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QUALIFICATION
IN PENSIONS
ADMINISTRATION
REGULATIONS AND GUIDANCE
NOTES FOR CENTRES
QPA is closed to new registrations and is only available to those who are
already registered candidates until 31 December 2013 (31 July 2013 for
Scottish Candidates) - this is the deadline for claiming any final certificates for
this qualification.
May 2012
TABLE OF CONTENTS
Section
Page
1. The Qualification
1.1 What is the Qualification in Pensions Administration (QPA)?
1.2 Who is QPA for?
1.3 What is your role as employer?
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2. Becoming an approved centre – This section is no longer relevant as QPA is
closed to new registrations
2.1 What is meant by centre approval?
2.2 How do you become an approved QPA centre?
2.3 Different types of centre
2.4 The application form
2.5 Approval visit
2.6 Qualifications in assessment and verification
2.7 Training in assessment and verification
2.8 Completion of centre approval
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3. What are the roles and responsibilities of the assessor, the internal verifier
and the centre contact?
3.1 Who can be an assessor?
3.2 What are the assessor’s role and responsibilities?
3.3 Who can be an internal verifier?
3.4 What are the internal verifier’s role and responsibilities?
3.5 What happens if you do not have staff available to become assessors or internal
verifiers?
3.6 What is the role of the centre contact?
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4. How do you maintain centre approval?
4.1 Compliance with recommendations from your external verifier
4.2 Ensuring that the centre has an appropriately qualified internal verifiers and
assessors
4.3 Payment of the annual centre fee
4.4 What happens if your centre has no candidates?
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5. What are your responsibilities as an approved centre?
5.1 Candidate registration
5.2 Administration of the case study examinations
5.3 Administration of the work based assessment
5.4 Replacement certificates
5.5 Special assessment arrangements
5.6 Appeals procedure
5.7 Maintenance and retention of records
5.8 Provision of information to the Pensions Management Institute
5.9 Review of quality assurance arrangements
5.10 Reporting malpractice
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Section
6. External verification
6.1 What is external verification?
6.2 Who can be an external verifier?
6.3 What are the external verifier’s role and responsibilities?
6.4 When is your external verifier allocated to your centre?
6.5 When do external verifier’s visits take place?
6.6 How to prepare for your external verifier’s visit
6.7 The external verification visit
6.8 The external verifier’s report
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7. What is the role of the Pensions Management Institute?
7.1 Setting National Occupational Standards for pensions administration
7.2 Awarding Body
7.3 Our commitment to you
7.4 What should you do if you have a complaint?
7.5 Appeals procedure
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Appendices
Appendix A – OFQUAL’s approved centre criteria and SVQ centre approval criteria
Appendix B – Equal opportunities statement
Appendix C - Glossary
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QPA is closed to new registrations and is only available to those who are
already registered candidates until 31 December 2013 (31 July 2013 for
Scottish Candidates) - this is the deadline for claiming any final certificates for
this qualification.
Some sections in this publication are no longer relevant because of the above
and it should be used as a working guide for all existing centres only.
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1. THE QUALIFICATION
1.1 What is the Qualification in Pensions Administration (QPA)?
QPA is the qualification, recognised throughout the pensions industry, which demonstrates
competence in the administration of occupational pension schemes.
It is based on standards of occupational competence which have been defined by the industry.
It is awarded by The Pensions Management Institute (PMI), which is the professional body
for those working in all sectors of the pensions industry.
QPA has been accredited as a National Vocational Qualification (NVQ) by the Qualifications
and Curriculum Authority (now called Qfqual) and as a Scottish Vocational Qualification
(SVQ) by the Scottish Qualifications Authority (SQA). It is located within the National
Qualifications Framework at level 4, which reflects the complexity of the work involved.
Holders of QPA may apply for election to become Diploma Members of PMI and to use the
designatory initials DipPMI after their name.
1.2 Who is QPA for?
It is for administrators of occupational pension schemes in all sectors of the pensions
industry; consultancies, insurance companies and employers' self-administered schemes.
The schemes may be salary related or money purchase but candidates will have to show
competence in calculations for both types of scheme
1.3 What is your role as employer?
QPA is designed to assess competence at work. For that reason it involves your commitment
to become an approved centre to offer QPA. Part of the qualification is assessed during the
course of normal work. All QPA candidates should have access to equal and fair assessment.
You will be responsible for ensuring the resources are in place to allow assessment and
internal verification to be carried out effectively. The rest of the qualification is assessed by
case study examinations which you will be responsible for administering.
