is to confirm that effective communication methods and channels are in place and are allocated appropriate time throughout the session. The QR will consider if adequate time is provided for communication to take place for all staff involved in the teaching, assessment and internal quality assurance of qualifications.

The main aim of team meetings alongside identifying any concerns, is to promote good practice within a team and to ensure there is a standardised approach to assessment and internal quality assurance of learners’ evidence, which is consistent with the assessment criteria set for each qualification.

The QR will be looking for evidence that demonstrates that as minimum, standardisation activities are taking place and relevant information is being shared with all staff involved with the qualification in this forum.

Evidence to meet this criterion could include:

• Centre guidance on team meetings and standardisation activities – this could include a set template for each
• Copies of meeting agendas/minutes – team and cross centre (if applicable)
• Briefings and/or updates – e.g. – all user emails, staff VLE
• Schedule of activity for staff involved

Explanation

This criterion confirms that all staff understand their role, what they are responsible for and who they are accountable for and to. The QR will ensure that staff involved in assessment and internal quality assurance are familiar with the assessment criteria stated in the Qualification Specification.

Management has the responsibility to make sure that appropriate time and resource (staffing and physical) are allocated, to support the qualification(s) delivery and review. It is expected that systems will be in place to monitor and evaluate the effectiveness of all delivery and assessment staff, and that changes would be made when required.

Evidence to meet this criterion could include:

• Confirmation that staff are familiar with the assessment criteria and have full access to the required resources, stated within the Qualification Specification, for the products they are responsible for
• Explanation to determine how products are adequately staffed by Assessors/IQAs who are sufficiently competent
• Organisational charts, explaining the various departmental roles
• Staff management processes, including the use of Performance Improvement Plans (PIPs) or developments plans (PDPs).

Explanation

The advertising, marketing, and promotion of all NCFE qualifications must adhere to NCFE’s brand guidelines. The correct advertising must be implemented through all websites and other materials. Any marketing or advertising materials used to promote qualifications, including pages on your website, must accurately reflect the details of the qualification being offered.

When advertising Customised Qualifications the guide to advertising Customised Qualifications must be adhered to. The QR will review various advertising materials used by the centre to satisfy this criterion.

Evidence to meet this criterion could include: 

• Copies of relevant promotional materials such as course prospectuses
• Webpages used to advertise qualifications
• Course handbooks

Explanation 

This criterion is to ensure the centre has appropriate recruitment and registration processes in place for each qualification being delivered. The QR will need to confirm that the centre is aware of and are implementing appropriate entry requirements onto qualifications, ensuring only appropriate learners are recruited and registered with NCFE.

The timeliness of registrations and the process of registration will be reviewed to confirm it is appropriate.

This criterion will also confirm that appropriate information, advice, and guidance is provided to potential learners prior to enrolment, so they can make an informed decision to determine if the qualification is suitable for them. 

Evidence to meet this criterion could include: 

• Learner recruitment schedule e.g., open events, interviews, parent evening taster sessions
• Course prospectus
• Learner registration process/policy

Explanation 

The QR will review the centres enrolment and induction process for learners to ensure it is robust and that it provides learners with sufficient information, advice, and guidance about the qualification(s) they have chosen to study. This should include advising learners of any technical needs required for the qualification they have chosen to study and also what support will be available to them. 

Evidence to meet this criterion could include:

• Enrolment process/schedule/forms
• Information on any initial assessments carried out e.g., English and maths
• Induction schedule/timetable
• Course handbook
• Learner agreements/contracts
• Open events
• Exit interviews for early leavers

Explanation

This criterion is to ensure processes are in place to support the accumulation and transfer of credits, the recording of exemptions and recognition of prior learning (if applicable). This will include the QR checking there are appropriate staff, resources and tracking systems in place.

Detail of how the transfer of credits, the recording of exemptions and recognition of RPL is verified and recorded, to ensure it is valid and current will be discussed and documented in the report.

Evidence to meet this criterion could include: 

• Policy/process to validate claims for exemptions and RPL
• Records of learner exemptions
• Records of learner credit transfers
• Records of RPL claims.

Explanation

This criterion will explore how learner development needs established during enrolment, are matched against the requirements of the qualification learners are registered to. The QR will review the centres processes and systems used to record, review, and monitor progress.

Evidence to meet this criterion could include:

• Use of initial assessments
• Individual learning plans/individual assessment plans
• System used to track learner progress e.g., tutorial or VLE system.

