Client Centre Assessment Accreditation Criteria

Approval Standard 1

Governance

The centre, in line with AO standards.

1.1

has, in relation to its interactions with the AO and in relation to any potential centre devised assessments, a robust and clearly defined management structure.

1.2

has robust governance arrangements.

1.3

is securely funded.

1.4

keeps appropriate staff records.

1.5

has appropriate arrangements in place with third party providers.

1.6

has a conflict of interest policy and contract clauses.

1.7

has a procedure and policy for maladministration and malpractice.

1.8

has a risk assessment process and related contingency planning.

1.9

has Reasonable Adjustments policy and procedures.

1.10

has Special Consideration policy and procedures.

1.11

has appropriate assessment administration and invigilation procedures.

1.12

has a policy and procedures for complaints and post-results services, including appeals.

1.13

has a health and safety policy in place.

1.14

has an equal opportunities policy in place.

Approval Standard 2

Assessment & Internal Quality Assurance

The centre, in line with AO standards

2.1

has appointed suitable assessment team members.

2.2

has in place internal quality assurance processes and an internal quality assurance plan.

2.3

has suitable venues for assessment.

2.4

has procedures in place to maintain confidentiality of its assessments.

2.5

has a conflict of interest policy covering the internal quality assurance process.

2.6

has appropriate consent for sharing data.

Approval Standard 3

Delivery of Assessments

The centre, in line with AO standards

3.1

has appointed suitably trained assessment staff members.

3.2

has appropriate pre-assessment & post assessment delivery arrangements.

3.3

has a conflict of interest policy stating those who are involved in the creation of confidential assessment content cannot be involved in the delivery of the assessments (e.g. invigilation) nor the teaching of related learning.

3.4

has made candidates aware of the process to apply for Special Considerations.

Approval Standard 1

AO Learning Outcomes Coverage

The centre, in line with AO standards

1.1

has, for new CDAs, a basic outline of the proposal to replace the AO assessment with its own CDA.

1.2

has a CDA which covers the relevant CII LOs/Assessment Criteria/Key Indicative Content.

1.3

has proposed assessment methods for its CDA which are appropriate –these are defined in the relevant qualification specification.

1.4

ensure recommended study hours for the equivalent AO apply to the CDA.

1.5

must secure AO sign-off of the proposed CDA before allowing learners to study for or take an instance of the CDA.

Approval Standard 2

Assessment Production

The centre, in line with AO standards

2.1

has processes and procedures in place for the creation of assessments to ensure each assessment version/sitting is reliable and valid.

2.2

ensures the individuals who have created the assessments have had no involvement in the creation of training materials nor the delivery of learner training, lectures or tutorial work

2.3

ensures the individuals involved in the creation of assessments have been deemed competent by the Head of Centre and that their performance is monitored.

2.4

where using an item bank, ensures the bank contains sufficient questions to ensure continued, complete, reliable and valid assessments are administered.

2.5

ensures assessment content is kept up-to-date.

2.6

ensures assessment content is of the appropriate standard.

2.7

ensures each assessment is constructed to the required standard.

2.8

uses appropriate assessment language.

2.9

attempts to ensure assessments are non-biased.

2.10

has implemented effective internal communication systems for those involved in the relevant stages of the assessment (internally).

2.11

has an assessment sign off process in place (internally).

Approval Standard 3

Assessment Delivery

The centre, in line with AO standards

3.1

has assessment delivery & invigilation procedures.

3.2

follows the assessment delivery & invigilation procedures.

3.3

offers and where applicable makes Reasonable Adjustment decisions in line with the AO provided process.

3.4

has procedures to monitor all its sites.

3.5

monitors all its sites in line with its procedures.

3.6

Has procedures for monitoring & managing incidents

Approval Standard 4

Marking

The centre, in line with AO standards

4.1

has got procedures in place to support accuracy and consistency of marking and related decisions.

