qualifications delivery manual - bwyq.org.uk qualifications delivery manual... · with student...

BWYQ Qualifications Delivery Manual With Student Registration System (SRS) notes added

Document 005 – Reviewed June 2017 2 of 54 © BWYQ - Qualification Delivery Manual

1. Introduction

This document outlines the BWYQ Qualification Delivery arrangements and is primarily intended for use by

BWYQ staff and centres. It may be provided to the regulatory authorities to satisfy them of BWYQ’s ability to

comply with various regulatory requirements.

The document and associated arrangements will be kept under continuous review by BWYQ, to ensure

appropriateness and effectiveness. In particular a formal review of these arrangements will be carried out at

least annually as part of BWYQ’s annual self-evaluation activities, with the outcomes reported to relevant

regulatory authorities accordingly.

Hence it is important that both the centre (BWYT) and BWYQ staff ensure that they follow the arrangements

in these documents and if amendments are required that they are brought to the attention of the BWYQ Head

of Operations or BWYQ Chair as soon as possible to trigger an earlier review and reduce the risk of any

potential non-compliances. This handbook must be read in conjunction with the following policy documents.

Chapters within this document only serve to provide a summary of the process. In all instances staff and

centres should first refer to their own policy documents and BWYQ policy documents as outlined below.

Document

Reference

Policy/ Guidance Document

BWYQ 006 Centre Recognition Documentation 2016

BWYQ 007 BWYQ Centre Handbook

BWYQ 008 BWYQ Equality and Diversity Statement

BWYQ 009 BWY E & D Policy

BWYQ 010 BWY Safeguarding Policies

BWYQ 012 Reasonable Adjustment Policy

BWYQ 013 Special Consideration Policy

BWYQ 014 Conflict of Interest Policy

BWYQ 015 Risk Management Policy & Risk Log

BWYQ 017 Malpractice and Maladministration Policy

BWYQ 018 Sanctions Policy

BWYQ 019 Complaints Policy & Procedure

BWYQ 020 Appeals Policy

BWYQ 021 Customer Services Statement

BWYQ 025 RPL Guidance

BWYQ 026 Plagiarism Guidance


2. Contents BWYQ Qualifications Delivery Manual ................................................................................................................... 1

1. Introduction ....................................................................................................................................................... 2

2. Contents ............................................................................................................................................................ 3

3. Recognising and Approving Centres ................................................................................................................... 4

4. Supporting Centres and Providing Guidance ...................................................................................................... 5

5. Registering Learners, Exams and Certification .................................................................................................... 7

Learner registration ........................................................................................................................ 8

Certification .................................................................................................................................... 9

Certification review/recall ............................................................................................................ 10

Replacement certificates .............................................................................................................. 10

Student registration and certification process .............................................................................. 11

Learner analysis ............................................................................................................................ 11

Requests for acknowledgement of Recognised Prior Learning (RPL) ............................................. 12

Requests for Reasonable Adjustments and Special Considerations ............................................... 13

Marking and standardisation ........................................................................................................ 15

Assessment marking and standardisation ..................................................................................... 15

Training ........................................................................................................................................ 16

6. Competencies Expected of Tutors/Assessors ................................................................................................... 16

The role of Assessors in Internal Assessment ................................................................................ 17

7. Monitoring Centres .......................................................................................................................................... 17

1. Physical EQA e.g. annual centre visit ......................................................................................... 17

2. Remote EQA e.g. sampling ........................................................................................................ 17

Allocating External Quality Assurers ............................................................................................. 18

Visit Frequency and Preparation ................................................................................................... 19

EQA Communication and Organisational Chart ............................................................................. 20

EQA Visits/Monitoring .................................................................................................................. 21

Sampling within a Centre (BWYT) ................................................................................................. 22

Competitor information................................................................................................................ 25

External Quality Assurer Reports .................................................................................................. 25

Maintaining EQA Standards .......................................................................................................... 25

EQA STANDARDISATION ............................................................................................................... 26

Induction ...................................................................................................................................... 27

Reports ......................................................................................................................................... 27

Team meetings ............................................................................................................................. 28

1-2-1’s .......................................................................................................................................... 29

8. Malpractice and Maladministration Investigations ........................................................................................... 30

9. Centres/Qualifications Withdrawal .................................................................................................................. 33

10. Dealing with Complaints ................................................................................................................................ 34

11. Dealing with Appeals ...................................................................................................................................... 35

12. Appendices .................................................................................................................................................... 37

Centre Based Risk Management ................................................................................................... 37

Operational Compliance Categories .............................................................................................. 40

Operational Risk Categories .......................................................................................................... 42

Strategic Risks............................................................................................................................... 43


3. Recognising and Approving Centres Also refer to Documents BWYQ 006 Centre Recognition and BWYQ 007 Recognised Centre Handbook

Note: In June 2016 Ofqual approved BWYQ retaining AO status for two regulated qualifications (BWYQ Level 4

Certificate in Yoga Teaching and BWYQ L4 Diploma in Teaching Yoga). BWYQ qualifications are delivered solely by

BWY Training. BWYQ does not foresee that it will expand to deliver from any other centres at this stage. The following

information is therefore for illustrative purposes regarding the processes that would be in place were the BWYQ to

expand.

This section outlines BWYQ’s approach to recognising centres – which are defined by Ofqual as centres which

undertake the delivery of the qualification on BWYQ’s behalf such as colleges, training providers or employers.

(Venues used to conduct assessment, in which the venue provider plays no part in the delivery of the assessment,

would not fall within the definition of a centre – as stated by Ofqual in the Frequently Asked Questions on the General

Conditions). BWYQ operates a centre recognition and qualification approval process that ensures the requirements

of the regulatory authorities General Conditions of Recognition in respect of centre recognition (Condition C2) are

appropriately addressed.

Centres wishing to offer a BWYQ qualification complete a Centre Recognition Form (BWYQ 006) which can be

requested from the BWYQ Central Office or via the email contacts at the end of this document. Approved centres

applying to offer further BWYQ qualifications, would need to complete a Qualification Approval Form to add

additional qualifications to their centre profile. Completed Centre Recognition Forms and Qualification Approval

Forms are reviewed by the BWYQ Head of Operations and BWYQ Chair to ensure that they have been appropriately

completed and all relevant information has been attached. The completed forms are then passed to BWYQ

Committee for approval.

When a centre has applied for recognition, the BWYQ Head of Operations and BWYQ Chair assign an External Quality

Assurer (EQA) to visit the centre to ensure that they have the appropriate resources, such as suitably qualified,

experienced staff and facilities, in place to be able to deliver BWYQ provision, in accordance with the BWYQ

qualification specifications. At these visits the EQA may review any centre devised assessment activities they are

considering using (if appropriate to the qualification they are seeking recognition and approval for) with views sought

from BWYQ Head of Operations and BWYQ Chair as appropriate.

The EQA may also outline the process they need to go through to seek approval of future assessment activities (see

next section). S/he will also outline BWYQ’s quality expectations of the centre to ensure understanding of BWYQ’s

approach to quality assurance and the actions/sanctions that may be imposed on the centre should it fail to deliver

BWYQ’s qualification(s) appropriately.

Upon receiving a satisfactory report from the External Quality Assurer EQA, the BWYQ Head of Operations and BWYQ

Chair will recognise the centre accordingly and approve it to offer the relevant qualification(s). Based on the

recommendations of the EQA report the BWYQ Head of Operations and BWYQ Chair will reserve the right to assign

actions to this recognition/approval if required.

To protect the integrity of BWYQ’s qualifications, newly recognised centres or centres offering a new type of

qualification will not be permitted to claim certificates for their learners until they have had a successful visit from a

BWYQ External Quality Assurer. The application form will be archived, along with any attached documents, to reflect

the fact the centre has now been recognised and/or approved to offer a particular qualification(s).


4. Supporting Centres and Providing Guidance

Centre requires support

The centre can contact BWYQ via phone/email and log a request for

support

Officer receiving the request

responds to the centre and/or

passes the matter onto a colleague

to address

Centre requests for support/ feedback are logged/

assessed to identify areas where BWYQ could

improve services/support with recommendations

made to NEC/ BWYQ Committee to action as

appropriate

BWYQ identifies a need for centre training event, which is considered and approved or not by NEC/ BWYQ

Committee

If approved; manager is assigned to lead on organising the

event (e.g. booking the venue, confirming the agenda and

speakers, producing materials, sending invites and

managing the events on the day, etc.)

The centre can access the

qualification

specifications, exemplar

materials, forms and the

centre handbook via the

BWY/Q websites

Invites sent to centre and/or the event is promoted. Centres respond and book places

Event takes place and delegates complete event evaluations

NEC/ BWYQ Committee overview receive feedback and use this to

inform future events


To support centres to deliver qualifications in a consistent manner BWYQ will:

• provide a qualification specification for each of the qualifications (and units) that the centre intends to

deliver. These have been designed by the BWYQ in accordance with regulatory requirements and are

published on the BWYQ website www.bwyq.org.uk .

• provide a learner assessment matrix/ record for qualifications to support internal assessment. This

will be used to track evidence of achievement by each learner and is available in the BWYQ

qualification assessment handbook. This function is provided by the Student Registration Systems for

courses registered from 2017. Supplementary instructions on using the SRS are available in the DCT

area of the BWY website.

• specify the qualifications and experience that centre staff must have, and/or their responsibilities in

the relevant qualification specification.

• hold various events for centres and track the attendance of centres at such events. The events will be

held at various locations and on a range of dates as and when they are required. They will be organised

by BWYQ Central Office and will support centres by, for example, sharing best practise in terms of

good assessment/internal quality assurance methods and updating them on sector/regulatory

developments as appropriate. At no time will such events that could be classified as ‘Prohibited

training’ (training provided to centres/teachers in relation to a qualification - whether physically or

remotely by means of simultaneous electronic communication - where someone holds information in

relation to the content of assessment materials or information about the assessment for that

qualification, and where disclosure of the information to centres/teachers would breach assessment

confidentiality)

• provide appropriate training material from such events online for future reference

• ensure centres receive and understand the requirements for operating as an approved centre by

providing them with a copy of BWYQ 007 Centre Handbook.

• ensure they receive support from BWYQ’s External quality assurer (EQAs) during their engagements

with the centre. External Quality Assurer EQAs will be managed and trained by the BWYQ Head of

Operations

• Have office staff available to offer support and guidance between the hours of 9am and 5.30pm,

Monday to Friday.

The BWYQ 007 Recognised Centre Handbook it includes, amongst other things, specific requirements for the

secure storage and return of assessment materials, Internal Quality Assurance expectations, how to register

learners (including confirming the identity of learners) and requesting certification for learners. This document

will be made available to centres alongside their first set of qualifications. In summary, the handbook will be

based around the following structure:

• Introduction

• Roles and responsibilities of an BWYQ centre

• Resources expected of an BWYQ centre (e.g. the staff expectations/ the experience they should have

and/or tasks they should do)

• Registering learners

• References to all relevant BWYQ Policies (as provided in the introduction to this handbook)

• How to a request RPL; Reasonable Adjustments or Special Considerations

• Exam/ assessment arrangements. For example:

• How to conduct assessments

http://www.bwyq.org.uk/


• Securely returning assessment evidence to BWYQ

• How to record and escalate any incidents (e.g. alleged learner misconduct or if an error is spotted

in an assessment)

• Details of where they can access support from BWYQ (e.g. key contact details, description of BWYQ’s

web pages that will have BWYQ’s various policies)

• Guidance on how to prevent and/or investigate instances of malpractice and maladministration

• How they will receive certificates

• Summary of how BWYQ will visit/monitor centres

• Details of how the centre (BWYT) can request additional support/guidance from BWYQ

5. Registering Learners, Exams and Certification Refer also to BWYQ 007 Centre Handbook. A flow chart illustrating the process is given on page 11

A new Student Registration System (SRS) has been introduced in 2017, which is configured to the new BWY

website and member data base. Integrating all systems, this platform provides a 'one stop' shop for all

students, tutors, IQAs and members; where they can access a broad range of information concerning the BWY

but also specific information regarding their own studies or courses that they are delivering and quality

assuring.

