QAA Access to H E Diploma by n4qrl4DA

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									          QAA Access to H E
               Diploma


               OCNNWR
      Moderator Guidelines
               2010-2011




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Contents
                                                                     Page

Introduction                                                          4

Allocation of moderators to the Regional Programme                    4

The Annual Moderation Cycle.                                          5

    Agenda for the Autumn Term Visit                                 9

    Agenda for the Spring Term Visit                                 11

    Agenda for the Summer Term Visit                                 13

    Sampling for Standardisation.                                    16

    Final Awards Board Meeting.                                      18

    Summary of Moderation Visit Reports                              23



Appendices
The following documents are for completion by the moderator
                                                                      24
Appendix 1         Pathway moderators confirmation of the
                   award of credit

Appendix 2          Referral – Recommendation from the                27
                   pathway moderator


The following documents are for completion by the provider

Appendix 3         Request for the use of exemptions and              28
                   equivalents for level 3 achievement
                   outside of the regional programme

Appendix 4         Request for an Aegrotat Award                      34


Appendix 5          Request for consideration of a referral to the    39
                    Final Awards Board




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Appendix 6     Tutor Assessor Records                     43
                    TA1
                    TA2
                    TA3

Appendix 7     Internal verification records              47
                    IV1
                    IV2
                    IV3

Appendix 8     Minutes for the FAB Template               51



OCNNWR Procedures

Appendix 9     Procedures to be taken in circumstances    55
               where an organisations quality assurance
               procedures, are called into question.

Appendix 10    Procedures and sanctions to be taken       57
               where Access to HE moderators fail to
               comply with the terms of their contract




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Introduction
OCNNWR must meet the requirements for the Access to Higher Education Common
Credit Framework as laid down by QAA. This document sets out the Quality
Assurance arrangements that the AVA will operate in order to fully meet the
licensing criteria for the external moderation of its provision.

OCNNWR moderators have a role as the guardians of standards for Access to
HE.




Allocation of External Moderators to Diploma Courses selected
from the OCNNWR Regional Access Programme
The AVA will appoint people as external moderators/ verifiers to all providers using
the Regional Access Programme. Each provider will have a team of moderators
involved in the verification process

The team will comprise;

       A Lead Moderator
       Individual Pathway Moderator/s.

Lead Moderator

The Lead Moderator will accept overall responsibility for managing the moderation
of all the courses being offered by an individual organisation. The Lead Moderator
will have the responsibility for writing the annual report to the AVA but this report will
be informed by the individual Pathway Moderators’ findings. Lead Moderators will
also quality assure all units designated as” core”.


Pathway Moderators

Once appointed, Pathway Moderators will undertake the moderation and verification
of all the courses within their allocated pathways, and report to the AVA and to the
Lead Moderator by agreed deadlines. Lead Moderators may also act as a Pathway
Moderator in their area of subject expertise. A separate contract will be provided
where this is the case.




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The Annual Moderation Cycle

Autumn term (Year of Run)                                                 Deadline

       The AVA identifies and issues contracts to Lead Moderators        15th October

       Lead Moderators make contact with the Access Co-
        ordinator / senior manager and agree a date for the first         15th November
        visit. The Lead Moderator will request the attendance of key
        personnel at this meeting, including a representative from
        each pathway being offered.

       The Lead Moderator will identify for the AVA the pathways
        being offered for the year.

       Lead Moderators will explore the quality assurance
        arrangements for the pathways, including the internal
        moderation /verification plan

       Lead Moderators will agree date for The Final Awards Board
        meeting with the course team. This must be no later than
        12th July in the following year.

       The moderator may leave an action plan with the
        organisation

        First visit report to be received by the AVA                      30th November

       The AVA will appoint Pathway Moderators to the
        programme. Contracts issued.                                      15th December

       The AVA will ensure that Pathway Moderators are supplied
        with contact details of Lead Moderator, first visit report, and
        the agreed date for Final Awards Board meeting.

Spring term

       Pathway Moderators undertake pathway moderation visits            31st March
        and compile pathway visit reports. Copies of these to Lead
        Moderator and the AVA.
       Pathway Moderators agree date for second visit. This must
        be during the last two weeks in June.




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Summer term
       Pathway Moderators undertake second visit and verify the        During last two
        award of credit to learners. Confirmation of this activity to   weeks in June
        Lead Moderator using the Confirmation of the Award of
        Credit Form

       Pathway moderators will consider any requests for referrals
        and make a recommendation to the Lead Moderator using
        the Referrals- Recommendation from the Pathway
        Moderator form

       Summer pathway visit report and confirmation of the award
        of credit form to the AVA and the Lead Moderator. Pathway       Before 1st July
        Moderators should leave a copy of the confirmation form
        with the Access coordinator.

       Lead Moderator chairs Final Awards Board meeting signs          1st – 12th July.
        RACs.

       Signed RACs, are returned to the AVA by The AVA                 Date of awards
        representative at the Final awards board in a sealed            Board.
        envelope.

       Lead Moderators complete and return Annual Report to the
        AVA                                                             1st week August.

       Access to HE Committee meets to confirm all awards.

       AVA processes certificates and dispatches to centres by
                                                                        12th August
        recorded delivery. Please note that the AVA cannot
        guarantee certification of RACs received after 15th July
        by 12th August.

       AVA reads and approves annual moderation reports and
                                                                        1st September
        sends a copy to provider
 Following Autumn Term

       Provider produces Access to HE annual report and                21st October
        statistical data returns to OCNNWR by:-

       Outcomes of moderation analysed and report goes to              November
        Access to HE Committee                                          Committee

       AVA annual report approved by Access to HE Committee            November
                                                                        Committee

       AVA returns approved annual report to QAA.                      December


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1     Lead Moderators should accept or reject contracts within 14 days of
      receipt,
2     On receipt of acceptance of contract the AVA will ensure that Lead
      Moderators are in possession of the programme specification and the rules of
      combination for each of the pathways, and a copy of the previous moderation
      report or, where appropriate, a copy of the validation panel report.
      Moderators should familiarise themselves with these documents and in
      particular with any recommendations made at previous moderation or at an
      approval panel. It is essential that moderators follow up on these
      recommendations at their first visit
3     Moderators will be informed of the Pathway Moderators allocated to the
      programme. All members of the moderation team will be provided with
      contact details for the rest of the team and their organisational contacts.
4     Lead Moderators are contracted to make two visits per year to the
      organisation.
5     Lead Moderators should make contact with the Access Coordinator / senior
      manager to arrange the first visit which should take place in November.
      Please contact the AVA if you have any difficulty in making contact. The first
      meeting will be a quality meeting with Access coordinators co-ordinators and
      pathway leaders to check that all procedures are in place to ensure that the
      programme is being delivered and quality assured according to the
      procedures specified in their own submission and to the published AVA
      guidelines. See agenda for the initial visit. The date for the final awards
      board meeting in the summer term should be agreed at this meeting.
6     Lead Moderators should complete the first visit report, and return to the AVA
      by the end of November.
7     On receipt of the first visit report The AVA will appoint Pathway Moderators
      to the programme by 15 December. Pathway Moderators will receive the
      Pathway documentation and rules of combination for the pathways relevant
      to their needs, together with the Lead Moderator’s first report and the
      previous year’s moderation report for the pathway if appropriate.
8     Pathway Moderators should make contact with the Pathway leaders named
      on the first visit report to arrange their first visit.
9     This visit should take place in the Spring term.
10    Wherever possible this visit should include a meeting with the learners. See
      agenda for the second meeting. An action plan should be left with the
      organisation which highlights any suggestions for improvement. All
      moderators should complete a visit report and return to the AVA by 31
      March.
11    Pathway Moderators should send a copy of their report to the Lead
      Moderator as well. A date for the next visit should be agreed. For Pathway
      Moderators this should be during the last two weeks in June
12    All moderators should make their final visit to the organisation in the
      summer term. The final visit will include a further sampling of learner work to