As an approved centre you have an important role to play in complementing the PMI’s quality
assurance activities.
In particular you will be responsible for:
providing sufficient competent assessors and internal verifiers
internally verifying the quality and consistency of assessment practices and decisions
within the centre
maintaining auditable records
providing the PMI with the data that we require
ensuring that the appropriate administrative arrangements are made for the conduct of the
case study examinations.
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2. BECOMING AN APPROVED CENTRE – QPA is closed to new registrations
2.1 What is meant by centre approval?
The PMI as the awarding body for QPA has to ensure that a potential centre meets the criteria
to become an approved centre. The Qualifications and Curriculum Authority (OFQUAL) lays
these down for centres offering NVQs and the Scottish Qualifications Authority (SQA) for
centres offering SVQs. You can find these criteria in Appendix A. It is very important that
you read through these carefully before applying for centre approval.
2.2
How do you become an approved QPA centre?
This involves three stages.
Stage 1 Completion of the application form
Stage 2 Approval visit
Stage 3 Compliance with the action plan and deadlines agreed during the approval visit
During the process the PMI will advise you on becoming a centre in the most cost effective
way and in a way that allows your candidates to complete the qualification as soon as is
practicable.
2.3 Different types of centre
Before completing the application form, you should consider which type of centre would best
suit your needs. Any decision you make now is not binding. We will discuss this with you
during the approval visit and advise you on the number of assessors and internal verifiers you
may need. If your circumstances change in the future you will be able to change to a different
type of centre if that will suit your needs better.
There are 2 possible types of centre:
Single site centre
This is a centre where all your candidates are at one location and is broken down into two
categories:
Small centres – that have 10 or fewer candidates taking the qualification
Large centres – than have 11 or more candidates taking the qualification
In either case you will need to provide at least one assessor and one internal verifier.
Multi site centre
If you expect to have candidates at more than one location, you may choose to become a multi
site centre. The alternative is to register each location as a separate centre. Each location in a
multi site centre must have at least one designated assessor and internal verifier. However
assessors and internal verifiers may carry out these roles at more than one location. See
Section 3 for details of the assessor and internal verifier roles.
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2.4 The application form
Section 1 Centre details
The main details about your organisation/pensions department are needed in this section. The
form must be signed by a senior person with authority to agree to the organisation becoming
a QPA centre.
Section 2 Centre contact, assessment and verification team details
The centre contact is the person who will have day to day responsibility for QPA at the centre
and who will be the main point of contact with the PMI.
You must also provide information about your proposed assessment and verification team.
See section 3 of this booklet for details of the roles of assessors and internal verifiers and the
qualifications they need before completing this part of the form. Your assessment and
verification team must be occupationally competent (i.e. they must be competent in pensions
administration) when you apply for centre approval but some or all may still have to
demonstrate competence in assessment and/or internal verification by gaining recognised
assessor or internal verifier qualifications (see section 2.6).
If you do not have your complete assessment and verification team in place when you apply
for centre approval, you must provide details of those you do have. Subsequently you must
provide us with details of any changes.
Potential centres intending to use peripatetic internal verifiers and/or assessors
If you are intending to use peripatetic internal verifiers and/or assessors you must provide a
centre contact based at your centre to whom the PMI will send all information relating to
QPA. If you are going to use peripatetic assessors and/or internal verifiers but have not yet
appointed them, please state this on the form. Your centre approval will depend on the
appointment of a suitable assessment and verification team and we will need details before
the approval process can be completed. More information about peripatetic assessors and
internal verifiers can be found in section 3.5 of this booklet.
Section 3 Scheme details
This information helps the PMI to ensure that you have an adequate number of assessors and
internal verifiers and that candidates will have the opportunity to cover the range of work
assessed by QPA. This will help the external verifier to agree an action plan for centre
approval with you. It also helps us to monitor the variety of schemes in use and how this may
affect future developments with the qualification.
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2.5 Approval Visit
Once we have received your application form we will make arrangements for an external
verifier to carry out the approval visit. This will usually take place within 6 weeks of the
receipt of your application form. The external verifier will contact you to arrange a
convenient time for the approval visit.
The external verifier who carries out the approval visit will not necessarily be the person
allocated to your centre in the future.
During the visit you will be assessed against OFQUAL’s Approved Centre Criteria if you are
planning to offer NVQs or the SVQ Centre Approval Criteria if you are planning to offer
SVQs (see section 2.1 and Appendix A). If you are planning to offer both NVQs and SVQs
you must meet both sets of criteria.
