Access to HE Provider Handbook September 2014 Version...
96
Access to HE Provider Handbook September 2014 Version 1
Transcript of Access to HE Provider Handbook September 2014 Version...
Access to HE
Provider Handbook
September 2014
Version 1
Open Awards – Access to HE Provider Handbook - Sept 2014 Page 2 of 98
Contents
1 Introduction ..................................................................................................... 5
1.1 Rationale for the Handbook ............................................................................. 5
1.2 Intended Users ................................................................................................ 6
1.3 Using the Handbook ........................................................................................ 6
2 Regulation of the Access to HE Diploma ........................................................ 7
2.1 The Quality Assurance Authority for Higher Education (QAA) ........................ 7
2.2 Open Awards .................................................................................................. 7
2.3 Providers ......................................................................................................... 8
2.4 Provider Validation .......................................................................................... 8
2.5 Diploma Validation .......................................................................................... 8
3 The Access to Higher Education Qualification ................................................ 9
3.1 Qualification Characteristics ............................................................................ 9
4 The Open Awards Regional Access Programme.......................................... 10
4.1 Pathways ....................................................................................................... 10
4.2 Modules ......................................................................................................... 12
4.3 Units of Assessment...................................................................................... 12
4.4 Rules of Combination .................................................................................... 13
5. Changes to Access Diplomas and the Regional Programme ....................... 16
5.1 Requests for Changes to Approved Diplomas .............................................. 16
5.2 Requests for Changes to the Regional Programme ...................................... 18
Minor Changes to the Regional Programme .............................................................. 19
Major Changes to the Regional Programme .............................................................. 19
Approval of Changes to the Regional Programme ..................................................... 19
6 Advice and Guidance for Learners ............................................................... 21
6.1 Publicity ......................................................................................................... 21
7. Recruitment Advice ....................................................................................... 23
8. Course Handbook ......................................................................................... 23
9 Teaching, Learning and Assessment ............................................................ 24
9.1 Teaching and Learning.................................................................................. 24
9.2 Assessment ................................................................................................... 24
9.3 Use of Mandatory Documentation ................................................................. 24
10 The Access to HE Grading Scheme ............................................................. 25
10.1 QAA Grading Scheme Handbook (September 2013) .................................... 25
10.2 Core Principles .............................................................................................. 25
10.3 The Grade Descriptors .................................................................................. 26
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11. Planning Assessment ................................................................................... 27
11.1 Assessment Strategy for the Diploma ........................................................... 27
11.2 Assessment Strategy for each Module .......................................................... 27
11.3 Assessment Planning for a Unit .................................................................... 27
11.4 Using Integrated Assignments ...................................................................... 29
11.5 Designing Assessment Tasks ....................................................................... 29
11.6 Providing Advance Information to Learners .................................................. 29
12 Managing student submissions..................................................................... 34
12.1 Draft submissions .......................................................................................... 34
12.2 Formal submissions ...................................................................................... 34
12.4 Late submissions .......................................................................................... 36
12.5 Extension Requests ...................................................................................... 36
12.6 Successful and unsuccessful submissions .................................................... 37
12.7 Resubmission ................................................................................................ 37
Resubmission12.8 Referrals .................................................................................... 38
12.9 Evidence for Referral Requests .................................................................... 39
12.10 Requests for Referrals – within the duration of the course ............................ 39
12.11 Requests for Referrals to the Awards Board ................................................. 40
12.13 Extenuating Circumstances ........................................................................... 42
12.14 Lost/Stolen Marked Learner Evidence .......................................................... 42
13 Assessing student work ................................................................................ 43
13.1 Assessing Ungraded Units ............................................................................ 43
13.2 Assessing Graded Units ................................................................................ 44
13.3 Changes to grades and grade indicators....................................................... 47
14.1 Professional Judgements .............................................................................. 50
14.2 The Quality Cycle .......................................................................................... 50
15 Internal Verification ....................................................................................... 51
15.1 Scope and Purpose of IV .............................................................................. 51
15.2 Planning Internal Verification ......................................................................... 51
15.3 Use of Mandatory Documentation ................................................................. 52
15.4 Pre-delivery IV of Assessment Strategy and Briefs ....................................... 52
15.5 Post-delivery IV of Assessment Evidence and Records of Achievement ...... 55
15.6 Access to HE Diploma Calendar of Events for Provider Quality Assurance .. 60
15.7 Academic Misconduct ................................................................................... 61
16 External Moderation ...................................................................................... 61
16.2 The Annual Moderation Cycle* ...................................................................... 63
16.3 Initial Visit and Provider Annual Compliance Moderation .............................. 66
16.3.1 Initial (Start of Year) and Annual Compliance Monitoring Visit ...................... 66
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16.3.2 Final (End of Year) Visit ................................................................................ 66
16.4 Records ......................................................................................................... 66
16.5 Pathway Moderation ..................................................................................... 70
16.6 Arrangements for Roll-on Roll-off Provision .................................................. 72
16.7 Additional Monitoring Visits and Sanctions.................................................... 72
17 Standardisation ............................................................................................. 74
17.1 Selection of samples ..................................................................................... 74
17.2 Retention of samples..................................................................................... 74
18 Administration of the Open Awards Access to HE Diploma .......................... 76
18.1 Course Team Meetings ................................................................................. 76
18.2 Registration of Learners (2013 Spec 8)......................................................... 76
18.3 Reporting Achievement ................................................................................. 77
19.1 Constitution and Roles .................................................................................. 79
19.2 Considerations of the Awards Board ............................................................. 79
20 AVA Certification ........................................................................................... 85
21 Using Equivalencies, Exemptions and Credit Transfer ................................. 85
21.1 Exemptions ................................................................................................... 85
21.3 Arrangements for Learners with Credits from the previous Specification (Legacy Learners) and Transitional Arrangements for the New Diploma Specification 2013 ........................................................................................ 87
22 Requests for Extension to a Learner’s End Date .......................................... 88
23 Requests for Amendments to Award of Credit or Grades ............................. 88
23.1 Changes to eRACs post-Pathway Moderation (prior to the FAB Meeting) .... 88
23.2 Changes to uploaded RACs post FAB and prior to online verification .......... 89
23.3 Changes to uploaded RACs post FAB and post online Verification (prior to Certification).................................................................................................. 89
23.4 Amendments to Award of Credit after Certification ....................................... 89
24 Malpractice, Maladministration and Sanctions .............................................. 91
25 Documentation.............................................................................................. 92
25 Calendar of Event for the QA ........................................................................ 93
26 Glossary ....................................................................................................... 94
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1 Introduction
1.1 Rationale for the Handbook
This Open Awards handbook is written for those involved in the delivery of Access to Higher Education Diplomas, the assessment of learners registered on Access to HE Diploma courses and those involved in the quality assurance of Access to HE provision.
In compiling this handbook, Open Awards has drawn on the following key QAA source documents, which should be read in conjunction with this handbook:
The QAA Access to HE Specification (2013)
The QAA Grading scheme handbook (Index and Sections A to E) (September 2013)
The QAA Tutors’ quick guide to grading (February 2012)
Links to the documents can be found from Open Awards website – www.openawards.org.uk - Access to HE Documentation Quality Assurance link.
The handbook draws out key information from these documents and provides a set of requirements, processes and documentation to regulate delivery, assessment, quality assurance and reporting achievement for the Access to HE Diplomas validated as part of the Open Awards Regional Programme.
In addition this Open Awards handbook has drawn from the QAA AVA Licencing Criteria.
Open Awards operates an annual review of all its guidance and documentation to support Access to HE.
By ensuring all Access to HE documentation and guidance is reviewed annually, Open Awards confirms that it continues to be current, relevant and appropriate. The revision fully takes into account feedback presented by its Providers as part of the Annual Review feedback mechanism, along with feedback received from its moderation team. Providers are alerted to updates through it’s website, email notifications, Access to HE Forum meetings and moderation visits.
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1.2 Intended Users
The handbook is intended as a primary reference for all those involved in the delivery, assessment and quality assurance of the Access to Higher Education Diploma.
For Access to HE provider organisations this includes:
Administration and exams officers
Coordinators
Managers, including quality managers
Internal Verifiers
Tutor / Assessors
The handbook also provides a reference source and set of standards for External Moderators (Lead Moderators and Specialist Pathway Moderators) and will be referred to, as necessary in moderation reports.
1.3 Using the Handbook
1.3.1 Links to Content in this Document
When using a computer to view this document electronically, links are provided to navigate easily to different sections of the document. Sections may be reached by holding down the ‘Ctrl’ key and:
left-clicking on links to page numbers in the text
or
left-clicking on entries in the contents pages.
1.3.2 Links to content on the Open Awards and other Websites
External links can be reached by holding down the ‘Ctrl’ key on the computer keyboard and left-clicking the link. Links to Web pages open in a browser window.
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2 Regulation of the Access to HE Diploma
2.1 The Quality Assurance Authority for Higher Education (QAA)
The QAA operates systems to licence Access Validating Agencies (AVAs) to work with providers to develop and recognise Access to Higher Education Diploma courses. Open Awards is an AVA licenced by the QAA.
The QAA monitors the performance of the AVA through:
Scrutiny of an annual self-assessment review,
A quinquennial re-licencing audit.
2.2 Open Awards
Open Awards is licenced by the QAA to validate providers to deliver Access to HE Diploma courses. The way Open Awards achieves this involves:
Provider validation comprising an audit of provider resources, policies and capability to develop and deliver Access Diplomas, to assess learners and to ensure effective administration.
Diploma validation and course recognition.
Both Provider validation and Diploma validation are considered by:
A Scrutiny Panel including representation from providers, HEIs, and the AVA, as well as Access moderators. The Scrutiny Panel makes recommendations to the Open Awards Access to HE Committee
the Access to HE Committee, makes recommendations to Open Awards’ Board
The Board takes the final decision in terms of provider and Diploma validation leading to Course Recognition.
Only when a provider has been informed in writing that they have both Provider validation and Diploma validation Course recognition are they allowed to deliver Access provision and recruit learners.
Open Awards monitors Access provision through ongoing regular external moderation involving:
Provider Compliance Moderation – a minimum of one visit per year
Pathway Moderation – a minimum of two visits per year for each Pathway.
Providers are also required to complete an annual review self-evaluation report and to provide to Open Awards data relating to learners registered on its Access to HE provision.
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2.3 Providers
Each recognised Access to HE provider is required to monitor the quality of its own Diploma courses through:
the consistent implementation of policies and commitments identified during provider validation process;
quality assurance of teaching, learning and assessment, including schemes of work, assessment plans, assignment briefs and assessment evidence involving an appropriately resourced and experience team of Internal Verifiers;
cooperation with the external moderation team in the timely provision of any information requested and the conduct of External Moderator visits;
maintenance of accurate and up to date records of achievement using Open Awards mandatory documentation including TA3s and eRACs;
Effective administration, including the timely registration of learners, uploading of accurate eRACs via the Open Awards secure portal, conduct of the Final Awards Board(s) and provision of data as requested.
2.4 Provider Validation
Before an organisation can develop and deliver Access Diplomas they must become an Approved Provider. This involves a number of stages to check that the organisation has the resources to develop, deliver and quality assure their Access provision, to assess learners and to administer the qualification to ensure prompt certification for successful learners. Applications for Provider Approval are considered by the Open Awards Access Validation Panel. Ultimately approval to become an Approved Provider is granted (or declined) by the Open Awards Board.
More information about becoming an Approved Provider can be found on the Open Awards Website www.openawards.org.uk
2.5 Diploma Validation
Before a Diploma can be delivered it must be approved by Open Awards. The process of Diploma Approval involves completing a detailed specification for the Diploma which is considered by the Open Awards Access Validation Panel. Ultimately approval to offer a named Access to HE Diploma is granted (or rejected) by the Open Awards Board.
More information about Diploma Validation can be found on the Open Awards Website www.openawards.org.uk
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3 The Access to Higher Education Qualification
Access Diplomas awarded as part of the Open Awards Regional Programme from September 2014 are based on the specification published by the QAA in October 2013 – available from QAA’s website via a link from Open Awards’ website www.openawards.org.uk – Quality Assurance link.
3.1 Qualification Characteristics
The generic title of the qualification is the ‘Access to Higher Education Diploma’. Individual named Diplomas are further identified depending on their subject content or the intended progression routes of successful learners, e.g.
Access to Higher Education Diploma (Health Professions)
Access to Higher Education Diploma (Education).
The Access to HE Diploma is:
a unitised qualification, based on Units of Assessment (Units) see section 4.3
a credit-based qualification – a named Diploma is awarded for achievement of 60 credits from named Units;
a graded qualification – 45 of the 60 credits must be achieved from graded Units containing academic content;
A level 3 qualification, see section 4.3.3.
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4 The Open Awards Regional Access Programme
4.1 Pathways
Although this is not a requirement of the QAA specification the Open Awards Regional Access Programme comprises six Pathways containing modules with related subject content. At provider level each Pathway contains one or more approved Diploma title(s). The Pathway title(s) reflect the likely progression routes of Access learners studying Diplomas in the Pathway, e.g. learners studying a Diploma in the Humanities and Social Science Pathway might be expected to progress onto an HE programme in Humanities and/or Social Sciences.
Pathway Structure for the Open Awards Access to Higher Education Regional Programme
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PATHWAYS Creative and Performing Arts
Business and Management
Computing Health Humanities and Social Science
Science and Engineering
G r a d e d A c a d e m i c
45 level 3 credits from Graded Academic Units from a single pathway is mandatory. (units coded GA)
Art and Design ¥ Film, Media and Culture Performing Arts
Business ICT Applications Law Management
Computing Commercial Aspects of Computing Maths for Computing
Health Studies Human Biology (minimum of 15 credits) Microbiology Psychology Science for Health Sport and Exercise Sociology
Archaeology Criminology Education* English ¥ Geography and Environmental Studies ¥ History: Ancient and Medieval ¥ History: Modern ¥ Law Politics Psychology Social work Sociology Theology and Religious Studies
Biology ¥ Chemistry ¥ Education * Electrical and Electronic Engineering Geography and Environmental Studies ¥ Microbiology Physics ¥ Psychology
Mathematics ¥
U n g r a d e d
15 credits from level 3 Ungraded Academic Units and/or Developmental Units at level 2 or level 3
Up to 15 level 3 credits from Ungraded Academic Units. (units coded UA)
These units will have the same titles as the graded units in the modules above, but will have no grade descriptors attached.
OR
Up to 15 credits at level 2 or level 3 from Ungraded Development Units (units coded UD)
OR
15 credits from a combination of level 3 Ungraded Academic Units and Ungraded Developmental Units at level 2 or level 3
* Education units are normally used only for diploma titles that include Teaching (or ITT) in their title. Diplomas with Teaching, Education (or
“Teacher”, e.g. Initial Teacher Training) in their title must also contain at least 15 credits from a National Curriculum subject. National Curriculum subjects are marked ¥
Please check the Rules of Combination before selecting modules and units for a Diploma
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4.2 Modules
A Module is a collection of Units of Assessment with related subject content. The diagram on the previous page shows the modules in each of the Regional Programme Pathway.
4.3 Units of Assessment
A Unit of Assessment (Unit) comprises a set of Learning Outcomes and associated Assessment Criteria which are used to assess a learner’s knowledge, understanding and skills. A Unit is not a syllabus and does not restrict the content of delivery in a Diploma programme, but it does restrict what may be formally assessed to measure achievement of the Learning Outcomes.
It is essential that providers ensure that they only deliver the exact units approved within their validated Diplomas and check that they are correctly meeting the Rules of Combination, as errors may adversely affect learner achievement.
4.3.1 Learning Outcomes
The Learning Outcomes specify the knowledge, understand or skills a learner will have developed when they have completed the Unit.
4.3.2 Assessment Criteria
The Assessment Criteria specify what a learner will be able to do to show that they have achieved the Learning Outcomes.
4.3.3 Level
Units in an Access Diploma may be at Level 2 or Level 3 as identified by Ofqual in the Qualification and Credit Framework. Units at Entry Level, Level 1, and Level 4 or above are not used in the Access Diploma. The standard of knowledge, understanding and skill expected of Level 2 Units is equivalent to GCSE, while the standard expected of Level 3 Units is equivalent to AS/A Level (see summary table below).
Level 2 standard Level 3 standard
Select and use Identify and use
Relevant knowledge ideas and skills Relevant understanding, methods and skills
Complete well defined tasks and straightforward problems
Complete tasks and address problems … with a measure of complexity
Take responsibility for completing tasks and procedures
Take responsibility for initiating and completing tasks and procedures
Exercise autonomy and judgement subject to overall direction or guidance
Exercise autonomy and judgement within limited parameters
Awareness of different perspectives and approaches within an area of study.
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4.3.4 Credit Value
Each Unit has a fixed Credit Value determined when the Unit is validated. Units used for Access Diplomas must have Credit Values of 3, 6 or 9 credits. Most of the units in the Open Awards Regional Programme have a Credit Value of 3 credits, some are six credit Units.
4.3.5 Graded and Ungraded Units
Every Access Diploma must not exceed 60 credits and includes Level 3 Units to a value of 45 credits concerned with academic content which are graded. The remaining 15 credits are derived from ungraded Units which may be concerned with academic content at level 3 or be developmental (some Level 2 developmental units have academic content). These units may be at Level 2 or Level 3. In summary there are three types of Unit available in the Open Awards Regional Access Programme, as shown in the table below.
Unit Type Coding Level
Graded Academic GA Three
Ungraded Academic UA Three
Ungraded Developmental UD Two or Three
4.4 Rules of Combination
The way in which modules and units may be selected to develop Access Diplomas is explained in the specific guidance available from the Open Awards website.
In summary, there are three possible ways of combining the three types of Unit to create a named Diploma, as indicated in the models illustrated below.
4.4.1 General and Specific Rules of Combination
Open Awards has provided a tool (called Merlin) to help providers develop their Diploma specifications and select Units. The ways in which Units may be selected to form a named Access Diploma are set out in the Rules of Combination. The general Rules for any Diploma, based on the QAA specification, are outlined in the diagrams above. In addition:
Diplomas created in the Health Pathway must have at least 15 credits from the Human Biology module;
Diplomas intended to progress learners into teaching must have 15 credits derived from graded academic Units in a National Curriculum subject.