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      verify the award of credit to learners in the subject areas. Pathway
      moderators should confirm the award of credit for learners on the pathway.
      This confirmation should be made available to the lead moderator for their
      final visit.
13    Pathway Moderators should complete a second report which should be sent
      to the AVA by the end of June. A copy of the report should go to the lead
      moderator to be incorporated into the final annual report.
14    The lead moderator should make their final visit to the organisation. This
      should be no later than 12th July The final visit will include a further
      sampling of learner work to verify the award of credit in any pathways for
      which they have accepted responsibility. In addition the lead moderator
      should sign the RACs. See agenda for the third meeting. These should be
      returned to the AVA by the organisation no later than 15 July. The moderator
      should complete the annual report and return this to the AVA by 31 July.
15    The fees for the programmes cover all the activities listed. A separate
      payment will be made for travel or ancillary costs. Moderators should note
      that they are liable to pay tax on any fees received from the AVA.
      OCNNWR is obliged to pass on information to the Inland Revenue


Procedures and sanctions to be taken where moderators fail to comply with
the terms of their contract are shown as an appendix to these moderator
guidelines


Data Protection
For data protection requirements OCNNWR must inform all moderators that,
unless you decline the contract, your home contact details will be issued to
relevant people connected with that programme and/or organisation e.g.
internal verifier, quality co-ordinator, tutor etc.


The information you provide on your application form will be used by OCNNWR to
monitor the fit between moderator expertise and programme needs and overall
effectiveness of the moderation system.




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Agenda for the first (Autumn Term) visit
This visit is undertaken by the Lead Moderator for the Programme.

Review of Quality Assurance arrangements for the programme.

The Lead Moderator should:

      Establish exactly which pathways and courses are being delivered
      Identify the key person with responsibility for each pathway within the
       programme
      Identify the internal moderator/s for each of the pathways/ courses within the
       programme
      Check what action has been taken on any recommendations made for the
       programme through previous moderation or approval panel reports
      Scrutinise and agree the internal moderation proposals for the programme
       including schedule of IM meetings; standardisation proposals should also be
       included where the same modules or courses are running across various
       pathways or locations.
      Ensure that the OCNNWR mandatory documentation to support the IV
       process is in use and that this will be available to the external moderator at
       subsequent visits in an IV file, as per OCNNWR guidelines (IV1, IV2, IV3,
       and calendar of events) these are available on the OCNNWR web site.
      Review the accuracy and appropriateness of any promotional materials used
       by the provider, including the appropriate use of the QAA logo where
       applicable.
      Review the recruitment for the programme against the targets and the target
       group.
      Review the learner induction process including the appropriateness of any
       information or guidance materials relating to the programme, and ensure that
       learners have been made fully aware of the assessment process and the
       grading criteria and the grading model that will be applied
      Review the resources and the tutorial support that will be made available to
       learners.
      Review the systems that will be used to mark learners’ work and to track
       learner achievement through the programme, and ensure that the OCNNWR
       mandatory documentation to support the assessment planning process
       including the appropriate use of the grading criteria, and the writing of the
       assignment briefs conforms to OCNNWR published guidelines (TA1 and
       TA2)
      Ensure that the outcomes of the assessment process and the process for
       arriving at a final grade for a unit are appropriately recorded using OCNNWR
       mandatory documentation, TA3
      Ensure that there are appropriate procedures and documentation in place to
       support and fully record any extensions to deadlines agreed due to


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       extenuating circumstances which may affect achievement, and that these will
       be consistently applied.
      Confirm that any requests for the award of the Diploma outside of the agreed
       completion criteria have been fully documented and returned to the AVA for
       approval. See Appendix One
      Agree a date for final moderation (Final Assessment Board) and the signing
       of RACs. This must be no later than 12th July




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Agenda for the Spring Visit
This visit will be undertaken by the allocated Pathway Moderator

Pre visit

In order to inform the sampling process and ensure that an appropriate
sample is seen, the moderators should request a TA1 and TA3 for each unit
delivered to date, in advance of the meeting. these can be sent electronically.
The moderator should use the TA3 to select the sample, and inform the
provider of their choice.

The moderator should also request complete IV reports for each unit delivered
to date, in advance of the meeting.
(IV1, IV2 and IV3)

All moderators should, for each module/ pathway for which they have responsibility:

Determine the Scope of the remit
    Identify the courses / modules running within the pathway
    Identify the groups of learners on the courses
    Identify the tutor / assessors and internal moderators for the modules
     /pathway.

Content and delivery

      Review the content and delivery of the module/s and against the programme
       specification, and rules of combination.

Assessment strategy - Use TA1 and TA2

      Review the assessment strategy being employed, by scrutinising TA1, TA2 for
       each unit delivered to date or planned for the future.
      Scrutinise the balance of assessment methods and the appropriateness of the
       assessments for the generation of evidence against the assessment criteria,
       particularly where assessments may have been changed from the previous year.
      Scrutinise the appropriateness of the application of the grade descriptors attached
       to the unit and confirm that this is in line with QAA guidelines. TA1
      Scrutinise the appropriateness of the selection of the components of the grade
       descriptors chosen against the requirements of the assessment activity. TA2
       assignment briefs.
      Ensure that policies and procedures relating to resubmissions and deadlines are
       in place, that these meet the QAA assessment regulations and that there is
       documented evidence of consistent use of these, in practice.

Sampling of assessment evidence - Use TA3
      Sample learner achievement of the units achieved or partially achieved at the time
       of the visit. Use TA3 in order to inform selection of samples for verification to
       ensure that grades are used consistently, ie where there is a comparable standard


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       of performance on comparable types of assessed work by different students, or
       assessed by different tutors, the same grade is awarded. See verification
       guidelines on other factors to be considered in selecting your sample.
      Scrutinise the feedback provided to learners both against the achievement of the
       assessment criteria and the grading criteria.
      Confirm that student performance is described in accordance with the published
       requirements using only Pass Merit or Distinction grades and that no other form of
       grading is used.
       Ensure that where Merit or Distinction grades have been recommended for an
       individual learner achievement, the relative grade statements for the chosen grade
       descriptors, describe the standard of performance. TA2 and TA3
      Discuss any cases where grades may have been reviewed following a
       representation
      Request a photocopy of the selected units and other supporting documentation
       required for Standardisation. Samples of assessment evidence for the units to be
       returned to the OCN for standardisation purposes. See Section on
       standardisation and sample retention.

