1 | P a g e

Certificate for Music

Educators

Role, responsibilities,

policies and procedures

2 | P a g e

Contents

Contents .......................................................................................................................................................2

Roles and Responsibilities ............................................................................................................................3

Responsibilities of the Learner ................................................................................................................4

Role of the Mentor / Assessor .................................................................................................................4

Role of the Lead Internal Quality Assurer (IQA) / Academic Lead ...........................................................5

Course Director ........................................................................................................................................6

Role of the Centre Administrator ............................................................................................................6

Role of the External Consultant ...............................................................................................................6

Role of the External Quality Assurer (EQA) ..............................................................................................7

Centre Management Information System ...............................................................................................7

Centre Policies and Procedures ...................................................................................................................8

Equal Opportunities Policy .......................................................................................................................8

Health and Safety .....................................................................................................................................9

*Appeals Procedure .............................................................................................................................. 10

*Plagiarism ............................................................................................................................................ 12

*Statement on Malpractice/Maladministration ................................................................................... 16

Confidentiality and Data Protection ..................................................................................................... 18

Data Protection ..................................................................................................................................... 19

Business Continuity Management Plan ................................................................................................ 21

Complaints & Mediation ....................................................................................................................... 24

Policies and procedures directly related to the delivery of the course and management of learning are

supported by the East Sussex Qualification and Assessment Centre.

*Policies and procedures supported by ESQAC are marked with an asterisk.

All queries and concerns should be addressed to East Sussex Music in the first instance, unless the whistle

blowing procedure is applicable (see confidentiality and data protection policy)

Abbreviations:

Certificate for Music Educators CME

East Sussex County Council ESCC

East Sussex Music ESM

East Sussex Qualifications and Assessment Centre ESQAC

3 | P a g e

Roles and Responsibilities

In this section you will find information on the roles of all those who are part of the East Sussex Music

Certificate for Music Educators team.

This includes

• Learners

• Mentor/Assessors

• Lead Internal Quality Assurer (IQA) / Academic lead

• Course Director

• Course Administrator

• External Consultant

• External Quality Assurer (EQA)

• Centre Management Information System

Centre

Administrator

EQA

IQA /

Academic Lead

Course Director

Learners

Ma

na

ge

me

nt In

form

atio

n S

yste

m

Mentor /

Assessors

External

consultant

4 | P a g e

Responsibilities of the Learner

All learners are required to engage in the learning process and have the following responsibilities:

• Attend induction, training sessions/learning activities as agreed.

• Adhere to the learner agreement.

• Communicate with their mentor regularly to plan and undertake assessments and agree targets

and other factors that may impact on the assessment process.

• Meet deadlines for assignments and other activities.

• Present evidence for assessment and adding it to a portfolio (online or paper based).

• Adhere to centre policies and procedures

The learner is central to the process and ESM’s aim is to successfully facilitate the learner through each

stage of the process to ensure that they have every opportunity to achieve their qualification.

Role of the Mentor / Assessor

ESM recruits mentor/assessors in line with CME need. All new staff receive a centre induction and are

linked to a mentor who will offer them on-going support as needed.

The mentor/assessor’s role is crucial to the assessment process as they are the main interface between

the learner and their CME, planning and undertaking assessment activities and keeping records.

The mentor/assessor will be a competent and experienced practitioner in their field and will have

undergone training in supporting peer learning. They will be personally committed to their own CPD and

that of others.

The mentor/assessor’s role is complex and they have many responsibilities as summarised below:

• Attend learner induction sessions as required.

• Communicate learners regularly to plan, assess and review progress.

• Provide support and guidance to learners, identify any special assessment requirements and liaise

with IQA on meeting these.

• Review learners’ tasks and evidence using a variety of methods and assess evidence generated to

the CME standards.

• Provide feedback and make sound assessment decisions based on evidence.

• Keep assessment records appropriately, securely and confidentially so they can be accessed by

IQA and EQA as required.

• Support learners in developing a portfolio of evidence.

• Adhere to and keep up to date with all awarding organisation requirements, centre procedures

and recommended good practice.

• Liaise with IQA regarding any advice needed, learner progress and sampling/monitoring

arrangements.

• Attend assessor meetings/standardisation meetings.

• Undertake CPD activities as needed.

• Maintain, record and make available CPD records relevant to the role.

• Work within all centre policies, procedures and relevant legislation including equalities and health

and safety.

• Be aware of learning programmes, activities and resources that may support learners in their

qualification area and liaise with others to enable learners to access these.