Once a named Diploma has been approved, the Units attached to the Diploma are fixed and may not be changed except using the approved procedures as outlined in section 5 on making changes to a Diploma.
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The specific Units approved for use with a named Diploma (including units identified in alternative modules), constitute the Specific Rules of Combination for the named Diploma. These Rules of Combination are provided in the Merlin specification:
the ‘Rules of Combination’ tab in Merlin presents the Rules of Combination in the format required by the QAA, this identifies mandatory and optional units;
The ‘Alternative Runs’ tab in Merlin presents the different combinations of modules and of mandatory and optional units that may be certificated for the named Diploma.
Model 1 Model 2 Model 3
45 credits
from Graded Academic
units (GA)
45 credits
from Graded Academic
units (GA)
45 credits
from Graded Academic
units (GA)
15 credits from Ungraded Academic
units (UA)
No credits from Ungraded Academic
units (UA)
3 (UA)
6 (UA)
9 (UA)
No credits from Ungraded
Developmental units (UD)
15 credits from Ungraded
Developmental units (UD)
12
(UD) 9
(UD) 3
(UA)
4.4.2 Alternative Runs
If no alternative modules have been selected for a named Diploma, then all of the Units specified are mandatory for the Diploma. The ‘Alternative Runs’ tab of Merlin will have only one listing of units which will be clearly labelled to show that there are NO ALTERNATIVES.
When one alternative module has been selected for a named Diploma, the ‘Alternative Runs’ tab in Merlin will show two alternatives labelled ALTERNATIVE A and ALTERNATIVE B. No other combinations of Units will be certificated.
If two alternative modules have been selected for a named Diploma there will be four alternatives labelled ALTERNATIVE A, B, C and D. No other combinations of Units will be certificated.
Where alternatives are available for a named Diploma it is desirable that each learner be provided with a copy of the alternative combination of units they will be studying and be assessed for. This information will be required for applications through UCAS and other application systems.
Assessors and Internal Verifiers must also use copies of the Alternative Runs tab for the Diploma(s) for which they are responsible to ensure that the right combination of units is delivered and assessed to each learner as errors may adversely affect learner achievement.
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Once a learner has been registered on a named Diploma the only Units that can appear on any Access certificates are the ones specifically identified at approval.
This means that if a learner has been taught and assessed for different Units to those specifically identified, they may not achieve the Diploma qualification.
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5. Changes to Access Diplomas and the Regional Programme
This section describes the processes and timescales for making changes to an approved Diploma or to the Regional Programme. As changes to the Regional Programme can, potentially, affect all providers there will be an annual cycle of review to allow time for any changes to be communicated to providers with sufficient time to allow changes to be implemented in the delivery and assessment of Diplomas.
5.1 Requests for Changes to Approved Diplomas
Changes to approved Diplomas are classified either as minor changes or major changes. Please see the table below which categorises the key difference between these two types of change, other requested changes may also be considered and the AVA will use its discretion as to the process to be followed to approve any change.
Minor Change Major Change
Change to a Diploma title using a title from the published list.
Change of a Diploma title using a title not on the published list
Substitution of Units with a total credit value of up to 15 credits.
Substitution of Units with a total credit value of more than 15 credits.
Addition of an alternative Module and Units.
Change of a Module or Modules.
The processes for considering requests for major changes and minor changes are different, but in all cases final approval is made by the Board of Trustees and no changes can be implemented until:
the request has been considered by the AVA and the designated body, and approved by the Board of Trustees;
The provider has written confirmation that the requested changes have been approved by the AVA.
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5.1.1 The Approval Process
Minor Changes to the Diploma
Requests for changes categorised as minor, will be considered by the Business Relationship Manager (Access to HE), who may also wish to consult a Pathway Moderator. If the change is considered acceptable and the diploma is still fit for purpose for the intended target group and stated progression route, then the change will be recommended to the Access to HE Committee for consideration before being approved by the Board.
Major Change to the Diploma
Major changes are those that are considered to make a significant change to either the content or the rationale for the Diploma. Please note that the approval of a new title (if it does not exist on our available list of titles) will result in a new Learning Aim Code being generated.
Type of Change
Minor Change Major Change
Submission Process Please submit: Form MinCD Please submit: Form MajCD
Approval Process Requests are considered by the Business Relationships Manager (Access to HE)
Requests are considered by the Access Scrutiny Panel in January / February annually
Approval Process Recommendations are considered by the Access to HE Committee
Recommendations are considered by the Access to HE Committee
Approval Process Final approval lies with Open Awards’ Board of Trustees
Final approval lies with Open Awards’ Board of Trustees
Timescales for Making Changes to your Diploma:
All changes will need to be submitted in good time to ensure that all stages of the process can be achieved, in time for the Diploma to be available for funding for the start of the next academic year, and to ensure that there is a learning AIM code available so learner can apply for any loans for which they may be eligible. Learning Aim Codes are published annually from the first of May. Timescales are therefore closely linked to the dates for the Access to HE Scrutiny Panel which meet in January / February each year, and the published dates for the Access to HE Committee and the Board.
The Committee and Board meet in the Autumn term, in February / March and again in May / June.
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Timescale for making a Minor Change to a Diploma:
Minor changes will not result in any change to the Learning Aim Code, therefore final approval can be taken at the summer meetings of the designated bodies. The last date for the final approval of any minor changes to a Diploma will therefore be May / June Meetings of the Committee / Board.
Therefore any requests must be with the Business Relationship Manager (Access to HE) by 15th April annually.
Timescales for making a major change to a Diploma or submitting a brand new Diploma:
These will need to be considered by the Access to HE Scrutiny Panel which meets annually in January / February each year.
Any change which will result in the generation of a new Learning Aim Code will need to be available on the Funding database by 1st May so learners can apply for any loans.
Therefore the last date for receipt of any requests for changes of this type will be 31st December in the year preceding the intended September start date for the Diploma.
5.2 Requests for Changes to the Regional Programme
Open Awards welcomes suggestions for any proposed changes to the structure of its Regional Programme and unit bank, from any of its stakeholders, to ensure it better meets their needs. This includes:
Providers
Moderators
HEI Partners
Admissions tutors
Learners
As the AVA, Open Awards may also decide that it wishes to propose changes to the Regional Programme Structure or units / modules within the structure, to ensure it continues to be fit for purpose. This may arise as a result of:
Outcomes of Moderation, including grade analysis
Outcomes of standardisation
Feedback from HEIs
Feedback from its providers or potential providers
Any changes to the diploma specification as required by QAA
Any other external stakeholders, e.g. Professional Bodies.
Any change to the Regional Programme may impact on some or all users of the Regional Programme and therefore Open Awards will ensure that all relevant stakeholders are involved in a consultation process before any major change is agreed and implemented.
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Minor Changes to the Regional Programme
These will include:
Textual changes to a unit affecting a learning outcome or its associatedassessment criteria
Addition of a new unit to an existing module within the structure, providing thisdoes not have overlapping learning outcomes with other units in the structure
Archive of units within the programme which have not had any awards within thelast three years.
Major Changes to the Regional Programme
This could include:
Additional of a new module to a pathway or pathways
Addition of new pathway
Overall change to the Regional Programme Structure
Change to the Rules of Combination for any pathway.
Approval of Changes to the Regional Programme
5.2.1 Textual Changes to Approved Units
Textual changes to an approved Unit will be considered by the Business Relationships
Manager (Access to HE), who may consult with others who have appropriate expertise
before making a recommendation to the Access to HE Committee.
Requests for textual changes may be made by an individual provider or may arise as a
result an Open Awards standardisation event or External Moderation.
5.2.2 Approval of New Units
New Units will be considered by a minimum of three readers with appropriate subject
specialism and curriculum expertise. The recommendations of the readers will be
considered by the Access to HE Committee and outcomes reported to the Board.
5.2.3 New Modules and Pathways
Requests for new Modules of Pathways will be considered by specialist curriculum groups comprising representatives from providers, HEIs and Open Awards. Recommendations of the Curriculum Group will be considered by the Access to HE Committee, and the outcomes reported to the Board.
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Please note that no change can be implemented until:
the request has been considered by the Access to HE Committee andrecommended to the Board of Trustees
all providers have been informed of the changes
any new Units have been published and are available via the Access Unit Bank
subsequent changes to existing approved Diplomas to incorporate the changehave been approved using the processes described in section 5.1 Requests forChanges to Approved Diplomas OR
A new Diploma has been approved
The provider has written confirmation that the requested changes to an approvedDiploma have been approved or a new Diploma has been approved.
The appropriate forms and any deadlines for such proposal to be made and implemented will be published annually (by September) on the Open Awards website.
5.2.4 Request Forms
Modification to the Regional Programme
Textual change to an existing approved Unit
Addition of a new Unit
Addition of a new Module
Addition of a new Pathway
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6 Advice and Guidance for Learners
As part of the provider validation process, individual providers must set out their intentions in terms of publicity and recruitment to their Access provision and in terms of the advice and guidance it will offer to prospective learners and registered students.
6.1 Publicity
The strategies developed by different providers to publicise Access to HE provision will vary, but it is anticipated that this will include some or all of the following:
course leaflets, course prospectuses or compendium;
newspaper, radio or television advertising;
Provider website(s).
Whatever the method used to publicise Access Diplomas and recruit learners, some key information must be included and any use of the Open Awards and QAA logos and Access to Higher Education brand must be carefully monitored.
6.1.1 Target Groups and Entry Requirements
The target group for an Access Diploma is defined in the Diploma specification approved by Open Awards during the course recognition process. This can be found in the Merlin specification approved by Open Awards for the Diploma.
Reference to the target group in any publicity must not specify a minimum age for entry onto an Access course.
Where there are specific entry requirements, e.g. GCSEs, these should be clearly stated.
If there are any requirements for professional progression, e.g. a minimum grade C in English, Maths and a Science GCSE for Primary Teaching, these must be clearly stated.
Any publicity must clearly indicate the course costs to a learner for the Access Diploma and any remission or help that might be available. This must include the cost for registering with Open Awards if this is charged separately.
All publicity must include a clear statement that successful completion of an Access to HE Diploma does not guarantee access to a UK or any other University.
6.1.2 Use of the Open Awards Logo
The Open Awards logo must not be used without express permission. To obtain this, please refer to the Open Awards’ website – www.openawards.org.uk
Open Awards will require details of the reason for use, along with a sample of the documentation once completed. The use of Open Awards logo must be in line with the clear guidelines issued by Open Awards when permission is granted.
Misleading or inappropriate use of the Open Awards Logo
The Open Awards logo must not be used in any derogatory or misleading manner. It must not be used in such a way that it could be taken as a form of endorsement or approval, without Open Awards’ explicit agreement.
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6.1.3 Use of the Access to HE Logo
The Access to HE Logo must be used in conjunction with QAA’s guidelines for its use, available from Open Awards upon request.
The logo can be obtained by contacting QAA.
Restrictions on the use of the Access to HE logo
“The Access to HE logo is a QAA trademark and may not be used for purposes which are unrelated to the Access to HE Recognition Scheme. Users should take care to ensure that the logo is not used in circumstances which may mislead readers about the particular provision or subject to which the logo is intended to apply.
All users of the logo must adhere to the technical specifications detailed in (the QAA) guidelines. The logo should only be used where high quality reproduction is guaranteed. Materials on which the logo has not been correctly used or where reproduction is of poor quality should be destroyed.
Under no circumstances should the logo be used in a manner which may bring
The Recognition Scheme into disrepute. Deliberate use of the logo to misrepresent the status of a course may be regarded as fraud by QAA.”
(Extract from ‘Guidelines for use of the Access to HE logo’, 2008)
Use of the Access to HE logo by its providers is monitored by Open Awards and by the QAA. Where a provider ceases to offer Access to HE provision, Open Awards will remind the provider that they may no longer use the Access to HE logo.
For further guidance on use of the Access to HE logo click here
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7. Recruitment Advice
Providers give advice to prospective learners in a variety of ways. However advice is provided, in face to face meetings, by email or telephone conversations, it is expected that the quality and accuracy of the advice given is of a similar standard. The types of advice given should include:
the nature of the Diploma qualification compared with other qualifications, e.g. Alevels and BTEC (please note there is no direct equivalence);
the commitment required to succeed including directed study and unsupervisedassessment;
the methods of assessment;
the cost of the course including registration with Open Awards if this is chargedseparately;
Specific advice about demand for the learners preferred HE courses and HEIsand any alternative to degree programmes for which competition is high.
The advice and guidance given to learners by providers will be regularly checked and monitored by Open Awards’ moderation team.
8. Course Handbook
It is expected that providers will produce a Course Handbook for reference and use by learners. Where more than one Diploma is offered, any sections that are common to different Diploma titles should be the same, with specific sections relating to Diploma specific information. The course handbook should include:
A. information about achievement of the Access to HE Diploma, i.e. achievement of 45 credits from graded academic units with a minimum Pass grade and 15 credits from ungraded units; 60 credits in total;
B. information about certification, i.e. learners are awarded a Credit Transcript and the Diploma Certificate for achievement of 60 credits from specific named units;
C. information about individual units in the Diploma, and about Learning Outcomes and Assessment Criteria;
D. information about teaching and learning, including any resources and how these will be made available;
E. an assessment schedule and information about the types of assessment to be used for each module or unit;
F. information about the submission of assignments and completion of standard documentation including:
i. deadlines and the penalties for late work,
ii. extension requests and extenuating circumstances,
iii. first submissions and resubmissions
iv. the referral process and opportunities for a second resubmission,
G. information about representations and appeals;
H. information about key policies, including the assessment, plagiarism and misconduct policies;
I. information about tutorial and other support available to learners, including support that will be available for UCAS or other applications.
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9 Teaching, Learning and Assessment
Teaching, Learning and Assessment processes will be regularly monitored by Open Awards’ moderation team.
A clear distinction must be made between teaching and learning and the assessment of learners. Tasks used for formal summative assessment must be distinct from materials used for teaching and learning and must be accompanied by the mandatory documentation.
9.1 Teaching and Learning
However a Diploma course is delivered, by conventional classroom delivery, by distance learning or blended learning, it is the responsibility of the provider to support students in their learning by a planned coherent programme of study delivered by appropriately qualified tutors using high quality materials and resources.
9.2 Assessment
Learners should only be formally assessed when they have had sufficient time to learn the material specified by the Learning Outcomes for a unit. This will normally be after a period of teaching and learning. The use of summative assessment is desirable, but this must not take the form of coaching for a specific formal assessment.
The methods used for assessment should be as varied as is appropriate and possible. Assignments should also be designed to prepare learners for the types of assessment they might typically encounter at University or other HE institution.
9.3 Use of Mandatory Documentation
Open Awards has provided mandatory documentation for the planning and implementation of assessment strategies and recording achievement. The mandatory Forms are available on the Open Awards website and should not be modified.
Completed forms must be stored electronically and made available to external moderators on request. Paper copies of all documentation should also be made available for reference during moderation visits.
The mandatory forms provided for assessment are listed in the table below:
Form Use
TA1A Assessment plan for an Access Diploma
TA1B Assessment plan for a Unit
TA2AG TA2BG
Cover sheet, assignment brief and feedback sheet for a graded unit
TA2AU TA2BU
Cover sheet, assignment brief and feedback sheet for an ungraded unit
TA3G Group achievement record for a graded unit
TA3U Group achievement record for an ungraded unit
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10 The Access to HE Grading Scheme
The QAA grading scheme for the Access Diploma was introduced for Diplomas starting from September 2009 and this Access to HE Provider Handbook draws on, refers to and, on occasion, directly quotes the regulations set out in the QAA documents.
10.1 QAA Grading Scheme Handbook (September 2013)
The grading scheme was revised slightly in September 2013 and is set out in the five sections of the QAA Grading scheme handbook. There is also a separate Index and a Tutor’s quick guide to grading. All of the sections and the quick guide are available from the Access to HE website and Open Awards’ website.
Index (link)
Section A: Introduction and summary (link)
Section B: The grade descriptors (link)
Section C: Using the grade descriptors in assessment (link)
Section D: Moderation and standardisation (link)
Section E: Student results and awards board (link)
Tutor’s quick guide to grading (link)
10.2 Core Principles
The following is an extract from the QAA Grading scheme handbook (Section A, page 1, part 2)
“The common grading scheme has been designed to ensure that the process of grading, and the grades awarded to students on Access to HE courses, will be:
a. fair and equitable – the consistent and accurate application of the process ofgrading ensure that all students are dealt with justly and impartially
b. Clear and transparent – grades given, and why particular grades have been given,are clear. Clear and accessible information about the grading scheme and thesignificance of grades is openly available to all interested parties
c. Reliable and valid – grading decisions accurately reflect the standard ofperformance of assessed student work, based on common measures ofperformance used appropriately for the subject. The award of grades is moderatedand assessed through secure and robust quality assurance procedures
d. Consistent – grades awarded signify comparable standards of performance ondifferent course, at different providers, across AVAs and over time.”
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10.3 The Grade Descriptors
There are seven Grade descriptors identified in the QAA grading scheme:
1 Understanding the subject
2 Application of knowledge
3 Application of skill
4 Use of information
5 Communication and presentation
6 Autonomy/Independence
7 Quality
Grade descriptors are assigned to each graded academic unit by Open Awards when the unit is validated and are listed on the unit of assessment. Only the grade descriptors published on the Unit of Assessment may be used to grade learners work.
10.3.1 Applying the Grade Descriptors to Assignments
a. All of the grade descriptors attached to the unit must be used at least once in theassessment strategy for the unit. If only one assignment is used to assess a unitthen all of the assessment criteria must be applied.
b. At least two grade descriptors must be used for each individual assignment.
c. Grade descriptor 7 (Quality) must be applied to every assignment.
The QAA has published a set of grade descriptor components which may be selected for use with individual assignments. These are to be found in Section B of the QAA Grading scheme handbook, and examples of how these may be selected are provided in section 11.6.7
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11. Planning Assessment
It is essential that the assessment strategy for each Diploma is planned, coherent and manageable. Providers should take a whole team approach to ensure that this is the case. Once the overarching strategy for the Diploma has been agreed by the course team, the writing of assignment tasks for each unit could be assigned to individuals or small groups. Pre-delivery IV of assignment briefs is a requirement, therefore there will always be at least two individuals involved in the writing and checking of assignment briefs.