Support for learners and the learner experience
      Meet learners and discuss learner experiences including their understanding of
       the assessment process including the grading model.
      Scrutinise the tracking of a learners’ progress towards the award
      Make recommendations as appropriate


Internal Verification
      Scrutinise the IV proposal / calendar to ensure that there is an ongoing process of
       IV in place that meets the guidelines of the AVA, and that roles and responsibilities
       are clearly identified and understood by the course teams/s.
      Scrutinise the documentation recording the outcomes of the internal
       moderation/verification process, IV1, IV2 and IV3 to include the constructiveness
       of feedback given to assessors, and the appropriateness of any recommended
       actions and the subsequent monitoring of their completion.
      Complete a pathway report to the AVA by 31 March using the Spring Term
       Pathway Report format
      Confirm the date set for the final meeting in the summer term. This must be during
       the last two weeks in June.
Agenda for the Summer Pathway Visit

This visit will be undertaken by the allocated Pathway Moderator

All moderators should, for each module/ pathway for which they have responsibility:



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Determine the scope of the remit
      Identify the units delivered since the last visit.
      Identify any changes that may have occurred in respect to the tutor /
       assessors and internal moderators for the modules /pathway.
      Select a sample in advance by requesting TA1 and TA3
      Request IV documentation for these units.


Content and delivery
      Review the content and delivery of the module/s and against the programme
       specification, and rules of combination.


Assessment strategy - Use TA1 and TA2
      Review the assessment strategy being employed, by scrutinising TA1, TA2 for
       each unit delivered
      Scrutinise the balance of assessment methods and the appropriateness of the
       assessments for the generation of evidence against the assessment criteria,
       particularly where assessments may have been changed from the previous year.
      Scrutinise the appropriateness of the application of the grade descriptors attached
       to the units and confirm that this is in line with QAA guidelines. TA1
      Scrutinise the appropriateness of the selection of the components of the grade
       descriptors chosen against the requirements of the assessment activity. TA2
       assignment briefs.
      Ensure that policies and procedures relating to resubmissions and deadlines are
       in place, that these meet the QAA assessment regulations and that there is
       documented evidence of consistent use of these, in practice.




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Sampling of assessment evidence - Use TA3
      Sample learner achievement of the units delivered. Use TA3 in order to inform
       selection of samples for verification to ensure that grades are applied consistently,
       i.e. where there is a comparable standard of performance on comparable types of
       assessed work by different students, or assessed by different tutors, the same
       grade is awarded. See verification guidelines on other factors to be
       considered in selecting your sample.
      Scrutinise the feedback provided to learners both against the achievement of the
       assessment criteria and the grading criteria.
      Confirm that student performance is described in accordance with the published
       requirements using only Pass Merit or Distinction grades and that no other form of
       grading is used.
      Ensure that where Merit or Distinction grades have been recommended for an
       individual learner achievement, the relative grade statements for the chosen grade
       descriptors, describe the standard of performance. TA2 and TA3
      Discuss any cases where grades may have been reviewed following a
       representation
      Request a photocopy of a representative sample of assessment evidence for
       the units to be returned to the OCN for standardisation purposes. See
       section on standardisation and retention of samples.

      Support for learners and the learner experience
      Meet learners and discuss learner experiences including their understanding of
       the assessment process including the grading model.
      Scrutinise the tracking of a learners’ progress towards the award
      Make recommendations as appropriate


Internal Verification
      Scrutinise the IV proposal / calendar and records to ensure that IV has taken place
       in line with the proposal and that it meets the guidelines of the AVA, Confirm that
       roles and responsibilities have been clearly identified and undertaken by the
       course teams/s.
      Scrutinise the documentation recording the outcomes of the internal
       moderation/verification process, IV1, IV2 and IV3 to include the constructiveness
       of feedback given to assessors, and the appropriateness of any recommended
       actions and the subsequent monitoring of their completion.




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Consideration of recommendations for awards
         Identify those learners for whom the Access Diploma is to be awarded, and
          sample RACs to confirm accuracy.
         Identify those learners for whom a referral is being requested and scrutinise the
          evidence presented by the course team in support of the request. Discuss these
          requests with the team and make recommendations as to whether these requests
          should be approved by the Final Awards Board using the OCNNWR
          documentation provided.
         Identify those learners for whom partial achievement is being recommended and
          sample RACs to confirm accuracy.
         Discuss any borderline cases and agree an outcome.
         Ensure that RACs have been completed in line with current OCN guidelines, and
          that no more than 60 credits are being recommended for achievement of the
          Diploma.
         Ensure that all compulsory units have been achieved.
         Examine evidence of achievement (usually a photocopy of the original certificate)
          for any learners for whom exemptions are being claimed.


Documentation
1.       Complete the “Pathway Moderators Confirmation of the Award of Credit to Learners
         Form” and leave this with the coordinator to present to the Final Awards Board.
2.       Complete the Pathway Moderator’s Recommendation on requests for a referral for
         those learners for whom a request has been made, and attach this to the above for
         consideration by the FAB.
         These must remain with the organisation and be made available to the Lead
         Moderator at the FAB
3.       Complete the Summer Visit Report and return this to OCNNWR and a copy to the
         Lead Moderator as soon after the visit as possible and preferably before the date of
         the FAB.




Standardisation of the Grading of the Access to HE Diploma


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OCNNWR will provide ongoing standardisation opportunities for providers and
verifiers in order to:

    ensure that its centres are fully compliant with the QAA grading model and
     assessment regulations, and
    to ensure that there is consistency and reliability in the outcomes of the
     process both within a centre and across it’s centres.

In order to facilitate these events all moderators will be required to retain samples
following each visit in line with the published sampling strategy.


Selection of samples
      The units selected for standardisation activities will be published annually by
       OCNNWR. All providers and moderators will be made aware of the units selected
       in the autumn term.
      Moderators will be charged with ensuring that where the selected units have been
       delivered by their providers a sample is retained and returned to OCNNWR
       following the visit.
      OCNNWR will record all samples received on a spreadsheet.
      The samples retained in one academic year will be used to inform standardisation
       activities in the following year.


Standardisation opportunities will take the following format:


Autumn Term

      Moderator Standardisation event as part of annual moderator training.

Spring Term and Summer term

      Provider standardisation events by pathway. Moderators will also be invited
       to these events.




Retention of Samples


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To ensure that a meaningful standardisation event can be conducted it is
important that the sample is complete.