5 | P a g e

Role of the Lead Internal Quality Assurer (IQA) / Academic Lead

The IQA’s role is that of quality assurance manager and is responsible for the educational aspects of the

CME.

They are responsible for managing the assessment process and undertaking a number of QA activities and

processes to assure the quality of the qualification and the learner’s experience.

They also lead on the academic quality of the course and are responsible for the work of the

mentor/assessor team.

The IQA is occupationally competent in the area they are quality assuring. They will be committed to their

own CPD and that of others.

The IQA’s role is complex and they have many responsibilities as summarised below:

• Undertake IQA role in line with the IQA policy which sets out what quality assurance activities

must be undertaken and frequency.

• Be responsible for quality assuring assessors by risk assessing and monitoring their assessment

practice through sampling records, evidence and portfolios, observation practice, interviewing

learners.

• Sample portfolios in line with centre policy and provide constructive feedback and action points

to assessors.

• Create and review sampling plans in line with risk assessments and centre policy.

• Attend assessor/standardisation meetings to keep up to date with any changes and

lead/contribute to activities as agreed with the course director.

• Meet assessors, identify training needs, ensure needs are meet and CPD records are complete

and up to date.

• Maintain accessible, accurate IQA records for centre use.

• Work within all centre policies, procedures and relevant legislation including equalities and health

and safety.

• Be the lead contact for assessors/IQAs and learners and liaise with the Course Director on QA

matters.

• Be aware of learning programmes, activities and resources that may support learners and liaise

with others to enable learners to access these.

In addition to the above IQA responsibilities the Lead IQA will also:

• Liaise with other IQAs to ensure that all QA processes are in place for their specific qualifications

and records are up to date for centre staff and learners.

• Liaise with Centre Administrators and the EQA as required by the Course Director and with other

IQAs in preparing for EQA visits and monitoring.

• Assist the Course Director in any appeal or complaints

6 | P a g e

Course Director

The Centre Manager has overall responsibility for ensuring that the centre is operating effectively and

that all Awarding Organisation requirements are being met.

The Centre Manager is an IQA and the additional aspects of their role are summarised below:

• Act as the primary contact for the CME.

• Manage the budget for the CME.

• Oversee all aspects of the administration of the course

• Ensure the course is staffed and managed appropriately

• Work closely with Centre Administrators and Lead IQAs to ensure the qualification area is

operating as required.

• To be the primary contact with all Awarding Organisations.

• Lead on the development of quality assurance systems and processes for the centre.

• To liaise with the EQA and be involved in EQA visits/monitoring as required.

• In the event of the centre closing notifying all awarding bodies, assessor, IQAs and learners.

• Take a lead in any appeal or complaints

• Act as Super User for the MIS and DAS

Role of the Centre Administrator

The Centre Administrator has an important support function in ESM providing a central information point

and undertaking key administrative duties relating to the registration and certification of learners.

The role includes:

• Supporting the Centre Manager and the team.

• Keeping up to date centre records on assessors, IQAs and learners.

• Registering learners with the Awarding Organisation

• Completing administrative processes within ESM and with the Awarding Organisation

• Assisting in the preparation for EQA visits/monitoring

• Liaising with learners and the CME staff team

• Updating the MIS

• Other administrative duties as requested by the Course and Centre Directors

Role of the External Consultant

The external consultant acts as an independent advisor ensuring the CME materials and assessment

remain current. The consultant is a music education trainer at the forefront of national developments in

initial teacher training or a similar field. Liaising with the centre manager, the external consultant is

responsible for updating the course materials in line with developments in music pedagogy and ensuring

current and best practice is followed regarding assessment, quality assurance and moderation.

7 | P a g e

Role of the External Quality Assurer (EQA)

The centre is subject to regular external quality assurance from Trinity College, London (the awarding

body), the purpose of which is to confirm that the centre continues to comply with the criteria for

validation as detailed in its application and as verified at the validation visit.

External quality assurance takes place at intervals determined by Trinity, taking into account the number

of learners currently registered with the centre and the stage they have reached. This will be at least once

a year, although Trinity reserves the right to carry out external quality assurance more frequently as it

deems necessary.

Some aspects of external quality assurance, such as the sampling of assessments, may be carried out

remotely, but an external quality assurance visit will be made at least once a year.

