Quality & Compliance

The Gateway Qualifications Centre Handbook is split into 4 categories. These categories include:

Introduction to Working with Gateway Qualifications
Centre Recognition and Qualification Approval
Quality & Compliance
Internal & External Assessment Practice
Access Arrangements, Reasonable Adjustments & Special Considerations

This Quality & Compliance section includes details of staffing requirements within a Centre, and internal and external quality assurance.

The below sections expand to reveal full details and useful links that offer insight into how to best work with us.

If you print this page of the Centre Handbook, please ensure you regularly check back here to ensure you are using the most up-to-date version.

To print, click on the Print this page button on the right-hand side of the screen.

Appeals

Appeals may be made in relation to:

  • the results of assessments
  • decisions regarding Reasonable Adjustments and Special Consideration, or
  • decisions relating to any action to be taken against a Learner or a Centre following an investigation into malpractice or maladministration, or
  • where evidence suggests Gateway Qualifications did not apply procedures consistently, or that procedures were not followed properly and fairly.

Learners who wish to appeal about their assessment results or a decision affecting their learning should either be supported by their Centre or should have exhausted their Centre’s own appeals process before appealing to Gateway Qualifications. In the latter case, learners must provide Gateway Qualifications with evidence that they have first appealed to their Centre.

Centres and Learners should refer to the Appeals policy that includes the process to be followed.

For learners who wish to appeal about their Access to HE assessment results or
decisions affecting their learning, they should refer to the Access to HE Diploma Learner Appeals Policy.

Authenticating Learner Work
Authentication

A process under which evidence generated by a Learner in an assessment is confirmed as having been generated by that Learner (or identified and confirmed as being that Learner’s contribution to group work) and as being generated under the required conditions.

Artificial Intelligence (AI) in Assessment

The potential use of AI in assessments is relatively new, and so it is important that centres understand its nature and the risks it poses to the authenticity of learner work in assessments.

Any use of AI, which means students have not independently demonstrated their own attainment is likely to be considered malpractice.

Centres should familiarise themselves with the following supporting material:

Requirements

Learner work must be authenticated. This can easily be done by the learner signing a statement that lists their work and includes a declaration that the work belongs to them and is their own, original work.

Learner declaration: I confirm that I completed the work on my own and have not copied from anywhere else or used AI tools to generate my work for me. I have not had any help other than help that my tutor has said is allowed for this qualification..

The tutor/assessor can then countersign the statement confirming this, based upon their knowledge of the learner and what the learner is capable of.

Centres may also allow learners to use electronic signatures to authenticate work remotely, where learners are aware that they may only do so when the work is their own and centres are able to identify or detect any copied or plagiarised work.

During sampling, the EQA will look to ensure that learner work is authenticated.

Electronic signatures

An electronic signature may be used to replace a wet signature.  Where these are used Centres must ensure authenticity can be proved and security maintained.  To avoid the potential fraudulent use of an electronic signature centres should consider ways in which to guard against this such as:

  • using an e-signature provider
  • requiring that any document that needs to be signed electronically is password protected and sent directly to/from the individual’s personal e-mail account (along with the password). You could then also require that the individual returns the electronically signed document from their personal e-mail account
  • virtual/in person witnessing, where it would be possible to do so.

Fonted signatures must not be used.

Conflicts of Interest

Generally, conflicts of interest exist where an organisation, or an individual has competing interests which might impair its or their ability to make objective, unbiased decisions.

Gateway Qualifications recognises that the identification, management and mitigation of conflicts of interest is therefore an important control mechanism to support good decision making.

Management of conflicts of interest can also reduce risks at strategic and operational levels, heighten awareness of potential conflicts and associated risks and promote good management and organisational practices.

Further guidance for Centres can be found in our Centre Guidance for Conflicts of Interest and in our Conflicts of Interest Policy.

Centres can submit details of conflicts using our online Centre Declaration of Interest form.

Centre Monitoring

Gateway Qualifications will allocate a named External Quality Assurer (EQA) to your centre. This person is your Centre EQA and is responsible for ensuring that your internal quality assurance systems meet the requirements set out by Gateway Qualifications.