Sample content

For each of the units selected moderators should retain the following:

      A copy of the unit
      A copy of the TA1
      A copy of all TA2s that relate to the assessment strategy shown by theTA1.
      All IV documentation relating to the unit IV1,IV2 and IV3)
       A copy of all of one learners work for the unit which has been graded as an
       overall Pass
      A copy of all of one learners work for the unit which has been graded as an
       overall merit
      A copy of all of one learners work for the unit which has been graded as an
       overall distinction
      A copy of the TA3 clearly showing how the final grade for these learners has
       been calculated.

The sample should be photocopied by the providing organisation and returned to the
Quality Administrator at OCNNWR following the moderation visit at which it was
collected.




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The Final Awards Board
1       Constitution of the Awards Board
The final authority for the award of Access to HE Diplomas rests with the OCNNWR
Access to HE Committee. For practical purposes though this authority is delegated
to an awards board (or awards boards, where this function is undertaken at provider
or centre level)
The lead moderator will act as the AVA’s representative at these meetings.
The awards board will be formally constituted and will consist of both AVA
representatives and have appropriate representation from the provider organisation.

As a minimum it will have the following constitution:

AVA representatives:
       The Lead Moderator
       Another named member of AVA staff, who has received training in the
        constitution and conduct of the FAB.
Provider representatives,
       A chair – this should be a senior member of the provider staff e.g. the Access
        Coordinator, Curriculum Manager or the Quality Manager.
       A scribe – to formally minute the meeting. It may be appropriate for this to be
        the examinations officer responsible for returning the RACs to the AVA.
       A staff representative from each of the pathways for which the Award is being
        made. This should be the pathway leader or the internal moderator for the
        pathway. In some cases it may be appropriate for both to attend.




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Roles of the FAB Representatives

Role               Summary of Key Responsibilities
Lead Moderator     The lead moderator signs the AVA’s documentation to confirm
                   the Final Awards Board’s approval of all the awards of the
                   Access to HE Diploma
                   The Lead moderator will also confirm the award of credit to
                   any learners who do not meet the rules of combination for the
                   award of the Diploma.
                   The lead moderator will report their findings to the AVA using
                   appropriate AVA documentation - Annual Report
The second AVA     The role of the second AVA representative is to confirm to the
representative.    AVA in writing that the meeting has been conducted fairly and
                   that due process has been followed. They should also
                   document any decisions taken with regard to particular
                   learners, and return this to the AVA, immediately following the
                   meeting.
Chair              The provider should provide an appropriate Chair to lead the
                   meeting and to ensure that all appropriate paperwork is
                   available to the lead moderator, as appropriate, and that the
                   agenda as provided by the AVA, is followed. For larger
                   programmes it will be appropriate to address the agenda
                   pathway by pathway.
Scribe             The scribe should take accurate minutes of the meeting
                   including a full and accurate record of all decisions agreed.
                   These should be made available to the AVA within 5 working
                   days of the meeting.
                   The minutes should be signed by the Chair and the Scribe.
Pathway            The pathway representatives should present the fully
Representative,    completed documentation to support any awards and credits
and /or Internal   being requested for approval, together with any reports or
Verifier           recommendations for referrals made by the pathway
                   moderator, and any documentation from the AVA confirming
                   the Committees approval for Awards Outside of the Agreed
                   Rules of Combination or for an Aegrotat Award
                   The pathway representative should be present for the whole
                   time that their pathway is under consideration but may not
                   necessarily need to be present for the whole meeting.
                   The representative should be in a position to answer any
                   questions relating to the achievement of individual learners on
                   the pathway.




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2     Agenda and Documents Required for the Final Awards Board
The chair of the meeting must ensure that all of the required documentation is available at the meeting and ensure that it is
presented fully and accurately completed, at the appropriate point in the agenda, by the pathway representative. Failure to present
the required documentation may result in a delay in completing the Awards Board’s Business and subsequently the timely
certification of learners.
In conducting the meeting it is essential that no information is provided to the FAB about any HEI offers which any learner
may be holding.
NB Where more than one pathway is being considered the documents should be provided pathway by pathway and run
by run.

     Agenda Item                                             Documents to be made available by the provider

1     Confirmation of those learners for whom full achievement of the Diploma is being claimed
1a   Confirmation of the award of credit, grades and the     The completed RACs for the run. These should be accurately
     Access to HE Diploma for those learners who fully       completed by the tutor and checked by the IV. Both the tutor and the IV
     meet the rules of combination                           should sign these. Section A Verification should indicate which learners
                                                             are being recommended for the full award of the Diploma using a “Y” in
                                                             the Access Diploma Column.
                                                             The “Confirmation of the Award of Credit Form” signed by the pathway
                                                             moderator at final pathway moderation.
1b   Confirmation of the award of the Access to HE           Evidence of any requests made to the Access to HE Committee for
     Diploma and grades for those learners completing        learners to complete outside of the agreed rules of combination
     outside of the agreed rules of confirmation,            together with the written evidence of Committee approval.
     (subject to provision of written evidence of the        The completed RACs for these learners. These must be accurately
     prior approval of the OCNNWR A to HE                    completed by the tutor and checked by the IV. Both the tutor and the IV
     Committee)                                              should sign these. A “Y” should be entered on the destination sheet.
                                                             The “Confirmation of the Award of Credit Form” signed by the pathway
                                                             moderator at final pathway moderation.



Page 20 of 57
1c   Confirmation of the any Aegrotat (subject to       Evidence of any requests made to the Access to HE Committee
     provision of written evidence of the prior         together with the written evidence of Committee approval.
     approval of the OCNNWR A to HE Committee)          The completed RACs for these learners. These must be accurately
                                                        completed by the tutor and checked by the IV. Both the tutor and the IV
                                                        should sign these. A “Y” should be entered on the destination sheet.
                                                        The “Confirmation of the Award of Credit Form” signed by the pathway
                                                        moderator at final pathway moderation.
1d   Confirmation of any Posthumous Awards.             Verbal request for any posthumous awards. The centre must ensure
                                                        that the family have been consulted as to whether or not they wish to
                                                        receive such an award. The AVA should be notified in writing of any
                                                        such requests and confirm that the family have been consulted, prior to
                                                        the FAB.

2      Consideration and confirmation of those learners for whom a referral is being requested
2a   Consideration and decisions relating to any        Completed documentation requesting the consideration by the awards
     learners for whom a referral is being requested.   board to allow an opportunity for a referral for learners, including all the
                                                        evidence of achievement / non achievement for the units being
                                                        requested for referral.
                                                        Pathway moderators recommendations based on their scrutiny of the
                                                        evidence.
                                                        The “Confirmation of the Award of Credit Form” signed by the pathway
                                                        moderator at final pathway moderation. (same as 1c)
                                                         If a referral is agreed by the FAB put referral against the learners
                                                        name and an agreed date for completion in the Destination
                                                        Column.
                                                        If a referral is not agreed the achievement will be counted as
                                                        partial achievement and an “N” will be entered in the Diploma
                                                        Column.
                                                        Centres should retain the individual RACs for any referred
                                                        learners.

