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Regulatory Conditions - Section I

This table relates the Ofqual Conditions of Recognition (Section I) to the Policy and Procedures of The Learning Machine Ltd, and records the review dates when the conditions were last checked for compliance. The procedure is for each condition to be independently checked by two Directors.

Links

 

Part 1 The awarding organisation

Go to A. Governance

Go to B. The awarding organisation and Ofqual

Go to C. Third parties

Part 2 The regulated ​qualification

​Go to D. General requirements for regulated qualifications

Go to E. Design and development of qualifications

​Go to F. Providing qualifications to purchasers

Go to G. Setting and delivering  the assessment

Go to H. From marking to issuing results

Go to I. Appeals and certificates

​Go to J. Interpretation and definitions

Conditions

Reference to TLM Policy and Procedures Date reviewed

I. Appeals and certificates

Condition I1 Appeals process
I1.1 An awarding organisation must establish, maintain and comply with an appeals process in relation to all qualifications which it makes available, which must provide for the appeal of –
(a) the results of assessments,
(b) decisions regarding Reasonable Adjustments and Special Consideration, and
(c) decisions relating to any action to be taken against a Learner or a Centre following an investigation into malpractice or maladministration.
Appeals 9th September 2011 (IL)

12/03/2012 (SE)

​15/04/2013 (IL)

07/05/2014 (IL)

14/04/15 (SE)

4/9/16 (JK)

28/8/17 (JK)

16/1/18(JK)

07/08/18 (PT)

I1.2 For these purposes, the appeals process must provide for –
(a) the effective appeal of results on the basis that the awarding organisation did not apply procedures consistently or that procedures were not followed properly and fairly,
(b) all appeal decisions to be taken by individuals who have no personal interest in the decision being appealed,
(c) all appeal decisions to involve at least one decision maker who is not an employee of the awarding organisation, an Assessor working for it, or otherwise connected to it,
(d) appeal decisions to be only taken by persons who have appropriate competence, and
(e) timelines for the outcome of appeals.
Appeals 9th September 2011 (IL)

12/03/2012 (SE)

​15/04/2013 (IL)

07/05/2014 (IL)

14/04/15 (SE)

4/9/16 (JK)

28/8/17 (JK)

16/1/18(JK)

07/08/18 (PT)

I1.3 An awarding organisation must publish information on its appeals process to enable the results of assessments to be appealed.
Appeals 9th September 2011 (IL)

12/03/2012 (SE)

​15/04/2013 (IL)

07/05/2014 (IL)

14/04/15 (SE)

4/9/16 (JK)

28/8/17 (JK)

16/1/18(JK)

07/08/18 (PT)

I1.4 Where the application of an appeals process in the case of a Learner leads an awarding organisation to discover a failure in its assessment process, it must take all reasonable steps to –
(a) identify any other Learner who has been affected by the failure,
(b) correct or, where it cannot be corrected, mitigate as far as possible the effect of the failure, and
(c) ensure that the failure does not recur in the future.
Appeals 9th September 2011 (IL)

12/03/2012 (SE)

​15/04/2013 (IL)

07/05/2014 (IL)

14/04/15 (SE)

4/9/16 (JK)

28/8/17 (JK)

16/1/18(JK)

07/08/18 (PT)

Condition I2 Compliance with Ofqual’s/ Qualification Wales appeals and complaints process
I2.1 An awarding organisation must comply with the requirements of any appeals and complaints process established by Ofqual/Qualifications Wales in the form in which it may be published by Ofqual/Qualification Wales and revised from time to time.
Compliance 9th September 2011 (IL)

12/03/2012 (SE)

​15/04/2013 (IL)

07/05/2014 (IL)

14/04/15 (SE)

4/9/16 (JK)

28/8/17 (JK)

16/1/18(JK)

07/08/18 (PT)

I2.2 An awarding organisation must give due regard to the outcome of any such appeals or complaints process in relation to a qualification which it makes available.
Compliance 9th September 2011 (IL)

12/03/2012 (SE)

​15/04/2013 (IL)

07/05/2014 (IL)

14/04/15 (SE)

4/9/16 (JK)

28/8/17 (JK)

16/1/18(JK)

07/08/8 (PT)

I2.3 Where the application of any such appeals or complaints process in the case of a Learner leads an awarding organisation to discover a failure in its assessment process, it must take all reasonable steps to –
(a) identify any other Learner who has been affected by that failure,
(b) correct or, where it cannot be corrected, mitigate as far as possible the effect of the failure, and
(c) ensure that the failure does not recur in the future.
Compliance 9th September 2011 (IL)

12/03/2012 (SE)

​15/04/2013 (IL)

07/05/2014 (IL)

14/04/15 (SE)

4/9/16 (JK)

28/8/17 (JK)

16/1/18(JK)