Following their course selection process and information days, tutors register their courses on the SRS so that

students can arrange their own enrolment and instant payment. From there on course administration takes

place online. Students receive their course material and are able to upload assignments via the SRS, whilst

tutors and IQAs can assess, review and comment on work to feedback to their learners on the system. There

are administration levels of confidentiality and permissions allowing for tutors and IQAs to correspond in

private. The SRS allows for all parties involved in the design, delivery and quality assurance of the courses to

be able to monitor progress remotely and where-ever they are, and students benefit from increased

accessibility to their programme material and support on-line.

The SRS has the facility to cover the end-to-end learner registration and certification process with a built-in certificate generation feature for paper based certificates. It streamlines traditional learner registration and certification activities and contains a number of innovative features from coherently supporting requests for reasonable adjustments, special considerations and recognised prior learning, to full audit trails in relation to all initial and final grading and results decisions, to a unique way of fully accessing a learner’s record and history at any stage in the registration and certification life-cycle; to support regulatory data-return reports and real-

time student achievement. Further information is provided in the BWYQ 007 Centre Handbook and supplementary SRS instructions available on the DCT area of the website.

The BWYQ Educational Administrator/ Quality Assurance Officer are responsible for managing BWYQ’s

registration and certification arrangements for those courses that weren’t registered on to the SRS. A student

registration document logs all information by course. The BWYQ Educational Administrator ensures that

BWYQ:

• Issue unit and qualification results and certifications for all valid entries and claims, ensuring that these

results/certificates are expressed clearly to learners and other users of BWYQ’s qualifications and that

they accurately reflect the marking of assessments and the results achieved

• Publish an up to date list of all timescales for issuing results, certificates and replacement certificates

(normally through BWYQ’s customer service statement) and that BWYQ complies with these timescales


• Only issue certificates and replacement certificates to those who have a valid claim/entitlement to them

• Maintain accurate records of all certificates and replacement certificates that BWYQ issue

Learner registration

Ideally learners will be registered by the relevant member of centre staff no later than at commencement of

the course however this is often not possible, and learners should be registered on the relevant qualification

and/or unit(s) as soon as possible thereafter.

It is the centre’s responsibility to take all reasonable steps to confirm the identity of the learners. This is done

via the SRS and member data base, which verifies the students’ identity and allocates a unique number to

them.

Each centre will nominate personnel who will be authorised to check and submit/ approve course

registration/certification requests. These centre staff are responsible for ensuring that the course has been

delivered effectively; the learner has completed the relevant parts of the course and the identification of the

learner has been confirmed. In addition, they will check course paperwork and registration requests and

certificate claims to ensure they have been fully and correctly completed, including:

• That result information match course registration details.

• Only appropriately competent trainers, assessors and verifiers were involved in the

delivery/assessment

• The correct BWYQ documentation was used.

• Learner details are correctly completed

• Investigating any suspicious entries or reasons for omissions of key data, resolving any issues with the

relevant trainer, assessor and/or internal quality assurer and when required raising the matter with

BWYQ.

For those courses not registered on the SRS, completed Learner Registration Forms would have been checked

by the centre to ensure full and clear completion and that the correct qualification and/or unit(s) had been

listed, as well as being signed off by a suitable empowered and authorised member of staff. The SRS automates

this level of scrutiny and ensures correct data entry.

All registration requests completed prior to the SRS are logged on a student registration and certification

spreadsheet, by course. This is managed by the Quality Assurance Officer with the Educational Administrator

supporting.


Certification

A centre can only make a claim for certification of the full qualification and credits to BWYQ when they are satisfied that a learner has completed the relevant assessments, achieved all of the qualification learning outcome assessment criteria as detailed in the qualification specification and assessment handbooks and has reached the specified level of attainment (level 4) for the units and/or qualification. If the learner failed to complete the entire qualification for whatever reason individual units and credits can also be claimed. The BWYT’s Quality Assurance Officer will verify all learner achievement before claims for certification are made by the centre.

Note: these internal arrangements for compliance with regards to student registration and certification will be

monitored from time to time by the external quality assurer (EQA) allocated to the centre to ensure robust

arrangements are in place, specified procedures have been followed and that the centre has arrangements

which minimise the risk of fraudulent or mistaken certificate claims being made. Should any issues arise

through these visits of through other means (such as a complaint or via an Ofqual investigation) that calls in

question the validity of a certificate claim, the centre manager must be immediately notified, and a formal

investigation carried out (in accordance with BWYQ’s malpractice and maladministration policy).

Submitted qualification/unit results will be examined by the BWYT Quality Assurance Officer (with advice from

the BWYQ Head of Operations and BWYQ Chair) who will check that the relevant unit(s) and/or qualifications

have been achieved (alongside the assessment matrix and with any accepted RPL claims) and that each

candidate has successfully achieved the ‘pass’ mark and that these, and the learner details, have been correctly

entered on the submission form. This process is automated by the SRS

Once successful achievement has been confirmed the Educational Administrator will refer the certificate

records to the Head of BWYQ Operations who will approve the certificates. The Educational Administrator will

then initiate the certificate printing and distribute the qualification and/or unit(s) and credit(s) certificates to

the relevant centre (note: certificate templates are stored securely within the BWYQ offices with only the

BWYQ Educational Administrator and BWY Operations Manager having access).

The Educational Administrator will ensure that the final certificate(s) clearly identify the language the

assessment was carried out in if another language was used other than English, Irish or Welsh and where the

objective of the qualification was not to gain skills, knowledge or understanding in the language.

To prevent fraudulent misuse, each certificate will adhere to the certificate requirements of the regulatory

authorities and will:

• Clearly and uniquely identify both the learner and the certificate itself

• Display the title of the qualification as it appears on Ofqual’s Register (along with any Endorsement

title if appropriate) – and no other title for the qualification

• Reflect the results achieved by the learner (certificates are not issued before all relevant achievements

have been obtained by the learner)

• Not contain the titles of any “unregulated” qualifications on the same certificate that contains details

of a “regulated” qualification

Unless there is a concern with the validity of achievement, the certification process must be completed within

6 - 8 weeks of the assessment being completed and certificate claim being submitted (as specified in BWYQ


021 Customer Service Statement). Certificate claims must be accompanied by copies of all students assessed

portfolios (including assessment matrices), the completed end of course review and the IQA report evidencing

that all actions related to student achievement have been addressed and signed off.

If a ‘fail’ has been determined this will be communicated to the learner via the relevant centre; the learner will

then have the opportunity, if appropriate, to enquire about, or appeal against, the result in accordance with

BWYQ’s Appeals policy. Alternatively, they may opt to claim certificates for the individual unit(s)/credit(s) they

have achieved to date if they do not wish to continue with the full qualification.

Certification review/recall

If situations arise that call into the question the validity of an awarding decision (e.g. via an enquiry in

accordance with BWYQ’s Appeals Policy or an investigation in accordance with BWYQ’s Malpractice and

Maladministration Policy), or an error has been made and a learner has incorrectly been awarded/ not

awarded, a unit/qualification achievement the issue will be brought to the attention of the BWYQ Head of

Operations who will inform the BWYQ committee and take matters forward. If this is in relation to EQA activity,

then the process outlined from page 17 will come in to play.

The centre and Awarding Organisation will ensure that the relevant learner’s records are amended (and/or the

records of groups of learners if the investigation indicates the issue affects more than one learner) to reflect

the new award or indicate that an earlier award has been withdrawn/amended. They are also responsible for

altering marks/awards if it is found there were an error and/or material inconsistency in the assessments

arrangements assigned to a particular task, unit or qualification.

The BWYQ Head of Operations will then be responsible for ensuring that the relevant learner(s) and centre(s)

are informed of the revised awarding decision and the decision to revoke the certificates (if they have been

issued already) in accordance with BWYQ’s stated Appeals and/or Malpractice and Maladministration Policies.

BWYQ will then carry out, as stated in BWYQ’s Appeals policy, a review across other learners/centres to see if

they too were affected by the same original decision/error.

Replacement certificates

Learners, or centres acting on their behalf, can request a replacement certificate. In doing so they need to

contact the Educational Administrator (who will also notify the Head of BWYQ Operations) and supply the

following information:

• Rationale for the request (e.g. loss of the original or the learner’s name has changed)

• Full name, date of birth, sex of the learner along with the name of the qualification and date of award and the centre where they achieved the award (including centre address if known)

• Supporting evidence – such as the identification of the learner (passport/driving license) or change of name records (e.g. deed poll or divorce records)

• The original certificate – this must be returned if the request is in relation to an error on the original or a change of name, so it can be destroyed.

In addition, they must pay the replacement certification fee of £25


All requests will be reviewed by the Educational Administrator (who will also notify the BWYQ Chair and Head

of BWYQ Operations), upon satisfaction that the claim is valid, and the identity of the learner has been

authenticated and the claim has been validated (by checking the database to ascertain their attainment

records), the BWYQ Head of Operations or BWYQ Chair will authorise the issue of a replacement certificate

that will be an exact replica of the original certificate - with the key exception being the new certificate will be

clearly identifiable as being a replacement.

Should the claim be rejected the BWYQ Chair will contact the person making the request and will inform them

accordingly of the decision and the rationale for this.

The Educational Administrator will also update the learner’s record to reflect the request and outcome.

Student registration and certification process

Learner analysis

The Safeguarding and Diversity Manager and BWYQ Head of Operations will also review candidate registration

and certification data on a regular basis to ensure that no adverse trends are identified in relation to equality

•Centre approved to offer the qualification

•Centre registers learners (see above)

•Centre delivers the qualification in accordance with the requirements outlined in the BWYQ qualification specification and assessment handbooks – if there are any centre devised assessment tasks these are approved by BWYQ where appropriate (see centre recognition section)

•Centre records assessment, internal verification and pass/fail details

•Centre monitored by BWYQ EQAs

•Centre makes a certificate claim including IQA approval. EQA verifies certificate claim (where appropriate) and BWYQ Head of Operations/ BWYQ Chair approves. Educational Administrator issues certificates.

•Learner makes a claim for a replacement certificate and provides relevant information and fee

•Educational Administrator checks BWYQ records and confirms the learner’s claim/achievement, advises Head of BWYQ Operations and BWYQ Chair, who approve reissue is appropriate

•If there are issues the learner is contacted to provide additional details. If concerns arise about the claim the Head of BWYQ Operations and BWYQ Chair are informed and an investigation is started (See Malpractice and Maladministration arrangements)

•If the claim is correct a replacement certificate is issued and the learner’s record is update accordingly


of opportunity and diversity or the success and failure rates of BWYQ’s qualifications which may signal

particular learners who share a particular characteristic were unfairly advantaged or disadvantaged. In which

case, the outcomes would be feedback into BWYQ’s regular management team meetings and BWYQ’s on-

going review of units and qualifications (see previous section). Examples of some of the data that will be

analysed include:

• Registrations per qualification

• Pass, failure, withdrawal and transfer rates per qualification and trends in relation to learner and

centre profiles.