Page 21 of 57
                                                          Arrangements must be made at the meeting for the arrangements
                                                          to be made for the verification of any referred submissions and
                                                          documented.

3     Confirmation of those learners claiming partial achievement
3 Confirmation of the award of credits and grades (for   The completed RACs for the run. These should be accurately completed
  learners having partial achievement)                   by the tutor and checked by the IV. Both the tutor and the IV should sign
                                                         these. Section A Verification should indicate which learners are being
                                                         recommended for partial achievement using an “N” in the Access
                                                         Diploma Column and these should be totalled. Learners for whom a
                                                         referral has not been agreed should be included in this total.
                                                         The “Confirmation of the Award of Credit Form” signed by the pathway
                                                         moderator at final pathway moderation.
4 Report from the providing organisation of any          Any internal documentation recording any process decisions taken by
  decisions taken regarding academic misconduct          the provider following the identification of academic misconduct by a
  affecting achievement.                                 learner/s.
5 Formal closure of the meeting.




Page 22 of 57
Reporting the outcomes of the Final Awards Board
    Annual report to the AVA

The Lead moderator will collate the Final Annual Report for all Access to HE
provision within the provider organisation. This report will identify the key
issues and areas of best practice across all the access provision within the
organisation.

    Minutes from the Final Awards Board

The scribe provided by the provider organisation will produce the minutes of
the meeting of the final awards board using the template provided by
OCNNWR. The minutes must be signed by the Chair of the meeting and
returned to OCNNWR as soon as possible following the meeting and no later
than 5 working days of the meeting.

    The Confirmation of Due Process in the Conduct of the Meeting

The AVA representative will complete this form and return it to the OCNNWR
immediately.

Recommendations for the Awards of Credit

The completed RACs should be place in a sealed envelope or container as
supplied by OCNNWR and returned to the OCN immediately with an
unbroken seal. Where possible the OCN representative will bring these back
to the office, however in circumstances of transport difficulties or weight, the
provider organisation will be asked to arrange for a courier to return these
securely to the OCN.




Page 23 of 57
Appendix 1



Pathway Moderators Confirmation of the Award of Credit to Learners
This form should be left with the Programme or Pathway Coordinator following the final pathway moderation visit, who
should make the form available to the Lead Moderator Final Awards Board Meeting.

Organisation / Centre:                                                                 Run ID:
Pathway title:                                                                         Date of moderation:
Pathway coordinator:                       Pathway moderator:                          Lead moderator:

Section 1
Numbers of learners on this run.
Achieving credit:             Recommended for the             Requesting a
only (Partial                 Access Diploma:                 referral
achievement)


Please list any mandatory units for the award of the Access Diploma moderated as part of this pathway moderation eg Research



Please list any mandatory units for the award of the Access Diploma not moderated as part of this pathway moderation (e.g. Core):




Page 24 of 57
Appendix 1



Section 2 – Referrals

If any referrals have been requested by the course team please list the names of the learners below :

Requests for referrals were considered for the following learners ( If none please enter “None”).

Names of Learners




For each learner listed above please complete “Recommendation following a request for referral, from the Pathway Moderator,
to the Final Awards Board,” This is available as a download on our web site. (One to be completed by the pathway
moderator for each learner) and attach to this document.


Pathway Moderator’s Signature:                                                               Date:        Page      of




Page 25 of 57
Appendix 1



Section 3 – Other Decisions

Please provide details of the names of any learners for whom:

      compulsory units have not been achieved
      any other issues arising from verification of the pathway that the lead moderator needs to be aware of at the final moderation meeting.

Name of learner                       Issue and details of any arrangements / decisions taken




For all learners other than those identified above, I am satisfied that based on the evidence presented and tutor and internal
moderation documentation relating to the pathway, the award of credit to learners recommended by the organisation is secure.

Pathway Moderator’s Signature:                                                                   Date:                   Page       of




Page 26 of 57
Appendix 3



 Recommendation following a request for referral, from the Pathway Moderator, to the Final Awards Board .
(One to be completed by the pathway moderator for each learner).

Name of Learner

Pathway

Course run ID

Unit title                              Credit   Credit   Learning       Referral   Requirements for resubmission   Deadline
                                        Value    Level    Outcomes not   agreed
                                                          achieved
                                                                         YES/NO




Person to be responsible for confirming the result of
agreed resubmission (normally the Lead Moderator)
Arrangements to be made to confirm results

Signature of pathway moderator.




Page 27 of 57
Appendix 3




Request to use exemptions or equivalents for Level 3
achievement outside of the Regional Programme
This form should be completed by a provider in the following two situations:

Claim for Equivalent Units

     This will apply to any learner who has achieved credits from outside of
      the OCNNWR Regional Programme, and wishes to claim a Diploma.
      This may include learners who have achieved access units with
      another AVA or who began their course on an Access to HE Certificate
      course

    Or to

    Claim for exemptions

     This will apply to any learner who is bringing a recognised
      qualification other than a credit based qualification at level 3 e.g. an A
      level, and the provider considers is eligible to claim exemption from
      some units in the Regional Programme. This will normally be no more
      than 15 credits.

Please note at least 50% of credits which are to contribute to the Diploma
must be achieved on the Regional Programme.

The provider should clearly identify how the learner’s achievement is
considered suitable for the award of the Diploma. (see guidance)

The claim will be considered by the OCNNWR Access To HE Committee at its
meeting in November, and the committees decision will be communicated to
the provider within two weeks of the committee meeting.
Please return the completed for to Fiona.johnston@ocnnwr.org.uk
By 31st October




Page 28 of 57
Appendix 3


Request to use exemptions or equivalents for Level 3
achievement outside of the Regional Programme


Provider

Course Code *

Course Title*

Pathway

Name of learner

Registration
number if known

Name of person
making this
request

E mail address

Telephone Number


* for which the Diploma is being claimed




Page 29 of 57
Appendix 3



Section 1a
Complete this section if you have a learner bringing credits from outside of the OCNNWR Access to HE Regional
Programme. e.g. from another AVA or gained before the regional programme was validated.

In the table below please list the details of the units that you wish to contribute to the Diploma which lie outside of the OCNNWR
Regional Programme (see guidance) but may be seen as equivalents.

Unit Title                                             Credit     Credit      Awarded by                       Date of      Certificate
                                                       Level      Value                                        award        seen




Page 30 of 57
Appendix 3



Section 1b
For learners with level 3 qualifications other than OCN credits, e.g. an A Level.

Title of Qualifications                                        Level       Awarded by                 Date of     Grade            Certificate
                                                                                                      Award       If applicable    seen




Please indicate below which level 3 credits on the OCNNWR Regional programme you wish to exempt the learner from.
(Please note there should be a close match between what has been achieved, and the units for which you are requesting
exemption)

Unit Title                                                     Unit Code         Credit   Credit   Module Title
(This must be the title in the Regional Programme unit bank)                     Level    Value    (This must be the module in which the unit
                                                                                                   sits in the regional programme. )




Page 31 of 57
Appendix 3



Section 2
In the table below please list the units that will be studied from the OCNNWR Regional programme this year. * (see
guidance)

Unit Title                                        Credit       Credit   * Mandatory or optional
                                                  Level        Value




Section 3
On successful completion of the course how many credits could the learner achieve which are:

                                                  at level 2
                                                  at level 3
 Mandatory within the rules of combination for the pathway




Page 32 of 57
Appendix 3


Section 4
Please describe how the individual learning plan set out above meets
the agreed rules of combination for the pathway.