Read the criteria carefully before the visit and be prepared to provide evidence to the
external verifier of how you already meet these criteria or how you intend to do so in the
future.
The criteria cover the following areas:
management
resources
candidate support
assessment and internal verification
record keeping
review
The approval visit is an opportunity to discuss how best your organisation can meet the
criteria and become a QPA centre and to agree an action plan for the implementation and ongoing administration of the qualification.
Before the visit takes place you should have considered the following issues:
what you expect from QPA in your organisation
who will be offered the opportunity to take QPA
who is likely to be involved in assessment and verification
how the assessors and internal verifiers are going to be trained
how much time will be given to assessors and verifiers to carry out their role
how the candidates will be introduced to QPA
how much time will be given to candidates to work towards QPA
how you will keep track of candidates’ progress
how you will monitor the effectiveness of QPA in achieving your objectives.
All these issues will be discussed during the approval visit. The outcome of the visit will be a
report and an agreed action plan with time scales to enable you to meet any criteria you are
unable to meet at the time of the approval visit.
You will be sent a copy of the report within 4 weeks of the approval visit and asked to give
your formal agreement to the action plan. Centre approval is subject to your agreement to and
compliance with any action plan.
You have a right of appeal against the outcome of the approval visit (see section 7.5).
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2.6 Qualifications in assessment and verification
All assessors and internal verifiers must gain a recognised qualification in assessment or
internal verification within 18 months of commencing their role.
QPA assessors must have A1 or D33. QPA internal verifiers must have V1 or D34.
For further information about the qualifications for assessors and internal verifiers please
contact the VQ Department, [email protected].
2.7 Training in assessment and verification
The assessors and internal verifiers will need to be trained to carry out these roles unless they
already have a recognised qualification in assessment or internal verification (see section 2.6).
The PMI holds courses for assessors and internal verifiers according to demand. These
courses include:
assessor training - a one day introductory course designed for primarily for assessors who
are new to their role. This day focuses on how to carry out assessment for QPA and the
assessor award (A1). Internal verifiers who are new to N/SVQs will also find this helpful
to see what is required of assessors.
internal verifier training - a one day course designed for internal verifiers who are new to
the role. It focuses on how to carry out effective internal verification and the internal
verifier award (V1)
training for the assessor and internal verifier qualifications – development training for
those who are not making any headway or who need extra guidance and final training for
those who have been collecting evidence and want to prepare their portfolios or discuss
specific problems. These are half-day courses.
The PMI also provides a distance learning route to enable assessors to gain A1 and internal
verifiers to gain V1. We recommend that assessors and internal verifiers who opt for this also
attend one of the half-day training courses for A1 or V1.
Other commercial providers also run training courses for assessors and internal verifiers
leading to A and V unit certification, which may be used as an alternative to the PMI’s
courses.
Where there is suitable in-house training provision this may be used.
For further details of the training and support provided by the PMI please contact the VQ
Department. Information is also available on our website.
2.8 Completion of centre approval
Centre approval is complete when you have been notified in writing by the VQ Department at
the PMI. You will be sent a centre certificate confirming you are an approved centre for
QPA. This certificate is issued annually provided:
Your centre continues to meet Approved Centre Criteria if you are offering NVQs or the
Centre Approval Criteria if you are offering SVQs.
You have paid the annual centre fee (see section 4.3).
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3. WHAT ARE THE ROLES AND RESPONSIBILITIES OF THE ASSESSOR, THE
INTERNAL VERIFIER AND THE CENTRE CONTACT?
3.1 Who can be an assessor?
Assessors must have up-to-date knowledge of the subject area(s) that the qualification covers,
they may also have occupational experience of the role that the qualification covers, although
that may not be their current job role. They do not have to hold any formal pensions
qualifications. Current candidates on any of the PMI’s vocational qualifications may not be
an assessor.
Assessors must have gained the D33 or be working towards A1, the recognised qualifications
for assessors (see section 2.6). They must achieve A1 within 18 months of beginning to
assess candidates.
It is desirable for the assessor to have experience or knowledge of
money purchase/defined contribution schemes
salary related/defined benefit schemes
schemes which are and are not contracted out
contributory and non contributory schemes.
Assessors must keep their knowledge and skills up to date through Continuing Professional
Development (CPD). CPD must be demonstrated each year through involvement in at least
two relevant activities. Please contact the PMI for further information about CPD for
assessors and what activities will qualify for CPD.