As part of the centre recognition approval process, the Centre EQA will contact your centre to arrange an initial visit. The focus of this visit will be to confirm that the Centre continues the requirements set out in the Centre Agreement.  These visits:

  • will monitor compliance with the centre agreement terms and conditions by reviewing documentation and talking to managers and centre staff.
  • may identify any staff development needs.
  • will seek to ensure that all procedures are being complied with, through an audit trail, and make sure that the award of qualifications to learners is secure.
  • may include sampling of learners work (dependent on the qualifications offered).

After each monitoring visit and qualification sampling activity, we will produce a report that identifies areas of good practice and any areas where further support or actions may be required. The report will set out any action points with deadlines, which the Centre EQA will monitor the progress and completion of. A copy will be sent to the centre Quality Assurance Contact for reference within 10 working days of the visit.

The frequency of quality monitoring will be determined by factors including:

  • The number and type of actions agreed.
  • Volume.
  • Type of qualifications offered.
Qualification Sampling

Throughout the year we will conduct qualification sampling activities. Qualification sampling can be remote or in person depending on the qualifications offered.

Your Centre EQA or a Subject Specialist EQA will be in touch to confirm qualification sampling arrangements for the year. If you have any questions regarding sampling please email quality@gatewayqualifications.org.uk

 

Direct Claim Status

Direct Claim Status (DCS) is the process whereby centres are able to claim certification without EQA activity, if permitted within the qualification specification. Further information can be found on our Direct Claim Status page.

Internal Quality Assurance & Standardisation

Internal quality assurance is the process by which a centre regularly samples and evaluates its assessment practices and decisions, and acts on the findings to ensure consistency and fairness. It involves two key processes – internal quality assurance and standardisation – and is carried out by one or more internal quality assurers.

The internal quality assurance system developed by centres will depend on the size and extent of the qualifications delivered. Centres will need to set out their internal quality assurance systems within a centre internal quality assurance plan.

The role of the internal quality assurer is to ensure that:

  • Assessment is appropriate, consistent, fair and transparent and does not unintentionally discriminate against any learner.
  • Tutors/assessors receive on-going advice and support, for example in designing assessment activities.
  • Learners clearly understand assessment requirements and are given opportunities to achieve against the assessment criteria.
  • Learners’ work is presented in a manner that enables effective internal quality assurance to take place.
  • Evidence of learner achievement is clearly mapped to the assessment criteria.
  • Reports of Achievement or Completion (RACs) are valid, reliable and consistent.

Internal quality assurance arrangements must include as a minimum:

  • An identified individual responsible for coordinating the internal quality assurance process.
  • A planned structure for internal quality assurance that incorporates all of a centre’s Gateway Qualifications provision.
  • An agreed and published annual timetable for internal quality assurance, including internal quality assurance meetings.
  • Clear and documented roles and responsibilities for all those involved.
  • A forum for discussion of borderline cases and good practice in assessment.
  • A sampling of assessed work.
  • Standardisation of assessed work.
  • Full and clear records of the internal quality assurance process, including action plans.
  • Regular evaluation of the process and outcomes.

An Internal Quality Assurer, therefore, has a central role in the operation of the centre’s quality system. A centre may have one or more Internal Quality Assurers, according to the size and variety of its provision. All must have experience relevant to the area(s) for which they quality assure. They should also have an understanding of quality assurance and improvement, and the centre must ensure that they develop their practice in this field.

To ensure the integrity of the internal quality assurance process, Internal Quality Assurers must not verify work that they have assessed.

Gateway Qualifications External Quality Assurers will review the operation of a centre’s internal quality assurance system through centre quality monitoring visits.

Following internal quality assurance, Centres should submit claims for certification. The process for this is detailed in our Administration Hub – Claiming Results and Obtaining Certificates.

Sampling

Sampling is a key element of the internal quality assurance process whereby the IQA:

  • checks the quality and consistency of each Tutor/Assessors marking
  • maintains a common standard of marking within the centre over time.
Record Keeping

The IQA must keep records of the sampling undertaken for each Tutor/Assessor using the Centres own forms or the Gateway Qualifications internal sampling form.