• Number and details of exemption, equivalence and RPL requests

• Special Considerations and Reasonable Adjustments Requests

In addition, the outcomes of the analysis may also signal that changes are required to BWYQ’s approach to

developing, delivering and awarding qualification; in which case, these will be taken forward by the relevant

team lead for the particular process affected.

Requests for acknowledgement of Recognised Prior Learning (RPL) Refer to BWYQ 025 Recognition of Prior Learning Guidance and BWYQ 026 Plagiarism Guidance

BWYQ will accept requests to acknowledge recognised prior learning (RPL) if it has been agreed that the

qualifications studies or skills acquired are sufficient to meet BWYQ course requirements and therefore

negates the need for a learner to complete a particular unit/set of BWYQ learning outcomes. In the first

instance, a centre will make an assessment of the learner’s request and the nature of the RPL. If they deem

that it is a valid and appropriate request they will apply to BWYQ for RPL on behalf of the learner. A form is

available in the BWYQ Centre Recognition Document (BWYQ 006). This form is automatically sent to students

via the SRS

BWYQ would request the syllabus and criteria of any certified RPL courses and will attempt to match the learning outcomes to the BWYQ Cert/Dip syllabus and criteria via the Learning Outcome Assessment Matrix provided in the BWYQ 025 RPL document. This will include looking at the level, and credits if applicable, of the achieved qualification and will also identify any gaps in learning. Certificates related to the RPL request will be requested for evidence. BWY accredited groups/ yoga courses have similar criteria as BWYQ courses, so RPL in these instances may be fairly simple to evidence and apply. For an 'unknown' organisation, e.g. Anatomy and Physiology units from an Occupational Therapy qualification, more detailed information would be required. The tutor would be able to advise in the first instance but would also draw on advice from the IQA and Quality Assurance Officer before requesting approval from The BWYQ Chair. The BWYQ Chair/ Head of BWYQ Operations will then review the request to ensure it meets any stated and

acceptable opportunities agreed with the sector and will feedback the outcomes of the assessment to the

centre (e.g. accepted or not) with a clear rationale for the decision.

If accepted, the relevant evidence will be compiled to accompany the learner’s other assessed material and

BWYQ records. If the RPL application is not accepted the learner may choose to follow the BWYQ appeals

process. In either case the learner’s record is updated accordingly; including RPL against specific units if the

application was successful.


Further information is available via the BWYQ document 025 Recognition of Prior Learning Guidance for

Centres. The flow chart below outlines the procedure for dealing with requests for acknowledgement of RPL.

Requests for Reasonable Adjustments and Special Considerations Refer to BWYQ 012 Reasonable Adjustment Policy and BWYQ 013 Special Considerations Policy

The flow charts below outline the procedures for dealing with reasonable adjustments and special

considerations followed by a detailed description of the process. The Quality Assurance Officer is initially


responsible for managing applications, however she is supported by the BWYQ Head of Operations and BWYQ

Chair in any decision making. Forms are automatically sent to the student by the SRS.

Both types of request must be emailed to the BWYT Quality Assurance Officer in the first instance. The request

forms can also be found within the Reasonable Adjustments and Special Considerations Policy, available online

or on request from the BWYQ Central Office.

Approved centres must submit requests for reasonable adjustments at least 10 weeks prior to when the

assessment is due to take place. Applications for approval of reasonable adjustments are made by centres

using the designated forms submitted to the Safeguarding and Diversity Manager and BWYQ Head of

Operations for approval. BWYQ will aim to respond to all requests for reasonable adjustments within 3 working

days of receipt of the form.

Special consideration can be applied after an assessment if there was a reason the learner may have been

disadvantaged during the assessment. Approved centres must submit requests for special considerations no

later than 5 days after the assessment has taken place. Applications for approval of special considerations are

made by centres using the designated forms submitted to the BWYQ Head of Operations and Safeguarding

and Diversity Manager at Central Office for approval. BWYQ will aim to respond to all requests for special

considerations within 48 hours of receipt of the form.

•Centre applies on behalf of a learner for reasonable adjustments or special considerations

•Application received and reviewed by Quality Assurance Officer (in doing so consideration is given to the relevance of the claim in relation to the unit’s learning outcomes, assessment criteria and associated assessment method(s)

•Reasonable adjustment/special consideration is granted and the Centre/learner informed. Learner’s record is updated accordingly and the application filed.

•Reasonable adjustment/special consideration is rejected and the Centre/learner informed. Learner’s record is updated accordingly and the application filed.

•start an appeal in accordance with BWYQ Appeals Policy (see the Appeals section for details of the steps associated with this process)

Learner/ centre accept decision to reject RA/

Spec Cons application

Learner/ centre decide to appeal against decision


Marking and standardisation

BWYQ strives to have robust arrangements in place to ensure accurate and consistent marking of assessments.

Assessment marking and standardisation Each qualification is marked by assessors, and standardised by the BWYT IQA for that qualification. The IQAs

report to the Quality Assurance Officer who is responsible for maintaining standards across different

specifications in a subject within a qualification and from year to year. The Quality Assurance Officer and IQAs

are responsible for moderating the assessors marking schemes. This process is further scrutinised by External

Quality Assurers (EQAs) and the associated processes, who are recruited by the BWYQ to sample and ensure

correct practice at the recognised centres [BWYT]. The Quality Assurance Officer and BWYQ Head of

Operations ensure that IQAs and assessors are adequately trained in ensuring standardisation across

assessment marking schemes.

Additional checks and IQA/EQA activities are undertaken on any scripts where there are doubts about the

performance of an assessor, or where the performance of a learner or centre is significantly different from

expectations. The BWYQ Head of Operations and BWYQ Chair will also review all policies and procedures for

currency and accuracy as part of the annual self-assessment cycle.

Further information regarding the requirements of internal quality assurance of assessment processes at

centres can be found in The BWYQ Recognised Centre Handbook (p.14).

DCTs are required to submit evidence of learners assessed work to Central Office where it will be retained for

three years. For this reason, tutors are required to save all students work on to a USB stick or submit a zip file

at the end of the course as part of the certificate claim, also completing an end of course review document.

These should be submitted with the completed IQA report and certificate request form to central office. The

end of course review and further information is available in the centre handbook and from the Quality

Assurance Officer at BWY Central Office.

If an unacceptable level of inaccurate or inconsistent assessing is identified, assessors/ tutors are given

additional support until they satisfy the IQA that they can mark in line with the common, standardised

approach. If this is not the case, they are not allowed to continue assessing If necessary, any work that they

have completed will be re-marked. This is highly unlikely as tutors/ assessors delivering BWYQ courses have

undergone extensive training in yoga teaching.

Should an IQA, the Quality Assurance Officer (QAO) or an EQA identify any issues or adverse trends in

assessment at a centre they must immediately notify the BWYQ Head of Operations or BWYQ Chair who will

decide whether to start an investigation in accordance with BWYQ’s malpractice and maladministration policy,

whilst suspending the issue of any certificates. If it is not necessary to initiate the BWYQ 017 Malpractice or

Maladministration Policy or BWYQ 018 Sanctions Policy the BWYQ Head of Operations and BWYQ Chair will

decide on alternative action and advise the centre immediately. Any actions will be Specific, Measurable,

Achievable, Realistic and Timebound (SMART).

Reports on assessment results, special considerations and reasonable adjustment applications and withdrawal,

transfer or deferral are reported back to the BWYQ Committee.


Training The BWYQ believe that good marking depends upon the tutors/ assessors and IQAs shared understanding of

the mark scheme, and the consistency of its application. Therefore, before assessors start marking, they all go

through a standardisation process as part of their initial Yoga Diploma Course Tutor (DCT) training. This aims

to ensure that they are fully competent in assessing against the BWYQ learning outcome assessment criteria

consistently before they begin assessing. During standardisation, tutors/ assessors practise marking

assessments using the qualification assessment front sheets and handbooks to build up an understanding of

the marking standard and approach that they must apply.

Once the tutor/ assessor has demonstrated that they can assess the BWYQ learning outcome assessment

criteria and qualifications correctly, they are cleared to begin/continue assessing. If they do not succeed, they

are given further training and a second chance to qualify. Markers who do not meet the required standard at

this point are prevented from marking.

6. Competencies Expected of Tutors/Assessors Tutors/Assessors delivering BWYQ qualifications should be suitably qualified and occupationally competent in

the subject or vocational area they are teaching and or assessing. Centres should only use tutors who have

been initially trained as a qualified yoga teacher, and practicing for a minimum of 4 years.

Tutors/Assessors should have completed the BWY Diploma Course Tutor (DCT) qualification and may have also

achieved the following qualification (s):

• Certificate in Teaching in the Lifelong Learning Sector (CTLLS)

• Diploma in Teaching in the Lifelong Learning Sector (DTTLS)

• Post Graduate Certificate in Education (PGCE)

• Certificate in Education (Cert Ed)

• 730/7, 730/6, 740/07, or 740/06

• D32, D33, A1

• Assessors Qualification (QCF/ RQF)

As a minimum, Assessors should also be able to meet the following requirements:

• Must have, or be working towards A1 or an equivalent Assessors Qualification or teaching qualification;

• Must be able to provide evidence of the knowledge, understanding and application of the National Occupational Standards/ qualification/ regulatory frameworks for the yoga course that they are teaching and possess the necessary key skills and academic ability at the appropriate level;

• Must be able to demonstrate technical competence (and hold an appropriate qualification) e.g. in teaching yoga and yoga teacher training;

• Must be able to demonstrate competence in the assessment of the technical aspects of the qualification; • Must be familiar with the awarding organisation’s and regulator’s requirements in relation to conducting

assessment, recording assessment decisions and maintaining learners’ assessment records;

• Must be able to use plain language which is free from bias and appropriate to the qualifications;

• Must be committed to equal opportunities in assessment and have the ability to translate this commitment into practice.

• Must be committed to delivering the qualification in accordance with the Awarding Organisation and Regulator’s requirements


The role of Assessors in Internal Assessment Centres’ Assessors will be responsible for:

• managing the process of assessment of internally assessed methods, this must be evidenced from assessment planning, through to making and recording assessment decisions;

• assessing evidence of learners’ competence against the standards specified in the BWYQ qualification specification, making reliable judgements about this competence in accordance with the qualification assessment handbooks;

• following BWYQ policies, process and guidance related to the compliant delivery of the regulated qualifications.

• ensuring that they use valid, fair and reliable assessment methods that are moderated;

• conducting assessment in the way which meets the equal opportunities principles and policies (BWYQ 008 and 009) and as specified in Section 8;

• maintaining accurate and verifiable assessment records for each learner;

• signing the Certification Request Form to confirm that the learner has successfully met all the assessment criteria in the components assessed by the centre.