11.1 Assessment Strategy for the Diploma
The assessment strategy for a specific Diploma title should first be considered in its entirety by the course delivery team. The strategy as a whole should be varied and aim to develop the skills required in HE and to prepare learners for the types of assessment they are likely to encounter at a university or other HE institution. To avoid bunching of assignments, an assessment schedule must be produced and this must be reproduced in the Course Handbook.
11.2 Assessment Strategy for each Module
Use Form TA1A to plan the assessment strategy for each module. Agree the number of assignments for each unit and give an outline of each assignment, e.g. “1500 word essay”, “1 hour closed book test”, “topic research and report”, etc. For examples of types of assignment and exemplars please follow the links on the Open Awards website www.openawards.org.uk – Guidance for Writing Assignments.
A Review Date must be stated for all Assessments. It is expected that assignments will not be used for more than 2 consecutive years in order to ensure the assessment remains fit for purpose and to reduce the risk and opportunity for collusion/plagiarism. Providers are encouraged to build up a bank of assignments which are rotated. Providers may choose to use the opportunity of meeting other Providers at the Forum meetings to discuss sharing assignments.
11.3 Assessment Planning for a Unit
11.3.1 The number of assignments used to assess a unit will depend on the Learning Outcomes (LO), the Grade Descriptors (GDs) attached and the Credit Value (CV) of the unit.
11.3.2 The use of a single large assignment may make it difficult to identify which parts of the assignment relate to each of the GDs when a successful submission is being graded.
11.3.3 The use of a large number of small assignments may become unwieldy and administratively unmanageable.
11.3.4 When the course team have broadly agreed the assessment strategy for the Diploma as a whole and for each module, individual tutors, (or pairs or small groups) can start to write the detail of each assignment.
11.3.5 Ideally, over time, a bank of assignments will be produced for each Unit and a different assignment or set of assignments can used each year by rotation.
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11.3.6 Providers must consider the lifespan and review process for all assignments created and in use to ensure assignments are not open to misuse (e.g. through plagiarism of previous learners’ work) and to ensure the assignments remain fit for purpose and relevant.
11.3.7 Form TA1B will be used to plan the detailed assessment strategy for each individual unit.
The table at the top of the Form has fields for Provider, Pathway, Module, Diploma Title, Unit Code, Level and Credit Value. In addition the following fields can be found:
a. Applied GDs – these are the grade descriptors attached to the unit andshould be typed as a comma delimited list, e.g. 1,2,5,7 or 1,3,7 etc. Forungraded units enter N/A here (note that ungraded academic units at level 3have the prefix UA in their unit code, e.g. UA33PSY07 and ungradeddevelopmental units have the prefix UD, e.g. UD23DEV16.
b. Originator(s) – the name(s) of the tutor(s) responsible for devising theassessment strategy for the unit and writing the assignment briefs.
c. Internal Verifier(s) – the name(s) of the tutor(s) responsible for Internal
Verification of the assessment strategy and assignment briefs.
11.3.8 Form TA1B has space for multiple assignments, but it is likely that only one or two assignments will be used for most units. For each proposed assignment record:
a. The proposed assignment title. This should reflect the planned task andprovide a focus for the learner.
b. The type of the assignment as described in Form TA1A.
c. A reference (Ref) to identify the assignment quickly. This might consist of ashort code for the unit, e.g. BM for Biological Molecules or HP for HealthPromotion and will be useful when a bank of assignments has beendeveloped.
d. For graded Units, the GDs column should be used to list the gradedescriptors assigned to each individual assignment.
e. If only one assignment is used, then all the GDs for the unit must beattached to the unit.
f. If more than one assignment is to be used, then the most appropriate gradedescriptors from those attached to the unit should be assigned to eachassignment. These should be typed as a comma delimited list, e.g. 1,2,7 or3,7 etc. For ungraded units enter UG here.
g. The references of the Assessment Criteria (AC) for the unit should be typedin the boxes in each column below the heading Assessment Criteria. Thereference for AC 1.1 is already entered in the template.
h. Indicate which assessment criteria are to be assessed by each assignment,by marking a cross in the appropriate check boxes (or checking these onan electronic copy.)
i. If a single assignment is to be used, all the checkboxes should be checked.
j. If more than one assignment is to be used, then each AC should bechecked only once in one of the assignments.
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11.4 Using Integrated Assignments
It has been the practice in the past to integrate the assessment of different Units into a single assessment strategy (involving one or more assignments). Where this practice is used:
11.4.1 It should be recognised that the demands of assessment must be in proportion to the credit value of the units being assessed (if two units are being assessed then it might be expected that there be twice as much assessment demand);
11.4.2 To ensure that the requirements of both units are fully explained to learners, each unit should have a separate cover sheet (Form TA2A G/U) even though there may be only one brief;
11.4.3 The appropriate version of Form TA2 G/U must be used where assessment of a graded and an ungraded unit is being integrated (see section 9.3);
11.4.4 It must be clear by annotation of assessment evidence where the specific evidence relating to the assessment criteria for each separate unit can be found, (see section 13.2.1);
11.4.5 The outcomes of assessment for different units must be recorded separately on different TA2B G/U and TA3 G/U forms.
11.5 Designing Assessment Tasks
Open Awards will provide guidance in the design and writing of assessment tasks and, will over time collect exemplars for publication and sharing. The guidance and exemplars will be made available on the Open Awards website and will be regularly reviewed.
11.6 Providing Advance Information to Learners
Each assignment used for formal assessment must be accompanied by Form TA2A, the assignment brief cover sheet. This is an Open Awards mandatory document and must not be edited. It is expected that when evidence of assessment is provided for External Moderation the TA2A Form will be on top of the evidence and preferably with the TA2B feedback sheet and assignment submission(s) attached behind. If a learner provides a title sheet for the assignment, then this should be the first page of the first or subsequent submission(s).
11.6.1 TA2s for Graded and Ungraded Units
Different versions of the form, TA2AG and TA2AU are available for graded and ungraded units respectively. There is also a “Merged” version of the TA2A and TA2B (G and U) for providers to use if they prefer to the separate versions. Please Note that providers must elect to use either the separate versions or the merged version – not both.
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11.6.2 TA2A Page 1
The table at the top of both versions of the form has fields for Provider, Pathway, Module, Diploma Title, Unit Code, Level and Credit Value. In addition the following fields can be found:
a. Group – This should be a meaningful reference and is used to distinguishthe groups in which learners are taught and assessed where there is morethan one cohort in any given academic year.
b. Tutor / Assessor – the name of the tutor who will assess the learner’swork. Where there is more than one group assessed by different tutor(s),this must be the name of the specific tutor responsible for assessing thegroup indicated and the individual learner named.
c. Internal Verifier – the name of the tutor responsible for post-deliveryInternal Verification of the evidence of assessment for the unit and group.Where more than one tutor is involved in Internal Verification for the unit,this must be the name of the specific tutor responsible for IV for the groupindicated and the individual tutor / assessor named.
11.6.2 Assignment Information
The next section of the form has space for the Assignment Title, a reference and the Assignment Type. There is also space to indicate the time allowed for supervised assessment, e.g. tests, supervised essays, practical work, etc.
11.6.3 Learner Name and Declaration
This section must be completed by the learner when they are provided with the assignment. Please ensure that each learner:
a. Prints their name clearly in the Learner’s Name box and
b. Signs and dates the declaration that the work is their own and conforms to
the course policies on assessment and plagiarism before they hand in the
first submission of their work.
11.6.4 Submissions, Extensions and Referrals
This section is used to record the submission deadline for the assignment and the details of any extensions, resubmissions and referrals. The information required in this section is the same for both versions of the form, TA2AG and TA2AU.
Please Note: Draft submissions are only permitted in specified circumstances and should not be the norm – please refer to section 12.1 for clarification and full details.
11.6.5 Eligibility for Grading
This section is only found on the version of the form used for graded units, TA2BG. There is a simple check box, followed by space for any additional information that might relate to decisions made around extensions, extenuating circumstances or referrals.
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11.6.6 Assessment Information
Both versions of the TA2 form have space to insert the assessment criteria covered by the assignment. These must be the same as those indicated on Form TA1B for the assignment.
Form TA2G also has a section for the Grade Descriptors and grade descriptor components.
11.6.7 Selection of grade descriptor components
It is the responsibility of the individual or group developing and authoring assignments to select the grade descriptor components that are most appropriate for each individual assignment. The grade descriptors can be found in Section C of the QAA Grading scheme handbook and are available on the Open Awards website.
Only the grade descriptor components published by the QAA may be used.
Grade descriptors cannot be attached to Ungraded Units and vice versa, Graded Units cannot be amended to Ungraded.
In all cases the components selected to describe performance for a Merit grade must match the components selected to describe performance for a Distinction grade, as shown in the examples in section 11.6.8 below.
The grade descriptors are intended for use across a range of curriculum areas, therefore a range of different components is available. The components selected should be:
a. appropriate to the curriculum area;
b. consistent with the assessment criteria;
c. Consistent with the assignment brief.
Careful selection of the grade descriptor components will make grading of learners work more straightforward, particularly if the guidance in the assignment brief explains the requirements of the grade descriptors effectively.
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11.6.8 Examples of Selections of Grade Descriptor components
Example 1 GD1 – Understanding the subject (based on statements b and c)
For a Merit your work or performance is generally informed by the major conventions and practices of the area of study and demonstrates a very good understanding of the different perspectives or approaches associated with the area of study.
For a Distinction your work or performance is consistently informed by the major conventions and practices of the area of study and demonstrates excellent understanding of the different perspectives or approaches associated with the area of study.
For this grade descriptor, any combination of a, b and c may be used and any of the components may be used on its own.
Example 2 GD2 – Application of knowledge (based on statements a and b)
For a Merit your work or performance makes use of relevant theories and concepts with either breadth or depth that goes beyond the minimum required to Pass.
For a Distinction your work or performance makes use of relevant theories and concepts with both breadth and depth that goes beyond the minimum required to Pass.
Please note that component a may not be used alone; the options available are a+b, a+c or a+b+c.
Example 3 GD3 – Application of Skill (based on statements b and c)
For a Merit your work or performance applies appropriate skills with very good levels of confidence and creativity.
For a Distinction your work or performance applies appropriate skills with excellent levels of confidence and creativity.
For this grade descriptor component c must be used, but appropriate words for the list should be selected; the options available are a+c, b+c or a+b+c.
Example 4 GD7 – Quality (based on statement b)
For a Merit your work or performance puts forward arguments or ideas which are generally unambiguous but which are in a minor way limited or incomplete.
For a Distinction your work or performance puts forward arguments or ideas which are consistently unambiguous and cogent.
For this grade descriptor there is a free choice from the components a to c. Component c is fairly generic and it is probably advisable to use components a and/or b where they are appropriate.
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11.6.9 Use of numerical marking
Please refer to the QAA Grading scheme handbook Section C, part 2d on page 2 and Annex C1 (page 9) for the QAA regulations on the use of numerical marking.
If numerical marking is to be used then:
a. where both GD1 and GD3 are being assessed using numerical marking inthe same assignment, it must be clear which specific questions relate toeach GD;
b. the boundary marks or percentage for Merit and Distinction must bepublished on Form TA2G next to each GD where numerical marking is tobe used, e.g.
“For a Merit you must meet all of the assessment criteria and achieve amark between 70 and 84% inclusive.”
“For a Distinction you must meet all of the assessment criteria and achievea mark equal to or greater than 85%.”
The actual mark boundaries are at the discretion of the tutors devisingassignments, but would be expected to produce a similar range of gradesfor a cohort of learners as assessment which did not rely on numericalmarks.
11.6.10 The Assignment Brief
The assignment brief is keyed into the box on the last page of the TA2A document. Open Awards has produced further guidance on writing assignment briefs, which can be found on the Open Awards Website – Quality Assurance section.
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12 Managing student submissions
The provider must supply details of the procedures for the formal submission of work for assessment in the course handbook. These procedures must be the same for all the Access Diplomas for which the provider has course recognition and must include information about what constitutes a draft, plus information about deadlines, requests for extension, extenuating circumstances, resubmissions, referrals, representation and appeals.
For further information, please refer to the QAA Grading scheme handbook, Section C, part 4 on page 3.
12.1 Draft submissions
Draft submissions are only permitted in specified circumstances and must not be the norm. The following is an extract from Section C of the QAA Grading scheme handbook:
“Opportunities to submit assignments (or parts of assignments) in draft for comment and feedback by tutors before the formal submission date are permitted only for the particular assignments where the tutor has decided that this is appropriate and has specified this in advance. Such opportunities will not be the norm.
• Where the opportunity for the submission of drafts exists, this is specified to all students in writing (for example, on assignment briefing sheets) before they begin work on the assignment.
• Tutors may provide written feedback on drafts and engage in dialogue of a general kind which allows students to see how they might develop their response to the assignment brief. In responding to draft submissions, tutors are not permitted to:
- make detailed corrections to a draft submission
- provide information about predicted grade indicators, or other detailed information about possible grading judgements.”
12.2 Formal submissions
Providers must operate a formal approach to the submission of work for assessment. This must include the consistent application of policies relating to deadlines for formal assignments, requests for extensions, extenuating circumstances, resubmissions and referrals.
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12.3 Deadlines for Submission of Assignments
The deadline for a learner to hand in work for assessment must be clearly stated in the appropriate field on the TA2A G/U assignment brief front sheet.
Where a provider has two or more groups of learners following the same Diploma course and where assignments are used for assessment on different Diplomas, mechanisms for handing out assignments must ensure that all learners (including learners completing their course through distance learning or blended learning) have the same amount of time to complete the assignment and that the risk and opportunities for collusion and plagiarism are minimised. In practice this means the time between an assignment being handed out to the learner and the submission deadline, and does not relate to the amount of time any individual learner may choose to allocate to the completion of the assignment.
Where an assignment is supervised, e.g. an examination, test or supervised practical activity, all learners must be allowed the same amount of time to complete the assignment (unless special consideration has been requested and agreed) and this must be indicated on the front of the TA2A G/U assignment cover sheet.
12.4 Late submissions
Work can be considered to be handed in late if it is handed in:
later than the first submission deadline without an agreed extension
after an agreed extension date
later than a resubmission deadline
Incomplete.
If work is submitted after the formal deadline has passed, no extension has been granted (and there are not exceptional extenuating circumstances which explain the failure to request an extension), all grade indicators relating to that assignment must be capped at a pass. If the work submitted after the deadline without an extension having been granted and the work does not meet the learning outcomes, there is no opportunity for resubmission except via the referrals process.
12.5 Extension Requests
All assessed learners work required for certification must be completed, assessed and internally verified before the Final Moderation Visit, in preparation for the Final Awards Board.
Realistic deadlines must be set, particularly towards the end of the course, to allow for the work to be assessed and subjected to internal verification in time for external moderation.
Learners must be encouraged to keep to deadlines for submission of work for assessment. Extensions should not be the norm, must be monitored as a part of the Internal Verification processes and will be monitored by Open Awards through the External Moderation process.
The provider must publish standard written procedures for the consideration of extension requests to ensure they are equitably considered. These must include:
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a statement about the length of time before the published deadline when requestscan be considered; extension requests may not be considered on the day of thedeadline unless there are exceptional extenuating circumstances;
specific examples of extenuating circumstances;
specific examples of reasons that will not be considered as extenuating;
Specific examples of exceptional extenuating circumstances.
Must be no later than 31st July if learner has applied to enter university in September, or 31st August if learner is not applying to enter university in the same calendar year.
Requests for extensions must be made in writing using the RFLE Form and the provider should consider how requests may be received. The RFLE Form should only be completed in exceptional circumstances and emailed to Open Awards by 31st May, for consideration by the Access to HE Committee. Decisions will be confirmed in writing prior to the date of the Final Awards Board.
See Part C4c in Section C of the QAA Grading scheme handbook.
A list of specific examples and reasons that may not be considered as extenuating should be clearly indicated in your Course Handbook.
12.6 Successful and unsuccessful submissions
A submission is successful if the learner provides sufficient evidence that they have fully achieved each learning outcome (and the associated grade descriptors for graded units). The assessor must complete the appropriate submission column on the TA2B Form to indicate, by initialling the appropriate box, whether each assessment criterion was met on the first submission or the second submission if used.
12.7 Resubmission
If a learner does not meet all of the assessment criteria attached to an assignment, they should be provided with appropriate feedback and allowed one resubmission. The deadline for a resubmission must be indicated in the appropriate section on Form TA2A.
The work required for a resubmission should reflect the degree of omission in the first submission. This may involve rewriting and resubmission of an essay or report, but where an examination or test has been used, then different questions with similar demands must be completed (the same examination or test cannot be retaken). If achievement is limited to only a few of the assessment criteria or none of the assessment criteria have been met, then a learner should be reassessed using a different assignment with the same demands as the original.
Any resubmission handed in after the agreed second submission date must be considered as late and the work must be capped at a Pass.
If, following a resubmission, a learner has still not achieved all of the assessment criteria the only recourse is the referral process described in section
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12.8 Referrals
‘When a student has not achieved one or more or the learning outcomes of an assessment on first resubmission or when a first submission was late with or without an agreed extension, the student may be referred for permission to make a further submission.’ (QAA Grading scheme handbook, Section C, page 13)
A referral request can be made in one of two ways:
a. If, within the duration of the course, there is sufficient time before the end of thecourse run, a referral may be considered by the course coordinator (providing thatthey are not also the assessor, or Access manager – all requests must bedocumented using Form LRR, and completed forms and associated supportingevidence must be made available to the Pathway Moderator at the moderation visitclosest to the request (whether the request was approved or not) and records mustbe made available at the Final Awards Board;
b. If there is insufficient time before the end of a course run, a referral may be made tothe Awards Board using Form RRF. The members of the Final Awards Board willconsider whether a further opportunity for resubmission should be allowed, and ifso, what the particular requirements of the resubmission must be.
If a referral is agreed and a student meets all the learning outcomes of an assessment the grade indicators for the referred resubmission are capped at a Pass.
12.9 Evidence for Referral Requests
However a referral request is made (within the duration of the course or to the Final Awards Board), the following evidence must be made available to the Lead Moderator and at the Final Awards Board:
a. A completed copy of the appropriate referral request form (Form LRR or FormRRF).
b. The original evidence submitted for assessment and any resubmitted work, whichmust show that the learner has failed to achieve all the assessment criteria for theunit.
c. Evidence of discussions between the learner and tutors about the most appropriatecourse of action, including notification that referral does not automatically result inapproval for a second resubmission and that the final decision to allow a referrallies with the Lead Moderator.
d. Any special circumstances relating to the learner or the particular assignment(s)involved.