External quality assurance is carried out by a member of the Trinity CME Quality Assurance Panel and/ or

a member of the Teacher Development (Music) department. It serves to:

• confirm that all criteria for validation continue to be met as verified at the validation visit

• review an appropriate sample of documentation, including learner records, initial self-

assessments and learner feedback forms

• review an appropriate sample of assessments in order for Trinity to verify that the centre’s

assessments are sound

• review an appropriate sample of internal quality assurance decisions in order for Trinity to verify

that the centre’s internal quality assurance is sound

• review the overall success of the programme and address areas for improvement

• record estimated numbers of learners for each of the next three years

Once external quality assurance has been carried out, a copy of the external quality assurance report is

sent to the centre together with a letter from Trinity confirming one of the following outcomes:

• No non-compliance issues have been identified, and the centre continues to meet all of the

criteria for validation. Validation is renewed.

• Issues of non-compliance have been identified, triggering sanctions for non-compliance

Centre Management Information System

The MIS is the portal through which all course activity is managed.

The MIS manages:

• Learner application

• Learner data

• Course materials

• Learner portfolios

• Online tutorials

• Learner forums

• Learner - mentor/assessor communications

• Progress tracking

• Assessment records

• Quality assurance procedures

Data security is assured through testing via ESCC IT Governance. The system is an integral part of ESCC

Children’s Services IT portfolio and is managed and maintained by ESCC IT services.

8 | P a g e

Centre Policies and Procedures

Equal Opportunities Policy

ESM aims to actively promote equal opportunities and anti-discriminatory practice. It will oppose and

challenge any discrimination shown towards people in relation to their age, disability, gender

reassignment, marriage or civil partnership (in employment only), pregnancy or maternity, race, religion

or belief, sex or sexual orientation.

All those involved in the qualifications are expected to maintain a high quality service for service users

and be committed to the principles of fair and equal treatment for all.

The relevant government Acts and departmental policies listed below will underpin the policy statements

of ESM.

• Race Relations Act 1976.

• Race Relations (amendment) Act 2000

• Sex Discrimination Act 1975.

• Equality of Opportunity and Diversity Policy Statement (East Sussex County Council)

• Promoting Diversity & Equality in Employment Policy (ESCC)

• Equal Opportunities and Diversity in our Workforce (ESCC)

• Human Rights Act 1998

• Disability Discrimination Act 1995

• Equality Act 2010

ESM will be responsible for the following:

• Regular monitoring of the policies in practice will occur through the internal quality assurance

process.

• Collating and reviewing information, identifying equality of access to qualifications by all staff.

• Ensuring that any particular needs of learners are addressed e.g. part-time and night staff, those

with disabilities, limited literacy & numeracy skills etc.

• Publicity and information about qualifications are made available to all direct care staff and

managers. It will make clear the assessment centre’s commitment to anti-discriminatory practice

and equal opportunities.

• Ensuring that Assessors/IQAs understand the Appeals process in relation to assessment.

• Assessor and IQA training include anti-discriminatory practice as an essential part of the

programme.

• Induction units and training modules providing underpinning knowledge will incorporate the

principles of the value base of all services.

9 | P a g e

Health and Safety Statement of Intent

East Sussex County Council recognises its statutory responsibility for Health and Safety.

This statement is in place to ensure we all understand our responsibilities for Health, Safety and Welfare,

whether as an employer, employee or volunteer, for ourselves and others. Health, Safety and Welfare is a

fundamental integrated business principle and visible commitment and leadership is expected from all

staff to ensure we meet our aim of preventing injuries and occupational illnesses.

• Arrangements for Health and Safety will include:

• A written Health and Safety Policy that complies with the Health and Safety at Work Act 1974

• Including specific statutory duties contained in associated regulations, principally the

Management of Health and Safety at Work Regulations 1999

• A procedure for staff and Apprentices to access first aid

• Appropriate arrangements for fire and evacuation procedures

• A procedure for reporting accidents

• A process for bringing Health and Safety to the attention of all staff

10 | P a g e

*Appeals Procedure

Grounds for appeal:

• The assessment process was not considered by the learner to have been carried out in

accordance with the assessment procedures laid down by the Centre and approved by the

Awarding Organisations.

Process (4 levels)

The Appeals Panel

The Appeals Panel must ensure that its procedures are carried out fairly and objectively, demonstrating

the principles of equal opportunities and anti-discriminatory practice adopted by the Centre. This will

include any disadvantages that could be experienced by the learner, for example, notification of the

meeting, undue formality, language, written information, meeting place.

Those who are directly working with or involved in any way in the dispute with the learner will not be

permitted to sit on the Appeals Panel.

The learner is entitled to have a support person present at the appeal meeting, and will be invited to put

forward their case, the Centre Manager will be asked to explain the process thus far.