7. Monitoring Centres

This section outlines BWYQ’s approach to reviewing the performance of the centre, BWYT/individual tutors

acting on behalf of the centre; ensuring the effective delivery of assessments and internal quality assurance

practice. BWYQ carry out two types of External Quality Assurance activities:

1. Physical EQA e.g. annual centre visit

There will be the conventional physical visit where the EQA will visit the premises and externally quality assure

the activities of the centre. During this activity the EQA will sample a range of students assessed work across

all courses, participate in observations and interview students, assessors, IQAs and other key staff to support

the compilation of the centre EQA report. EQA activity of this nature takes place at least once annually with

the outcoming report informing the Awarding Organisation self-assessment process.

2. Remote EQA e.g. sampling

BWYQ will also perform remote external quality assurance (desktop) where the EQA will sample requested

documentation, verifying assessment practice and internal quality assurance. This activity can form part of the

centre EQA outlined above or be arranged independently as a course specific EQA. Course specific EQA activity

can be arranged in response to feedback, complaints, appeals, trend analysis or as part of the certification

process.

In all cases the EQA will sample the documents and compile a report using the appropriate EQA Form. The

outcome of this activity may trigger a physical visit to observe assessment and internal quality assurance. The

report will include SMART* actions, which the EQA will feed these back to the centre within a suitable

timeframe. The EQA will work with the centre to ensure that actions are being addressed. From 2016-17 EQA

activities to support improvement have been scheduled with the centre no less than on a quarterly basis.

* S=specific M= measurable A= achievable R= realistic T= timebound

Below is a flow chart of the process followed by a detailed description. The BWYQ Head of Operations is

responsible for managing the procedure, however if they are absent then BWYQ Chair or BWY Operations

Manager will fulfil their duties. Additional experts will also be recruited to support transparency in EQA

activities.


Allocating External Quality Assurers

The performance of each centre (or individual trainer) will be monitored and verified by BWYQ’s External

Quality Assurer (EQAs). The Head of BWY Operations / BWYQ Chair, are responsible for the allocation process

and will ensure that an External Quality Assurer:

• has the appropriate sector competence and qualification level to verify the qualification(s) the centre is

approved to offer

• the possession of the appropriate External Quality Assurance qualifications OR the equivalent

occupational experience (or the willingness to work towards such a qualification or experience);

• occupational expertise in the subject they are Externally Quality Assuring this could be demonstrated

through having spent 3 – 5 years working in the subject sector

• a thorough understanding of the standards for the BWYQ qualifications which they will be verifying;

• a thorough understanding of the Regulated Qualification Framework (RQF)

• a detailed knowledge of the awarding organisation’s systems and documentation;

• competence in the systems used to ensure consistency of standards across options and centres and over

time and the ability to ensure such consistency;

• the ability to use language which is plain, clear, accessible, inoffensive, free from bias and appropriate to

the BWYQ qualifications in Yoga;

• a commitment to equality, diversity and safeguarding; particularly in relation to access to and fairness in

assessment, and the ability to translate this commitment into practice.

• is allocated a centre in their area (where possible). Travel should be kept to a minimum (although it is

accepted that, due to specialisms within the EQA team there may be occasions where this guideline will

be over-ruled)

•Centre is recognised/approved and risk allocated. EQA assigned to the centre and informed of the monitoring plan for the centre/ themes and priorities.

•If a change of circumstances occurs that alters the centre's risk status the EQA is informed and the purpose of the EQA assessment is altered.EQA and Head of BWYQ Operations/delegate discuss/alter EQA schedule/focus

•EQA visit takes place and report is written and sent to the Head of BWYQ Operations/or her delegate and the BWYQ Chair

•Head of BWYQ Operations/ delegate and the BWYQ Chair review the content and appropriateness of the report and any recommended actions/sanctions. If there are issues with the quality of the report the BWYQ representatives will amend accordingly and refer back to EQA; providing feedback/training to update their performance (**see EQA standardisation flow chart below)

•The report will be sent to the Centre and any actions/sanctions recorded . The centres risk profile is updated.

•Centre works towards completing the action(s) and if need be they make a request for an extension/clarification. Head of BWYQ Operations/ EQA updates the action on the reports and communicates the decision to the centre

•Centre submits evidence to address the action. The Head of BWYQ Operations and EQA considers and signs off or not in which case a sanction may be imposed and the risk rating altered


• to ensure no conflict of interest in relation to the centre e.g. the EQA has not worked at the centre within

the last 18 months; has a relative that works at the centre; has worked at a competitor centre in the local

area, is a Governor at the centre. If the EQA has a conflict of interest and is the only EQA capable of being

allocated to the centre, then the Head of BWYQ Operations/ BWYQ Chair will be responsible for

monitoring each report produced by the EQA to ensure no adverse issues emerge that may lead BWYQ to

being accused of not being consistent and/or unfair in relation to the centre.

• has sufficient workload capacity to undertake the new centre (by looking at their current allocation

workload)

Visit Frequency and Preparation

An External Quality Assurer (EQA) will normally conduct a review of a centre at least once a year – although

additional visits will be carried out if there are concerns about the centre’s performance; there has been a

significant change in the number of qualifications they are offering/ learners who have been registered, or

they are delivering a new form of assessment at the centre. See Appendix 1 for details of BWYQ’s centre risk

model and approach. Any centre classified as High or Very High risk for any category will be investigated by

the Head of BWYQ Operations / BWYQ Chair/ BWY Operations Manager. This will include increased monitoring

such as additional EQA visits/ remote sampling.

Equally, additional visits may be carried out in response to issues that may have emerged from an investigation

into a complaint, appeal or if issues have been raised by another AO e.g. they have notified us due to

suspected/actual instances of malpractice/maladministration at the centre.

In addition to the regular EQA reviews (either remote or physical visits), BWYQ reserves the right to carry out

other pre-arranged or unannounced visits in the interests of ensuring compliance and quality assuring the

integrity of the qualification delivery and assessment practice. Such visits may be undertaken by the EQA or

other representative(s) from BWYQ.

Each centre will also receive an external engagement with the EQA /member of BWYQ to assess their level of

activity/monitor action plans and to identify additional needs. This visit will be undertaken remotely, with the

Head of BWYQ Operations / BWYQ Chair and the BWYQ approved centre IQA/centre contact. The purpose of

this desk based visit will be to identify whether there have been any significant changes (or planned changes)

that may warrant an additional visit, and/or a planned visit being brought forward. All such remote

engagements are recorded by the Head of BWYQ Operations/ BWYQ Chair.

In relation to actual visit based activities, an EQA should contact the centre in advance of a centre visit to

explain the scope of the visit and the verification and sampling activities that will take place. This contact will

include making arrangements to observe assessments taking place.

Where appropriate, the EQA may decide to request information from the centre in advance of the visit to help

inform the sample that will be undertaken at the visit as well as reviewing information BWYQ hold on the

centre in their centre profile (e.g. details of previous enquiries, complaints, appeals, etc.). The EQA and BWYQ

Head of Operations will work together to establish the request, which will be made to the centre via the Quality

Assurance Officer (QAO). See communication flow chart for the EQA on page 20.


Centres are obliged to comply with any requests for access to premises, people and records for the purposes

of External Quality Assurance. If a centre fails to provide access the EQA should inform the Head of BWYQ

Operations/ BWYQ Chair who will then decide on the appropriate action to take with the centre.

Once a visit date has been agreed, the centre will need to ensure that the appropriate members of staff attend

the meeting, all requested documentation is provided and access to course and staff records is available.

If a centre cancels an EQA visit at short notice the EQA should contact the Head of BWYQ Operations/ BWYQ

Chair who must be satisfied that there was a legitimate reason for the cancellation. If this cannot be

established, BWYQ will reserve the right to withhold certification claims until a monitoring visit is completed.

EQA Communication and Organisational Chart

Formal/ Official Line Management Structure

Communication routes and organisational hierarchy

IQAs DCTs

Quality Assurance Officer

Head of BWYQ

Operations and RO

EQA

BWY Operations

Manager BWYQ Committee and

Chair (volunteers)


EQA Visits/Monitoring Whilst undertaking a visit and/or as part of the overall monitoring approach, each EQA should:

• ensure, through appropriate sampling/moderation, that assessment arrangements are fit for purpose and

the criteria against which learners’ performance is differentiated are being applied consistently by

assessors within and across centres and in accordance with requirements specified for each qualification

• check that any centre based assessment activities have been submitted to BWYQ for approval and review

by the Head of BWYQ Operations/ BWYQ Chair using the appropriate application form and are being

implemented appropriately and consistently – and/or approving further assessment activities.

• ensure the centre is taking all reasonable steps to prevent the occurrence of malpractice or

maladministration

• confirm that previously identified action points have been met

• confirm that assessments are conducted by appropriately qualified and occupationally expert assessors

• confirm that exam arrangements at centres are in accordance with BWYQ’s requirements

• confirm the centre has the appropriate resources and expertise to deliver BWYQ’s qualifications in

accordance with BWYQ, sector and/or regulatory requirements

• confirm all learners undertake an initial assessment in order to identify barriers to assessment,

exemptions and/or recognition of prior learning (RPL)

• sample assessment decisions to confirm that the learner evidence is authentic and valid and that national

standards are being consistently maintained and regulatory requirements adhered to

• confirm that assessment decisions are regularly sampled, through internal quality assurance, for accuracy

against the national standards

• check that claims for certification are authentic, valid and supported by auditable records and that

learners have met the specified level of attainment

• ensure that the centre/ DCTs are retaining appropriate records of assessment and internal quality

assurance decisions for at least three years

• ensure that the centre is meeting BWYQ requirements for learner data retention as set out in BWYQ’s

guidance materials to centres

• advise and support centres on the interpretation of national standards, learning outcomes and

assessment criteria

• provide centres with feedback and support upon completion of any prior internal quality assurance

activities uploaded to the insert system name when requested by BWYQ

• provide centres with up-to-date information and advice in line with BWYQ awards and regulatory

authority guidance and requirements

• recommend the application of appropriate sanctions in line with BWYQ’s Sanctions Policy, on centres that

fail to meet the requirements

• identify opportunities at the centre for them to offer additional BWYQ qualifications (where appropriate)


Sampling within a Centre (BWYT)

To make decisions on the matters listed an EQA should review samples of the following at each visit and/or

over a suitable period. The EQA will record the sample and the rationale behind its selection in the visit forms

so that the Head of BWYQ Operations/BWYQ Committee can monitor the characteristics of selected samples

over time and the effectiveness of the EQA sampling. EQA sampling will include:

• evidence that assessors, trainers and internal quality assurers have appropriate qualifications and

experience to meet the assessment strategy for the awards/units they assess/verify

• evidence of continuous professional development (CPD) for assessors, trainers and internal quality

assurers and appropriate records

• evidence that learners have access to fair and unbiased to assessment

• evidence that assessment practice is valid and fit for purpose, adhering to the VARCs principle

• evidence that assessment practice meets the requirements set out in the BWYQ Qualification and

Assessment Specifications; including accurate assessment against all Learning Outcome Assessment

Criteria

• evidence of valid claims for exemptions and/or RPL (recognition of prior learning)

• evidence that assessments are structured effectively in terms of planning, assessing, review and

feedback

• assessment instruments, evidence, tasks and assessment methods (e.g. learner portfolio or other

evidence or assessment conditions) to ensure they are appropriate and that centre based assessment

activities have been approved by BWYQ in advance of their use as noted above

• evidence that assessors are taking part in standardisation activities

• evidence that the BWYQ Centre (BWYT) is complying with policies and procedures

• evidence of assessment decisions of all assessors

• all assessment locations to ensure standards are being consistently applied

• internal quality assurance quality assurance and assessment records including feedback to assessors

• learner registration and claim records for units and qualifications

• internal quality assurance strategy and sampling records

• details of any appeals, or reasonable adjustments

• evidence that the centre has a diversity and equality policy, appeals policy and complaints policy and

arrangements to prevent and investigate instances of malpractice and maladministration and that these

are being applied and monitored appropriately

A BWYQ External Quality Assurer would also report back to the Head of BWYQ Operations/ BWYQ Chair

training needs that have arisen from the visit, for example personnel within the centre may need additional

training on the BWYQ insert system name.