4.2

uses suitable personnel for human marking.

4.3

uses quality assurance processes to ensure accurate and consistent marking.

Approval Standard 5

External Moderation & Results

The centre, in line with AO standards

5.1

has procedures to ensure consistency in the level of demand with the unit of the AO.

5.2

has procedures to ensure consistency in the level of demand from one administration to the next.

5.3

agrees to the AO undertaking external moderation.

5.4

agrees to the AO checking all assessment results before release and gains the AO permission for all results on every occasion.

5.5

provides constructive feedback to learners about their assessment results.

5.6

has a process in place for the accurate communication of passing candidates to the AO.

Approval Standard 6

Security of Assessments

The centre, in line with AO standards

6.1

has procedures for the secure storage of all its confidential assessment materials.

6.2

maintains the confidentiality of assessment materials.

Approval Standard 7

Review of Performance

The centre, in line with AO standards

7.1

has procedures to review its performance and achievement in relation to CDAs.

7.2

undertakes periodic reviews and identifies improvements where appropriate.

Approval Standard 1

Learning

The centre, in line with AO standards

1.1

has a process in place to facilitate the learning for the units/learning outcomes.

1.2

has created all the teaching and/or learning materials which cover the units/learning outcomes.

1.3

has appropriate policies and procedures to ensure that trainers/appropriate centre staff can access the learning resources for each cohort.

1.4

has course materials which are appropriately presented and sufficiently comprehensive to enable participants to achieve the course objectives.

1.5

has appropriate policies and procedures to ensure that learners can access learning resources.

1.6

delivers units in line with Study Hours and Recommended Study Time as stated in the qualification specification and the syllabus

1.7

offers appropriate learning support for the level of complexity and to cover all the learning outcomes.  This may include directing participants to sources of relevant information.

1.8

has policies and procedures to ensure the learning material is up-to-date for each cohort in respect of for example legal, regulatory and market practice and the sign off is completed by competent individuals.

1.9

must ensure the responsibility for the design and development of the learning should be assigned to competent, qualified individuals.  There should be no link between the training delivery and the assessment process (e.g. question writing, marking, moderation). 

Be prepared to

YES/NO/N/A 

1 

Provide evidence that the centre’s IQA plan for producing and delivering assessments is in place.

2 

Provide requested samples of learner’s work for any/all assessments delivered since the last visit.

3 

Provide samples of assessment materials for the full range of assessment methods used by the centre.

4 

Provide lists of registered learners.

5 

Provide lists of learners achieving a pass.

6 

Provide evidence of direct observation of centre staff.

7 

Provide evidence of the processes and decisions used for the delivery and processing of assessment e.g. meeting minutes, recorded standardisation activities, standard setting meeting decisions etc.

8 

Provide access to/copies of centre’s internal policies such as: safeguarding, equality/diversity, reasonable adjustments, malpractice.

10 

Provide evidence that training and development is in place to address and identify the needs of tutors, assessors and internal quality assurers.

11

Provide evidence relating to the learning approval standards.

Risk Level

Risk Rationale

Examples of Issues

Indicative Outcomes

Indicative Maximum Timeframe

Examples of what it would mean for the centre

Summary

Level 5

Breakdown in management and quality assurance creating a threat to all learners, risk to all assessment decisions and all CII qualifications.

Proven malpractice and maladministration in relation to the conduct of the CDAs delivered by the centre.

Assessment processes not in place or disadvantage learners.

Assessment decisions are consistently unreliable or invalid or both.

CDAs do not meet the CII standards despite previous warnings and reviews by the CII.

Action plans agreed at levels 1-4 have not been implemented.

Any applied in lower levels and/or:

Permanent withdrawal of centre approval.  The regulator will be informed.

Temporary withdrawal of centre approval.  Re-application can only take place after an action has been completed.

Immediate

Withdrawal of CII centre approval of the centre, as CII approved.