07/08/18 (PT)

I2.4 Where Ofqual/Qualifications Wales notifies an awarding organisation of failures that have been discovered in the assessment process of another awarding organisation, the awarding organisation must review whether or not a similar failure could affect its own assessment process.
Compliance 9th September 2011 (IL)

12/03/2012 (SE)

​15/04/2013 (IL)

07/05/2014 (IL)

14/04/15 (SE)

4/9/16 (JK)

28/8/17 (JK)

16/1/18(JK)

07/08/18 (PT)

I2.5 Where, following a review, the awarding organisation identifies such a potential failure, it must take the same action as if a failure has been discovered in relation to it by virtue of the application of Ofqual’s/Qualifications Wales  appeals and complaints process.
Compliance 9th September 2011 (IL)

12/03/2012 (SE)

​15/04/2013 (IL)

07/05/2014 (IL)

14/04/15 (SE)

4/9/16 (JK)

28/8/17 (JK)

16/1/18(JK)

07/08/18 (PT)

Condition I3 The design and content of certificates
I3.1 An awarding organisation must ensure that the design of each certificate in relation to a qualification which it makes available complies with the Certificate Requirements which may be published by Ofqual/Qualifications Wales and revised from time to time. Design 9th September 2011 (IL)

12/03/2012 (SE)

​15/04/2013 (IL)

07/05/2014 (IL)

14/04/15 (SE)

4/9/16 (JK)

28/8/17 (JK)

16/1/18(JK)

07/08/18 (PT)

I3.2 An awarding organisation must ensure that –
(a) all certificates which it issues clearly and uniquely identify both the Learner and the certificate itself,
(b) all certificates which it issues clearly display the title of the qualification as it appears on the Register (and any Endorsement known after the qualification is submitted to the Register) and do not include any other title for the qualification.
Design 9th September 2011 (IL)

12/03/2012 (SE)

​15/04/2013 (IL)

07/05/2014 (IL)

14/04/15 (SE)

4/9/16 (JK)

28/8/17 (JK)

16/1/18(JK)

07/08/148 (PT)

I3.3 Where an awarding organisation issues any replacement certificate, it must ensure that the certificate is clearly identifiable as being a replacement. Design 9th September 2011 (IL)

12/03/2012 (SE)

​15/04/2013 (IL)

07/05/2014 (IL)

14/04/15 (SE)

4/9/16 (JK)

28/8/17 (JK)

16/1/18(JK)

07/08/18 (PT)

I3.4 Where an awarding organisation issues a certificate in relation to a qualification and –
(a) the assessment of the qualification was in a language other than English (when it took place in England or Northern Ireland) or Welsh or Irish (when it took place in Northern Ireland), and
(b) the objective of the qualification was not for the Learner to gain skills in, or knowledge or understanding of that language, the awarding organisation must ensure that the language of the assessment is clearly identifiable on the certificate.
Design 9th September 2011 (IL)

12/03/2012 (SE)

​15/04/2013 (IL)

07/05/2014 (IL)

14/04/15 (SE)

4/9/16 (JK)

28/8/17 (JK)

16/1/18(JK)

07/08/18 (PT)

Condition I4 Issuing certificates and replacement certificates
I4.1 An awarding organisation must, in relation to qualifications which it makes available –
(a) publish the expected dates or timescales for the issue of certificates,
(b) ensure that the issue of certificates is timely,
(c) issue only certificates which are clear and readily capable of being understood by Users of qualifications,
(d) issue only certificates which are accurate and complete and which reflect accurate and complete results,
(e) maintain a record of all certificates and replacement certificates which it issues, and
(f) not include a qualification which is not a regulated qualification on a certificate which contains regulated qualifications.
Issuing 9th September 2011 (IL)

12/03/2012 (SE)

​15/04/2013 (IL)

07/05/2014 (IL)

14/04/15 (SE)

4/9/16 (JK)

28/8/17 (JK)

16/1/18(JK)

07/08/18 (PT)

I4.2 An awarding organisation must take all reasonable steps, including having procedures in place, to ensure that it –
(a) issues a certificate and any replacement certificate to any Learner who has a valid entitlement to that certificate or replacement certificate,
(b) does not issue any certificate to a Learner who does not have a valid entitlement to that certificate,
(c) revokes any certificate if the result on the certificate is false because of malpractice, maladministration, or is revealed to be inaccurate as a consequence of an appeals process, and
(d) meets any date or timescale published by it in respect of the issue of certificates and replacement certificates.
Issuing 9th September 2011 (IL)

12/03/2012 (SE)

​15/04/2013 (IL)

07/05/2014 (IL)

14/04/15 (SE)

4/9/16 (JK)

28/8/17 (JK)

16/1/18(JK)

07/08/18 (PT)

Go to J. Interpretation and definitions