To assist the EQA s in their sampling activities they will have access to information on the learners registered

by the centre and whether their learning is in progress or completed.

Therefore, in developing a sampling strategy an EQA must take into account the specific circumstances of the

centre being visited. Particular factors which should be considered when determining the scope of a sample

may include:


• Number of registered learners

• Number of certificates claimed

• Assessor and internal quality assurer qualifications. Inexperienced or unqualified assessors may not be

familiar with the assessment methods or standards and may need careful monitoring until they

develop the necessary expertise. Therefore, a sample should contain a sufficient proportion of their

assessment decisions.

• Learner/assessor ratios

• Learner/trainer ratios

• Internal quality assurer/assessor ratios

• The number of sub centre/satellite sites and their geographical dispersion. Where a centre has a

number of assessment sites the sampling plan must enable the EQA to verify that assessment and

internal quality assurance practices are maintained with equal rigour and consistency at all locations.

• The centre’s track record in complying with BWYQ’s requirements and any agreed action plans

• Centre/ tutor/ IQA risk rating (red/ amber/ green)

• Rate of staff turnover

An EQA should ensure that their sampling strategy involves not only the inspection of evidence, but also

meetings with internal quality assurers, assessors and learners, in order that the EQA can confirm whether the

process of assessment, as well as the standards being used to judge learner competence, are consistent and

meet national standards.

Also, an EQA should ensure that the selection of learners, assessors and internal quality assurers for sampling

is not left solely to the discretion of the centre and should therefore select learners without prior notification

to the centre, to minimise the risk of fraudulent claims for certification.

If a centre fails to make available learners selected for interview the EQA must inform the Head of BWYQ

Operations/ BWYQ Chair who will require the centre to provide proof that these learners exist. If this cannot

be clearly established the Head of BWYQ Operations/ BWYQ Chair will work together to decide on what

sanctions should be applied and the nature of any potential malpractice/maladministration investigation.

Whatever the precise plan used, the final sample must be sufficient for the EQA to:

• confirm the consistency and authenticity of assessment decisions

• confirm the validity of claims for certification and authenticity of learners’ evidence

• provide evidence to support the EQA conclusions

If the sample shows that the centre is not applying the required standards, the EQA should:

• identify and record the specific area of concern

• confirm if they had to overturn/remark assessments carried out by the centre or because of an

inconsistency in the details we publish or provide in relation to the assessment – in which case they

must immediately notify the Head of BWYQ Operations/ BWYQ Chair who will engage with the Head

of BWY Operations/ BWYT Chair (dependent on circumstance) to assess the impact on BWYQ’s

qualifications, materials and/or certificates that have/have not been awarded and who will take

appropriate action in accordance with BWYQ’s arrangements for dealing with actual/potential adverse

effects


• feedback immediately to the internal quality assurer and/or the centre representative and request a

further sample to ascertain the extent of the non-compliance.

• record their findings in their report

• recommend sanctions, if appropriate

• create an appropriate action plan for the centre

It should be noted that some of BWYQ’s qualifications may include stimulus materials provided by the

Awarding Organisation or centre to support assessments. The use of these should be reviewed during the

centre visits to ensure they, and the language they use, are appropriate. They are only appropriate if they:

• enable learners to demonstrate their level of attainment,

• require knowledge, skills and understanding which are required for the qualification,

• are clear and unambiguous (unless ambiguity forms part of the assessment), and

• are not likely to cause unnecessary offence to learners.

In considering whether language and stimulus materials for an assessment are appropriate, an EQA must take

into account in particular:

• the age of learners who may reasonably be expected to take the qualification,

• the level of the qualification (level 4),

• the objective of the qualification, and

• the knowledge, skills and understanding assessed for the qualification.

• it contains language or content which could lead a group of learners who share a common attribute or

circumstance to experience – because of that attribute or circumstance – an unreasonable

disadvantage in the level of attainment that they are able to demonstrate in the assessment

If an EQA finds a particular issue during their sampling activity, they will notify the BWYQ Head of Operations

and BWYQ Chair immediately. Further samples may be requested from the QAO to further investigate the

matter and support the EQA in establishing whether the BWYQ Malpractice and Maladministration or

Sanctions Policy should be implemented. The assessor/ IQA may be contacted at this stage to provide further

evidence. The EQA and BWYQ Head of Operations/ BWYQ Chair will endeavour to ensure that the centre is

kept up to date with developments and that any adverse effect that may impact on the students is prevented

or mitigated (in compliance with Ofqual expectations as outlined in BWYQ 001 Governance Manual and BWYQ

policies).

BWYQ have a service level agreement (SLA) that certificates will be issued within 6-8 weeks (see BWYQ 021

Customer Service Statement) providing that achievement has been proven to be valid. In all cases where the

issue of certificates within this SLA may be brought in to question the BWYQ Head of Operations/ BWYQ

Chair should ensure that the centre is advised within 5 working days.

EQAs are responsible for ensuring that the BWYQ Head of Operations and BWYQ Chair are regularly updated on any arising issues in order that they can keep the centre well- informed via the communication route illustrated on page 20.


Competitor information

If the EQA identifies any intelligence or feedback from the centre in relation to the services, approaches and/or

assessment arrangements and standards of competitor awarding organisations during the visit, they are

required to bring these to the attention of Head of BWYQ Operations/ BWYQ Chair who will then consider the

information and record it accordingly.

This data will then be reviewed on a regular basis to help identify if other awarding organisations are offering

qualifications that are similar in nature, or have the same title, but are not doing so to the same standards/level

of attainment offered by BWYQ. If it is identified that other organisations are offering the qualification to a

lower standard than us the Head of BWYQ Operations, will be responsible for raising the matter with the

relevant regulatory authority for them to investigate (e.g. in accordance with the intentions of Ofqual’s General

Condition H4).

External Quality Assurer Reports

At the end of each visit the EQA will provide a report to the centre, which would be accessed by the centre

through the BWYQ insert system name, that:

• records the date of the visit

• details the monitoring and verification activities undertaken, including information on any sampling

undertaken and who was interviewed

• contains feedback to the centre on the quality and consistency of its assessment process and the

effectiveness of internal quality assurance/quality assurance arrangements

• highlights areas of good practice

• specifies what SMART actions the centre must take if its performance does not meet BWYQ’s

requirements, when these actions must be completed and who is responsible for completing them

• If applicable, and only if serious weaknesses are found, details of any sanctions that will be imposed,

or will be recommend to managers within BWYQ to impose with a rationale for such a decision (see

the next section for details).

EQA s should be aware of BWYQ’s Malpractice and Maladministration Policy and their responsibility to report

any potential or alleged malpractice immediately to the Head of BWYQ Operations/ BWYQ Chair. If the centre

is unhappy with the conduct or outcome of a quality assurance visit the matter should be taken up through

BWYQ’s Appeals procedure.

Maintaining EQA Standards

As an awarding organisation BWYQ are responsible for ensuring that the criteria against which learners’

performances are differentiated are applied accurately and consistently and in accordance with regulatory

and/or sector requirements. The purpose of undertaking standardisation of external quality assurance

activities is to ensure that judgements made by EQA s, on the performance of approved BWYQ centres, are

consistent and reliable


Below is a flow chart to show the process for arranging standardisation and team meetings with BWYQ EQA s.

The flow chart is followed by a description of the process.

EQA STANDARDISATION

EQA s will be expected to attend all standardisation meetings in relation to the qualifications they verify, as

part of their contract with BWYQ. Each standardisation meeting will be organised and chaired by the Head of

BWYQ Operations/ BWYQ Chair.

As part of standardisation activities, the Head of BWYQ Operations will undertake regular monitoring of

external quality assurance activities, including joining EQAs on external quality assurance visits. These visits

will allow for the identification of best practice and areas for development of individual EQA s. They will also

inform on training needs as part of overall quality activities.

The outcomes of BWYQ’s standardisation activities will feedback into the on-going qualification review process

as appropriate (e.g. the outcomes indicate that amendments may need to be made to the content or

assessment approach of a unit and/or qualification or that levels of attainment have been inconsistently

applied across centres, qualifications or overtime) and regular reviews of the appropriateness of BWYQ’s

centre monitoring arrangements.

In addition, to ensure standards are robustly monitored and enforced, the above will be subject to regular

review as part of BWYQ’s annual self-evaluation arrangements.

•EQA is recruited, suitably trained and inducted. EQA undertakes visits as per flow chart p.21.

•EQA reports are reviewed as per ** centre monitoring flow chart above (p. 18)

•Suitable colleague/ consultant shadows EQA and updates their performance record in the corporate governance reporting system accordingly

•No issues = wait for next standardisation shadowing exercise.

•If issues are identified with the performance, behaviour and/or consistency of an EQA/ group of EQAs a range of activities can be deployed to resolve issues and raise standards

•Additional training is implemented for the EV(s)

•A greater level of sampling/even 100% sampling of the EV(s) reports is carried out

•Increased level of shadow visits carried out

•EQA’s contract is terminated and a new EQA is recruited (if required)

•Issue reported to BWYQ Committee/ regulators and action taken if appropriate (eg if an adverse effect has occurred because of an EQA’s action the adverse effect arrangements will be implemented – see governance manual


Induction

All EQA s will receive an induction upon appointment and a copy of this delivery manual. EQA s will also shadow

each other, as part of their induction to BWYQ and to share and develop best practice.

In addition, they will receive on-going training if needs are identified in the 1-2-1s (mentioned below) and as

part of the team standardisation meetings (see below).

Reports

To support BWYQ’s approach to ensuring standards are maintained across qualifications, centres and over

time the Head of BWYQ Operations, will work with the QAO and Safeguarding and Diversity Manager in

keeping records of all centre monitoring activities, appeals, centre requests for special considerations/

reasonable adjustments and malpractice investigations. Trend and activity reports will be produced to enable

BWYQ to identify positive/adverse trends in relation to ensuring standards are comparable year on year across

centres, qualifications at the same level and title and where they are assessed using different assessment

methods. These records will be stored on the shared drive at BWYQ Central Office.

Regular reports on centre activity will be produced for the BWYQ Committee as requested. These reports will

contain summaries in relation to the following specific and/or combined areas:

• Analysis of centre monitoring activities including: the frequency of visits and desk top monitoring

undertaken in the last period and planned for the next period; the approach EQA s have taken to applying

actions, sanctions and risk judgments; trends that may be emerging within and across centres.