12.10 Requests for Referrals – within the duration of the course
a. Please complete Form LRR for each individual request and update Form for theDiploma course run. All documentation must be made available to the PathwayModerator during visits and be available for scrutiny at the Awards Board.
b. The request can be considered internally by the Access Coordinator, AccessManager or a Provider Quality Manager.
c. If a referral request is successful a deadline for a second resubmission should beset, the learner must be informed and the TA2 documents updated.
d. If a referral request is unsuccessful the learner should be informed and the TA2documents updated.
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e. The outcomes of a second resubmission, if approved, must be recorded.
c. A record of referrals requests, whether approved or not approved must be kept using Form LRR and made available to the Pathway Moderator at the moderation visit closest to the request (whether the request was approved or not) and records must be made available at the Final Awards Board..
12.11 Requests for Referrals to the Awards Board
a. Please complete Form RRF and consult with the Pathway Moderator at their final moderation visit before the Awards Board.
b. A separate form must be completed for each individual learner for whom a request is to be made.
c. Completed referral requests must be made available at the Awards Board.
d. If a referral request is approved at the Awards Board, a deadline for a second resubmission of work and arrangements for verification must be agreed.
e. Must be no later than 31st July if learner has applied to enter university in September, or 31st August if learner is not applying to enter university in the same calendar year).
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12.12 Modifications to Assessment for Learners with Particular Needs
Before any reasonable adjustments are made to an assessment strategy, to accommodate a learner with a particular identified need, written permission must be sought from Open Awards – please refer to the Access to Assessment Policy – available from the Open Awards website.
Reasonable adjustments must not affect the reliability or validity of the assessment outcomes but may involve:
a. Changing the usual assessment arrangements, e.g. allowing a learnerextra time to complete an assessment activity
b. Adapting assessment materials e.g. by providing large print or providingmaterials in Braille
c. Providing assistance during an assessment e.g. by providing a signer,interpreter or a reader
d. Changing the assessment method e.g. from a written assessment to aspoken assessment
e. Using assisted technology such as screen reading or a voice activatedsoftware.
Reasonable adjustments must be approved by Open Awards and set in place before the assessment takes place. The work produced by the learner will be assessed in the same way as the work of all other learners and must be subject to the usual internal verification and must be presented for external moderation sampling by the moderator.
12.13 Extenuating Circumstances
Providers must have appropriate procedures for dealing with cases of extenuating circumstances. Procedures must be clear and available to all Access to HE learners in the course handbook. Procedures must include:
a. a clear definition of extenuating circumstances
b. procedures that must be followed by learners to notify their tutor or the Accesscoordinator of the extenuating circumstances that affect the completion orsubmission of work for assessment
c. procedures followed by the provider when they have been notified of extenuatingcircumstances affecting a learners work
d. Procedure relating to a learners specific needs and processes for reasonableadjustment. (See also Section 12.12 for more information on modifications ofassessment for learners with specific needs).
12.14 Lost/Stolen Marked Learner Evidence
Learner Evidence must be available for moderation visits. Open Awards expects Access providers to have a process in place for learners to keep ‘back up copies’ of their evidence, and for all assessed learners work to be retained securely at the centre once assessed and internally verified for external moderation purposes. In the very unlikely event that learner evidence is lost at or stolen from provider premises, a Senior Manager should contact the Open Awards Quality Manager (Regulation and Standards).
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13 Assessing student work
13.1 Assessing Ungraded Units
For ungraded units the only requirement for achievement is that a learner meets all of the assessment criteria for the unit. Work should be marked to clearly show the internal verifier and external moderator where the assessment criteria have been met. For structured assignments this may be very clear, but where this is not the case, for example in an essay, work should be annotated with the criterion reference (1.1, 3.2, etc.) to show where the evidence is located.
Where an assignment is used for assessment on more than one unit, annotation should make it clear where the evidence for each unit is located (e.g. A1.2, B3.1, etc.)
Achievement against the assessment criteria must be recorded on Form TA2BU for ungraded units.
13.1.1 Submission received to the agreed deadline (including extensions. if approved)
a. If there is evidence that a learner has met assessment criteria on their first submission, this should be indicated by the assessor initialling the 1st Submission column, next to the relevant assessment criteria on Form TA2BU.
b. If a learner does not meet all the assessment criteria on their first submission, the assessor must provide written feedback on Form TA2BU explaining any deficiencies and what additional evidence is required. A deadline for a second submission must be agreed and recorded on Form TA2BU.
c. If a resubmission is received to the agreed deadline, and the learner has met any outstanding assessment criteria, this should be recorded by the assessor initialling the 2nd submission column next to the relevant assessment criteria on Form TA2BU.
d. If the learner has still not met all of the assessment criteria after a second submission, the only recourse is to the referral process; please see Section 12.8
13.1.2 Submissions handed in late (including extensions, if approved)
a. Except in cases of exceptional extenuating circumstances (please see section 12.13), work must be assessed in the usual way and achievement recorded in the 1st Submission column on Form TA2BU.
b. If all of the assessment criteria have been met, then the learner has achieved the unit. If all of the assessment criteria have not been met the only recourse is to the referral process (please see Section 12.8 )
c. In all cases learner achievement, or non-achievement, must be recorded on Form TA3U. Please use the code letters in the table on the next page to record the outcomes of assessment for ungraded units.
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Assessment Outcome Recommended
Code
Learners who have met all the AC without recourse to a referral:
A
Learners who have met all the assessment criteria following a late submission:
AL
Learners who have met all the AC following a referral (second resubmission):
AR
Learners who have not met all the AC following a referral (second resubmission):
F
Learners for whom a referral is being requested to the Awards Board:
R
Learners who have withdrawn from the course: W
13.2 Assessing Graded Units
Please see the QAA Grading scheme handbook – Section C, part 5 on page 5 for further guidance.
Formal submissions must be assessed as soon as practicably possible following the submission deadline for an assignment. It is advisable to produce a grading scheme in advance indicating the key features expected from Merit and Distinction responses. This is particularly useful where the same assignment is to be used with more than one group and assessed by different assessors.
Because a learners work may not be graded until they have met all of the assessment criteria, assessing learners work is inevitably a two-stage process.
13.2.1 Stage1 – assessment against the assessment criteria
The submission is assessed against the assessment criteria and work must be marked to show where the assessment criteria have been met for internal verifier and external moderator. For structured assignments this may be very clear, but where this is not the case, for example in an essay, work should be annotated with the criterion reference (1.1, 3.2, etc.) to show where the evidence is located.
Where an assignment is used for assessment on more than one unit, annotation should make it clear where the evidence for each unit is located (e.g. A1.2, B3.1, etc.)
Where numerical marking is used please refer to the guidance below.
Achievement against the assessment criteria must be recorded on Form TA2BG for graded units or TAB2U for ungraded units
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13.2.2 Submission received to the agreed deadline (including extensions. if approved)
If there is evidence that a learner has met assessment criteria on their first submission, this should be indicated by the assessor initialling the 1st Submission column, next to the relevant assessment criteria on Form TA2BG.
If a learner does not meet all the assessment criteria on their first submission, the assessor must provide written feedback on Form TA2BG explaining any deficiencies and what additional evidence is required.
No reference may be made to predicted grades at this stage and any additional work required must relate only to the assessment criteria that have not been achieved.
A deadline for a second submission must be agreed and recorded on Form TA2BG.
If a resubmission is received to the agreed deadline, and the learner has met any outstanding assessment criteria, this should be recorded by the assessor initialling the 2nd submission column next to the relevant assessment criteria on Form TA2BG.
If the learner has still not met all of the assessment criteria after a second submission, the only recourse is to the referral process (please see Section 12.8.)
13.2.3 Submissions handed in late (including extensions, if approved)
Except in cases of exceptional extenuating circumstances (please see Section 13.1), work should be assessed in the usual way and achievement recorded in the 1st Submission column on Form TA2BG.
If all of the assessment criteria have been met, then the learner has achieved the unit. If all of the assessment criteria have not been met the only recourse is to the referral process (please see Section 12.8.)
13.2.4 Stage 2 – grading
When a learner, whose submission(s) were handed in to agreed deadline(s), has met all of the assessment criteria for an assignment, their work should be graded using the grade descriptor components published on Form TA2BG.
Individual assignments that are not handed in to agreed deadline (late submissions), if successful, are capped at a Pass.
Where there is an unsuccessful late submission, the Unit in question is not achieved.
The only further recourse is to consider a Referral.
Successful submissions following a referral are capped at a Pass.
13.2.5 Recording achievement
In all cases learner achievement, or non-achievement, must be recorded on Form TA3BG.
The grade profile achieved for each assignment must be recorded next to each learners name in the appropriate column as a series of letters; one letter for each grade descriptor attached to the assignment. For example, if the GDs attached to an assignment are recorded as 1,2,7 then the grade profile might be recorded as PMP, MMM, DDM etc.
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13.2.6 Aggregating Grades
Following assessment of a Unit and when the grade profiles for each assignment have been recorded on Form TA3G, the grades must be aggregated to determine the overall grade for the Unit (the Unit grade). The Unit grade is the median of all the grades awarded for the assignments used for assessment of the unit as shown in the following examples:
Grade Profile Unit Grade
PPMMM M
MMDDD D
PPPD P
PPDD * P or D not M
PPMM * P or M
* Where grade profiles are balanced assessors must use the integrity of theirprofessional judgement to determine the Unit grade, based on thedemands of the different assignments or tasks.
13.2.7 Additional information
In addition to the recommended grades, assessors should also complete the last four columns of the respective TA3 to record information about extensions, referrals etc. as indicated in the table below:
Column What to record
Ext Check this box if an extension has been requested and approved
2nd Sub Check this box if a second submission has been required
Ref Check this box if a referral has been agreed or is being requested
Late Check this box if at any stage one or more assignments were handed in late
IV’d Check this box if the learner assessment has formed part of the IV sample
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13.2.8 Feedback on graded submissions
Please see the QAA Grading scheme handbook, Section C, part 6 on page 7.
Assessors must provide constructive, developmental, written feedback to learners in the appropriate spaces relating to each grade descriptor on Form TA3G.
The feedback should relate to the GD components selected for the assignment and should also refer back to the assessment criteria where there were deficiencies in the learners work that affected the grade being recommended. Feedback should also show learners what they should do to improve their performance in subsequent assignments.
13.2.9 Using numerical marking
Please see the QAA Grading scheme handbook Section C, part 2d on page 2 and Annex C1 (page 9) for the QAA regulations on the use of numerical marking.
If numerical marking is to be used then:
a. where both GD1 and GD3 are being assessed using numerical marking, it must be clear which specific questions relate to each GD;
b. even when numerical marking is used a grade may only be recommended when a learner has met all of the assessment criteria;
c. the boundary marks or percentage for Merit and Distinction must be published in advance on Form TA2BG next to each GD where numerical marking is to be used;
d. a mark scheme must be produced showing the mark available for each question and if both GD1 and GD3 are being assessed, how this relates to the GDs;
e. the mark awarded for each answer in individual scripts should be clearly indicated next to each question;
f. the total mark, and where it is used the percentage mark, must be clearly recorded next to each GD to which it applies on Form TA2BG; the recommended grade P, M or D must also be recorded;
g. only the grade profile and not scores or percentages should be recorded on Form TA3G;
13.3 Changes to grades and grade indicators
Please see the QAA Grading scheme handbook Section C, part 7 on page 7 and the relevant Annexes for further information.
Grade ‘polishing’ is not permitted. Once an assignment has been graded a learner is not permitted to resubmit any part of the work and assessors are not permitted to reassess the work.
The only circumstances in which grade indicators may be amended are:
a. if an administrative error has been made
b. as a result of the representation process.
In either eventuality a written record of any changes made must be kept on the appropriate documentation and made available for external moderation purposes.
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13.3.1 Administrative errors
Administrative errors include:
a. errors in completion of a unit grade profile (e.g. if a grade has not been recorded forone or more GDs);
b. errors in aggregation of the Unit grade;
c. errors in totalling or calculation of percentages when numerical marking is used.
If a learner identifies an error after graded work has been returned, they must inform the relevant tutor, (or, if the assessor is not available) another member of the course team within one week of receiving the assessed work.
13.3.2 Correcting Administrative Errors
If an administrative error comes to light, as a result of notification by a learner or as a result of Internal Verification, then:
a. the course coordinator or Access Manager must be informed and no further actiontaken without their approval;
b. the error must be corrected on Form TA2BG and Form TA3G
c. a formal record of any amendments made should be kept with the paper copy of therelevant TA3 form and made available to the Pathway Moderator and LeadModerator.
The Lead Moderator will monitor the number and types of administrative errors.
13.3.2 Representations
Please see the QAA Grading scheme handbook Section C, Annex C2, page 11.
a. Providers must have documentation and procedures for learners to follow shouldthey wish to appeal against a grade awarded.
b. Representation should be made at the earliest opportunity and, normally, no morethan one week after the assessed work has been returned to the learner.
c. In the first instance the assessor will discuss the assessed work with the studentand explain the grading decisions made.
d. If the learner is not satisfied with the explanation the work in question will beconsidered by the Internal Verifier, or through any alternative process approved byOpen Awards.
e. If the IV concludes that there is no case for a regrade, the learner should beinformed of the decision, which must be formally recorded. In this case, if thelearner is still not satisfied with the outcome, the learner should be advised to followthe Provider’s formal appeals procedure.
f. If the internal procedures conclude that an error of judgement has been made, therelevant assignment(s) is/are reassessed and new feedback, relating to any revisedgrade indicators, is provided (A copy of Form TA2G should be used for this and thismust be clearly marked to show that it relates to the representation.) A copy of boththe original and the revised feedback must be kept and the outcome recorded.
g. Any revised grade indicators should be recorded on the relevant TA3G form.
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14 Quality Assurance
Open Awards is required by the QAA to operate robust quality assurance systems. Providers are required to cooperate with Open Awards by responding promptly for information from the External Moderation team and facilitating External Moderation visits.
Providers must also carry out Internal Verification of its Access provision using the mandatory documentation provided. This is in addition to any generic quality assurance systems in use by the provider.
14.1 Professional Judgements
Assessors, Internal Verifiers and External Moderators will make professional judgements in the assessment, verification and moderation of learners’ work.
These judgements should be based on a common understanding of principles used in the design of Access to HE Diploma courses and the design of assessment tasks as detailed in this handbook and the QAA regulations.
Opportunities for professional discussions leading to a shared understanding are provided through the Access Forum meetings, Internal Verification and Standardisation events and External Moderation and Standardisation events.
14.2 The Quality Cycle
The diagram shows the part played by Internal Verification (and Standardisation) and External Moderation (and Standardisation) in the improvement of quality and the maintenance of standards for the Access Diploma. It is essential that internal and external processes influence the design of assignment tasks and assessment decisions, including grading for graded units.
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15 Internal Verification
The provider must make appropriate arrangements for the quality assurance of their Access provision. Depending on the size of the provision and the providers own general policies and procedures, overall responsibility for Internal Verification will normally lie with the Access Coordinator, a provider manager with responsibility for Access or a provider Quality manager.
In addition, it is the responsibility of the provider to allocate appropriate levels of resources for effective implementation of the IV process.
15.1 Scope and Purpose of IV
Internal verification will ensure that:
a. assignments to be used for assessment are checked and revised if necessarybefore they are delivered to learners;
b. assessment is carried out according to the requirements of the QAA specificationand grading scheme and is administered according to the principles describe inthis handbook;
c. assessment decisions, including indicated grades, are fair and equitable andrepresent the achievement of the learners to whom they relate.
15.2 Planning Internal Verification
A written proposal for Internal Verification must be provided to the Lead Moderator in advance of the Initial Visit. This must include:
a. the name of the person with overall responsibility for IV for the Access provisionas a whole;
b. the names and responsibilities of those appointed as Internal Verifiers. Forexample, the proposal should show the Units and groups of learners for whichindividual verifiers have responsibility and any coordination roles, e.g. forDiplomas in a particular pathway;
c. a schedule for verification activities, including pre-delivery and post-deliveryverification;
d. details of the system used to select samples of assessment evidence forverification.
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15.3 Use of Mandatory Documentation
Formal records of IV activities must be kept using the mandatory forms provided by Open Awards, available on the Open Awards website. Completed forms must be stored electronically and made available to external moderators on request. Paper copies of all documentation should also be made available during moderation visits.
The mandatory forms provided for Internal Verification are:
Form Use
IV1 Pre-delivery verification for a graded or ungraded unit
IV2G Verification of assessment evidence for a graded unit
IV2U Verification of assessment evidence for an ungraded unit
15.4 Pre-delivery IV of Assessment Strategy and Briefs
The purpose of Pre-deliver IV is too ensure that the strategy used to assess learners’ performance is fit for purpose and that information provided to learners is complete and accurate.
15.4.1 When
Sufficient time must be allowed for any amendments to be made to the assignment(s) before being used for assessment.
15.4.2 By Whom
The Internal Verifier must have a sound understanding of the Access to HE specification, criterion-referenced assessment and the Access grading scheme. They should also have relevant subject expertise at an appropriate level.
15.4.3 Frequency
Verification must take place before first use of an assessment strategy and when any significant changes are made to the strategy, e.g. when new assignments are written or significant changes made.
15.4.4 Reporting
Outcomes are reported by the Internal Verifier using Form IV1 and made available for external moderation purposes.
15.4.5 Pre-requisites
The originator(s) of the assessment strategy must provide the Internal Verifier with the following documents:
a. Copy of the Unit of Assessment (downloaded from the Open Awards Unit Bankwww.openawards.org.uk
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b. Completed copy of the TA1A – Assessment Plan for the unit
c. Completed copy of the TA1B – Assessment Mapping Record
d. Copy of the respective TA2 Assignment cover sheet(s) and the associated assignment brief(s) for each assignment in the assessment plan.
15.4.6 Considerations
The IV1 report form has a series of questions. The following notes expand on the issues to consider during the verification of the assessment plan and assignment briefs:
A. Has respective form TA2 been accurately completed for each separate assignment?
Check the spelling of the Diploma title
Check details of the unit (title, code, level and credit value etc.) against the Unit of Assessment
Check the accuracy of the learning outcomes and associated assessment criteria.