I confirm that the individual learning programme plan for this learner
has been planned to achieve best fit with the agreed rules of
combination for the pathway and that certificates for any credits
previously awarded have been seen, and copies will be made available
at moderation.

Signature of person making this
request
Role

Date


For OCN Use Only

Date request received by OCN

Date request returned to provider for improved
clarity

Date request reviewed by Access to HE
Committee

Committee Decision                               Approved   / Not approved.

Date provider informed of decision

Signature of OCN member of staff dealing with
the request.



Page 33 of 57
Appendix 4




 Request for an Aegrotat Award of an Access to HE Diploma
This form should be completed by a provider for any learner for whom an
aegrotat award is being requested. Please note this can only be claimed in
exceptional certified medical extenuating circumstances. Please see
guidance. The request must be authorised by the Quality Manager, who
should sign the completed request form prior to submission to OCNNWR

The claim will be considered by the OCNNWR Access to HE Committee at its
meeting in May and the committee’s recommendation will be communicated to
the Lead Moderator within two weeks of the committee meeting, and before the
Final Awards Board meeting
Please return the completed form to Ann.Shaw@ocnnwr.org.uk By 29th May


Provider

Course Code *

Course Title*

Pathway

Name of learner

Registration
number if known

Name of person
making this
request

E mail address

Telephone Number


* for which the Diploma is being claimed




Page 34 of 57
Appendix 4


Section 1
In the table below please list the details of the units that the learner has
achieved and you wish to recommend for the award of credit this year.

Unit Title                      Credit   Credit   Mandatory     Core or
                                Level    Value    or optional   subject




Please list any credits achieved in any previous year of study, if appropriate

Unit Title                      Credit   Credit   Mandatory     Core or   Date
                                Level    Value    or Optional   subject   achieved




Page 35 of 57
Appendix 4



*Total credits to be recommended:

at level 2
at level 3
Mandatory Research unit achieved ?                   Yes   /   No

*This must be at least 30 credits in total, to claim an aegrotat award. The
recommendations must be verified by the Pathway and Lead Moderators before
any claim is final.

Please describe fully the exceptional extenuating medical circumstances on
which the claim for the award is based, including dates and timescales.
Give a full explanation of exactly how these circumstances have affected
the learner’s achievement.




Please indicate what supporting evidence you sighted eg medical certificate
to support this claim. The Lead Moderator will need to verify sight of this
evidence at the Final Awards Board.




Page 36 of 57
Appendix 4


Please justify why the College considers that an Aegrotat Award would be
in the best interests of this learner.




Please describe the process has been followed internally, and state who
has been involved in reaching the decision to request an Aegrotat Award
for this learner.




Signature of member of staff making
this request

Role

Date

Authorisation.
I confirm that this request has been through a robust internal process as
described above and that request is considered to be in the best interests of this
learner. The learner is aware of any implications of the receipt of an aegrotat
award.

Signature of person authorising this
request
Print Name

Role.




Page 37 of 57
Appendix 4




For OCN Use Only

Date request received by OCN

Authorised signatory approved

Request approved as Committee ready?

Date request reviewed by Access to HE
Committee

Committee recommendation                        Approved

                                                Not approved.
Date provider informed of recommendation

Signature of OCN member of staff dealing with
the request.




Page 38 of 57
Appendix 5




Request for the consideration of a referral to the Final Awards
Board
This form should be completed by a provider for any learner who following
unsuccessful resubmission has not achieved sufficient credits to qualify
for the award of the Access to HE Diploma.
Referrals will not normally be considered where the total credit value of the
units in which the learning outcomes have not been achieved is greater
than 15.
Please note the Final Awards Board is able to consider referral only when
the resubmission process has been completed.
The purpose of referral is to allow the Final Awards Board to consider
whether a further opportunity for resubmission should be allowed, and if so
what the particular requirements of that resubmission should be.


Provider

Course Code *

Course Title*

Pathway

Name of learner

Registration
number if known

Name of person
making this
request

E mail address

Telephone Number


* to which the request applies


Page 39 of 57
Appendix 5


Section 1 – to be completed by the course tutor.
In the table below please list the details of the units that have not been
successfully achieved following resubmission, and that you wish the
Final Awards Board to consider for referral.


Unit Title                              Credit      Credit    Mandatory or
                                        Value       level     Optional




This information should be supported by evidence of the following:

Any special circumstances affecting the individual case




Details of the particular unsuccessful assignments from each unit for
which a referral is being requested, ie which learning outcomes or
assessment criteria have not been met.




Details of the achievement in the original submission and resubmission,
including assignments contributing to the unit that have been
successfully achieved.

Moderators will need to see evidence of these.




Page 40 of 57
Appendix 5




Please provide a summary of the students total achievement profile on
the Access to HE course.




Signature of person making this
request

Role

Date


The Pathway Moderator should review all of the above evidence, and
make a recommendation to the Final Awards Board meeting as to
whether a referral should be allowed and what the particular
requirements of that resubmission should be.

The final decision will lie with the Lead Moderator following discussion
and consideration at the Final Awards Board Meeting.

PLEASE NOTE

If an additional moderation visit is deemed necessary to confirm the
results of any agreed resubmission the OCN will make a charge of £250
for this visit.




Page 41 of 57
Appendix 5


Section 2 – Recommendation following a request for referral, from the
                Pathway Moderator, to the Final Awards Board . (One to
                be completed by the pathway moderator for each learner.)

Name of
Learner
Pathway                                      Course run ID

Unit title   Credit Credit Learning   Referral   Requirements     Deadline
             Value Level Outcomes     agreed     for resubmission
                           not
                           achieved   YES/NO




Person to be responsible for
confirming the result of agreed
resubmission (normally the Lead
Moderator)
Arrangements to be made to
confirm results
Signature of pathway moderator.




Page 42 of 57
Appendix 6



Provider Name                                                                                                                             TA1


Pathway:                               Course:                         Module: Psychology                   Unit: Bio-Psychology

Unit Code:                             Level: 3                        Credit Value: 3                      Tutor/Assessor:


Approved grade descriptors for this unit: 1, 2, 7.                     Learner Name:

      Indicate by ticking the boxes below which assessment criteria will be addressed by each of the assignments you are planning.
      Indicate which grade descriptor(s) you have chosen to use with each assignment.
      Indicate in the right hand column the form that the evidence of achievement will take.
      Now make multiple copies of this sheet and use them as progress records for individual learners (date the ticks on achievement).
                            Grade                                      Assessment Criteria
      Planned                                                                                                                  Evidence of
                          descriptors
    Assignments                             1.1   1.2   1.3    1.4     1.5      2.1   3.1     3.2     3.3                      Achievement
                          used (1 – 7)
1. Written question                                                                                                           Completed test
and answer: Test on                                                                                                           papers.
                              1, 7.                                  
nervous and endocrine
systems
2. Case studies: Drug                                                                                                         Written
effects on behaviour                                                                                                          responses to
                              1, 7.                                              
                                                                                                                              case study
                                                                                                                              questions.
3. Essay: Causes and                                                                                                          Completed
effects of stress           1, 2, 7.                                                                                       essay.