• Qualifications reviewed, assessment methods used and the consistency and quality of the assessment

practices

• The performance of BWYQ’s EQA s to ensure their judgements and approach are consistent across centres

and qualifications

• Whether the criteria against which learners’ performance is differentiated are being applied accurately

and consistently by assessors in different centres

• Feedback from centre staff in relation to the qualifications delivered including their content, assessment

methods and associated support materials

• Whether centres have effective arrangements in place to register learners and track their progress and

achievements

• The performance of centres’ internal assessment, quality assurance, standardisation and marking

arrangements and how often, and why, decisions were overturned by BWYQ staff

• Any complaints against individual EQA s

• Any positive feedback received from centres and/or other stakeholders

These findings will be compared against previous reports (in particular annual reports) and circulated to key

members of staff across BWYQ, with a clear executive summary and details of any suggested actions, to inform

future qualification reviews/developments and on-going monitoring and customer support activities such as:

• Whether assessment methods and materials are appropriate, or if changes are required, in terms of

their associated level of demand and support


• Whether centres, in the main, deliver qualifications via well organised, consistent and structured

arrangements and in accordance with the requirements of the qualifications and/or the regulators -

and if not the types of guidance/support BWYQ needs to provide to address the issues

• Whether the approach to monitoring the performance of centres is appropriate and helps ensures

standards are maintained across centres, qualification titles and over time (e.g. by comparing to

previous years’ reports) and/or if there are discrepancies in the consistency of approach amongst the

monitoring teams

• Whether the specified level of attainment it set for each qualification has been consistently achieved

over time and between similar qualifications within BWYQ and where intelligence has been collected

against similar qualifications made available by other awarding organisations (see the previous section

on Centre Visits and the sub-section Competitor details for further information) in order for BWYQ to

have sufficient confidence that standards are being appropriately maintained.

Team meetings

The EQA team will have regular team meetings, led by the Head of BWYQ Operations to review current trends,

performance, and review and disseminate lessons learned/good practice and/or to undertake standardisation

activities amongst the team to ensure that standards are consistently interpreted and enforced.

These meetings will also consider outcomes and recommendations from the reports mentioned above. In

addition, the aims of standardisation meetings, amongst other things, are:

• To provide an opportunity to ensure the consistency of the award of credit to learners across different

assessors/verifiers/centres and to agree the standards to be achieved

• To ensure consistency in the judgements that are being made

• To ensure the adequacy of the feedback provided to learners

• To identify and share best practice from centre visits

In addition, these meetings will be used to update and train the team on relevant developments that will affect

their role (e.g. developments with the regulators, or new emerging SSC strategies).

At these standardisation meetings, the EQA team will, from time to time, review and sample each other’s work,

discuss emerging issues/trends and share areas of good practice identified amongst centres and their staff and

ensure that standards are maintained within and across qualifications, units, centres and over time.

The agenda for each meeting, associated papers and the agreed outcomes and actions will be recorded by the

Head of BWYQ Operations to ensure sufficient audit trails are maintained to inform future activities and/or to

be used in future regulatory audits. Example agenda topics include:

• Introductions

• Apologies

• BWYQ policies updates

• BWYQ qualifications updates

• Procedures for planning and carrying out an EQA visit

• Review centre standardisation practices

• Evaluating evidence at EQA visits


• Giving appropriate feedback to centres

• Developing centre action plans from EQA visits

• Review EQA reports

• Qualification updates for delivery/IV/assessing centre staff

• Malpractice and maladministration issues

• Best practice examples identified from centre visits

• Trends identified from centre visits

• Qualification feedback from centre visits

• EQA CPD/training

1-2-1’s

In addition to the team meetings, the Head of BWYQ Operations, will monitor the work of each EQA throughout

the year to ensure they are carrying out their role to the expected standards with details of each review

recorded on the EQA’s record as reported to BWYQ committee and BWY NEC:

• Their decisions against the relevant qualification and regulatory requirements

• The quality of their reports and any trends identified through the above analysis of their reports

• The contents of their reports against those of other EQA s within the same period and qualification type.

• Any complaints against them

• Any grievances over marks awarded, reports produced and/or decisions made

• Any positive feedback received from centres and/or other stakeholders

• The level of sales the EQA has obtained and/or business they have managed to maintain and/or grow

• The content and approach they have taken to applying actions, sanctions and/or risk judgements on

their centres

The Head of BWYQ Operations or BWYQ Chair will also shadow each EQA on centre visits from time to time to

assess their approach to centre monitoring and support and/or to provide additional support to them on

certain visits.


8. Malpractice and Maladministration Investigations Please refer to BWYQ 017 Malpractice and Maladministration Policy

The following is guidance staff should adhere to when they are involved in carrying out

malpractice/maladministration investigations with details of each investigation recorded in the Malpractice

log. It outlines typical stages in an investigation and these are supported and reflected in various degrees,

where appropriate, in the Malpractice/maladministration form.

The Head of BWYQ Operations and BWYQ Chair are responsible for allocating staff to lead on, contribute to an

investigation, and for ensuring that all investigations adhere to BWYQ’s Malpractice and Maladministration

Policy and the arrangements outlined below. At all stages should a member of staff involved in an investigation

have queries with regard to BWYQ’s process or emerging findings they should immediately contact the BWYQ

Head of Operations for clarification and/or support. Below is a flow chart of the process followed by a detailed

description.

Stage 1: Briefing and record-keeping

All suspected cases of malpractice and maladministration will be passed to the Head of BWYQ Operations and

BWYQ Chair, who will record the issues on a malpractice and maladministration log. They will review the

evidence and consult with the other relevant parties, such as the BWY Operations Manager. They will ensure

any investigation is carried out in a prompt and effective manner and in accordance with the procedures in

BWYQ’s Malpractice and Maladministration policy. The Head of BWYQ Operations and BWYQ Chair will

allocate a relevant member of staff (e.g. an External Quality Assurer) to lead the investigation and establish

whether the malpractice or maladministration has occurred, and review any supporting evidence received or

gathered. This person (s) will be the investigator for the case.

If, due to the nature of the allegation being investigated, the investigation will be carried out jointly with

another organisation (e.g. another AO, the regulators or funding bodies) the Head of BWYQ Operations and

Provide regular reports on the findings and progress to SMT/ BWYQ Committee and BWY NEC , (the advisory panel and the board)

In some cases evidence of maladministration and malpractice will lead to a centre being de-regulated by BWYQ - see section on 'withdrawal' if this is the case.

Consider the impact on learners and/or issued certificates and take steps as outlined in the malpractice and maladministration policy

Identify lessons learnt from the investigation and implement arrangements to prevent, where possible, similar incidents occurring

Relevant parties informed at this stage, where relevant, and Investigation carried out

No evidence of Malpractice/maladministration the Centre is informed and the matter closed (regulators informed as

appropriate)

Evidence of maladministration : parties notified and actions and/or sanctions imposed on the centre in accordance with those outlined in the malpractice and maladministration policy and

sanctions policy

Allegation made and reviewed by BWY Head of Operations and BWYQ Chair

Allegation dismissedInvestigation started and investigator(s) allocated and provided with a brief and terms of

reference for the investigation


BWYQ Chair will clarify the leadership responsibilities with the other organisation(s) and agree the working

and investigation principles and arrangements that must be followed. They will then ensure that all members

of BWYQ’s investigation team are fully informed of the agreement and adhere accordingly.

The Investigator will ensure that an individual or centre has not been asked to assist or lead an investigation

when there is a suspicion or allegation the individual or centre was itself connected to the incident being

investigated. The terms of reference for each investigation will be recorded by the Head of BWYQ Operations,

in the Malpractice/Maladministration log (unless agreed otherwise as part of the principles/agreement

associated with any joint investigation activities).

Staff assigned to an investigation (referred to in the rest of this section as ‘investigators’) will have a clear brief

from the Head of BWYQ Operations and BWYQ Chair therefore have a clear understanding of their role in the

investigation and the need to maintain an auditable record of every key action during an investigation to

demonstrate that BWYQ have acted appropriately. The BWY Operations Manager, will stipulate and/or provide

secure storage arrangements for all material associated with an investigation in case of subsequent legal

challenge.

All allegations of malpractice and/or maladministration will be uploaded to the corporate governance software

by the Head of BWYQ Operations. This will enable BWYQ to identify possible trends/issues; to revisit at a later

date if new evidence comes to light; and/or to show to the regulators upon request to prove compliance with

their good practice guidance for dealing with Malpractice and/or Maladministration.

Stage 2: Establishing the facts

Investigators should review the relevant evidence and associated documentation, including relevant BWYQ

guidance on the delivery of the qualifications and related quality assurance arrangements, to determine:

• what occurred (nature of malpractice/substance of the allegations)

• why the incident occurred

• who was involved in the incident

• when it occurred

• where it occurred (e.g. there may be more than one location or centre affected)

• what action, if any, the centre has taken.

Stage 3: Interviews

Most investigations will include interviews with key parties and therefore interviews should be thoroughly

prepared, conducted appropriately and underpinned by clear records of the interviews. For example:

• Interviews should include prepared questions; responses should be recorded.

• Interviewers may find it helpful to use the ‘PEACE’ technique:

• plan and prepare

• engage and explain

• account

• closure

• evaluation.


Face-to-face interviews should normally be conducted by two people with one person primarily acting as

interviewer and the other as note-taker. Those being interviewed should be informed that they may have

another individual of their choosing present and that they do not have to answer questions (these

arrangements aim to protect the rights of all individuals).

Stage 4: Other contacts

• In some cases, learners or employers may need to be contacted for facts and information. This may be

done via face-to-face interviews, telephone interviews, by post or by email.

• Whichever method is used, the investigator will have a set of prepared questions. The responses will be

recorded and attached as relevant to the malpractice/maladministration form. Investigators should log

the number of attempts made to contact an individual.

Stage 5: Documentary evidence

• Wherever possible documentary evidence should be authenticated by reference to the author; this may

include asking learners and others to confirm handwriting, dates and signatures.

• Receipts should be given for any documentation removed from a centre.

• Where relevant, independent expert opinion may be obtained from subject specialists about a learner’s

evidence and/or from a specialist organisation such as a forensic examiner, who may comment on the

validity of documents.

Stage 6: Conclusions

Once the investigators have gathered and reviewed all relevant evidence, the draft findings and

recommendations should be forwarded to the Head of BWYQ Operations and BWYQ Chair, to enable a decision

to be made on the outcome of the investigation and any appropriate actions actions that should be undertaken

(e.g. notifying relevant parties, applying actions and/or sanctions; amending BWYQ’s internal arrangements

and/or centre guidance, etc.). The Head of BWYQ Operations and BWYQ Chair may consult with the BWY

Operations Manager for their opinion, when making a judgement.

Stage 7: Reporting

The final outcomes are submitted to the relevant parties in accordance with the arrangements outlined in

BWYQ’s Malpractice and Maladministration Policy.

Stage 8: Actions

Any resultant action plan, sanction and/or internal lessons learned (e.g. possible changes are required in

relation to BWYQ’s arrangements for developing, delivering or awarding BWYQ’s qualifications) is

implemented and monitored appropriately using the corporate governance software by the Head of BWYQ

Operations.

The Head of BWYQ Operations and BWYQ Chair, will complete a ‘lessons learned’ summary at the end of each

investigation and make recommendations to the BWYQ Committee to ensure BWYQ learn from experiences

of dealing with malpractice and maladministration and improve BWYQ’s ways of working/guidance as

appropriate. Head of BWYQ Operations will also notify Ofqual and any other relevant awarding organisations

of the malpractice/maladministration that has taken place.