LEVEL

1

• Discuss with Assessor

• If unable to discuss with Assessor contact IQA

In the first instance, the learner should discuss their concerns with their Assessor. The

Assessor should then inform the Centre Manager within 14 days

LEVEL

2

• Learner to put concerns in writing to IQA and Assessor

• IQA to meet with both Assessor and Learner separately

• IQA will respond to both in writing

This whole process should not take longer than 28 days from receipt of the learner’s

written appeal.

The issue may be resolved by the IQA or, if not passed to the Centre Manager. If the

learner is not satisfied with the outcome they should notify the IQA in writing stating

their reasons. The IQA will then pass this on to the Centre Manager

LEVEL

4

• The Centre Manager will organise a date for Appeals Panel to meet

• The Appeals Panel will seek to meet 21 days after request

• The EQA will be informed and given written details of the dispute

LEVEL

3

• Centre Manager will meet separately with Assessor, IQA and Learner

• Centre Manager will respond to all in writing

• If learner is not satisfied they can request a hearing with the Appeals Panel

11 | P a g e

The Appeals Panel will comprise Adult Social Care or Children’s Services managers and will be chaired by a

more senior member of staff.

The learner, Assessor and Internal Quality Assurer will be informed of the Panel's decision in writing.

Copies of the written information provided at each level will be sent to the External Quality Assurer.

Possible outcomes of the Appeal

• The original assessment process employed by the Assessor is upheld.

• A change in the Assessor’s assessment practice is required and agreed with them.

• A re-assessment is done by the original Assessor, or by a different Assessor as agreed.

If the earner still feels unable to accept the decision of the Appeals panel they would be advised to

approach the Awarding Organisation and use their appeals procedure.

In the event of unsuccessful appeals, learners should be made aware of the County Council’s Complaints

and Grievance policies.

12 | P a g e

*Plagiarism

What is Plagiarism?

Plagiarism is when a learner presents or passes off someone else’s work as his/her 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.

N.B. There may be exceptions to the principle of plagiarism, for example when discussions among a group

of learners lead to “group thinking” or shared answers to questions set in course work.

All Internal Quality Assurors (IQA’s) and Assessor’s will be alert to the possibility of plagiarism. ESQAC will

support them by:

• Making all staff aware of plagiarism, and training them to identify cases, operate and align to our

policy and procedure

• Informing all learners at Induction and during assessment that plagiarism is not acceptable and

explaining procedure

• By providing written information on Centre policy and procedure for learners

• By being vigilant in scrutinising all work to be assessed for plagiarism

• By IQAs sampling assessments sufficiently across groups and employers where plagiarism is more

likely

Learners must acknowledge sources of reference for their Work

All learners are required to give proper acknowledgement of sources used in the work they submit for

assessment.

When learners want to use the work of others, they must either use quotation marks or paraphrase what

they have read. An immediate citation should follow crediting the original author, and the source of

information should then be listed in a bibliography. The Harvard Referencing System should be used.

Learners must not over-use quotations, or use very long quotations – If they use more of another person’s

copyright work than is fair in the circumstances and/or without their permission, they may infringe their

legal rights

13 | P a g e

Below are examples of how learners should reference their work. A bibliography must be provided on

each piece of work.

Plagiarism Procedure

The procedures detailed below must be adopted quickly as any significant delays could result in the

escalation of an appeal both in terms of learners citing stress or loss of earnings as their grounds for

appeal.

On discovery of suspected plagiarism:

1. When an Assessor suspect’s plagiarism a written message must be emailed or posted to the learner

advising that inconsistencies have been noticed and that no further assessments will take place

pending an investigation.

2. The Assessor then emails the responsible Internal Quality Assurer (IQA) and details the learner name,

evidence name and location.

3. The Assessor responsible then confirms receipt of the email and confirms when they will check the

evidence if they are unable to conduct the investigation within 5 days. If the IQA is unable to adhere

to this because of other commitments they must pass the investigation to another IQA. The

investigation must start within 10 working days from the point at which the assessor raised their

concern.