Add more rows or use multiple sheets if you are using more than 3 assignments




Page 43 of 57
Appendix 6



Provider Name                                                                               TA2

Course Name
Pathway:                  Course:               Module:                    Unit:
                                                Psychology                 Bio-psychology

Unit Code:                Level: 3              Credit Value: 3            Tutor/Assessor:



ASSIGNMENT BRIEFING:
Produce an essay of approximately 1200 words on Causes and effects of stress



Submission deadline                            Extension negotiated? Yes / No

Date submitted                                 Date marked


Declaration: I confirm that this assignment is all my own work and that it conforms to the
course policy on plagiarism as stated in the course handbook.
Print name:                      Learner signature:             Date:



ASSESSMENT CRITERIA FOR AWARD OF CREDIT
No.    Criterion                                                  Achieved? (Tutor initial & date)
       The learner can:                                            1st submission   Re-submission
3.1    Describe and evaluate the various bodily mechanisms
       underlying stress.
3.2    Describe and evaluate the potential sources of stress.

3.3    Demonstrate a critical understanding of the treatment
       of stress and anxiety.

Assessment decision

Eligible for grading             Referred for further work      Not achieved


Tutor feedback on the achievement of the above assessment criteria:



Tutor sign:                                                         Date:




Page 44 of 57
Appendix 6



GRADING INFORMATION FOR THIS ASSIGNMENT
Add more sections below if this assignment uses more than three grade descriptors. Please
consult the OCNNWR Access to HE guidelines when you complete this section.

Grade descriptor: 1. Understanding of the subject.
For merit you       demonstrates a very good grasp of the relevant knowledge base
should:

For distinction     demonstrates an excellent grasp of the relevant knowledge base
you should:

Guidance notes
Tutor Feedback (Initial and date)                                           Grade
                                                                            indicator:



Grade descriptor: 2. Application of knowledge.
For merit you          Make use of relevant ideas, facts and theories
should:                with very good levels of consistency, accuracy and analysis

For distinction        Make use of relevant ideas, facts and theories
you should:            with excellent levels of consistency, accuracy and analysis

Guidance notes
Tutor Feedback (Initial and date)                                           Grade
                                                                            indicator:



Grade descriptor: 7. Quality
                       structure your essay in a way that is generally logical and fluent
For merit you
should:                and that taken as a whole, demonstrates a very good response
                        to the demands of the brief/assignment
                       structure your essay in a way that is consistently logical and
For distinction         fluent
you should:            and that taken as a whole, demonstrates an excellent response
                        to the demands of the brief/assignment
Guidance notes
Tutor Feedback (Initial and date)                                           Grade
                                                                            indicator:



Learner comments:


                                                                            Date:
Learner sign:



Page 45 of 57
Appendix 6



Provider Name                                                                                                                           TA3

Pathway:                            Course:                             Module: Psychology                    Unit: Bio-Psychology

Unit Code:                          Level: 3                            Credit Value: 3                       Tutor/Assessor:


Approved grade descriptors for this unit: 1, 2, 7.                      Group name: PSYCHOLOGY A
For each learner indicate with the letters P, M or D the grade indicators awarded against each of the grade descriptors below. In the final
column put all the indicators in sequence Highlight in BOLD the final unit grade recommended in the right hand column. This is the median
value of grade indicators awarded.
                                          Assignment 1                  Assignment 2                 Assignment 3             Final unit grade
                                                                                                                               recommended
        Learner Name
                                    GD1        GD7                 GD1      GD7                GD1        GD2       GD7         based on mid
                                                                                                                                    point.
A. N. OTHER                         D          D                  P         P                   M         P         M        PPPMMDD




Page 46 of 57
Appendix 7



Provider Name                                                                                                                            IV1
Pathway:                             Course:                            Module:                             Unit:

Unit Code:                           Level:                             Credit Value:                       Tutor/Assessor:

Internal Verifier:


Internal Verifiers should explore issues around assessment planning and design for each unit, with each tutor/assessor before delivery begins.
Tutors will need to provide completed copies of TA1 and TA2, for each unit.
Issues to explore:                                             Action if needed:                                              Review date:
1. Is there a coherent set of planned assignments that
addresses all of the assessment criteria for this unit?

2. Are the planned assignments a valid tool for assessing
achievement of this unit?

3. Are the planned assignments appropriate to the level and
credit value of this unit?

4. Have issues around equality and diversity been addressed
in the design of the planned assignments?

5. Have the approved grade descriptors been applied
appropriately across the planned assignments?

6. Have components of the grade descriptors been
appropriately selected for each assignment?

IV sign and date:




Page 47 of 57
Appendix 7



Provider Name                                                                                                                               IV2
Pathway:                            Course:                             Module:                              Tutor/Assessor:



Internal Verifier:

Internal Verifiers should complete one row of this table for each learner unit verified as part of a planned sample. Add more rows or use
multiple sheets as necessary.
                                                                               QAA guidelines have been met for:          Action
                                                                   Credit    Feedback      Achievement       Grading       plan      IV initial
Learner name               Unit title and code            Level
                                                                   value     to learner     decisions       decisions    needed?     and date
                                                                              (Y or N)       (Y or N)        (Y or N)    (Y or N)




IV sign and date:




Page 48 of 57
Appendix 7




Pathway:                         Course:                          Module:           Unit:

Unit Code:                       Level:                           Credit Value:     Tutor/Assessor:

Internal Verifier:

ACTION PLAN (including good practice points)
                                                                                                        Review
                 IV Comments                           Actions required           By whom   By when
                                                                                                        date:

Feedback
to learner


Achievement
decisions


Grading
decisions

Other issues
from
verification

IV Sign:                                       Date:               T/A Sign:                    Date:




Page 49 of 57
Appendix 7



REVIEW OF ACTION PLAN

IV Comments:




IV sign and date:


T/A Comments:




TA sign and date:




Page 50 of 57
Appendix 8




                  Minutes of the Final Awards Board
These minutes should be taken by a scribe, provided by the
Organisation, and be countersigned by the Chair, as an accurate and
true record of the meeting. The minutes should be returned to the AVA
no later than 5 working days following the meeting. The organisation
must retain a copy for its records.

Organisation Name

OCNNWR Centre
Number

Chair

Lead Moderator

Scribe

AVA
Representative

Pathway

Course Title

Run ID

Run Start Date:                        Run End Date:


Please list any attendees other than those named above for this run.