This will aid the identification of marking trends and inform the selection of samples on an on-going basis. Sampling forms must be stored securely within the centre and be made available to Gateway Qualifications as part of the centre compliance monitoring if requested. These records should be kept for three years.

Selecting the sample

Selecting an appropriate sample is critical to successful internal quality assurance. There are a range of factors which will influence the selection of samples:

  • The experience and expertise of the assessor
  • The number of learners in the class
  • The method of assessment
  • The range of assessments
  • The outcomes from standardisation activities
Feedback to Tutor/Assessors

The IQA should feedback the results of the sampling to each Tutor/Assessor.

Internal Standardisation

Internal standardisation is a collaborative process by which Tutor/Assessors within a centre consider work that they have marked and, using pre-determined criteria, reach a common agreement on standards as being typical of work at a particular level by comparing samples and providing peer evaluation.

Internal standardisation is a crucial stage in the quality assurance process. Internal standardisation enables all IQAs and Tutor/Assessors to understand and apply the qualification standards fairly and consistently across the centres. Internal standardisation should not be viewed as a single activity but a series of ongoing activities within a centre to support consistent understanding and application of the standards.

There are different ways of approaching internal standardisation. The frequency and types of internal standardisation activities will depend on the number of learners and the frequency of the assessment sessions in a centre.  It is the responsibility of the IQA to determine and justify the fitness for purpose of standardisation approach. Records of the standardisation activities must be kept and made available to Gateway Qualification as part of the annual monitoring visit.

If a Lead IQA has been appointed within a centre, they must make arrangements for the internal standardisation of all IQAs. This should be carried out in a timely manner ahead of the internal standardisation of Tutor/Assessors in order to establish a consistent interpretation of the standards and ensure a common standard is applied across the centre.

A commonly used internal standardisation approach is for the IQA to hold a team standardisation event. This is an opportunity to:

  • Consolidate assessors’ understanding of the standards
  • Identify any challenges Tutor/Assessors experienced
  • Resolve any outstanding questions, contacting Gateway Qualifications directly for advice if required.
Malpractice and Maladministration

Centre staff should be familiar with the contents of Gateway Qualifications Malpractice and Maladministration Policy.

Further guidance for Centres can be found in our Malpractice and Maladministration Centre Guidance

Reporting and investigating

At the soonest opportunity please make sure you report any suspected or actual malpractice or maladministration.

Please complete this form to report a suspected malpractice/maladministration incident.

Sanctions

Sanctions may be imposed on a centre where, for example, we have concerns about the quality of delivery or quality assurance of its qualifications, poor Centre administration or management concerns arise, or there is an allegation or finding of malpractice or maladministration.

Further information can be found in the Gateway Qualifications Sanctions Policy

Minimum Staffing Requirements - Qualification Specific Roles

It is the centre’s responsibility to ensure that only staff with relevant expertise and occupational experience are used in the delivery, assessment and internal quality assurance processes. The minimum requirements are set out below and the qualification specification should be referred to first to check any additional requirements for Tutor/Assessors and Internal Quality Assurers.

Centres are required to maintain staffing information in Prism.

Any queries about suitability of qualifications/experience should be discussed with the Quality team e.g. overseas qualifications.

Tutor/Assessor role

Tutors/Assessors are Centre staff responsible for:

  • Undertaking initial assessments to assess a learner’s readiness for their chosen course and guiding them to the right level of course
  • Delivering the underpinning knowledge and skills required for learners to successfully complete assessments for the qualifications they are delivering
  • Identifying when learners are ready to take assessments
  • Ensuring that appropriate supervision arrangements are made
  • Ensuring all learners have an equal opportunity to demonstrate their abilities
  • Ensuring the security of the assessment before, during and after the assessment (where applicable)
  • Carrying out the assessment of learners in accordance with guidance published in the associated qualification specification
  • Identifying where learners may be entitled to and benefit from a reasonable adjustment
  • Marking assessments tasks (where applicable), this involves using a particular set of criteria to make judgements as to the level of attainment a Learner has demonstrated in an assessment
  • Participating in internal and external standardisation
  • Authenticating learner’s assessment evidence
  • Maintaining accurate and verifiable learner records.
Tutor/Assessors - accepted qualifications or equivalents

Subject knowledge and qualifications

Tutor/Assessors must have subject knowledge (ideally a qualification) as a minimum at the level above the qualification/units that they are delivering. We recognise that staff may not always hold qualifications relating to the subject that they are delivering e.g. personal and social development qualifications.