4. Once the IQA for the investigation has been confirmed they inform the Centre Manager.

5. The IQA assesses the evidence and creates a report. Where the IQA determines there is no case to

answer no further action is required and the assessor can resume assessment, ensuring feedback to

the learner explains why they initially raised concerns. Where the extent of plagiarism is not serious,

Referencing a book

Information to include

• Surname and initial of author or editor

• Year that the work was published

• Title and edition number

• Place of publication

• Publisher Author,

Format

A. (year of publication) Book Title Nth edition. Place

of

publication: Publisher

Examples

Ball, M. (1997) Consulting with Parents: Guidance

for practice 2nd edn. Edinburgh: National Press

David, T. (ed.) (1993) Educating our Children:

European Perspectives. London: Chapman

Publishing

Referencing a Website

Information to include

• Surname and initial of the author

• Year site was published or last updated

• Title of website or resource

• Full web address (URL)

• Date you accessed the site

Format

Author, A. (year of publication/update) Website

or resource title [online. Available from <URL>

[Day Month Year]

Examples

Holland, M. (1996) Using the Harvard System

[online] Available from:

<www.https://www.uhi.ac.uk/en/libraries>

[16th Dec 2016]

14 | P a g e

the IQA should take action to deal with the case and decide whether a telephone interview or an

interview face to face is more appropriate.

6. Where the IQA determines the plagiarism is serious the learner will be invited by telephone/email to

an interview at the assessment centre.

Assessment centre procedure before interview

7. The Lead IQA should inform the learner of the allegation in writing and invite them to attend an

interview. This letter or email should be sent to the learner at least 5 days in advance of the interview

to ensure that the learner has sufficient notice and time to arrange for attendance with a

representative if they choose. The invitation letter/email should set out:

• the allegation;

• the procedures which will apply (by enclosing a copy of the Plagiarism Statement and direct the

learner to the relevant paragraph);

• a copy of the supporting evidence

• the letter/email must ask the learner to confirm that they have received the letter or email and

that they will attend.

Assessment centre procedure at interview

8. It is recommended that those present should include the IQA, Lead IQA and Centre Manager.

9. A record of the meeting will be kept. The record will be kept on file until the learner completes their

qualification and certificate have been issued in case of an appeal against the decision is made.

10. To begin the interview, the IQA should introduce the staff present and confirm the identity of the

learner. The IQA must then explain the allegation, the procedures, including the right of appeal, and

make sure that the learner understands the procedures and what is happening.

11. The learner should then be given the opportunity to explain their view of the situation and/or to offer

any extenuating circumstances in defence of their actions.

12. The learner can be asked to leave the room while the Lead IQA, IQA and Centre Manager consider the

evidence and the learner’s explanation. The Centre Manager should then reach a decision based on

the all recommendations.

13. If they have been asked to wait outside, the learner should now be invited back into the room and

informed of the Centre Manager’s decision

a. If the Centre Manager is satisfied beyond all reasonable doubt that plagiarism has

occurred all details and reports of the malpractice will be sent to the Awarding

Organisation to investigate and make a decision.

b. Possible outcomes of which are shown below:

i. Written warning

ii. Assessment evidence will be disallowed

iii. Disqualification from the unit

iv. Disqualification from the whole qualification

v. Barred from entering City & Guilds examination for a set period of time

vi. Results will not be issued, or will be cancelled

c. If the Centre Manager is NOT satisfied beyond reasonable doubt that plagiarism has

occurred but considers the learner has engaged in poor practice, the learner should be

15 | P a g e

warned and given advice about plagiarism and asked to completely re-do the offending

evidence again.

d. In the event the Centre Manager considers that there is no case to answer, he/she should

thank the learner for attending and explain why the issue arose and provide guidance

how this can be avoided in the future.

14. The Lead IQA will advise the learner that they will also receive details of the outcome in writing.

Where the employer has paid the course fees then a copy of the letter will be sent to the employer

too.

15. Where it has been judged that plagiarism has occurred the learner should also be informed:

a. That a record of the allegation and the outcome will be held in the learner’s record. This

record will remain dormant unless a further allegation is received. It will be completely

eradicated when the learner completes their qualification and a certificate have been issued

or leaves the course – whichever occurs soonest.

b. that the details and reports will be sent to the awarding organisation to investigate and/or

make decision

c. that the Awarding Organisation may be in contact with them that the Centre Manager will

apprise them of the outcome of the investigation from the Awarding Organisation in writing

Assessment centre procedure after the interview

16. The Lead IQA will write a report on the interview plus the outcomes and any action needed. This will

then be sent to the learner for verification. The Report should then be approved and signed by the

Centre Manager and marked confidential. If relevant a copy should be sent to the employer too.

17. Where it has been judged that plagiarism has occurred the Centre Manager will send all copies of the

reports and details to the Awarding Organisation and liaise with them as needed.

18. Copies of the investigation are to be kept securely by the assessment centre until the learner either

completes their qualification or leaves the course.