Also in attendance
Name                                   Role




Page 51 of 57
Appendix 8



1     Confirmation of those learners for whom full achievement of the Diploma is being claimed
1a   Fully meet the rules   These learners should all have a Y in the “Access Diploma” column on the RAC.   Total number of
     of combination.                                                                                        learners




1b   Completing outside     Please include the names of learners and confirm approval by Committee These    Total number of
     of the agreed rules    learners should all have a Y in the “Access Diploma” column on the RAC.         learners
     of combination




1c   Aegrotat awards        Please include the names of learners and confirm approval by Committee These    Total number of
                            learners should all have a Y in the “Access Diploma” column on the RAC.         learners




Page 52 of 57
Appendix 8



1d   Posthumous awards   Please confirm the name of learner and confirm family approval. These learners   Total Number of
                         should all have a Y in the “Access Diploma” column on the RAC.                   learners




2      Consideration and confirmation of those learners for whom a referral is being requested
2a   Referral requests   Any learners for whom a referral is granted should have a “referral” and the     Total number of
                         agreed extension date entered in the destinations column.                        learners being
                                                                                                          allowed a referral
                         If an extension is not agreed the learner should have an “N” entered in the
                         destination column and should be recorded in the total number of learners
                         claiming partial achievement in section 3.

                         Please confirm for each learner
                              Full name
                         the decisions taken including
                             agreed number of units to be referred
                             deadlines set
                             arrangements for verification




Page 53 of 57
Appendix 8



3        Confirmation of those learners claiming partial achievement

3 Partial achievement of    These learners should all have an N entered in the “Access Diploma” column on the   Total Number of
  the diploma.              RAC.                                                                                learners



4    Report from the providing organisation of any decisions taken regarding academic misconduct affecting achievement
4 Academic Misconduct                                                                                   Total Number of
                                                                                                        learners




6        Formal closure of the meeting




I confirm that these are a true and accurate record of the meeting.

Name                                               Signature                                                    Date

Scribe


Chair.


Page 54 of 57
Appendix 9



Procedures to be taken in circumstances where an
organisation’s quality assurance procedures are called into
question.

OCNNWR will endeavour in all its dealings with member and user organisations, to
work in a collaborative and supportive way to promote quality.

In circumstances where organisations fail to meet the minimum quality assurance
requirements for running programmes, or where the effectiveness of their quality
assurance arrangement in ensuring adequate outcomes is called into question, the
following procedures will apply.

1. Within 14 days of being alerted to a concern the Regional Director will consult the
   Chair of Access to HE Committee who will advise as to whether there is a case to
   be answered.

2. If the Chair of Access to HE Committee upholds the concern, the Regional
   Director or other member of staff acting on her/his behalf, will write to the head of
   the organisation, or the person with overall responsibility for ensuring the quality
   assurance of OCNNWR programmes, within 7 days of agreement to proceed (1.
   above) to inform her/him of the nature of the concern and the evidence that it has
   to substantiate those concerns.

3. A meeting may be held to allow the concerns to be discussed more fully before a
   formal response is made. This will be arranged within 14 days of the date of the
   letter.

4. The organisation will be required to respond in writing to answer the concerns
   detailed in the letter within 21 days of the letter. The response will include an
   action plan to address the issues raised and/or evidence to refute the concerns
   raised.

5. The outcome of 3 and 4 above will be reported to the Chair of the Access to HE
   Committee who will consider whether an adequate response has been made. In
   circumstances where s/he deems that an adequate response has not been made
   the Chair will convene a hearing, within 21 day of receipt of the response in 4
   above, which will consist of:-
    The Chair of Access to HE Committee or her/his representative
    One other member of the Committee
    One member of the Board, not on Access to HE Committee and, if appropriate,
    Up to two other members chosen by the chair to contribute relevant additional
       expertise.

6. A letter will be sent to the organisation confirming the Chair of Access to HE
   Committee’s decision and, if appropriate, the arrangements for the hearing. The
   organisation will be invited to send representatives to the hearing and may bring
   independent advisors. All written evidence will be circulated to all parties seven
   days before the hearing.




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Appendix 9



7. The hearing may decide to:
    take no further action
    place conditions on the organisation that must be met within an agreed
    timescale
    withdraw the approved status of some or all of its OCNNWR Access to HE
    courses,

    The decision of the hearing will be final.

8. The Chair of Access to HE Committee will inform the organisation of the decision
   of the hearing within 7 days and, if appropriate, the interim arrangements to be
   made to safeguard the interests of learners currently enrolled on the courses in
   question.

OCNNWR will seek to support the organisation in preparing and carrying out
appropriate action to rectify matters. It will above all seek to protect the interest of
learners.




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Appendix 10



Procedures and sanctions to be taken where Access to HE
moderators fail to comply with the terms of their contract.
OCNNWR will support moderators in their work through training and informal support.

Where a moderator fails to comply with the terms of the contract the following procedures
will apply.

1. The Chief Executive will consult the Chair of the Access to HE Committee within 14
  Days of being alerted to a concern, producing the available evidence. The Chair of the
  Committee will advise as to whether there is a case to be answered. The Chair may
  ask for further evidence before making a decision.
2. If the Chair upholds the concern, the Chief Officer, or other member of staff acting on
  her/his behalf, will write to the moderator within 7 days of the agreement to proceed to
  inform her/him of the nature of the concern and the evidence that it has to substantiate
  those concerns.
3. A meeting may be held to allow the concerns to be discussed more fully before a formal
  response is made. This will be arranged within 14 days of the date of the letter.
4. The moderator will be required to respond in writing to answer the concerns detailed in
  the letter within 21 days of date of the letter.
5. The outcome of 3 & 4 above will be reported to the Chair of the Committee who will
  consider whether an adequate response has been made. In circumstances where s/he
  deems that an adequate response has not been made the Chair will convene a hearing,
  within 21 days of receipt of the response in 4 above, which will consist of:-
      The Chair of Access to HE Committee or her/his representative
      One other member of the Committee
      One member of the Board, not on the Access to HE Committee, and if appropriate
      Up to two other members chosen by the Chair to contribute relevant additional
       expertise.
6. A letter will be sent to the moderator confirming the Chairs decision and if appropriate
   the arrangements for the hearing. The moderator will be invited to attend the hearing
   and may bring a representative. All written evidence will be circulated to all parties 7
   days before the hearing.
7. The hearing may decide :
      To take no further action.
      To suspend the issue of any further contracts until the moderator has undergone
       further training. In these cases the moderator will be allocated a mentor to work
       with them during the first year of any re-appointment.
      To inform the moderator that no further moderation contracts will be issued, and
       that any existing ones will be terminated with immediate effect.
8. The Chair of the hearing will write to the moderator confirming the decision within 7
  days of the hearing. The decision of the hearing will be final.
OCNNWR will seek to secure the interests of learners in taking any of the above action
and will put alternative moderation arrangements in place with 21 days of the contract
being withdrawn




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