Explanation 

The delivery and assessment of every course must be in line with the requirements of the qualification specification. This criterion will be satisfied by a review of how well the delivery and assessment of qualifications are being conducted within the centre, including what assessment methods/facilities and resources are being used.

 Evidence to meet this criterion could include:

• Planned programme of delivery e.g., schemes of work or lesson plans
• Assessment plans
• IQA sampling plans
• Verbal overview of centre facilities including resources required for the qualification as detailed in the qualification specification

Explanation

This criterion confirms that learner records of achievement are accurate and kept up to date, procedures are in place to retain records of learner achievement and that these records are stored securely for a minimum of 3 years.

There should be evidence that learner personal data is collected and held in accordance with data protection legislation.

Evidence to meet this criterion could include:

• Learner registration details
• Assessment/IQA records
• Portfolio evidence
• Security and access arrangements
• Data Protection policy – how this is applied.

Explanation

If the centre is delivering qualifications that involve external assessment and/or controlled assessments or NEA, the centre must ensure:

• They are maintaining the security of live assessments, including where they are stored.

There is a designated person who manages the process and has access to the material, the distribution and security of the material.

• There are processes in place for the secure storage of passwords, live assessments, and recorded assessments
• Any learner assessment records/materials completed as part of a synoptic project are stored and administration in line with NCFE guidelines.

For Functional Skills and Essential Digital Skills Qualifications (EDSQ) – the QR will comment on the secure storage of assessment materials and whether this is in line with the relevant Regulations for the Conduct of Controlled Assessments.

Evidence to meet this criterion could include:

• Discussions with the examinations department
• Relevant centre policies
• Evidence to show JCQ compliance – e.g., annual inspection report/outcome.

Explanation 

If the centre is delivering qualifications that involve external assessment and/or controlled assessments, the QR will outline how these are being implemented to comply with NCFE ‘Regulations for the Conduct of External Assessment’ and ‘Regulations for the Conduct of Controlled Assessment’, as well as complying with JCQ requirements.

For Functional Skills and EDSQ – the QR will comment on the booking and distribution of assessment materials and whether this is in line with the relevant Regulations for the Conduct of Controlled Assessments. The arrangements for the delivery of the controlled and external assessments, including invigilation will be commented on in line with the Regulations for the Conduct of Controlled Assessments – EDSQ.

Evidence to meet this criterion could include: 

• Discussions with the examinations department
• Relevant centre policies
• Evidence to show JCQ compliance – e.g., annual inspection report/outcome.

Explanation

This criterion is to confirm that the centre has a robust process in place for the withdrawal of qualifications and learners both internally within the centre and also with NCFE via the Portal.

Evidence to meet this criterion could include:

• Withdrawal process

Explanation 

This criterion will review the centres process for claiming and issuing learner certificates. The centre will need to evidence how the process works, which departments/individuals are involved, and how policies and systems are used to ensure the process is robust.

Evidence to meet this criterion could include: 

• Certification claiming process/exams policy
• Assessment/IQA records
• Exams officer records

Explanation

To meet this criterion the QR will explore how the centre gathers feedback from both learners and staff on the quality and effectiveness of qualifications being delivered and how this leads to continuous improvement.

Evidence to meet this criterion could include:

• Evaluation forms/surveys
• Centres Self-Assessment Report (SAR)
• Quality Improvement Plan (QIP) or equivalent

Explanation 

This criterion is to ensure that centres have a process in place to inform NCFE of any changes that would affect the centre’s ability to maintain the delivery and assessment of qualification. The QR will need to confirm that designated personnel are in place and know who and how to contact NCFE.

Centres must complete the ‘Change of centre contact details’ form via the website on the external quality assurance page to notify us of any change in Head of Centre, Programme Contact, Finance Contact and Exams Officer. The QR will need to confirm that designated personnel are in place and know how to contact NCFE.

Evidence to meet this criterion could include:

• Policy/process
• Roles and responsibilities of staff

Explanation 

This criterion is to ensure that where customised qualifications have been developed by the centre there is a robust process in place to ensure the content is fit for purpose. The QR will require confirmation and evidence that assignment briefs meet the qualification specification and delivery is in line with the approval application.

Evidence to meet this criterion could include:

• Evaluation forms/surveys
• Product review process
• Meeting minutes
• Development plans
• Occupationally competent staff/person to carry out the qualification review