Level 3 and above

If the qualifications to be delivered are Level 3 and higher: Tutor/Assessors must hold a qualification in the subject area one level higher than the qualification that they are delivering.

Professional qualifications

Ideally hold or be working towards one of the following:

  • a Level 3 Award in Assessing Vocationally Related Achievement
  • a Level 3 Certificate in Assessing Vocational Achievement
  • a Level 3 Award in Assessing Vocational Achievement
  • a Level 3 Award in Assessing Competence in the Work Environment
  • a Level 3 Award in Education and Training
  • a Level 4 Certificate in Assessing Vocational achievement (CAVA)
  • a Level 4 Certificate in Education and Training (CET)
  • a Level 5 Diploma in Education and Training (DET)
  • Qualified Teacher Learning and Skills (QTLS) status (this is the post 14/FE/training status and includes the need to possess a qualification from the list)
  • Qualified Teacher Status (QTS) (this is for schools and includes PGCE as part of requirements)

If working towards we would expect to see decisions countersigned by someone who is qualified.

Earlier professional qualifications

Tutor/Assessors with these qualifications should be able to demonstrate some continuous professional development (CPD).

  • D32/D33 qualification
  • A1 qualification
  • PTLLS/CTLLS/DTLLS qualification

If Tutor/Assessors do not have one of the above qualifications then they must meet the criteria of the skills profile and subject knowledge as set out below and retained a signed Skills Profile Declaration – TutorAssessor to confirm this as this will be requested as part of our monitoring activity. The skills profile declaration must be countersigned by the Centre’s quality contact.

Skills Profile

Tutor/Assessors should be able to:

  • Explain the function of assessment in learning and development
  • Talk confidently about different assessment approaches
  • Demonstrate how to plan assessment delivery
  • Make appropriate assessment judgements
  • Give feedback to learners
  • Show understanding of equality and diversity, and access to assessment
  • Show understanding of the teaching and learning legal and regulatory framework (including regulations around safeguarding, disability discrimination, etc)
  • Use assessment recording documentation
Internal Quality Assurer (IQA) role

It is the centre’s responsibility to ensure that only staff with relevant expertise and occupational experience are used in the delivery, assessment and internal quality assurance processes, in accordance with specified vocational experience/qualification requirements as set out in the published qualification specification.

The role of the Internal Quality Assurer is to ensure that:

  • Assessment marking within the centre is carried out in line with Gateway Qualifications’ requirements
  • Assessment setting and marking is appropriate, consistent, fair and transparent and does not discriminate against any learner
  • Tutors/Assessors receive on-going advice and support, for example, in contextualising assessments
  • Learners clearly understand assessment requirements and are given opportunities to achieve against the assessment criteria
  • Learners’ work is presented in a manner that enables effective internal and external quality assurance to take place
  • Evidence of learner achievement is clearly mapped to the assessment criteria
  • Identifying where learners may be entitled to and benefit from a reasonable adjustment
  • Certification claims are valid, reliable and consistent.

Internal Quality Assurers in addition to being Tutors/Assessors will have knowledge and experience of carrying out internal quality assurance/verification and will ideally hold a recognised internal quality assurance/verification qualification or be working towards one, examples as follows:

  • D34 qualification.
  • V1 qualification.
  • Internal Verifier Award.
  • Internal Verification of Credit Based Learning: Continuing Professional Development for Practitioners Award.
  • Level 4 Award in the Internal Quality Assurance of Assessment Processes and Practice.
  • Level 4 Certificate in Leading the Internal Quality Assurance of Assessment Processes and Practice.
  • L4 TAQA.
Internal Quality Assurers (IQAs) - accepted qualifications or equivalents

Internal Quality Assurers (IQAs) must hold one of the qualifications listed below and/or be able to meet the requirements set out in the skills profile.