B. Have all of the approved grade descriptors (GD) and GD components been
applied appropriately to the planned assignment(s)?
Only the GDs published on the Unit of Assessment may be used
Each GD should be used at least once
GD 7 (Quality) must be used for each separate assignment
GDs may be used more than once in different assignments.
Check to make sure that GDs are entered in full, e.g. 1 – Understanding of the subject; 7 – Quality, etc. and not only the GD number.
Check that the GD components used are the one published in the QAA Grading scheme handbook (Section B)
Check that the GD components used for the merit and distinction sections match
Where guidance notes have been used in the GD section, check that this is just guidance and does not prompt learners or make the assignment unduly straight forward (see question C)
C. Do(es) the planned assignment(s) address all of the assessment criteria (AC) for
this unit and provide opportunity for differentiation?
Each LO and the associated AC should be assessed only once (i.e. in one assignment)
All the LOs and associated AC must be assessed
Questions or tasks should allow for differentiation of learners’ performance at pass, merit and distinction level in relation to the GDs attached to each assignment
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D. Is it clear which parts of the assignment(s) relate to which LOs and their associated AC and to which GDs?
Is it possible to cross-reference specific tasks, questions or parts of theassignment to different LOs, AC and GDs?
Transparency in this area is important for the learners (so they know what theyhave to do and to make the assessment fair – see question I.) Transparencyalso makes the assessment process easier and is likely to result in greaterstandardisation in grading.
E. If assignment(s) are divided into discrete tasks is it clear how submission deadlines and resubmissions will be managed?
Where it is intended that an assignment be completed over a period of timeand if different parts of the assignment (e.g. tasks) are to be handed in (andmarked) at different times, then it should be clear how deadlines andextensions are to be managed.
If there is insufficient clarity about the application of deadlines andextensions, this may be an indication that tasks should be distributed amongtwo or more separate assignments.
F. Is/are the assignment(s) valid for assessing achievement of this unit and are they appropriate to the level and credit value of the unit?
There should be a clear match between the expectations of the assignmentand the level of the unit. This can only be judged by those with appropriateand current subject expertise.
The credit value for the unit should be reflected in the time taken for a typicallearner to complete the assignment. The only general guidance here relatedto the link between credit value and nominal learning hours. Three creditsrepresents 30 hours of (teaching), learning and assessment for a typicallearner.
G. If more than one assignment is planned is the balance of AC and grade descriptors applied to each assessment appropriate?
If more than one assignment is to be used and having considered question Fabove, check the balance of the assignments.
The demands of the LOs, AC and GDs should be reflected in the demands ofeach assignment. For example a strategy where one assignment has 3 LO’s7 AC and 3 GDs attached and the other has only 1 AC and 3GDs attached isunbalanced and is likely to lead to inflation of grades.
H. Will any part of the assignment(s) be used to assess a different unit; if so is it clear which parts of the assignment relate to each unit?
Where an assignment, or part of an assignment, is to be used to assess LOsfrom two or more different units, then:
o The assignment should be listed in the TA1 for both units
o There should be a separate briefing and cover sheet (TA2A) for eachunit even though there may be a single assignment brief
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o The assignment brief should make it clear how the submitted assignmentwill provide evidence for each unit and their associated GDs, e.g. bycross-referencing to the LOs, AC and GDs of each unit.
If there is insufficient clarity about the contribution an assignment makes tothe assessment of more than one unit, this may be an indication that the useof the assignment in the assessment strategy for the different units identifiedis inappropriate.
I. Are there issues around accessibility or equality and diversity that need to be addressed in the design of the planned assignment(s)?
Is the language used in the assignment(s) clear and likely to be accessible toall learners? Please pay particular attention to the use of technical or subjectspecific language and terminology and to cultural references that are notdirectly related to the content of the unit.
Is the assessment strategy accessible in terms of the physical and practicaldemands placed on learners and the use of specialist equipment and/ortechnology?
Check that the assignment strategy is not constructed in such a way as togive advantage to or disadvantage particular learners because of theirorigins and background, assuming that all learners will have had a similarlearning experience from the provider.
Check that the language used and the requirements of specific assessmenttasks are not likely to cause offense to a learner, or group of learners,because of their ethnic or cultural origin, religious faith, gender or sexualorientation.
15.5 Post-delivery IV of Assessment Evidence and Records of Achievement
Post-delivery IV is to ensure that evidence presented by learners for assessment is assessed and graded in accordance with the QAA regulations as provided in the Access to HE specification and the grading scheme handbook.
15.5.1 When
There should be a rolling programme of IV activity to ensure that the evidence for each unit forming part of a Diploma is verified as soon as is practical after assessment has taken place. This should ensure that any problems involving the practice of a particular assessor are highlighted promptly and in time for remedial measures to be taken before the formal assessment of any further units by the assessor.
15.5.2 By Whom
The Internal Verifier must have a sound understanding of the Access to HE specification, criterion-referenced assessment and the Access grading scheme. They should also have relevant subject expertise at an appropriate level.
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15.5.3 Scope
The provider should ensure that for each delivery of an Access to HE Diploma the IV sample includes:
a. Some evidence assessed by each assessor
b. Evidence from every unit, including ungraded units
c. For graded units, evidence representing a range of recommended grades and
grade profiles
15.5.4 Sampling of Assessment Evidence
The sample selected for IV should be representative not random. Open Awards does not specify the percentage size of evidence to be sampled for IV, but it is expected that the sample will reflect:
a. The number and size of groups assessed
b. The range of grades and grade profiles recommended by the assessor
c. The demographic features of learners (gender, ethnic background, age and disability status)
d. Any overarching provider policies relating to quality assurance and Internal Verification (for example, some providers require that every learner has some assessment evidence included in an IV sample at some point during their course of study)
e. Experience of the assessor (i.e. the sample for new assessors must be greater
until the IV is assured that they are assessing consistently with other assessors
involved in the assessment of learners on a Diploma).
15.5.5 Representative Sampling
TA3 G/U Forms must be used to ensure that the sample is representative in terms of:
a. Units – evidence from every unit must be included in the IV sample for each delivery cycle of a Diploma and must include all the assignments or tasks used for assessment of the Unit.
b. Assessors – evidence assessed by each assessor involved in the assessment of learners on a Diploma.
c. Learner profile, for example in terms of gender, ethnicity, disability status and age.
d. Range of grades (for graded units) – this should include a Pass, Merit and Distinction for each cohort sampled. The sample should also include examples where grade profiles are balance, e.g. PPDD, or ‘borderline cases’ where similar profiles result in different aggregated grades, e.g. PPMMM and PPPMM (in this case the indication of a single grade means the difference between a Pass and Merit for the Unit.
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15.5.6 Risk Assessment
Sampling must be based on an assessment of risk with larger samples taken:
a. For assessors who are inexperienced or new to Access.
b. For a new assessment strategy / assignment.
c. Previous IV reports relating to the use of the assignment strategy or assessmentby a particular assessor.
Cases where there may be an indication of over grading or under grading. To assess this consider the grade profiles for each Unit; are the grade profiles consistent for different Units and different assessors for the same cohort and stage in the course?
15.5.7 Reporting
Outcomes of IV are reported by the Internal Verifier using Form IV2 (G or U) and made available for external moderation purposes.
Good practice should be shared through the scheduled meetings of the course team and internal standardisation.
15.5.8 Considerations
The IV2 (G or U) report form is intended to reflect the IV activity for an individual assessor and named Unit of Assessment. The fields at the top of the form are the same as those used in other IV and TA documentation. There is also a field for the number of assignments used to assess the unit. Internal Verification should consider all of the assignments used to assess the unit.
A The main table on page 1 of the IV2 (G or U) Form has a row for each learner in the sample. The IV must record for each learner in the sample:
a. The learner’s name
b. The learner’s group name or reference
c. The grade recommended for the learner by the assessor (this is theaggregated grade)
d. The application of QAA and Open Awards regulations in the assessment ofeach learner’s work and the recording of achievement
e. Whether there is good practice to share or action to be taken to improveassessment and record keeping.
B The following specific considerations should be made:
a. Administrative details – have all the required details been enteredaccurately on the TA2 Form? Please see the exemplars provided on the OpenAwards website.
b. Achievement – is there sufficient evidence to be confident that a learner hasmet all the assessment criteria for the unit?
c. Grading Decisions – is the work eligible for grading, i.e. if all the assessmentcriteria have been met was the work submitted by the agreed deadline? Ifwork is handed in late at any stage it must be capped at a Pass. Work can beconsidered to be handed in late if it is handed in:
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i. later than the first submission deadline without an agreed extension,
ii. after an agreed extension date,
iii. later than a resubmission deadline,
iv. incomplete (if the provider has a clear policy relating to this eventuality.)
d. Assuming that work is eligible for grading the IV should consider:
i. the extent to which the assignment provides evidence against the specificgrade descriptor elements selected for each assignment, in other words,does the internal verifier agree with the assessment decision of theassessor?
ii. if numerical marking has been used, has this been applied appropriatelyusing the grade boundaries for Merit and Distinction grades published onthe TA2G and for the appropriate grade descriptors (GD1 and / or GD3)?The consistent awarding of “flat” grade profiles by an assessor (PPP,MMM or DDD) might be an indication that the numerical mark is beingused to determine all the grades for the assignment. For further guidanceplease see section 11.6.9 and the Annex C1 on page 9 of Section C of theQAA Grading scheme handbook.
e. Feedback to the Learner – is the feedback provided on Form TA2 sufficient,focused and developmental and does it provide a justification for the gradesrecommended? There are two sections for feedback.
i. Feedback against achievement of the assessment criteria should reflectachievement following a first submission. If all the assessment criteriahave been met it may be sufficient the assessor to write, for example“Well done, you have met all of the assessment criteria and your work iseligible for grading.”
ii. Feedback against the grade descriptors should reflect the specificelements selected for each descriptor and any guidance that may havebeen provided on the Form TA2G. The feedback should give exampleswhere the learners work provides evidence for the recommended gradeand be developmental, in the sense that it shows the learner how theymight have improved their submission to achieve a higher grade and howthis might be achieved in subsequent assignments.
f. Identifying good practice and points for action
The main purpose of Internal Verification is to improve and standardisepractice in assessment of learners. The final two columns on page 1 or FormIV2 allow the Internal Verifier to identify where best practice is being used andwhere there are concerns that require action.
g. Page 2 of the form allows the IV to:
i. elaborate on the good practice identified and how this might be shared(e.g. through course team meetings) and on any required action and
ii. identify any actions required and who will take responsibility for these.
15.5.9 Best Practice
It is expected that providers are compliant in the use of mandatory documentation and processes for the development of assessment activities, assessment and for Internal
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Verification. The Internal Verifier should therefore only comment on practice that might be considered to be exceptional, for example:
detailed, developmental feedback;
consistent and accurate completion of administrative details Form TA2B (G or U).
maintenance of records Form TA3 and the TA3 Grade Analyser Spreadsheet.
15.5.10 Areas for Improvement
The Internal Verifier must provide appropriate constructive feedback to support and encourage improvement and request specific action to correct errors and deficiencies. Some examples are provided in the table below:
Issue Identified Possible Action (IV Comments)
Incomplete records - TA2B (G or U), TA3 G or U)
Highlight any specific deficiencies and provide a timescale for correction of deficiencies.
Inaccuracies in grade aggregation Highlight errors and arrange for corrections to be made and checked.
Errors in marking, e.g. where inaccuracies in learner work has not been corrected, or where an assessor has made an inaccurate comment
Highlight inaccuracies and arrange for additional marking /commenting of learner work.
Where numerical marking is being used, inaccuracies in totalling or percentage calculations
Highlight errors and action plan for correction of errors and checking.
Cases where the verifier considers the assessor has been too lenient or too harsh in the grades recommended
Highlight discrepancies, justifying their own decision. Arrange to meet the assessor to discuss and agree standards.
Poor feedback that lacks a developmental imperative or does not relate to the Grade Descriptors or grade descriptor components
Highlight deficiencies. Arrange a meeting to discuss deficiencies. Share examples of best practice.
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15.6 Access to HE Diploma Calendar of Events for Provider Quality Assurance
Activity Assessors Internal Verifiers Frequency / Timing
Pre delivery verification
For each unit to be delivered and assessed Tutors plan assignments using Form TA1B, apply grade descriptors, and produce assignment briefing/feedback sheets using Form TA2U or TA2G as appropriate.
For each Tutor or Module for which the IV is responsible, The IV checks assessment plans and assignment briefs (TA1A, TA1B and TA2(s). Outcomes, including any changes required are reported using Form IV1.
The term prior to delivery and assessment of the units identified in the assessment schedule.
Assessment and Post-delivery verification
For each assessed unit the assessor completes Form TA3U or TA3G for each cohort as appropriate. Copies of these should be passed or emailed to the Internal Verifier who will select a sample.
The assessor provides the IV with all of the assessed work relating to the sample selected.
The IV uses Form TA3U or TA3G to select a representative sample for verification. The size of the sample will depend on any factors identified through risk assessment.
The IV should consider achievement against the AC for each unit, any recommended grades and the accuracy of records including aggregation of grades.
The outcomes of IV are recorded using Form IV2. This should identify best practice for sharing and, if necessary action plan for improvement.
At least once each term, but the frequency will depend on the organisation of the provision. Timing should take into consideration the need to provide External Moderators with information.
Completion of eRACS and End of course verification
eRACs should be available a few weeks following registration of learners with Open Awards. Once these have been checked for accuracy, the results for units that have been Internally Verified may be entered by the team member(s) responsible.
IVs should check eRACs for accuracy against the relevant TA3s. Any discrepancies should be corrected.
Completion of eRACs may begin as soon as they have been checked for accuracy. They must have been completed, thoroughly checked and uploaded to the portal prior to the final visit of the Pathway Moderator before the relevant FAB.
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15.7 Academic Misconduct
‘The provider must operate its own procedures for dealing with academic misconduct, once these have been endorsed by the AVA where they relate to achievement on the Access to HE Diploma. Such procedures will specify a variety of penalties to be applied where a learner is found to be guilty of academic misconduct, depending on the nature, extent and seriousness of the offence.
Penalties for misconduct may include disqualification for all or part of the award, or requirements for resubmission: they may not include alteration to grades. Serious and/or repeated offences may result in suspension or exclusion of the learner. In these circumstances, the learner will be considered at the Awards Board only in respect of the award of credit and only for those units not affected by the misconduct.
The penalty for lesser offences, affecting one or more assignments, may be a recommendation that for the assignments affected to be treated in the same way as assignments which were unsuccessful after resubmission. The Awards Board must treat such cases in the same way as others where a learner has not reached the threshold for credit to be awarded and follow the procedure for referral. In cases of academic misconduct which have affected a student’s achievement, the report on the provider’s investigation of the case, and the provider’s judgement, must be considered as evidence.”
[QAA Grade scheme handbook, Section E (page 5)]
A provider’s policies and procedures for dealing with academic misconduct will be checked during the Provider Validation / Revalidation process and be reviewed annually by the Lead External Moderator as part of the Initial Visit.
All cases of academic misconduct must be documented and reported to the Lead Moderator and the Final Awards Board.
16 External Moderation
Open Awards will appoint a team of external moderators who will visit provider’s centres on an annual cycle to assure quality and standards.
Each provider will be allocated a Lead Moderator who will take an overview of all the provider’s Access provision and monitor compliance against the Provider Validation criteria.
The Lead Moderator also accepts overall responsibility for managing the moderation of the programme and this will include agreeing the moderation cycle and the identification of the need for specific specialist Pathway Moderator support. The Lead Moderator also attends the Final Awards Board meeting.
A number of specialist Pathway Moderators will also be appointed, depending on the number of Diploma courses and scope of provision offered by a provider.
Once appointed, Pathway Moderators will undertake the external moderation and verification of all the courses within their allocated pathways, and report to the AVA and the Lead Moderator by agreed deadlines. Please note that suggested learner grades must be subjected to external moderation and are therefore not confirmed until external moderation has taken place.
In general Pathway Moderators will look at grade decisions made for Units and assure themselves that a proper grading process was undertaken and that tutors decisions across the
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Diploma(s) they are moderating, are consistent in accordance with the QAA grading Scheme Handbook and the award of credit is sound. In particular this will mean that Pathway Moderators will look at: Assessment plans for units
Student assignment briefs prepared by the centre Evidence of internal moderation which covers grading decisions
Standardisation activity Samples of marked student work showing the grade indicators awarded by the assessor
Individual student grade profile and class tracking sheets which show how the unit grades were arrived at
Grading decisions agreeing the grades awarded and the credit level achieved at the final Awards Board
16.1 Conflict of Interest
It is Open Awards’ policy that those acting on Open Awards’ behalf must be free from conflicts of interest that could adversely influence their judgment, objectivity or loyalty to the organisation in conducting Open Awards’ activities and assignments. Moderators are required to always disclose an activity that may represent a conflict of interest.
Likewise providers are required to notify Open Awards of any foreseen conflicts of interest.
Common Conflicts of Interest are:
The moderator is or was employed by the provider (or has been employed at any time within the last 3 years) – e.g. as a Lecturer or another capacity.
The moderator is known to be undertaking external verification/moderation activity for or on behalf of other awarding organisations/AVA at the same provider.
The moderator is or was a recent learner/student at the provider.
A Conflict of Interest may also occur where a Moderator is known to hold a position with any receiving institution (e.g. through direct involvement in the admissions decisions for learners progressing from the Access to HE Course they would be moderating).
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16.2 The Annual Moderation Cycle*
Autumn term (Year of Run)
Deadline
Date
(or next working day)
The AVA identifies and issues contracts to Lead Moderators.
Lead Moderators make contact with the Access Co-ordinator/Senior Manager and agree a date for the Initial visit.Must be no later than 15th November. The Lead Moderator willrequest the attendance of key personnel at the meeting, includinga representative from each pathway being offered. The initial visitwill include annual compliance monitoring against the providervalidation requirements and the identification of an annual RiskRating.
Initial Visit takes place. The Lead Moderator will identify for theAVA the pathways being offered for the year, to allow for theallocation of suitable subject specialist Pathway Moderators.