The centre won’t be able to deliver or offer units to learners.

Other Awarding Organisations may be informed of this action. 

The centre might not be eligible to re-apply for centre approval.

Any centre re-application (when permitted) will be subject to successful completion of an action plan set by the CII.

Withdrawal of centre approval temporarily or permanently

Level 4

Breakdown in management and quality assurance creating a threat to specific learners and/or a risk to specific assessment decisions and specific CII qualifications.

Proven malpractice and maladministration in relation to a specific CDA delivered by the centre.

Assessment records reflect serious anomalies for a specific CDA.

Centre fails to provide access to requested learners or staff records for a specific CDA.

Action plan agreed at levels 1-3 for a specific CDA has not been implemented.

Any applied in lower levels and/or:

Removal of centre approval for specific CDAs.

Increased risk rating:

complete any action plan by the agreed deadline.

3 months

Withdrawal to deliver specific CDAs either permanently or temporarily, in which case until actions have been implemented as per the action plan agreed by the CII and centre.

The centre won’t be able to deliver or offer the specific CDA to learners.

Other Awarding Organisations may be informed of this action.

Withdrawal of specific CDAs temporarily or permanently.

Level 3

Loss of integrity of assessment decisions.

Risk of invalid assessment outcomes.

Non-compliance with approval standards.

Investigation being conducted for malpractice or maladministration.

Centre staff – there are insufficient numbers and /or there is insufficient competence to undertake the production, delivery and award of CII units.

Invalid learner registrations &/or results.

Assessed learners’ evidence is not the learners’ authentic work (e.g., fraud).

Action plan agreed at level 2 has not been implemented.

Any applied in lower levels and/or:

·            Suspension of centre registration and/or results.

·            Additional monitoring or inspection.

·            Greater assessment scrutiny and independent invigilation. 

·            Centre staff training.

·            Increased risk rating: complete action plan by the agreed deadline.

3 months

CII might refuse for a specified period of time to accept learners’ registrations by the centre for all, or a number of, CDAs.

CII might refuse for a specified period of time to process results and awards for learners from a centre for all or a number of CDAs.

Action plan agreed to be implemented, with timescales, including procedures review by the Head of Centre & more frequent external quality assurance visits.

Suspension of some activities & increased monitoring.

Level 2

Doubt as to the integrity of assessment decisions.

Non-compliance with some/all approval standards.

Not responding to actions.

Candidate’s records and details of achievement are not accurate or recorded in a timely & secure manner.

Failure to report malpractice.

Failure to provide effective invigilation.

Failure to meet some CDA approval standards.

Any applied in lower levels and/or:

Complete action plan by the agreed deadline.

Greater assessment scrutiny and independent invigilation. 

3 months

All assessment practices & decisions scrutinised by the CII.

All CDA tasks approved previously by the centre will now be approved by the CII.

Independent invigilators may be appointed by the CII (at the centre’s expense) to ensure the conduct of assessment examinations are in line with the CII regulations. 

Action plan agreed to be implemented, with timescales, including procedures review by the Head of Centre. 

All assessments scrutinised by the CII.

Level 1

Maladministration and/or non-compliance with some approval standards but no threat to integrity of assessment decisions.

Avoidable delay to assessment;

·            mistakes arising from inattention;

·            faulty procedures;

·            failure to follow correct procedures;

·            poor record keeping;

·            inadvertent failure to take action;

·            poor communication;

·            inadvertently giving misleading or inadequate information.

Written warning.

Action plan to be completed by the agreed deadline.

Action plan may include things such as:

1. Re-training of staff
2. Re-writing procedures
3. Additional checks

3 months

Outcomes will be communicated to the Head of Centre in writing.

The action plan will be communicated to the Head of Centre.

Head of Centre must review the centre procedures, implement improvement and report back to CII.

Warning and action plan.

0

Suggestions for improvement

Good practice points suggested.

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