16 | P a g e

*Statement on Malpractice/Maladministration

‘Malpractice’, which includes maladministration, means any act, default or practice which is a breach of

the Regulations or which:

• Compromises, attempts to compromise or may compromise the process of assessment, the

integrity of any qualification or the validity of a result or certificate; and/or

• Damages the authority, reputation or credibility of any Awarding Organisation or the Centre or

employee or agent of any Awarding Organisation or Centre.

Within ESQAC this may happen when Assessors:

• Assist learners in the production of controlled assessments or coursework, or evidence of

achievement, beyond that permitted by the regulations;

• Share or lend learners’ controlled assessments or coursework with other learners in a way which

allows malpractice to take place;

• Assist or prompt learners with their answers;

• Permit learners in an examination to access prohibited materials (dictionaries, calculators etc.);

• Prompt learners in an examination/assessment by means of signs, or verbal or written prompts.

• Invent or change marks for internally assessed components (e.g. coursework) where there is no

actual evidence of the learners’ achievement;

• Manufacture evidence of competence against national standards;

• fabricate assessment and/or internal verification records or authentication statements;

• Enter fictitious learners for examinations or assessments, with the intention of financial gain

(fraud).

Learner Malpractice may happen when:

• The learner alters or falsifies any results or assessment decisions, including certificates;

• The learner fails to abide by the conditions of supervision designed to maintain the security of

the examinations or assessments;

• The learner collaborates with other learners, beyond what is permitted;

• The learner copies from another learner, including the use of IT to aid the copying (refer to the

plagiarism procedure);

• The learner allows work to be copied (refer to the plagiarism procedure);

• The learner disrupts the examination room or during a test or an assessment session (including

the use of offensive language);

• The learner makes a false declaration of authenticity in relation to the authorship of controlled

assessments, coursework or the contents of a portfolio;

• The learner is in possession of confidential material in advance of the examination.

Maladministration

This means failure to adhere to the regulations regarding the conduct of controlled assessments,

coursework and examinations or malpractice in the conduct of the examinations/assessments and/or the

handling of examination question papers, learner scripts, mark sheets, cumulative assessment records,

results and certificate claim forms, etc.

Within ESQAC this may happen when:

• Failing to ensure that learners assignments or work to be completed under controlled conditions

is adequately monitored and supervised;

• Inappropriate members of staff assess learners;

• Failure to use current assignments for assessments;

• Failing to issue to learners the appropriate notices and warnings;

17 | P a g e

• The introduction of unauthorised material into the examination room, either prior to or during

the examination;

• Failing to remind learners that any mobile phones or other unauthorised items found in their

possession must be handed to the invigilator prior to the examination starting;

• Failure to keep accurate and up to date records;

• Granting access arrangements to learners which do not meet the requirements

In relation to any form of Malpractice, ESQAC works within regulatory requirements for Awarding

Organisations and would refer to the guidance of the General and Vocational Qualifications Suspected

Malpractice in Examinations and Assessments Policies and Procedures 1 September 2015 to 31 August

2016 produced by The Joint Council for Qualifications.

Malpractice Procedure

1. When malpractice is suspected those involved will notify the Lead IQA and the Centre Manager as

soon as possible.

2. The Lead IQA will institute an investigation into the alleged malpractice.

3. The Lead IQA will inform any individual/s involved of the allegations in writing by letter or email. They

will bring to their attention the ESQAC procedures and the JCQ Suspected Malpractice in

Examinations and Assessments document.

4. The investigation of an allegation of malpractice may involve those involved being invited to the

centre for an interview with the Lead IQA and Centre Manager. Where possible written statements

will be taken. The individuals will be made aware of the possible outcomes of this investigation.

5. The Lead IQA will write a report on all their findings including any written statements and submit it to

the Centre Manger.

6. All reports and statements will be sent to the individual/s to verify as accurate.

7. If the Centre Manager decided that there is sufficient evidence to implicate an individual/s in

malpractice then they will complete form JCQ/M1 or JCQ/M2B and send with all reports and

statements to the Awarding Organisation to investigate and/or make a decision.

8. The Lead IQA or Centre Manager will keep the individual/s informed of all decision made and action

taken.

9. In the event the Centre Manager considers that no malpractice has occurred, he/she will thank the

individual/s for attending and explain why the issue arose and provide guidance how this can be

avoided in the future.

18 | P a g e

Confidentiality and Data Protection

Issues of confidentiality for both learners and service users will be addressed in the following ways:

Learners

• The assessment process is confidential. The portfolio and assessment materials are accessible to

the learner, the learner's assessor and the internal quality assurer and also, on occasions, to other

assessors when they meet for standardisation sessions.