3.2 What are the assessor’s role and responsibilities?
Assessors are responsible for a specified individual or group of candidates. They must:
agree an assessment plan with each candidate and monitor progress
ensure that each candidate has the opportunity to gain the relevant work experience
to complete QPA
provide alternative assessment opportunities where the relevant work experience is
not available
judge the candidate’s evidence against the national standards and make timely
assessment decisions.
to decide whether the candidate has demonstrated competence
ensure the validity, authenticity and sufficiency of evidence produced by the
candidate
provide constructive feedback to the candidate
complete all the relevant documentation when the candidate has demonstrated
competence
review the assessment plan with the candidate and agree revisions when necessary
keep accurate and verifiable records of candidate assessment and achievement
ensure that assessments are internally verified
assist the candidate with their preparations for the case study examinations by
providing advice and support.
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3.3 Who can be an internal verifier?
Internal verifiers must have up-to-date knowledge and experience of the areas that the
qualification covers, although that may not be their current job role. They do not have to hold
any formal pensions qualifications. Current candidates on any of the PMI’s vocational
qualifications may not be an internal verifier.
It is desirable for them to have experience or knowledge of
money purchase/defined contribution schemes
salary related/defined benefit schemes
schemes which are and are not contracted out
contributory and non contributory schemes.
They must have gained D34 or V1, the recognised qualifications for internal verifiers (see
section 2.6). They must achieve V1 within 18 months of beginning internal verification.
They must have D33 or A1 before commencing the V1.
Internal verifiers must keep their knowledge and skills up to date through Continuing
Professional Development (CPD).
CPD must be demonstrated each year through
involvement in at least two relevant activities. Please contact the PMI for further information
about CPD for internal verifiers and what activities will qualify for CPD.
3.4 What are the internal verifier’s role and responsibilities?
Internal verifiers will be responsible for the quality assurance of the qualification within the
centre.
They must
establish procedures to develop a common interpretation of the QPA Standards
between assessors
verify assessments made by the assessors by regularly sampling assessment
decisions and ensuring that assessments are consistent and in line with the
standards for QPA
include direct observation of assessment practice in their sampling
advise and support assessors and ensure that they have the necessary training to
perform that role
ensure that records of assessment are accurate and up to date
keep accurate, up to date and auditable records of internal verification and sampling
activity and ensure that these are available for the purposes of external verification
liaise with the external verifier to manage and co-ordinate visit requirements
provide feedback to the external verifier on the effectiveness of assessment
ensure that any corrective actions required by the external verifier or the PMI are
implemented within agreed timescales
monitor and review the operation of QPA at the centre
register candidates and inform candidates of their registration status
submit candidate entries for the case study examinations
ensure that the appropriate administrative arrangements are made for the conduct of
the examinations
apply for certificates of unit credit and final certificates on behalf of candidates no
longer than 6 months after date of final assessment if the External Verifier. has
already given authority to claim certificates – otherwise the portfolio must be
available to the External Verifier at the next visit and if approved the claim for the
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unit or final certificate must be made within one month from the date of the
External Verifier visit.
advise and support assessors in helping candidates prepare for the case study
examinations.
At a large or multi site centre with several internal verifiers, one internal verifier may be
given sole responsibility for some of the above tasks such as:
liaison with the external verifier
candidate registration
examination entries
applications for certificates of unit credit and final certificates.
3.5 What happens if you do not have staff available to become assessors or internal
verifiers?
If you do not have staff available to act as assessors or internal verifiers or both, you may
employ suitably qualified people to carry out these roles. The PMI maintains a datafile of
people willing to act as peripatetic assessors and internal verifiers on a freelance basis. If you
contact us we will put you in touch with peripatetic assessors and/or internal verifiers willing
to work in your area.
We check that the peripatetic assessors and internal verifiers on our datafile have the
appropriate assessor and internal verifier qualifications. However, it will be your
responsibility to ensure that any peripatetic assessors and internal verifiers you employ have
pensions experience appropriate for your schemes and to negotiate a contract with them. This
will include working arrangements and payment. The PMI has no involvement in or
responsibility for contracts negotiated between centres and peripatetic staff.
You do not have to recruit your peripatetic assessors and/or internal verifiers from our
datafile. However, you must ensure that any you do employ are suitably qualified and
occupationally competent.