Professional qualifications

Ideally hold or be working towards one of the following qualifications:

  • a teaching qualification that includes IQA
  • a Level 4 Award in the Internal Quality Assurance of Assessment Processes and Practice
  • a Level 4 Certificate in Leading the Internal Quality Assurance of Assessment Processes and Practice
  • a Level 4 Certificate in Education and Training (CET)
  • a Level 5 Diploma in Education and Training (DET)

If working towards we would expect to see decisions countersigned by someone who is qualified.

Earlier professional qualifications

IQAs with these qualifications should be able to demonstrate some continuous professional development (CPD).

  • D34 qualification
  • V1 qualification

If IQAs do not have one of the above qualifications then they must meet the criteria of the skills profile and subject knowledge as set out below and retained a signed Skills Profile Declaration – IQA to confirm this as this will be requested as part of our monitoring activity. The skills profile declaration must be countersigned by the Centre’s quality contact.

Skills profile

IQAs should be able to:

  • Explain the function of internal quality assurance in learning and development
  • Discuss sampling strategies and planning
  • Monitor assessor practice
  • Lead standardisation activities
  • Check assessor’s decisions
  • Use IQA recording documentation and maintain administration records
  • Support and give feedback to Tutor/Assessors
  • Understand equality and diversity, and access to assessment
  • Show understanding of the teaching and learning legal and regulatory framework (including regulations around safeguarding, disability discrimination, etc)

The skills profile declaration must be countersigned by the Centre’s quality contact.

Lead Internal Quality Assurer (Lead IQA) role

It is the centre’s responsibility to ensure that only staff with relevant expertise and occupational experience are used in the delivery, assessment and internal quality assurance processes, in accordance with specified vocational experience/qualification requirements as set out in the published qualification specification.

In a large, multi-site centre it may not be feasible for a single IQA to quality assure all qualifications. In this case, it is acceptable to appoint a Lead IQA. The Lead IQA is responsible for working closely with the IQAs to apply assessment requirements consistently across the sites.

The role of the Lead Internal Quality Assurer is to ensure that:

  • Ensure consistent standardisation and sampling is occurring across the centre
  • Check each IQA’s marking and sampling and address any issues if there are discrepancies
  • Monitor outcomes from each IQA’s standardisation and sampling activities
  • Ensure standardisation and sampling records are kept and made available to Gateway Qualifications if required.
What evidence is needed?

Centres must provide staffing details including name, evidence of experience and qualifications.

A CV and related certifications as part of the qualification approval process for all qualifications at all levels is expected. If no CV is available, we will accept a statement of skills and work history.

When does evidence need to be provided?

At the point of application for qualification approval, evidence must be provided for the key delivery team (Tutor/Assessors and IQAs). Evidence for all remaining staff must be uploaded to Prism before the first EQA monitoring activity.

We monitor staff qualifications and experience on an ongoing basis.

CPD requirements

CPD should include formal and informal activities annually.

Examples include:

  • Reading relevant journal articles or reviewing books
  • Taking training courses or formal development or study
  • Peer review, mentoring or shadowing
  • Online learning including engagement in discussion forums and blogs
  • Viewing and reviewing television programmes, documentaries and the internet.

From: https://set.et-foundation.co.uk/professionalism/cpd/

Monitoring Quality Standards

Recognised centres must have quality management systems in place to underpin that delivery. Systems will vary between centres according to what is appropriate in a particular situation. Practices that work in a large centre will not necessarily work in a small one. Also, an employer-based provider may have different requirements from a college. Whatever the situation, Gateway Qualifications has two key requirements:

  • There must be an appropriate system in place.
  • There must be evidence that it is implemented effectively.

‘Quality management system’ is an umbrella term that includes a number of key aspects of the way that a centre is run.  Within the context of delivery, this will include:

  • Assessment practice.
  • Internal quality assurance systems.
  • Direct claims status.
  • Standardisation.