• The external quality assurer, on sampling a range of portfolios during their visits to the

assessment centre would also be entitled to see learners' work.

N.B. See “Exception” statement below

Service users

In some situations there may be pieces of evidence that are relevant to the assessment process but are

personal and confidential to service users. The following should therefore be considered -

• If the Assessor is also the learner's manager or supervisor it is likely that they have knowledge and

access to the information.

• If the above is the case the evidence could be taken into account and referenced, but not

included in the portfolio. The Assessor would need to verify that they had seen the evidence and

then record how the learner had met the standards.

• The sensitivity of the evidence must be considered before being shared with an assessor who is

not the learner’s manager or supervisor. The external/peripatetic assessor may need to speak to

the appropriate manager or supervisor in order to establish its relevance and authenticity.

General guidelines

• The service user should be asked for their permission (as far as possible) for evidence relating to

them to be used in the assessment process.

• Any ‘work products’ used as evidence and included in the portfolio must be referenced on the

appropriate form by the assessor who will describe how the evidence has met the qualification

standards. They will not be presented in the portfolio.

• The service guidelines on confidentiality also apply to QCF and the learner and assessor must take

these into account at all times.

Exception:

Should any issues of work practice arise that would need further action by the learner's manager or

supervisor (who would in most cases be the assessor) then confidentiality could no longer apply. A

safeguarding concern, for example, would justify this exception. The general principles of “whistle

blowing” also apply; see ESCC policy on Public Interest disclosure for full details.

19 | P a g e

Data Protection

ESM works within East Sussex County Councils policies and procedures.

The Data Protection Act places obligations on all those who process personal data. For the purpose of the

Act

• processing includes collecting, using, storing, disclosing and disposing of information

• personal data (or information) is defined as any information that may be used to identify a living

individual, either from that data alone, or from that data and any other information possessed by

a Data Controller.

Sensitive personal data (which requires extra protection under the Act) is any information that may

identify an individual’s

• racial or ethnic origin

• political opinions

• religious beliefs (or other similar beliefs)

• trade union membership

• physical or mental health

• sexual life, or

• details about the commissioning or alleged commissioning of any offence.

Purpose

The purpose of this policy is to outline the responsibility of every member of ESCC under the Act and to

provide basic information about disclosures.

Complex enquiries should be forwarded to the Data Protection Officer, tel: 01273 482913 email:

foi@eastsussex.gov.uk

Scope

The Act defines the following roles:-

• Data Controller – the County Council

• Data Processors – all Members and Staff of East Sussex County Council, or any other persons

using personal information on behalf of East Sussex County Council

• Data Subjects – the individuals whose information is collected and processed (for example clients,

members of the public, members of staff)

• Data Recipients – any person or organisation to whom data is disclosed.

Policy statement:

All personal information must be collected, processed, maintained and disclosed in accordance with the 8

Data Protection Principles:

• information must be fairly and lawfully processed. Where we obtain information from individuals,

they should be aware of why we are collecting the information, what we are going to do with it,

especially if we intend to disclose it to other organisations

• information must only be used in relation to the purposes registered by the County Council, and

not for any reason incompatible with those purposes

• information must be adequate, relevant and not excessive

• information must be accurate and up to date

• information must not be kept for longer than necessary

• information must be processed in accordance with the rights of data subjects (eg right of access)

• information must be processed securely. This includes:

o using appropriate means of transmitting data

20 | P a g e

o secure storage / disposal of personal information

o where processing is sub-contracted or outsourced (eg payroll, disposal of confidential

waste paper) there must be a suitable Data Protection clause in the contract

• information must not be transferred to countries outside the European Economic Area without

adequate protection. The European Economic Area comprises the EU states plus Iceland,

Liechtenstein & Norway. Note that the Channel Islands are outside the EU, as is any information

placed on the internet

All staff and Members may have access to personal information and must all ensure that it is processed in

accordance with the requirements of the Data Protection Act.

Enquiries

Information about ESM Data Protection policy can be obtained on request.

Fair Obtaining and Processing

ESM undertakes to obtain and process data fairly and lawfully as outlined within the ESCC policy by

informing all data subjects of the reasons for data collection, the purposes for which data is held, the

likely recipients of the data and the data subjects’ right of access. Information about the use of personal

data is printed on the appropriate collection form. If details are given verbally, the person collecting the

data will explain the issues before collection the information.

Registered Purposes

The Data Protection Act Registration entries for ESM are available for inspection on request. Explanation

of any codes and categories is available from the CME Programme Leader who is the person nominated to

deal with data protection issues in the first instance. ESM works to ESCC Data Protection Policies in

addition and any unresolved issues would be referred to the county’s Data Protection Officer.