You must let us know when you take on any peripatetic staff, in the same way that we would
expect you to notify us of any additions or changes to your assessment and verification team
(see section 5.7).
We treat any peripatetic assessors and internal verifiers in the same way as any other
members of a centre’s assessment and verification team. The external verifier will monitor
their qualifications and performance and they should be present when an external verification
visit takes place.
You may choose to use peripatetic assessors and/or internal verifiers on a long-term basis or
to cover short term gaps in your assessment and verification team.
Alternatively, centres may share suitably qualified and occupationally competent assessors
and internal verifiers. If this course of action is followed, the PMI must be notified of the
changes to the assessment team (see section 5.7).
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3.6 What is the role of the centre contact?
The centre contact is the person to whom the PMI will send all information about QPA. An
internal verifier or an assessor may be the centre contact or you may choose to nominate
someone else who is not part of the assessment and verification team. However, a QPA
candidate may not be the centre contact. If your centre employs peripatetic assessors
and/or internal verifiers you must appoint a centre contact who is permanently based at
the centre.
The centre contact is responsible for all communication with the PMI including:
registering candidates and informing them of their registration status
submitting candidate entries for the case study examinations
ensuring that all examination materials are checked and dealt with as required
informing the PMI of changes affecting the centre e.g. changes to the assessment
and verification team, or to the candidates
submitting applications for certificates of unit credit and final certificates on
behalf of the candidates.
In a centre using peripatetic assessors and/or internal verifiers the centre contact must
also:
liaise with the peripatetic staff to ensure that assessment and internal verification
is carried out when required
liaise with the external verifier to manage and co-ordinate visit requirements
ensure that recommendations to the centre from the external verifier or from the
PMI are implemented
monitor and review the operation of QPA at the centre
ensure that the appropriate administrative arrangements are made for the conduct
of the examinations.
The centre contact may also have other administrative duties in connection with QPA, but
must not be involved in assessment or internal verification unless they meet the requirements
to become a QPA assessor or internal verifier.
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4. HOW DO YOU MAINTAIN CENTRE APPROVAL?
4.1 Compliance with recommendations from your external verifier
As an approved centre you will have regular visits from your external verifier. Your centre
will continue to be assessed against the criteria used in the initial approval visit. The outcome
of each visit will usually be an agreed action plan with time scales (see section 6.8). The
external verifier will try to help you to meet the criteria but, if you consistently fail to do so,
your centre may be sanctioned including withdrawal of centre approval in extreme cases. The
PMI will sanction a centre for non-compliance with the approved centre criteria in accordance
with the tariff of sanctions as outlined by the qualifications regulator Ofqual.
4.2 Ensuring that the centre has appropriately qualified internal verifiers and assessors
If any of your internal verifiers or assessors is unable to continue in that role, you must inform
the PMI immediately.
Where changes in your assessment and verification team mean that you no longer have an
appropriately qualified assessor and/or internal verifier, this will affect your ability to meet
the approved centre criteria. Until appropriately qualified people are in place you will not be
able to claim certificates of unit credit for the work based units.
The PMI will send you a form for you to return to register replacement assessors and internal
verifiers or you can download it from the PMI’s website.
4.3 Payment of the annual centre fee
Once your centre has been approved, an annual centre fee is payable every year starting in the
year following approval. We send you an invoice at the beginning of each year. Centre
approval will be withdrawn if the annual fee is not paid.
4.4 What happens if your centre has no candidates?
If your centre has no candidates, for example because existing candidates have left or
completed, you must become an inactive centre unless you expect to have new candidates
within the next 12 months.
If you decide later to become an approved centre again, you must re-apply for centre approval
and demonstrate that you can meet the approved centre criteria.
Please contact the PMI for advice.
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5. WHAT ARE YOUR RESPONSIBILITIES AS AN APPROVED CENTRE?
You will need to decide who carries out the responsibilities described in this section. Usually
it will be the internal verifier. In large centres with more than one internal verifier, the
responsibilities may be shared, or carried out by one nominated internal verifier. In the case
of larger centres we need to know who is authorised to sign the various forms used in the
administration of QPA. A centre contact, who is not a qualified assessor or internal verifier
may carry out the administrative responsibilities but not actual assessment or internal
verification.
5.1 Candidate registration – no new candidate registrations are possible for QPA
You may register candidates as soon as centre approval is complete. You must use the
forms provided by the PMI.
There are no entry requirements for candidate registration.
You must return the completed form to the PMI with the correct fee.