The quality management system of a recognised centre must deliver the following outcomes:

  • A team of well-informed committed and supported Tutor/Assessors, sufficient in number for the planned provision.
  • Adequate resources to support learners’ study.
  • Guidance and support for learners and provision for individual needs.
  • Equal opportunities in practice that help to maximise the participation of learners.
  • Assessment procedures which are inclusive and offer participation, equity and reliable standardisation.
  • Systems which provide efficient recording and evaluation.
  • Real progression routes for learners, and preparation for work and/or further study including confidence-building and basic/functional skills achievements.
Recognition of Prior Learning (Ofqual and Qualification Wales)

Recognition of Prior Learning (RPL) provides learners and Centres with an alternative assessment method by which a learner’s previous achievements can meet the assessment requirements for a unit/qualification through the knowledge, understanding or skills that they already possess and so, do not need to develop these through a course of learning.  This includes both certificated learning attained through a Gateway Qualifications’ regulated qualification and other experiential/certificated learning.

Details of whether RPL is permitted for a qualification are contained within the published qualification specification.  Please note Gateway Qualifications does not permit RPL for all qualifications.

In considering Recognition of Prior Learning, centres should:

  1. Check Qualification Specifications to ascertain if RPL is permitted
  2. Follow the process for claiming RPL as set out in the Gateway Qualifications’ Recognition of Prior Learning Policy and Process .

Centres must have a process to assess claims before submitting requests to Gateway Qualifications.

When Centres identify learners with potential RPL they must request this through completing an online RPL form in the Prism system.  Where a centre does not give prior notification that RPL has been used as an alternative then this will be investigated by the EQA and recorded in the EQA monitoring/sampling report.

If you have any further questions about Recognition of Prior Learning, please email quality@gatewayqualifications.org.uk

Retaining Learners’ Evidence

As stated in the Centre Agreement, Centres must keep complete and accurate records for the duration of the Recognised Centre Agreement and for 24 months from its termination, or for three years from award of a Qualification to a Learner, whichever is longer.

Recognised Centres must make these available to Gateway Qualifications upon request (at the Recognised Centre’s own cost), including, but not limited to attendance, performance, assessment and feedback and Learner feedback records.

 

Qualification Delivery (inc Guided Learning Hours)

Qualifications need to be delivered in accordance with the published qualification specification. The qualification specification sets out what is required of the learner in order to achieve the qualifications. It also contains information related to managing and delivering the qualifications including the age requirements and specific entry requirements for learners. Additional guidance is also provided to ensure that learners are recruited with integrity to ensure the qualification meets the needs of the learners. The qualification specification also details the arrangements for the recognition of prior learning.

As an awarding organisation we seek to offer our Centres flexibility in the delivery of our qualifications wherever possible and recognise the diverse range of delivery methods amongst our recognised centres. At all times we seek assurance that qualification standards have been maintained and take action where we do not get this assurance. Where there is evidence that a Centre is delivering a qualification which is significantly under the Total Qualification Time /Guided Learning Hours as stated in the published qualification specification then reasons would need to be provided as to why this is the case. It is not that a learner will not, on occasions, complete the learning activities quicker than another individual but it should not be seen as the norm.

Total Qualification Time, as defined is comprised of the following two elements:

(a) the number of hours assigned for Guided Learning, and;

(b) an estimate of the number of hours a Learner will reasonably be likely to spend in preparation, study or any other form of participation in education or training, including assessment, which takes place as directed by – but, unlike Guided Learning, not under the Immediate Guidance or Supervision of – a lecturer, supervisor, tutor or other appropriate provider of education or training.

Due to the flexible nature of delivering our qualifications the qualification specification provides guidance on how to approach TQT and GLH, we aim to provide users of our qualifications with the estimated length of time it would take the average learner to complete their qualification. As both GLH and TQT are provided as an indication of the length of time it would take the average learner to complete their qualification, it is expected that the actual record of activities may not exactly match the indicated hours provided within the qualification specification.

Our centre monitoring approach includes a combination of compliance with our centre agreement and sampling activity to seek assurance that delivery requirements and qualification standards are being met.

As with all awarding organisations, we have to ensure our compliance with regulatory requirements which includes keeping under review the number of hours assigned for TQT and GLH to each qualification. In this review an outcome could be to increase or decrease the TQT based on feedback from users and our quality assurance monitoring. If we were to make changes to TQT the qualification specification would be republished to reflect this change and centres would be notified of this.