Data Integrity

ESM undertakes to ensure that data integrity is achieved by following East Sussex Data in Transit Policy

and Information Security Policy.

21 | P a g e

Business Continuity Management Plan

A business continuity incident is one which interferes with the ability of an organisation to deliver its

goods or services. East Sussex County Council has an agreed constitution which sets out how the Council

operates, how decisions are made and the procedures which are followed to ensure that these are

efficient, transparent and accountable to local people. Some of these processes are required by the law,

while others are a matter for the Council to choose. ESM is part of ESCC and works to this constitution.

Introduction – aims, scope

ESM provides the following services related to the CME:

• Administration

• Management of the programme

• Mentors and Assessors who work with learners

• A management information system which is the IT platform for the course

• Online training

• Assessment and reporting structures

Objectives of the plan

To set out how ESM would:

• Contribute to the corporate response to a Business Continuity incident;

• Minimise disruption to services;

• Return services to normality in a controlled and timely manner;

• Support learners if ESM ceased trading.

Status of this Plan

This Plan is part of the Council’s corporate response. It must be read together with the Corporate

Business Continuity Plan, the Communications Plan – for use in all business continuity and emergency

incidents and the Generic Emergency Plan (GEP) – for use in external emergencies.

Together the Council’s Plans meet the business continuity requirements of the Cabinet Office document

“Expectations and Indicators of Good Practice Set for Category 1 and 2 Responders” (2009) and are also in

line with the International Standard for business continuity, ISO 22301:2012(E)1

Types of a business continuity incidents - Scope

• Staff shortages

o staff leavers

o long term illness leading to staff shortages

• Loss of infrastructure

o Loss of a hub building - flooding, fire, malicious act –

o Mountfield Road Performing Arts Centre.

o Technological failure - IT system, Phone system, Power

• Loss of centre

o ESM ceases to trade

22 | P a g e

Critical Services

The Corporate Business Continuity Plan would come into effective if for whatever reason ESM could no

longer deliver its services to learners due to a critical incident. Some types of incident that can result in a

crisis are set out below:

• Explosion, fire or chemical hazard

• Building damage or destruction

• Loss of access to premises

• Intruder on premises/Hostage taking/Abduction

• Terrorist incident

• Serious health hazards or infectious outbreak

• Environmental disaster, severe flood, high winds, snow

• Vandalism

• Utilities failure (gas, electricity, water, telephones, computer links) or loss of fuel supplies

A list of all the Council’s critical services is provided in the Corporate Business Continuity Plan.

Minimising loss of service

Actions must aim to prevent further loss of service, minimise the disruption and to restore the full service

as soon as is reasonably practical.

See Appendix A

Specific Risk – ceasing to trade

The well-being of the learner is important to ESM and if ESM ceased trading the following steps would be

put in place.

• Sufficient notice will be issued to the learner.

• Support will be offered to the learner to find another suitable Training Provider that will meet

their needs.

• Learners will be given the opportunity to complete any outstanding work

• All learner documentation will be handed over to the learner or alternative provider.

• Awarding Organisation will be notified.

• Where the ESM cancellation policy applies any outstanding monies will be transferred to the

learner.

23 | P a g e

Appendix A

Risk Action Further Information/Details

Loss of key staff Ensure there is capacity within

Staff Team to cover for illness

or staff leaving. Multi skilling

of staff.

If an assessor/mentor is signed off

long term sick then ESM will assign a

new assessor/mentor.

Loss of critical ICT systems Identify critical activities and

cross train staff. Work with IT

providers on resilient

solutions.

All ICT systems are web based.

Loss of buildings ESM staff are agile workers so

can use any operational

building or home to work.

Where a training event or meeting is

disrupted the Apprentice/learner will

be given as much notice as possible.

Where possible alterative premises

will be found. Where a building

needs to be evacuated then normal

ESCC Evacuation Procedures apply.

24 | P a g e

Complaints & Mediation

ESM aims to maintain and establish excellent working relationships with our learners and do everything

we can to ensure we offer the best possible service. However, if an issue did arise we would hope that in

the first instance the complaint would be raised directly with ESM who would try to resolve the matter to

the benefit of all parties. If this does not resolve the issue or if it is felt a more formal complaint is needed

East Sussex County Councils Polices would apply.

https://new.eastsussex.gov.uk/contact-us/complaints/

East Sussex County Council also has a mediation policy that can be supplied on request.