Lead Moderators will explore the quality assurance arrangementsfor the pathways, including the internal moderation/verificationplan. The moderation cycle is agreed (where providers are offeringcourses with start/end dates in addition to the usual annualmoderation cycle – the additional dates and requirements forfurther Final Awards Board meetings must be agreed at the InitialVisit).
Lead Moderators will agree date for The Final Awards Boardmeeting with the course team. This must be no later than 12th
July in the following year.
The moderator leaves an action plan with the organisation whereappropriate, clearly identifying any actions (or suggestions forimprovement) for the provider to address.
First visit report to be received by the AVA.
The AVA will appoint Pathway Moderators to the programme.Contracts issued.
The AVA will ensure that Pathway Moderators are supplied withcontact details of Lead Moderator, the provider’s first visit report,and the agreed date for Final Awards Board meeting.
AVA checks and approves initial moderation reports and issues tothe provider.
15th October
31st October
By 15th November
On the day of the Initial Visit
30th November
15th December
15th December
By end December
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Spring term
Pathway Moderators undertake Interim pathway moderation visits,compile their Interim pathway visit reports and SamplingRecord(s). Copies are sent electronically to Lead Moderator andthe AVA by 31st March.
AVA reads and approves Spring moderation reports and sends acopy to provider.
Pathway Moderators agree date for second (Final) visit. This mustbe during the last two weeks in June.
31st March
19th April
During Interim Visit
Summer term
Pathway Moderators undertake second (Final) visit and verify theaward of credit to learners. Confirmation of this activity is left withthe provider and a copy sent to Lead Moderator via theConfirmation of the Award of Credit Form, for ratification at theFinal Awards Board.
Pathway moderators will consider any requests for Referrals to theFinal Awards Board, and make a recommendation to the LeadModerator contained within the RRF Form, completed by theProvider and presented at the Final Awards Board.
Summer pathway visit report and Sampling Record(s) sentelectronically to the AVA and the Lead Moderator.
Pathway Moderators must leave a copy of the Confirmation of theAward of Credit to Learners Form with the Access coordinator.
Lead Moderator attends Final Awards Board meeting and verifiesRACs. The Lead Moderator completes the Lead Moderator FABReport.
Verified RACs, are uploaded electronically to the AVA’s Portal bythe Provider in readiness for the Final Awards Board meeting.
Lead Moderators verify the electronic RACs via the AVA portal.
During last two weeks in June
Before 1st July
During 1st - 12th July
During last two weeks in June – at their Final Moderation Visit
Date of Final Awards Board (1st – 12th July)
By Final Awards Board
Immediately after the Final Awards Board - by 12th July
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Lead Moderators complete and return Lead Moderator FAB Report electronically to the AVA.
Access to HE Committee meets to confirm all awards.
AVA processes certificates and dispatches to centres by recorded delivery. Please note that the AVA cannot guarantee certification of RACs received after 15th July by 12th August.
AVA checks and approves Final pathway moderation reports, and issues a copy to provider. Annual Report issued to providers for return.
Within 5 working days of the date of the FAB Meeting
By 12th August
1st September
Following Autumn Term
Provider completes and returns the Access to HE annual report and statistical data (complete TA3 Analyser Spreadsheet) to Open Awards
Outcomes of moderation analysed and report goes to Access to HE Committee.
AVA annual report approved by Access to HE Committee.
AVA returns approved annual report to QAA.
Mid-October
November Committee
November Committee
December
* in the case of courses who have learners who complete the course at different times throughout the year, visits are arranged in agreement with the provider and the AVA.
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16.3 Initial Visit and Provider Annual Compliance Moderation
The Lead Moderator will make two visits during any given course run; one close to the start of the academic year (to conduct their Initial Annual Compliance Visit, and the other at the Awards Board meeting(s).
16.3.1 Initial (Start of Year) and Annual Compliance Monitoring Visit
The Initial Visit will be arranged in October. The purpose of the visit is to review the scope of a provider’s Access provision, to monitor compliance against the Provider Validation criteria, review progress against any action plans in place and determine the provider’s Annual Risk Rating.
16.3.2 Final (End of Year) Visit
The Lead Moderator will also attend the Final Awards Board meeting, along with an AVA Representative.
16.4 Records
In preparation for Lead Moderator visits the provider must ensure that the following evidence is available and up to date. The evidence may be provided in either printed or electronic format. Evidence must be reviewed periodically, but the frequency of such reviews will depend on the nature of the evidence. For example a new IV proposal will be needed for each new run of an Access Diploma, but updates relating to changes in personnel will only be needed following any such change. The evidence is the same as that collected for Provider Validation and is arranged under the same headings:
16.4.1 Premises
a. Evidence of a permanent main base in the UK.
b. Premises are adequate to support the scope and mode of deliveryproposed for the anticipated number of learners.
c. Premises are suitable for securing important documents and essentialadministration.
16.4.2 Management
a. There is a single named point of accountability for the quality assuranceand management of Access to HE provision.
b. There are clear arrangements for the day to day operational managementand coordination of Access to HE Courses.
c. There are management procedures in place to ensure that, during periodsof staff absence, learners’ courses are not disrupted.
16.4.3 Facilities and Resources
a. Appropriate to the planned learning and assessment requirements of theDiplomas that are to be delivered.
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b. Appropriate to support all identified modes of delivery.
c. Provide access to learning support for those learners identified as requiringit.
d. Facilities appropriate to the needs of adults and Access to HE learners.
16.4.4 Staffing
a. An appropriate number of staff is employed to support the delivery andquality assurance of the proposed courses for the anticipated number oflearners.
b. Those employed to deliver Access to HE courses are appropriatelyqualified, professionally competent, and have the required subject expertisefor the proposed diploma courses.
c. There is an induction process and staff handbook available for all staff newto Access to HE delivery and assessment.
d. There is a commitment to on-going staff development and attendance atOpen Awards training, standardisation and Access Forum events.
e. There is a single named point of accountability for the timely administrationof courses, to include registration of learners and recommendation of awardof credit to learners.
f. There is a single named contact with responsibility for the timely distributionof certificates to learners.
g. There is a single named contact for finance with responsibility for promptpayment of all invoices to Open Awards.
16.4.5 Access to HE Diploma Development
a. There is a single named signatory for authorising any proposed newDiploma Course. (This should normally be the person named above withresponsibility for Curriculum Development.)
b. There is a clear and systematic internal process in place for the approval ofthe development of new Access to HE Diplomas in response to identifiedneed.
c. New Diplomas are developed using the Access to HE Regional ProgrammeUnit Bank with new units/ modules only being added where the AVAaccepts that there is an identified need.
d. New Diploma Courses are developed only after consultation with potentialreceiving HEIs.
e. New Diploma Courses are developed in line with the current Rules ofCombination as set out by Open Awards for the relevant Pathway.
f. Due consideration is given to the relevance and coherence of the selectedmodules / units and to their appropriateness as a preparation for theidentified progression routes.
g. Due consideration is given to how the appropriate academic skills, includingcore skills, relevant to the identified progression route will be provided. (In
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some cases this may require the identification of any specific entry requirements for the Diploma.)
h. Where additional requirements exist for progression to a particular professional body, these are made explicit to learners.
16.4.6 Recruitment of Learners
a. There is a clearly identified target group for each Diploma course the organisation intends to offer.
b. There are effective ways of recruiting from the identified target group.
c. Any promotional material which is produced complies with the QAA and Open Awards guidelines on the use of their logos.
d. Any promotional material makes it explicit that the award of the Diploma does not provide guaranteed entry to UK HE programmes.
16.4.7 Initial Advice and Guidance
a. All potential learners have an entitlement to an initial advice and guidance service to ensure the suitability of the course for their chosen progression route.
b. Public information provided about Access to HE courses is current and accurate.
c. Clear information is published on any entry requirements that may be in place for particular Diplomas.
d. There is clear information provided to potential learners in relation to the commitment expected of them in terms of :
i. the duration of the course;
ii. course requirements including any attendance requirements;
iii. mode of delivery;
iv. fees, including any payment models;
v. other potential costs;
vi. assessment policies;
vii. successful completion criteria.
e. There is an induction process in place for all learners, which includes an induction pack.
16.4.8 On-course Advice, Guidance and Support
a. There is access for learners to resources and advice on the selection of appropriate HE progression routes.
b. There is support for learners in completing their HE application process.
c. The organisation is committed to providing full and accurate references to support learner applications as appropriate during the course.
d. There is a systematic process in place to provide learners with on-going and documented tutorial support including end of course advice as appropriate.
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16.4.9 Assessment Practice and Records of Learner Achievement
a. The Centre is able to demonstrate that the conduct of assessment and theapplication of assessment regulations is thorough, rigorous and fair.
b. The centre offers fair and valid assessment practice in line with the OpenAwards’ Assessment in Access to HE Policy, including use of all mandatorydocumentation.
c. All staff understand and are able to conform with the QAA Grading Modelas published on their web site www.accesstohe.ac.uk/publications
d. Staff are competent in producing high quality assessment materials that areappropriate to the level and target group.
e. Tasks are sufficiently challenging to allow for the differentiation of learnersin line with the grading model.
f. The assessment strategies comply with the AVAs requirements to includean observed assessment in each module delivered regardless of thedelivery mode.
g. The assessment strategy employed is appropriate to the needs of the targetgroup and prepares learners for progression to HE.
h. The AVA mandatory documentation to support assessment planning isused consistently.
i. Learners receive full and timely feedback on the outcomes of assessment,in line with the QAA regulations.
j. The AVA mandatory documentation to support the recording of theoutcomes of assessment are used consistently and made available tomoderators.
k. There are systems in place to ensure that all assessment records aresecurely stored, in a manner which makes them available to managers inthe event of tutor/assessor absence.
16.4.10 Internal Quality Assurance of Assessment Practice
a. There is a robust IV policy in place which conforms to Open Awards’published requirements.
b. There is a published calendar of IV activity made available to all staff, andto the AVA’s moderators.
c. All IV activity is recorded using the AVA’s mandatory documentation.
d. Outcomes of IV are stored securely in an IV file which is made available tothe external moderator.
e. Outcomes of IV are shared at course team meetings and action plans areproduced and monitored through to completion.
f. Internal standardisation opportunities are available for all staff.
g. Systems are in place for eliciting and responding to student evaluation andfeedback on the assessment process and these are used to bring aboutcontinuous improvement.
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16.4.11 Course Monitoring and Review
a. Systems are in place for regular monitoring and review of All Access to HEProvision.
b. Systems are in place for eliciting and responding to student evaluation andfeedback, and these contribute to the course review process.
c. Outcomes of review are used to contribute to course development.
d. Outcomes of review are used to contribute to continuous qualityimprovement including the identification of any staff development needs.
e. Outcomes of review are used to inform the Centre Annual Report to theAVA.
f. The Centre Annual Report to the AVA is completed and returned annuallyto the AVA in a timely manner by an appropriate manager.
16.4.12 External Quality Assurance
a. Systems are in place to allow access for external moderators as requested.
b. All tutors have a copy of the Open Awards Guidance for Providers on theconduct of external moderation.
c. Any appropriate documentation requested to support external moderationwill be made available in a timely and efficient manner.
d. Recommendations for the Award of Credit are accurately completed by thedate of final pathway moderation.
e. The organisation is aware of its responsibilities for conducting the FinalAwards Board to the published timescales and agenda.
16.4.13 Reporting
At each of their visits the Lead Moderator will discuss any deficiencies with the provider and will produce an Action Plan indicating what steps need to be taken to rectify these and the timescale for their implementation. The Action Plan will be discussed and a copy left with the provider at the end of the visit.
The Moderator will also produce a report, which will include any action required and highlight examples of particular good practice.
The report will be issued to the Provider by the AVA.
Following the Final awards Board, the Lead Moderator will also submit a Lead Moderator FAB Report to the AVA.
16.5 Pathway Moderation
Each Pathway Moderator will normally visit twice during the year, once in the spring (Interim Moderation Visit) and again in the summer (Final Moderation Visit), before the Awards Board. During their visits Pathway Moderators will need to see a sample of evidence of assessment and associated assessment and internal verification records.
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16.5.1 Sample Selection
a. Two to three weeks before their planned visit, the Pathway Moderator will request TA3s for the units already delivered and assessed.
b. TA3s should be provided by email at least five working days before the planned visit. This is to allow sufficient time for the Moderator to select a sample and for the provider to assemble the sample.
c. The Moderator will select a representative sample from the TA3G/U documents provided and make a request for the sample to be made available at their visit.
d. Please make the sample available by unit, by group and in alphabetical order of learners’ family names.
e. The moderator will externally scrutinise the selected samples to assure the grades awarded and the recommended award of credit is sound.
16.5.2 Records
In addition to the representative sample of assessment evidence requested by the Moderator the provider must also have available, for each Diploma in the Pathway:
a. schemes of work for each module and unit;
b. assessment strategies and assignment briefs for each unit (TA1A, TA1B and TA2G/U documents);
c. evidence of Internal Verification (IV1s, IV2G/U documents);
d. group/cohort records of achievement for each unit (TA3G/U documents);
e. Grading Analysis and action taken (TA3 Grade Analyser Spreadsheet);
16.5.3 Additional Evidence
In addition, at the Final Moderation Visit the Pathway Moderator will need to see fully completed eRACs for each run of a Diploma title to allow them to make their recommendations for award of credit. Recommendations will be documented on the Pathway Moderator Confirmation of the Award of Credit to Learners Form – a copy of which will be left after their Final Moderation Visit and forwarded to the Lead Moderator in preparation for the Final Awards Board.
16.5.4 Reporting
At each of their visits the Pathway Moderator will discuss any deficiencies with the provider will produce an Action Plan indicating what steps need to be taken to rectify these and the timescale for their implementation. The Action Plan will be discussed and left with the provider at the end of the visit.
The Moderator will also produce a report, which will include any action required and highlight examples of particular good practice.
The report will be issued to the Provider by the AVA not by the Pathway Moderator.
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16.6 Arrangements for Roll-on Roll-off Provision
If the start and end dates of specific provision do not coincide with the usual academic year, then the pattern of moderation visits will need to reflect the timing of individual course runs. This may result in the need for additional Moderation visits and the need for more than one Awards Board in any calendar year.
These arrangements will be discussed with the provider by the Lead Moderator and confirmed at the Initial Visit.
A moderation Cycle document will be produced so both the provider and AVA are clear on moderation events and key dates.
16.7 Additional Monitoring Visits and Sanctions
Where providers fail to meet the obligations of their Validation as a Provider and/or fail to address deficiencies highlighted by the external moderation team within their Action Plans and Reports, Open Awards as the AVA reserves the right to request additional visits to monitor the provider. Additional visits may be chargeable to the Provider. Please refer to Open Awards Charges leaflet for further details, available from Open Awards website at www.openawards.org.uk
16.7.1 Procedures to be taken in circumstances where an organisation’s quality assurance procedures are called into question
Open Awards will endeavour in all its dealings with organisations to work in a collaborative and supportive way to promote quality.
Open Awards reserves the right to apply conditions and sanctions on centres, to safeguard the award of credit and protect its interests.
In circumstances where organisations fail to meet the minimum management, organisation and 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:
a. The AVA will follow their Sanctions Policy, available from the Open Awards website.
b. Upon being alerted to a concern the Quality Manager (Regulation & Standards) andDirector of Business & Quality will consult to consider the facts. The Lead Moderator andPathway Moderator(s) will also be consulted.
c. A formal letter of concern will be sent to a Senior Member of staff at the Providerorganisation (e.g. Director, Principal) outlining the AVA’s concerns, detailing any specialmeasures/sanctions, itemising an action plan to address the concerns, and requesting aformal response from the provider.
d. The Access to HE Committee will be notified.
Open Awards will seek to support the organisation in preparing and carrying out appropriate actions to rectify matters. It will above all seek to protect the interest of learners and the security of the Access to HE Diploma.
Where sanctions involve any extra visits to the centre, this will be at the centre’s expense.
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Where a provider fails to implement the actions to address concerns, Open Awards, as the AVA, reserves the right to refer the matter to its Board of Trustees and withdraw a provider’s approval to offer some or all Access to HE courses.
16.7.2 Withdrawing a Providers Approval to offer some or all Access to HE courses
a. The AVA will follow their Sanctions Policy, available from the Open Awards website.
b. Upon being alerted to a concern Director of Business & Quality will consult with the Chairof the Access to HE.
c. If the Chair of Access to HE Committee upholds the concern, the Director of Business &Quality or other member of staff acting on her/his behalf, will write to the head of theorganisation, or the person with overall responsibility for ensuring the quality assurance ofOpen Awards programmes, within 7 days of agreement to proceed to inform her/him ofthe nature of the concern and the evidence that it has to substantiate those concerns.
d. A meeting may be held to allow the concerns to be discussed more fully before a formalresponse is made. This will be arranged within 14 days of the date of the letter.
e. The organisation will be required to respond in writing to answer the concerns detailed inthe letter within 21 days of the letter. The response will include an action plan to addressthe issues raised and/or evidence to refute the concerns raised.
f. The outcome of 4 and 5 above will be reported to the Chair of the Access to HECommittee who will consider whether an adequate response has been made.
g. A letter will be sent to the organisation confirming the Chair of Access to HE Committee’sdecision.
h. The AVA 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 Open Awards Access to HE courses.
The decision of the hearing will be final.
i. The Chair of Access to HE Committee will inform the provider of the decision within 7days and, if appropriate, the interim arrangements to be made to safeguard the interestsof learners currently enrolled on the courses in question.
Please Note in order to meet its regulatory responsibilities; Open Awards is required to share certain information relating to the imposition of sanctions with other Awarding Organisations and the Regulators. This may impact upon a provider’s ability to deliver qualifications with other Awarding Organisations.
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17 Standardisation
Providers must arrange regular opportunities for those involved in the delivery and assessment of Access provision to meet to agree standards. While it is expected that this will be the case for assessors who assess the same units with different cohorts of learners, it is also of value to bring together assessors and verifiers from different Pathways or curriculum areas.
The purpose of standardisation is for course team members to use their professional judgement to agree standards, particularly where this relates to grades.
Depending on the size of a provider’s Access provision, standardisation may be organised alongside Internal Verification, or as a separate event. The outcomes of standardisation activities, including any action plans, should be recorded and shared with the entire course team and with External Moderators at moderation visits.
Providers will be asked to provide samples of assignments and assessment evidence for external standardisation events. The requirements for this and the documentation to support external Standardisation events are published on the Open Awards website.