9. Centres/Qualifications Withdrawal See guidance notes on withdrawal of qualifications at centre BWYQ 06a)

Should a centre have its approval for a qualification/suite of qualifications removed, or it opts to no longer

offer one of BWYQ’s qualifications, the centre should ideally submit a “qualification withdrawal notice” to

BWYQ with details of the withdrawal, the rationale and details of any learners that may be affected in

accordance with the arrangements outlined in the document entitled “Process for managing the withdrawal

of a qualification at a centre”. This form is available from BWYQ Central Office.

Upon receipt of the form or notification the BWYQ Head of Operations will be responsible for taking the

request forward and for ensuring that all reasonable steps are taken to protect the interests of any learners

currently registered on the qualification(s). For example, BWYQ will either certificate them for any

achievements to date and/or seek to transfer them – where possible and feasible – to another centre/

organisation to enable them to continue their learning.

When a centre has its BWYQ Centre Approved status withdrawn completely, the BWYQ Head of Operations

will update the centre’s records and advise all concerned at Central Office. The flowchart below outlines the

procedure for withdrawing a qualification. The BWYQ Head of Operations will oversee the process. In their

absence, the BWY Operations Manager or BWYQ Chair will fulfil these duties.

•Centre decides to no longer operate as a centre for all/some provision and informs BWYQ submitting a form or contacting BWYQ central office by other means.

•Head of BWYQ Operations/ BWYQ Chair review the application and identifies if learners are currently registered and if they may be affected by the decision

•Head of BWYQ Operations/ BWYQ Chair discusses the matter with the centre and either agrees to the withdrawal with immediate affect or seeks to put in place arrangements to support any existing centres such as finding them another centre to continue their learning or certificate them for achievements to date

•Head of BWYQ Operations updates the centres profile and removes their access from the BWYQ systems


10. Dealing with Complaints Refer to BWYQ 019 Complaints Policy

Any complaints received by BWYQ will be dealt with following the guidance outline in BWYQ’s complaints

policy. The Safeguarding and Diversity Manager is responsible for dealing with complaints. If the Safeguarding

and Diversity Manager is unavailable to deal with a complaint, the BWY Operations Manager will be appointed

to deal with the complaint, following the Complaints Policy.

Below is a flow chart of the process followed by a detailed description of the complaints procedure.

• The Safeguarding and Diversity Manager will record the complaint and if appropriate pass on to BWYQ.

• BWYQ will acknowledge the complaint within 5 working days

• The Safeguarding and Diversity Manager will Investigate the relevant evidence and associated

documentation, including relevant BWYQ guidance on the delivery of the qualifications and related

quality assurance arrangements, to determine:

▪ what occurred (nature of the complaint)

▪ why the complaint occurred

▪ who was involved in the complaint

▪ when it occurred

▪ where it occurred (e.g. there may be more than one location or centre affected)

▪ what action, if any, the centre has taken.

• In some cases, learners or employers may be contacted for facts and information. This may be done via

face-to-face interviews, telephone interviews, by post or by email.

• The Safeguarding and Diversity Manager will review the findings of the investigation and update the

records in the complaints log.

• BWYQ aims to investigate complaints within 20 working days but will advise the complainant of progress

if the matter is more complex or requires more time. This is in line with BWYQ’s complaints policy.

Feeds in to self assessment and quality assurance processes informing action plans that support improvement

Consider the impact on our services, centres and/or learners and identified and implement lessons learnt

Resolved at stage 2 Complaintant not satisfaied and moved to stage 3 - see Appeals process

Complaints Process followed as with the BWYQ Complaints Policy

Resolved at stage 1 Complaintant is not satisfied and moves to stage 2

Allegation made and reviewed by Safeguarding Officer or delegate

No evidence to support complaint the complainant s informed and the matter closed

Complaint upheld and complainant informed


• Any actions required will be discussed, agreed and continually reviewed with the relevant departments

and will be logged in the complaints log.

• If the complainant is not satisfied with the decision regarding their complaint, they can appeal the

decision, in line with BWYQ’s Appeals Policy.

• The Safeguarding and Diversity Manager, will complete a ‘lessons learned’ summary at the end of each

investigation and make recommendations to the BWYQ Head of Operations and BWYQ Chair to ensure

that BWYQ learn from experiences of dealing with complaints and improve BWYQ’s ways of

working/guidance as appropriate.

During the complaints process the BWYQ Head of Operations and BWYQ Chair will be able to monitor progress

with the Safeguarding Officer.

11. Dealing with Appeals Refer to BWYQ 020 Appeals Policy

Any appeals received by BWYQ will be dealt with following the guidance outline in BWYQ’s Appeals Policy. The

Head of BWYQ Operations, BWYQ Chair and the Safeguarding and Diversity Manager will oversee appeals. in

line with the BWYQ the Appeals Policy.

Below is a flow chart that outlines the internal process for dealing with appeals followed by a detailed

description of the procedure.

• The appeal will be received via the BWYQ within 4 weeks from the date BWYQ notified them of the

decision.

• The Safeguarding and Diversity Manager will record the appeal in the appeal log.

• BWYQ will acknowledge the appeal within 5 working days and carry out an initial review

• The Safeguarding and Diversity Manager will review the evidence and judgements confirm if new

evidence has emerged that may alter the original decision.

• The Safeguarding and Diversity Manager will record the findings in the appeals log

Inform the regulators in accordance with our adverse effect policy e.g. if the appeal found that incorrect certificates have been issued and/or another adverse effect has occurred

Consider the impact on our services, centres and/or learners and identified and implement lessons learnt if the appeal is upheld

Appeal put forward to a group that contains an independent reviewer (or direct to an independent reviewer)

Appeal decision related to the appellant and Appellant accepts

Appelant is still unhappy with the decision - can appeal to the regulators

Appeal made and reviewed by Safeguarding Officer suppored by Head of BWYQ Operations and BWYQ Chair as appropriate

Informal review carried out and appellant notified of the outcomes

Appellant decides to withdraw the appeal Appellant decides to proceed to the formal appeal stage


• If the appellant is not satisfied with the initial review they can take their appeal to independent review.

This request must be made in writing to the Safeguarding and Diversity Manager who will then appoint

an independent reviewer

• The Independent reviewer will investigate the appeal and make a decision within 20 working days of

their appointment. The Independent reviewer’s decision is final; however, if the appellant is still

unhappy, they can escalate their appeal to the regulatory authorities.

• Any actions required will be discussed, agreed and continually reviewed with the relevant departments

and will be logged in the appeals log.

• The Safeguarding and Diversity Manager will complete a ‘lessons learned’ summary at the end of each

investigation and make recommendations to the BWYQ Head of Operations and BWYQ Chair to ensure

BWYQ learn from experiences of dealing with appeals and improve BWYQ’s ways of working/guidance

as appropriate.

During the appeals process the BWYQ Head of Operations and BWYQ Chair will be able to monitor progress.


12. Appendices

Centre Based Risk Management Refer to BWYQ 015 Risk Management Policy

Introduction

This section outlines BWYQ’s process and approach to consistently and successfully identifying and:

• Making compliance judgments in relation to a centre

• Managing risks associated with centres delivering BWYQ’s qualifications.

• Whilst these arrangements are for internal use only it is important that EQAs inform centres of BWYQ’s approach to making compliance and risk management judgments to ensure the centre is aware of BWYQ’s approach and have arrangements in place to:

• Act upon compliance judgments, and

• Proactively manage identified risks and prevent them from occurring, and where it cannot be prevented mitigate and reduce the risk of it occurring as far as possible and the impact should it occur.

Responsibility for identifying and managing risks associated with the delivery of BWYQ’s qualifications rests both with BWYQ Centres and BWYQ as an Awarding Organisation; there is a joint interest in ensuring the successful delivery of the qualifications and protecting the interests of all BWYQ learners. Centres should have a process of identifying risk in place and have identified personnel who will be responsible for ensuring smooth communication of risk to BWYQ in the event of adverse effects on BWYQ learners and qualifications. All centres should familiarise themselves with the Risk guidance for Centres given here, and in BWYQ 007 Centre Handbook, to ensure that their Centre policies and procedures emulate these expectations. The BWYQ Risk Management process includes contingency planning to mitigate risks. Centres are required to identify risks to BWYQ and offer such contingency planning to mitigate these risks as appropriate. Further guidance should be sought from the BWYQ Head of Operations and BWYQ Chair. The BWYQ Risk and Contingency Planning documents are available to all centres via from BWYQ Central Office or the Head of BWYQ Operations. The task of identifying the current level of compliance at centres rests with the Head of BWYQ Operations and

the BWYQ’s EQAs. This should be done within each section of the visit form completed during the

visit/engagement.

BWYQ Risks and Risk Management are recorded on the Risk, COI and Business Continuity Log (saved on the

BWYQ Central Office shared drive) and by the Head of BWYQ Operations. To ensure consistency in the BWYQ

approach to compliance and risk management, if any individual compliance/risk area is amended the BWYQ

Head of Operations will immediately alert relevant staff by email and the BWY Operations Manager/ BWYQ

Chair who will review the change to ensure it is appropriate and seek clarification for the judgement if need

be.

The operational areas which BWYQ will form compliance and risk judgments against, and which BWYQ believe

are a strong indicator of a centre’s future ability to successfully deliver qualifications are as follows (all of which

are sections in BWYQ’s visit report forms):

Governance – this covers non-compliances and risks associated with the centre’s governance arrangements,

administration activities, policies and overall management and approach


Internal quality assurance – this covers non-compliances and risks associated with the centre’s internal quality

assurance arrangements

Assessment – this covers non-compliances and risks associated with the centre’s internal assessment

arrangements

Learner experience –this covers non-compliances and risks associated with the experiences of learners at the

centres

During the visits, the EQA will assess the centre’s level of compliance for all/some of these areas (depending

on what’s covered during the visit) and record a factual judgment in the report based on the centre’s

performance at the time of the monitoring activity. In doing so they will use the following four scale metrics

and provide a clear rational for the judgment which will link with the findings in the same section of the report

form:

Green (fully compliant)

Amber (minor non-compliances)

Amber-red (some important areas are deemed to be non-compliance)

Red (some critical areas are deemed to be non-compliant and urgent action is required)

In addition, and at the end of each section, they will record the potential future risk associated with the section

under review and in doing so will use the following four scale metrics and provide a clear rationale for the risk

judgment:

Green (low risk)

Amber (medium risk)

Amber-red (high risk)

Red (very high risk)

The compliance and risk judgments and rationale will then be automatically added and reflected in the centre’s

profile in BWYQ’s records on the central office shared drive.

It is feasible that the rating assigned to a centre’s current level of compliance and its future risk rating could

be completely opposite. For example, a centre may be deemed to be fully compliant but if the lead internal

quality assurer is due to leave next month and no replacement is in place, then the centre’s risk rating will be

higher. Alternatively, a centre may be largely non-compliant but have a lower risk rating if the centre identified

all of the non-compliances before BWYQ’s EQA visited and in doing so had proactively identified an appropriate

action plan.

Therefore, BWYQ’s risk evaluations will be based around:

Probability – the likelihood of a particular outcome actually happening.