Open Awards will provide ongoing standardisation opportunities for providers and moderators in order to:
ensure that its centres are fully compliant with the QAA requirements to ensure that there is consistency and reliability in the outcomes of the process
both within a provider and across it’s providers to highlight where there are deficiencies/cause for concern so they can be
promptly addressed to highlight examples of best practice.
In order to facilitate these events all Moderators will be required to retain samples following each visit in line with the published units selected for sampling.
17.1 Selection of samples
The units selected for standardisation activities will be published annually by OpenAwards
All providers and moderators will be made aware of the units selected in January.
In order to facilitate standardisation events, all Moderators will be required tocollect samples during each visit, in line with the published sample strategy –Providers must ensure they have copies available.
Open Awards will record all samples received
The samples retained in one academic year will be used to inform standardisationactivities in the following year.
17.2 Retention of samples
Sample content - to ensure that a meaningful standardisation event can be conducted it is important that the sample is complete.
For each of the units selected Moderators must retain the following:
A copy of the unit
A copy of the TA1A and TA1B
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A copy of all TA2s that relate to the assessment strategy shown by the TA1A andTA1B
All IV documentation relating to the unit (IV1,IV2)
A copy of all of one learners work for the unit which has been graded as anoverall Pass
A copy of all of one learners work for the unit which has been graded as an overallMerit
A copy of all of one learners work for the unit which has been graded as an overallDistinction
A copy of the TA3G/U documents clearly showing how the final grade for theselearners has been calculated.
The sample must be anonymised and photocopied by the providing organisation and returned to the Quality Officer at Open Awards following the moderation visit when it was collected.
Standardisation opportunities will take the following format:
Autumn Term, Spring Term and Summer Term
Provider standardisation event by pathway. Moderators will also be invited to theevent.
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18 Administration of the Open Awards Access to HE Diploma
18.1 Course Team Meetings
It is expected that organisations provide sufficient opportunity for regular meetings of the team of tutors and managers delivering, assessing and quality assuring its Access to HE provision. The agendas for course team meetings should allow for discussion of all relevant matters including:
a. Teaching, learning and assessment
b. Registration of learners with Open Awards
c. Learner progress – including attendance, meeting assessment deadlines and achievement
d. Internal verification – including responsibilities, the IV plan for the year and action planning for improvement
e. External moderation – including discussion of external moderation reports and action planning for improvement
f. Standardisation – including outcomes of internal standardisation and of external standardisation events
g. Administration – including accurate completion of mandatory TA and IV
documentation and eRACs and preparations for the Final Awards Board
Meeting(s)
18.2 Registration of Learners (2013 Spec 8)
The QAA specification requires that learners must be registered with Open Awards within twelve weeks of the start of their Access Diploma or before an application is made through the UCAS or other application system.
Your Access to HE Diploma courses are available for registration on the secure portal following approval by the Open Awards Board. You must register your learners on the correct Access to HE Diploma course within 12 weeks of the start date or before the student makes a formal application to a higher education course through UCAS or any other application process, whichever date occurs first.
Learners can be added, removed or transferred to another course run free of charge within this 12 week period but no changes can be made afterwards. Requests for withdrawal or transfer of learners must be made by email to [email protected]. Additional learners can be added to an existing course run within the agreed registration period, via the portal.
Late Registrations
Learners cannot be registered after the 12 week registration period.
Click here for guidance on using the secure portal to register your courses and learners.
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Only after 12 weeks from the start of a course run, will the provider be invoiced for the learners registered, including any learners who may have withdrawn from the course but who were not notified to Open Awards within the 12 week period.
Please refer to Open Awards Charges leaflet for further details, available from Open Awards website – www.openawards.org.uk
Continuing Learners
Learners who are returning for a second consecutive year of study on an Access to HE Diploma course at the same centre are registered free of charge if the learners Open Awards learner ID is provided on the learner registration form.
Learners wishing to re-attempt a unit
Learners cannot re-attempt a single unit to improve their grades. They must either top up their existing achievements with extra units to gain the full diplomas such as continuing learners or learners who have completed a full diploma in the past can reattempt the diploma again and must re-study all of the units using new assignments.
18.3 Reporting Achievement
Once learners have been registered with Open Awards providers will be able to access their course run and learner registration details through the secure portal to check all learners are registered for the correct Diplomas and download the electronic Recommendations for the Award of Credit (eRAC) forms for each course run. Currently the eRACs for each course run are provided as an Excel workbook via the secure portal. When you download the RACs please check them immediately for accuracy:
a. Check the spelling of learners’ names – this is the name that will appear on any
credit transcripts or Diploma certificate printed for a learner. If a learner changes
their name during the course, please inform your Open Awards administrator as
soon as possible.
b. Check that the learner has been registered against exactly the right combination of
units. The units listed against any specific Diploma title cannot be changed if a
learner has made an application through UCAS or other application system or after
twelve weeks from the start of their course.
Accurately completed eRACs must be uploaded via the portal before the date of the final Pathway Moderator visit. Every care must be taken to ensure that eRACs are completed correctly. External Moderators will check eRACs for accuracy against the TA3s provided for Pathway Moderation visits.
18.3.1 Completion of eRACs
The eRACs will list only the modules and units validated for any specific Diploma title, a total of 60 credits of which 45 will be derived from graded level 3 units with academic content. Open Awards will not allow recommendation for credit for any modules or units except for those against which a learner is registered.
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The eRACs have a number of tabs:
The Summary tab includes the name of the Centre, the Diploma title, a unique Run ID and the names of the tutor responsible for completing the eRAC, the Internal Verifier who is responsible for checking the completed RACs and the Lead Moderator, who eventually signs of the RACs. Please complete the signature and date filed on the summary tab before uploading the eRACs.
The Learner Summary tab lists all the learners on the run. The total number of credits shown in each column updates automatically as the individual learner RACs are completed. When the RACs are complete the last 2 columns of the Learner Summary can be completed. In the QAA Dip column select Y or N, in the Destination column select the most appropriate destination response for each learner.
Each learner has an individual RAC tab labelled with their Family Name and Open Awards registration number.
For graded academic units select the recommended grade, Pass, Merit or Distinction, in the Grade/Mark column next to the each unit title. If a unit is not achieved, please leave this field blank.
For ungraded units select ‘Achieved’ in the Grade/Mark column. If a learner is being exempted from a level 2 communication, use of number or science credit select Exemption in the Grade/Mark column. If there is no achievement, leave this field blank.
Exemptions
Records of previously achieved qualifications used to permit exemptions of level 2 units must be kept in readiness for completion of the Recommendation for the Award of Credit document (RAC). You will need to record the date of previous achievement on the RAC. Incomplete RACs cannot be processed. Please refer to section 21 of this handbook for further information on Exemption and Equivalents.
Learners with prior achievement on other Access to HE courses.
Learners who have previously achieved credit on another Access to HE Diploma course may be considered for exemption of units on their new course. Please refer to section 21.3 of this handbook for further information on this.
Click here for guidance on using the secure portal to access, complete and return the Recommendation for the Award of Credits form.
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19 The Final Awards Board
It is the responsibility of the Awards Board to consider and approve the award of credit, grades and Access to HE Diplomas for learners registered with Open Awards on Access to HE courses. It also considers cases of misconduct, any extenuating circumstances relating to the course run and appeals.
A standard Agenda is available and must be followed. Please refer to Section 18.2.9.
The Awards Board must not receive any information about offers for progression to higher education which may have been made to any learner.
19.1 Constitution and Roles
The minimum constitution for the awards board must include:
Member Role
Chair: Normally the provider’s manager with responsibility for Access to Higher Education
Scribe: Supplied by the provider (this may not be the Chair or Course Representative).
Lead Moderator: Confirms assessment judgements.
AVA Representative: Confirms due process.
Course Representative: Normally the course tutor with day to day responsibility for coordinating the Diploma.
Please Note: The Chair and Scribe cannot be the same person.
19.2 Considerations of the Awards Board
The Awards Board will consider recommendations for achievement of credits, grades and the Access to HE Diploma. The Board will also consider cases of academic misconduct and learner appeals.
19.2.1 Achievement of a named Access to HE Diploma
The Diploma is awarded for all learners who the Awards Board considers have fully met the specific Rules of Combination for a named Diploma and those who have not fully met the Rules of Combination for whom an aegrotat or posthumous award is being requested.
19.2.2 Aegrotat Awards
An Aegrotat Award may be requested for learners who, due to extenuating certificated medical circumstances have been unable to complete their Access Diploma course and who have achieved at least 30 of the credits required for the Access to HE Diploma. Aegrotat Awards must be requested in writing using Form RFAA by the last working
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day of May and any affected learner must be informed that, if the aegrotat is approved that:
their Diploma certificate will clearly state that it is an Aegrotat Award (and theimplications this may have for and current HE offers or subsequent HEapplication);
their Credit Transcript will list only the units that have been achieved.
In What Circumstances May an Aegrotat Award be Made?
An Aegrotat Award may only be claimed where:
There are exceptional extenuating medical circumstances.
The learner has successfully completed a minimum of 30 credits on theprogramme.
The exceptional extenuating medical circumstances are fully supported by amedical certificate.Please note consent must be obtained from the learner for the evidence to beviewed by the Lead Moderator. For confidentiality purposes the learner should beidentified on the request form by their Open Awards Registration Number/ LearnerID, rather than name.
The provider has made the learner fully aware of any implications that the receiptof an Aegrotat Award may have.
The learner wishes the request to be made.
How do I Make my Claim?
Complete the form requesting the award on our web site and return it to [email protected] by the last working day in May in the year the award is being claimed. If the extenuating circumstances occur after this date, the form should be completed and sent to Open Awards before the date of the Final Awards Board meeting. Requests cannot be considered at the Final Awards Board meeting.
Your request should provide details of the credits which you will be recommending to be awarded to the learner.
Your request must provide details of the exceptional extenuating medical circumstances and record the type of evidence that has been provided. You must provide full details of how the circumstances have affected the learner’s performance, and also how and on what basis the decision to request the award was reached. It is important to provide as much information as is available so that the Committee can make a fully informed decision.
Authorisation for the Request
Providers must have robust internal systems in place for considering whether a request should be made, and why it considers that this is the most appropriate course of action for the learner. The request must be authorised by the provider’s Quality Manager. Requests which are not authorised by an appropriate senior member of staff cannot be considered.
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How Will the Claim be Considered?
Requests received by the last working day in May will be considered by the Access to HE Committee at its meeting in early June. In particular the Committee will consider the evidence and circumstances in which the request is being made, and make a recommendation to the Lead Moderator.
Requests received after this date will be considered by Chair’s action, but may result in a delay in certification of any award.
Providers and moderators will be notified in writing of the Committee’s decision. Open Awards will notify the Lead Moderator and the organisation making the claim before the date of the Final Awards Board meeting of the Committees’ recommendation.
The recommendation for an Aegrotat Award approved by the Committee must be approved by the Final Awards Board meeting, based on the verification of the evidence of achievement presented to the moderator for the credits which will count towards the award.
How will an Aegrotat Award be Certificated?
The learner will receive a credit transcript showing the credits achieved. In addition an Access to HE Diploma will be received, which will clearly state that an Aegrotat Award has been made.
19.2.3 Posthumous Awards
A posthumous award may be made at the discretion of the Awards Board provided that the requested is supported by the next of kin of a learner for whom the award is being requested.
Requests should be directed to [email protected] by the last working day in May.
19.2.4 Referral Requests
It is anticipated that most referral requests will have been considered in advance of the Awards Board, within the duration of the course, and the Board will receive a details of such requests and their outcomes. If the need for a referral request came to light near to end of the course run, then the request may be made directly to the Awards Board using Form RRF. Copies of RRF Forms consider at the Awards Board must be forwarded to Open Awards with the Minutes of the Awards Board meeting.
19.2.5 Partial Achievement
Partial achievement may be claimed for learners who have not fully met the specific Rules of Combination for a named Diploma, where an Aegrotat Award has not been approved and for whom there has been no request for referral to the Awards Board. Such learners will receive a Credit Transcript only.
If an unusually large number of learners is being recommended for partial achievement for a specific named Diploma, then the Board should discuss this and note any explanations offered by the provider.
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19.2.6 Extenuating Circumstances
Most cases involving extenuating circumstance, for example requests for extensions, will be considered by the course team following the providers published procedures. These are monitored by the External Moderator who must confirm that appropriate procedures are in place and have been followed.
The Awards Board will consider any cases where extenuating circumstances have affected a learner’s performance in more than one area or in a way that falls outside the provider’s normal procedures. This may include cases where a learner’s performance has been affected by extenuating circumstance too late in the course for the normal procedures to be effective. In all such cases the specific circumstances must have been considered by the course team and External Moderator(s) prior to the Awards Board and cases must be fully documented with a recommendation to the Awards Board on whether each individual claim for extenuating circumstances should be supported and to what degree.
19.2.7 Reporting Academic Misconduct
Cases of academic misconduct must have been reported to the Lead Moderator and will be reported to the Awards Board. Please see Section 16.7.
19.2.8 Appeals
Appeals about the awards of credit or grades. The grounds for appeal about the award of credits or grades on the Access to HE Diploma are restricted to cases where:
a. there is evidence of administrative or procedural error;
b. there are extenuating circumstances that, for good reason, could not be notifiedprior to the Awards Board.
Please see Section 13.3.2.
19.2.9 Agenda for the Awards Board
The Awards Board must be conducted by Chair using the agenda published on the Open Awards website. www.openawards.org.uk
The Awards Board will consider and confirm the following:
1. Learners for whom achievement of the named Diploma is being claimed, thisincludes those who fully meet the Rules of Combination for the Diploma, thoseachieving through agreed Credit Transfer, Aegrotat Awards and Posthumousawards.
2. Claims for the award of the credit, grades and the Access to HE Diploma for thoselearners completing outside the agreed Rules of Confirmation.
3. Learners for whom a referral has already been requested within the duration of thecourse, if any. The outcomes of any requests will be summarised on Form LRRwhich must be considered at the Awards Board.
4. Learners for whom a last minute referral is being requested at the Awards Board, ifany. These requests are considered by the Awards Board and the outcomes of
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these considerations are recorded in the minutes, along with clear verification arrangements agreed.
5. Learners for whom partial achievement is being claimed (credit transcript only), ifany. In most cases the reasons for partial achievement will be evident from thedestination codes on the RAC. Where the number of partial achievers is unusuallyhigh then an explanation must be recorded in the minutes.
6. Cases involving academic misconduct, if any. Any records relating to such casesmust be considered by the Awards Board. The outcomes of investigations ofmisconduct must be recorded in the minutes and copies of any records ofinvestigations should be returned to Open Awards with the minutes.
7. Cases involving extenuating circumstances, if any. Please see procedures fordealing with extenuating circumstances.
8. Cases involving Appeals, if any.
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19.2.10 Minutes of the Awards Board
The proceedings of the Awards Board are recorded using the Minutes template available on the Open Awards website.
The minutes must be completed by the scribe during the meeting and signed by the Chair, the Scribe and the Lead Moderator.
Completed minutes must be returned to Open Awards by not more than five working days of the Awards Board.
Where more than one Diploma is to be considered at the same meeting, a separate set of minutes must be completed for each Diploma.
The following table summarises what must be recorded in the minutes of the Awards Board:
Agenda Item What should be recorded
1a Learners who fully meet the rules of combination for the Diploma
The number of learners as recorded on the RAC. The names of these learners do not need to be recorded in the minutes.
1b Learners achieving the Diploma outside the agreed Rules of Combination
The total number achieving outside the agreed Rules of Combination and their names and learner IDs.
1c Aegrotat Awards The total number for whom an Aegrotat Award is being claimed and their names and learner IDs.
1d Posthumous awards The total number for whom posthumous awards are being claimed and their names and learner IDs.
2a Learners for whom a referral has agreed within the duration of the course.
The total number for whom a referral has already been agreed. The names of these learners are recorded on Form LRR, which should be presented at the Awards Board and copies submitted with the minutes.
2b Learners for whom a referral has been rejected by the Lead Moderator during the course.
The total number for whom a referral has already been agreed. The names of these learners are recorded on Form LRR, which should be presented at the Awards Board and copies submitted with the minutes.
2c Leaners for whom a referral was agreed and who were successful in a second resubmission.
The total number for whom a referral has already been agreed. The names of these learners are recorded on Form LRR, which should be presented at the Awards Board and copies submitted with the minutes.
3a Referrals made to the Final Awards Board.
The total number for whom a is being made to the Final Awards Board. The names of the learners are recorded on Form RRF, which should be presented at the Awards and copies submitted with the minutes.
The total number of requests. Please record ‘NIL’, if none.
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3b Referrals rejected by the Final Awards Board
The number of rejections or N/A if there were no requests.
3c Referrals approved by the Final Awards Board
The number of rejections or N/A if there were no requests.
4 Learners claiming partial achievement The total number for whom partial achievement is being claimed. The names of these learners do not need to be recorded in the minutes. And a brief summary of the reason for a partial claim for any learners where this is not clear from the learner’s destination code on the RAC.
5 Cases of learners involving misconduct. The total number of cases, the names and ID numbers of the learners involved and a summary of the outcomes.
6 Cases involving extenuating circumstances.
The total number of cases, the names ID numbers of the learners affected and a summary of the circumstances.
20 AVA Certification
Open Awards will issue Diploma/unit certificates for learners who have successfully achieved within two (2) weeks of receipt of the fully completed (verified and signed) and receipt of minutes following the Final Awards Board (FAB) meeting.
All certificates will be forwarded to the provider via a secure route e.g. courier, recorded delivery for the attention of the providers named Administration contact.
Once certificates have been received by a provider it is their responsibility to ensure they are checked and safely and promptly issued to learners. Providers must acknowledge receipt of certificates within 5 working days of receipt using the Certificate receipt form provided with certificates.
21 Using Equivalencies, Exemptions and Credit Transfer
Because a learner must be registered against a specific set of Units representing 60 credits, the use of exemptions and equivalencies is limited.
21.1 Exemptions
21.1.1 Exemptions for learners with GCSEs
Exemptions are allowed against level 2 credits in communication, maths and science for learners who have appropriate GCSE at grade C or above, but only if the Rules of
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Combination for the named Diploma specify this. (Please check the Rules of Combination tab in the Merlin specification for the Diploma).