Impact – the effect or result of a particular event actually happening on the reputation of the centre and the

qualification(s) and/or the interests of learners


Awareness – the awareness within the centre of the risk and the controls it has, or doesn’t have, in place to

successfully deal with the risk

It is important to note, that a centre does not have to meet all of the criteria listed in a compliance or risk

‘category’ to be given that weighting – staff pick the most pertinent weighting based on the incident (e.g. if

the centre has no IV and is running internally assessed qualifications they should be weighted ‘Very high risk’

in the ‘Staff turnover’ category even if they have an overall low frequency of staff changes). If you are in

doubt about which weighting to assign, then please contact BWYQ Head of Operations for advice and

guidance.

40

Operational Compliance Categories

Area Fully compliance Some minor non-

compliances

Some none compliances in key areas Major non-compliance(s) identified

Governance No actions identified in

this section of the

reports

Non-compliances identified in

relation to e.g.

• Governance arrangements are unclear

• Current documentation hasn’t been uploaded / submitted

Non-compliances identified in relation

to e.g.:

• Poor tracking records in complying with actions

Existing/new partnerships not

documented Poor security of key

documents

Non-compliances identified in relation to e.g.:

• No single named point of accountability in place

• Centre coordination ineffective; a significant change has taken place in regards of the centres governance arrangements/status and BWYQ were not informed

Key policies inadequate (e.g. Equality and

Diversity, Complaints, Appeals etc.) No

maladministration/ maladjustment policies etc.

Assessment No actions identified in

this section of the

reports


relation to:

Assessment criteria being

used but with some

inaccuracies in record keeping


to:

Assessment practises are deviating

slightly from those stipulated in BWYQ

regulated qualification programme

specification and course outlines but

learning outcomes are still being met

Non-compliances identified in relation to:

Assessment practises are not compliant with

those outlined in the BWYQ regulated

qualification programme specification and

course outline, learning outcomes are not

being met.

41

Area Fully compliance Some minor non-

compliances

Some none compliances in key areas Major non-compliance(s) identified

Internal quality

assurance

No actions identified in

this section of the

reports


relation to e.g.:

Minor in discrepancies with

regard to form completion

e.g. dates and student

numbers overlooked


e.g.:

Important detail missing from the

form and therefore IQA process e.g.

sampling has taken place, but

evidence has not been submitted

Non-compliances identified in relation e.g.:

Essential IQA practise has not taken place as

part of the review e.g. students have not been

interviewed and a sample of work has not been

reviewed

Learner

Experience

No actions identified in

this section of the

reports


relation e.g.:

Learner feedback processes

unclear or not consistently

followed in line with centre

process documentation


to e.g.:

Customer complaints indicate that the

learning experience is deviating from

the qualification specification and

description in some areas

Non-compliances identified in relation to:

The learning experience is not in compliant

with BWYQ expectations with regard to

delivering regulated BWYQ qualifications

42

Operational Risk Categories Risk Priority Definition

Very high Major impact on project/work schedule, budget, scope or

resources

High Significant impact on project/work schedule, budget, scope or

resources

Medium Possible impact on project/work schedule, budget, scope or

resources

Low No material impact

Please see the BWYQ 015 Risk Management Policy for further information or contact the BWYQ Central Office for further support identifying risk and

categorising risk.

BWYQ will risk rate centres against the following areas in order to support BWYQ’s rolling programme planning and internal reporting to the IQA team, SMT

and the BWYQ Committee and to help identify and manage strategic risks that may emerge within centres due to their track record and/or the range of

qualifications they deliver and the number of learners they have enrolled.

43

Strategic Risks

Area

Low Medium High Very High

Compliance

None to a few minor

actions in place

No satellite centres

being used

No complaints about

the centre received

No concerns raised via

recent centre

recognition /

qualification approval

applications (e.g.

actions)

Well-established

controls (e.g.

procedures) in place to

manage the

area/activity.

Actions in key areas in place

Some satellite centres being

used

Some complaints about the

centre received

Some concerns raised via

recent centre recognition /

qualification approval

applications (e.g. actions)

Not known in recent

experience to have significant

non-compliances (i.e. in the

last 12 months)

Controls in place (e.g.

procedures) to manage the

area/activity but have not

been frequently applied (due

Significant and/or numerous actions in

place in relation to assessment,

records, quality assurance governance

and/or resources

Concerns about the centre’s

structure/status (e.g. company status,

partnership arrangements, satellite

sites)

Trends emerging in relation to

actions/complaints in relation to the

centre

Suspension of certification in place

Recent experience of major non-

compliances occurring (i.e. within the

last 12 months) before

Key areas have significant actions in place and

centre has a poor track record of completing

actions on time.

Actions relate to a malpractice/

maladministration investigation

Large number of satellite sites being used (5+)

and/or significant concerns around practices

at, or management of, satellite sites.

Malpractice/Maladministration investigation

underway

Suspension of certification and registration in

place

No controls currently in place to manage the

area/activity.

44

Area


No experience of a

significant

issue/adverse effect at

the centre previously

to the nature/frequency of

the activity).

New controls in place to manage the

area/activity but have not yet been

applied.

Reputational

Centre has on average

a low number of

learners per year (1-

99)

Centre is a small

standalone company

(e.g. a small

employer/training

provider not part of a

national organisation)

Medium number of learners

on average per year (100+)

Centre is a medium-sized

standalone company (e.g. a

medium sized

employer/training provider

not part of a national

organisation)

High number of learners on average

per year (e.g. 200+)

Organisation with a relatively high

profile in the country/sector

Actual and/or potential article in

local/national media about the centre

and/or BWYQ’s qualifications at the

centre

Centre forms part of a nationally/ sector

recognised organisation

Very high volume of learners on average per

year (500+)

High profile/regulated qualifications being

delivered

Regular profile in local/national media

Learner numbers

Currently has in the

region of 1-99 learners

Currently has in the region of

100-199 learners

Consistent number of

learners over the past year

Currently has in the region of 200-499

learners

Currently has in the region of 500+ learners

Major change in learner numbers in the last 6

months (60% plus)

45

Area


Consistent profile of

learner numbers over

the past two years

Significant change in learner numbers

in the last 6 months (e.g. 40%

increase)

Staff turnover

Minimal staff turnover

not affecting

capacity/ability

Moderate and well managed

staff turnover (e.g. more

frequent but well managed

staff changes)

Turnover of key staff/posts (e.g. key

managerial posts and internal quality

assurers)

Single points of failure at the centre

(e.g. over-reliance on one or two key

individuals)

Poor management/staff-handover

when changes occur

Significant changes in operational

practice when changes occurs

Significant and frequent changes of key

staff/staff resources are depleted

No Internal quality assurer in place

No Head of Centre

Change in the centre ownership and/or

governance arrangements

Qualification offer

Offers a low number of

active qualifications –

between 1-5

Qualifications are of

similar type

Offers a moderate number of

active qualifications –

between 6-10

Qualifications that are

designed only to meet the

Offers a high number of active

qualifications – between 11-15

Qualifications that indicate that an

individual can undertake a specific

role in the workplace

Offers a very high number of active

qualifications – between 15+

Offers qualifications that an individual is

required by law to have gained in order to

undertake a specific role (license to practice)

46

Area


Qualifications taken

for personal growth

and enjoyment

Qualifications have

consistent assessment

arrangements

needs of a named employer

or other organisation

Starting to use a new

qualification type/assessment

method

Diverse and large range of

qualifications on offer

Diverse and large range of assessment

methods being used

Diverse and large range of qualifications being

offered across a range of sites.

Financial risk

No issues arising

through financial

checks undertaken

during the centre

recognition process

None to a minor

financial commitment

(£0 to £1k)

No debt against the

centre

Paying within 30-day

period

No financial checks

undertaken during the centre

recognition process

Medium financial

commitment (£1 - 10K)

Moderate debt against the

centre (up to 25% of their

financial commitment)

Track record of paying outside

of the agreed period (i.e.

within 31 - 60-day period)

Some issues found during the financial

checks undertaken during the centre

recognition process

Large financial commitment (£10 -

25K)

Large debt against the centre (up to

65% of their financial commitment)

Track record of paying bills outside of

the agreed period (i.e. within the 61 -

90-day period)

Significant issues arising through financial

checks undertaken during the centre

recognition process

Significant financial commitment (£75K+)

Significant debt against the centre (over 66% of

their financial commitment)

Track record of paying bills outside of the

agreed period (i.e. within the 91 day + period)

Press stories and/or intelligence that suggest

the centre will/is going bankrupt and/or will go

into insolvency.

47

Area


No press stories or

intelligence from

stakeholders (e.g.

funding bodies)

relating to financial

difficulties

Emerging intelligence that

suggest financial difficulties

may exist

Press story and/or intelligence that

clearly suggests the centre may be

experiencing financial difficulties

Funding identified No funding

arrangements/reliance

N/A Primary funding contractor with

bodies like the SFA

Secondary funding contractor (e.g. a sub-

contractor) with bodies like the SFA

AO notifications

(

No notifications

received from other

AOs/Regulators

No notifications received

from other AOs/Regulators

Concerns raised by BWYQ

staff.

Notified of an incident of malpractice/

maladministration by another

AO/third party but no immediate

relationship to BWYQ’s qualifications

BWYQ have been informed that a

Malpractice/Maladministration

investigation is underway with

another party

Notified of an incident of malpractice/

maladministration by another AO with

similarities to concerns/practices used in

relation to BWYQ’s qualifications

Centre profile

Company website in

place

Gaps appearing in relation to

centre ownership and/or

location details.

Significant confusion in relation to the

ownership/location of the centre.

Major concerns emerging in relation to the

ownership and/or location of the centre.

48

Area


Populated by the

account

managers post

application

approvals

Clear ownership and

location details in

relation to the centre.

Owner is only involved

in one organisation

Some staff (e.g. managers,

assessors, invigilators) are

working with other centres

Owner is involved in one to

two organisations

No centre website.

Large number of staff working with

other centres (e.g. managers,

assessors, invigilators).

Owner is involved in three companies

No centre website.

Centres with ‘college’ in the title but is not a

formal recognised college and/or appears to be

using the title in a misleading manner.

Large number of staff and/or key staff working

with other centres (e.g. managers, assessors,

invigilators) and issues have emerged with

their performance in these centres.

Owner is involved in four plus companies

49 Qualification Delivery Manual

Document History

Date Author Action

June 2015 BWYQ Head of Operations and Responsible Officer Amanda Buchanan

Reviewed and revised

July 2015 BWYQ Chair: Paul Fox Approved

Feb 2016 Revised in line with Centre Handbook BWYQ Head of Operations and Responsible Officer Amanda Buchanan


Dec 2016 BWYQ Head of Operations and Responsible Officer Amanda Buchanan


July 2017 BWYQ Head of Operations and Responsible Officer Amanda Buchanan


July 2017 BWYQ Chair: Mila Bogen Approved

November 2017 BWYQ Head of Operations and Responsible Officer Amanda Buchanan

Clarification of EQA section

07.12.17 BWYQ Chair: Mila Bogen Approved

The British Wheel of Yoga Qualifications Publication 2016

BWYQ c/o BWY - 25 Jermyn Street, Sleaford, Lincolnshire, NG34 7RU

Telephone: 01529 419915

Email: [email protected]

www.bwyq.org.uk

Registered Charity: 1140717 Company Number: 07371206

mailto:[email protected]

http://www.charity-commission.gov.uk/Showcharity/RegisterOfCharities/SearchResultHandler.aspx?RegisteredCharityNumber=1140717