21.1.2 Other Exemptions and Equivalences at Level 3
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. No more than 50 per cent of the credits required for any named Diploma may be awarded through Exemption. The limit for any named Diploma (which might be lower than 50 per cent in some instances) is stipulated within the rules of combination of that Diploma. Credits achieved by exemption do not attract grades, and therefore can only be considered towards ungraded units. Form REEP must be completed at the beginning of a learner’s course. It should form a part of planning their individual learning plan. The form must be received by the Open Awards for consideration no later than the last working day in October each year. The form will be reviewed by an Open Awards officer before being formally considered for approval by the Access to HE Committee at its November meeting. The committee’s decision will be final, and communicated to you within two weeks of the meeting where the request was considered. To Claim for Equivalent Units:
This will apply to any learner who has achieved credits from outside of the Open Awards Regional Programme, and wishes to claim a Diploma. This may include learners who have achieved access units with another AVA. If a student transfers from one named Diploma to another (either within or between AVAs), credit already achieved may be transferred where this is derived from units that are acceptable within the rules of combination for the named Diploma to which the student is transferring, subject to the maximum of 50 per cent of the units of any Diploma being achieved through this mechanism.
Equivalent Units can be claimed as long as they have been achieved within the last 5 years and have been achieved since the introduction of the QAA Grading Scheme. Form REEP must be completed at the beginning of a learner’s course. It should form a part of planning their individual learning plan. The form must be received by the Open Awards for consideration no later than the last working day in October each year. The form will be reviewed by an Open Awards officer before being formally considered for approval by the Access to HE Committee at its November meeting. The committee’s decision will be final, and communicated to you within two weeks of the meeting where the request was considered.
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21.3 Arrangements for Learners with Credits from the previous Specification (Legacy Learners) and Transitional Arrangements for the New Diploma Specification 2013
Learners who were registered on an Access programme prior to September 2014 are expected to complete their programme under the old specification.
Using previous partial achievement of units in the old Diploma Specification 2006 achieved within the last five years following September 2014:
There will be some learners who enrol again (not including learners on a two year PT
Diploma), after September 2014, who have previously achieved some credits in the last
five years.
For these learners any previous achievement will not appear on the RACS when they re-
register, because unit titles and codes have changed.
Therefore these learners will need to achieve on the new specification.
Generally they should be advised to do the whole Diploma again.
For any learner who does wish to use all units / grades previously achieved (not just
pick the best, which is not allowed) we will need to consider the use of Credit Transfer
and agree these on a case by case basis prior to registration.
Providers will need to complete, the Credit Transfer Form (CTF) and return this to
[email protected] , prior to registration.
However - no more than 60 credits in total can be awarded.
The learner’s Diploma will need to meet the new Rules of Combination, i.e. contain 45
graded academic credits and 15 ungraded credits.
Only units achieved which Open Awards considers to have equivalence to a unit in the
new Diploma structure can be transferred (Please refer to the Access Diploma
Equivalence List Sept 2014 for details – available upon request from Open Awards).
Learners cannot choose to have credits previously achieved as graded as ungraded in
the new Diploma. If the unit(s) previously achieved, exist in the new Diploma as
ungraded, then they will be transferred as equivalent but ungraded, to ensure the learner
meets the Rules of Combination for the new Diploma.
For any graded units achieved that are transferred to the new Diploma the achieved
grades will stand.
An Individual Learning Plan (ILP) will need to be created advising the learner of how they
will achieve their full Diploma.
Therefore the best advice to learners is that the new Diploma is significantly different, and they undertake the new Diploma structure as a whole programme.
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22 Requests for Extension to a Learner’s End Date
Learners must be made aware that certification will be delayed, and this may affect their ability to secure a place in their chosen HEI.
Form RFLE must be completed by the provider, in exceptional occurrences, to request an extension for a learner due to genuine mitigating circumstances. Moderators are not authorised to agree extensions. Completed forms must be received by the last working day of May for consideration by the Access to HE Committee at the June meeting.
The committee’s decision will be final, and communicated to you within two weeks of the meeting where the request was considered. The proposed date of extension deadline must be no later than 31st July if learner has applied to enter university in September, or 31st August if learner is not applying to enter university in the same calendar year and moderation arrangements must be agreed for the late work – a charge may apply.
The alternative for such learners is a request for an Aegrotat Award.
23 Requests for Amendments to Award of Credit or Grades
Providers are responsible for taking all reasonable steps to check that completed RACs are thoroughly completed and accurate prior to the FAB meeting taking place. The detail of the RACs must reflect the decisions agreed by the Pathway Moderator at the Summer Pathway Visit (confirmed by the Pathway Moderator within the ‘Pathway Moderators Confirmation of the Award of Credit to Learners’ document) and be available for the Lead Moderator to view on the portal prior to or during the FAB meeting.
Whilst we accept that sometimes, as a result of a mistake made in the completion of the eRACs, requests for changes may need to be made after the RACs have been uploaded via the secure portal, Open Awards views such requests as serious since they call into question the internal Quality Assurance systems of the provider. Such requests should not be undertaken lightly by providers and will affect their Risk Rating as an Access provider as amendments are considered as Maladministration. Please refer to Open Awards Malpractice and Maladministration Policy.
23.1 Changes to eRACs post-Pathway Moderation (prior to the FAB Meeting)
If, after the Pathway Moderation, changes are required to eRACs, a Senior Manager or named Quality Contact for the centre must be consulted, the change should be made to the RAC. The Senior Manager or named Quality Contact must notify their Open Awards Customer Service Advisor if the RAC has already been submitted via the Open Awards Secure Portal and the appropriate Pathway Moderator, as the change may require changes to the ‘Pathway Moderators Confirmation of the Award of Credit to Learners’ document that the Lead Moderator will refer to during the FAB meeting.
The Lead moderator must also be notified, and suitable evidence to support the change must be made available for the Lead Moderator at the FAB meeting and documented in the FAB Meeting Minutes. Once changes have been agreed at the FAB, the amended RAC must be uploaded to the Secure Portal.
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Please Note that changes following the FAB meeting may delay the issue of certificates. If additional moderation is required to validate requests (e.g. postal or by centre visit), the provider will be charged.
The following exceptional changes will be chargeable (per learner) – as per the current price list (available from the Open Awards website).
23.2 Changes to uploaded RACs post FAB and prior to online verification
Providers must upload RACs viewed and agreed by the Pathway moderator to the Portal prior to the FAB Meeting.
Requests for changes after this time must be submitted using the “Access to HE - Centre Request for Award of Credit Amendments Form” available from the Open Awards website – www.openawards.org.uk) completed by a Senior Manager/named Quality Contact for Open Awards’ consideration. Completed forms must be emailed to [email protected]. Centres must also attach to the email suitable supporting evidence for the change being requested.
The Lead Moderator must approve any changes to the RACs. Once notified by their Customer Service Advisor, that the changes have been agreed, the centre may then amend the RAC and re-upload for the Lead Moderator to verify.
23.3 Changes to uploaded RACs post FAB and post online Verification (prior to Certification)
Providers must upload RACs viewed and agreed by the Pathway moderator to the Portal prior to the FAB Meeting.
If an error is detected after completed RACs have been uploaded the following procedure must be followed:
Requests for changes after this time must be submitted using the “Access to HE - Centre Request for Award of Credit Amendments Form” available from the Open Awards website – www.openawards.org.uk) completed by a Senior Manager/named Quality Contact for Open Awards’ consideration. Completed forms must be emailed to [email protected]. Please also attach to the email suitable supporting evidence for the change being requested.
The Lead Moderator must approve any changes to the previously-verified award of credit. Once notified by their Customer Service Advisor that the changes have been agreed, The Customer Service Advisor will amend the award of credit for the affected learner prior to certification.
23.4 Amendments to Award of Credit after Certification
Providers must thoroughly check all certificates at time of receipt. Centre must return a signed copy of the “Access to HE Diploma Certificate Receipt Form”, issued with batches of certificates, to Open Awards within 5 working days of receipt of certificates to acknowledge the certificates have been received and checked for all learners. Centres have one month from the date original certificates are despatched by Open Awards, to submit a request for award of credit amendments. Requests after this time will not be considered.
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Any amendments to the award of credit e.g. requests for amendments to grade(s) (requiring a certificate reissue) after the original certificates have been issued to the centre must only be made in exceptional circumstances.
The centre must follow the procedure below, to ensure a clear robust process for handling is maintained:
Reissued Certificates will be chargeable – as per the current price list (available from the Open Awards website)
Requests must be made no later than one month from the date the Certificate was despatched to the Centre for distribution – requests after this time will not be considered
Requests will only be considered from Senior Manager/named Quality Contact for the centre. Requests will not be considered from Tutors/Assessors, Internal Verifier.
The original certificate(s) must be promptly returned to Open Awards
Centre must make the request in writing, by fully completing the “Access to HE – Centre Request for Award of Credit Amendments Form”, clearly stating how the amendment has come about
Centre must provide suitable clear evidence and associated evidence/paperwork to support the change to the learners’ certificate, in order for Open Awards to consider
Centre must provide details of what internal investigations have taken place to establish why the situation occurred, along with details of measures that have been put in place as a result to ensure a similar instance is not able to occur in the future
On receipt of the request, Open Awards will authenticate the claim, the original moderator will need to sign off and authorise any amendments that may be agreed to be made
Once the original moderator authorisation has been received, the amended certificate(s) will be reissued within 20 working days.
Open Awards is required to report all instances of changes to certificates to QAA.
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24 Malpractice, Maladministration and Sanctions
A centre must report any allegation of suspected malpractice/maladministration to Open Awards. Failure to report allegations of malpractice/maladministration can lead to awards not being conferred and certificates not being issued, and future registrations not being accepted.
Where a centre is found to have not reported allegations of suspected malpractice/maladministration Open Awards may apply sanctions as set out in Open Awards’ Sanctions Policy.
Open Awards reserves the right to apply conditions and sanctions on centres, to safeguard the award of credit and protect its interests. Sanctions may be applied to individual staff within centres, and/or the centre as a whole. Sanctions may also be applied to candidates.
Approved centres must comply with all sanctions imposed upon them.
In any situation where there is concern about the ability of a centre to meet the terms and conditions of the centre recognition agreement, quality assurance requirements or financial obligations then Open Awards will undertake a Risk Assessment to determine the level of risk and the security of the award of credit.
The level of sanction imposed will depend on the nature of the Centre’s non-compliance. If previously imposed sanctions are not acted upon within any timeframes set, and/or in the case of repeated actions requiring sanctions, this will result in a higher level sanction being applied.
Where sanctions involve any extra visits to the centre, this will be at the centre’s expense.
In cases of serious breach of non-compliance, for example in relation to the security of its assessments, then Open Awards may withdraw a centre’s approval to delivery its qualifications and units
Please refer to the Open Awards Malpractice and Maladministration Policy and Sanctions Policy for full details - available from the website – www.openawards.org.uk.
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25 Documentation
Documents to be used in conjunction with this Access to HE Provider Handbook. All documents referred to are available to download from the Open Awards website: www.openawards.org.uk
Please refer to the New Documents Usage Summary Table for full details.
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25 Calendar of Event for the QA
Access to HE Diploma Calendar of Events for the Quality Assurance at Centres
Date and event
Details of Responsibilities Documentation to
be available
July/August
Pre delivery verification
Tutor/assessors: for each unit to be delivered in the autumn term, TA documents plan assignments, apply grade descriptors, and produce assignment briefing/feedback sheets.
TA1A, TA1B, TA2AG/U and TA2BG/U for planning
Internal Moderators: for each tutor and/or module for which the IV is responsible, a check is carried out on units to be delivered in the autumn term to verify that they are appropriately planned, with grade descriptors appropriately applied. Any issues addressed through action planning prior to delivery.
TA1A, TA1B, TA2AG/U and TA2BG/U to be examined IV1 for recording and action planning
November and
March
Pre delivery and post delivery
verification
Tutor/assessors:
for each unit delivered since the last IV event, records and evidence of achievement to be made available to IV, as per selected sample.
TA1A, TA1B and TA3G/U, for recording TA3 Analyser Spreadsheet
Tutor/assessors:
for each unit to be delivered in the next term, TA documents plan assignments, apply grade descriptors, and produce assignment briefing/feedback sheets.
TA1A, TA1B, TA2AG/U and TA2BG/U for planning
Internal Moderators:
for each tutor and/or module for which the IV is responsible, a check is carried out on units to be delivered in the next term to verify that they are appropriately planned, with grade descriptors appropriately applied. Any issues addressed through action planning prior to delivery.
TA1A, TA1B, TA2AG/U and TA2BG/U to be examined IV1 for recording and action planning
Pre meeting / event use TA3G/U to select your sample. Pass back to tutor / assessor to prepare sample
for units delivered since the last IV event, records and evidence of achievement are examined according to the planned sampling regime. Any issues addressed through action planning.
IV2G/U for recording
June
End of course verification
Tutor/assessors: for all units delivered in each module, records and evidence of achievement to be made available to IV.
TA1A, TA1B and TA3G/U, for recording TA3 Analyser Spreadsheet
Internal Moderators: for all units delivered in each module, records and evidence of achievement are examined according to the planned sampling regime. Any issues addressed through action planning. RACs checked for accuracy against the rules of combination.
IV2G/U for recording and action planning. Thoroughly cross-check electronic RACs for uploading (in readiness for Moderation, FAB and Lead Moderator to verify).
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26 Glossary
Access Diploma A level 3 qualification regulated by the QAA and certificated by Open Awards (AVAs) for any learner who meets the requirements of an Access Diploma as identified in the specific Rules of Combination for the Diploma.
Approved Provider An organisation approved by Open Awards (or another AVA) to develop and deliver Access to HE provision.
Assessment Criteria Statements that specify what a learner will be able to do to show that they have achieved the Learning Outcomes for a Unit.
AVA Access Validating Agencies. AVAs. work with providers to develop and recognise Access to Higher Education Diploma courses. Open Awards is an AVA.
Course Recognition The processes used to allow a specific, named Access Diploma to be delivered by an approved provider. This includes consideration by an expert scrutiny panel, approval by the Open Awards Board and confirming approval with the QAA and the SFA.
Credit Transcript A certificate produced by Open Awards listing the credit values of the Units achieved by a learner and the grades achieved for graded units.
Credit Transfer The use of units achieved from a previous Diploma towards another Access to HE Diploma, at Open Awards discretion.
Credit Value A number representing the notional time for the delivery and assessment of a Unit. One credit represents 10 hours of learning and assessment for a typical learner. Units used for the Access Diploma will have a Credit Value of 3, 6 or 9 credits.
Diploma In this context, the Access to Higher Education qualification. The Access to HE Diploma is a Level 3 qualification.
Diploma Title The form or words used to describe a specific Diploma. This will always be in the form Access to Higher Education Diploma (…) with the words in brackets indicating the subject of the Diploma or the intended progression routes.
Exemption The use of a previously achieved qualification towards the Diploma, at Open Awards discretion.
Equivalent Units achieved credits from outside of the Open Awards Regional Programme claimed towards a Diploma, at Open Awards discretion. This may include learners who have achieved access units with another AVA.
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eRAC Electronic RAC, an Excel file used to record learner achievement for upload to the Open Awards secure portal (see RAC).
Formal Submission Completed assignment handed to a tutor/ assessor for assessment of all or part of a Unit (see also Resubmission).
Grade Descriptor Components
Specific statements used to describe performance against a Grade Descriptor at Merit or Distinction level.
Grade Descriptors Headings used to describe aspects of learners understanding, performance or skill.
HE Higher Education.
HEI Higher Education Institution.
Learning Outcomes Statements that specify the knowledge, understand or skills a learner will have developed when they have completed a Unit.
Level Standards of performance identified by Ofqual in the Qualification and Credit Framework. Units in an Access Diploma may be at Level 2 or Level 3. Units at Entry Level and Level 4 or above are not used in the Access Diploma. The standard of knowledge, understanding and skill expected of Level 2 Units is equivalent to GCSE, while the standard expected of Level 3 Units is equivalent to AS/A Level.
Merlin A tool provided by Open Awrds to help providers develop their Diploma specifications and select Units.
Module A collection of Units of Assessment with related subject content. This term is not used by the QAA and may be used in different ways by different AVAs.
Ofqual The Office for Qualifications and Education Regulation, a non-ministerial department reporting directly to Parliament and the Northern Ireland Assembly. It regulates qualifications, education and assessment in England and vocational qualifications in Northern Ireland. Ofqual does not regulate the Access to Higher Education qualification (see QAA).
Pathway A collection of modules with subject content related to specific HE progression routes. At provider level a pathway can be considered to contain one or more specific Diplomas the provider is approved to deliver. This term is not used by the QAA and may be used in different ways by different AVAs.
Progression Routes The specific degree titles or degree types for which an Access Diploma is designed to prepare learners.
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QAA The Quality Assurance Authority for Higher Education. The QAA operates systems to licence Access Validating Agencies. It also regulates Higher Education Institutions (HEIs).
QCF Qualification and Credit Framework, a national framework for qualifications regulated by Ofqual.
QUARTZ Database system used by Open Awards for process management, including registration of learners, reporting and verifying achievement and certification.
RAC See Record of Achievement.
Record of Achievement
Statement of achievement for an individual learner specifying the units achieved and the grades awarded for graded units.
Referral Process Process for considering whether a resubmission should be allowed when a late assignment is unsuccessful, or if a timely second submission is unsuccessful.
Representation Process
Process used to resolve a dispute in which a learner queries a grade recommended by their tutor/assessor.
Resubmission The second or third submission of an assignment that was unsuccessful on the first submission. A second submission is allowed for any unsuccessful first submission that was received to the agreed deadline (including any agreed extension). A second submission for unsuccessful assignments handed in late may be allowed subject to the referral process (see Second Resubmission).
ROC See Rules of Combination.
Rules of Combination
Statements specifying the mandatory and optional Units for a specific named Access Diploma.
Second Resubmission
The third submission of an assignment that was unsuccessful on the first or second submission. A second resubmission is subject to the decision based on the referral process.
Secure Portal Website used to upload learner registrations eRACs etc.
SFA Skills Funding Agency, a government agency that manages funding for education and training in England.
Unit See Unit of Assessment.
Unit of Assessment Comprises a set of Learning Outcomes and associated Assessment Criteria which are used to assess a learner’s knowledge, understanding and skills.