We confirm your candidate registrations and send you a copy of the candidates’ details,
which we have entered on our computer. Please check these carefully and notify us of
any errors as soon as possible. Certificates of unit credit and final certificates are issued
using these records.
You must inform candidates of their registration when you receive confirmation of the
registrations from PMI.
5.2 Administration of the case study examinations
Some units are assessed by case study examinations. These are held twice a year in May and
November. The PMI sets the papers and appoints examiners to mark the scripts. Candidates
sit the examinations at their own centre. Candidates may enter for as many units as they wish
and in the order they prefer.
We send you all the information you need to run the examinations but you will need to
check what we send you and follow instructions on what to do with it
ensure that a room is available where the candidates can sit the examinations
arrange invigilation
send completed scripts and the attendance register to the correct examiner
send a copy of the attendance register to the VQ Department.
Examination entry
We send you an examination entry form with the January mailing for the May
examinations and with the July mailing for the November examinations.
You must complete it and send it to the PMI with the correct fee by the closing date.
We do not accept any entries received after the closing date. We cannot accept
entries without payment.
We confirm your entries by sending you a computer print out within 5 working days of
the receipt of your form. Please check this carefully and let us know immediately if any
entries are incorrect. We cannot make any changes to your entries later than 6 working
days after the closing date.
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Non confidential material
About 5 weeks before the examinations take place we send you a package of non
confidential material. This includes
tables of factors, a set of scheme booklets and a notice to candidates. You must
give these to the candidates entered for the examinations as soon as possible.
examination answer books and spare paper. You must keep these safely until
the date of the examinations.
Check the contents of the package carefully. Return the reply slip to us immediately to
tell us that you have received everything or to let us know what is missing so that we can
send you what you need.
Confidential material
On a specified date, about a week before the examinations, we send the confidential
material to the centre contact or a named replacement (NOT a QPA candidate) if the
centre contact will not be in on the specified date. This includes
the examination papers in sealed packets. These must not be opened prior
to the examination. They are labelled on the outside so that you can check
that you have the correct papers without opening the packets.
instructions on the conduct of the examinations and for the despatch of the
completed scripts.
Check the confidential material and return the reply slip to us immediately to confirm
that you have received the correct items. Telephone us at once if there is a problem.
Lock the examination papers away in a secure place until the date of the
examination.
Other pre examination preparations
Ensure that a suitable room is available for the candidates to take the examinations.
Usually this will be on the employer’s premises but you may arrange alternative
accommodation if this is more convenient.
Ensure that suitable people are available to invigilate the examinations. Invigilators need
not be assessors or internal verifiers but they must not be QPA candidates.
Conduct of the examinations
You will have been sent a copy of Instructions for the conduct of QPA examinations with
your confidential material. You must ensure that you have read this carefully and that a
copy is available for the invigilators during the examinations.
The main requirements are that
the room is quiet
the candidates are seated separately and not allowed to communicate with each
other
the candidates are invigilated throughout the examination. Invigilation may be
shared among several people provided the candidates are continuously
invigilated.
At the end of each examination you must ensure that the completed scripts and the
relevant attendance sheet are sent to the correct examiner according to the instructions
provided by the PMI.
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At the end of the examination you must also send the duplicate attendance sheet to the
PMI so that we know which candidates were absent.
Please note that the PMI may visit any centre without notice to ensure that the examinations
are being properly conducted.
The marking scheme
To pass an examination the candidate must not have more than 6 errors overall or no more
than 2 errors in any one criteria. The criteria are that which is detailed in each unit within the
qualification standards.
To demonstrate competence you must show that you can meet all the criteria as set out in the
standards. You will not have demonstrated your competence unless you have six or fewer
errors with no more than two errors against one criterion. All scripts close to the borderline
are reviewed at the final Examiners’ meeting.
Results
The results are published approximately 6 weeks after the examinations take place.
The results are posted to you first class Recorded Delivery on a specified date. The
envelope is marked To be opened by addressee only and includes certificates of unit
credit for the successful candidates. You may telephone for the results if they do not
arrive on the day after posting. We will only disclose results to an internal verifier, an
assessor or to the centre contact and not directly to candidates unless you instruct us
otherwise.
Examiners’ Report
We produce an Examiners’ Report after each examination series. We send you a copy with
the results. The Examiners’ Report will also be available on our website and we can also
provide it by e-mail. The Report contains guidance for candidates on what the Examiners
expect. You must make this available for your candidates. You may photocopy it. There is
also an appendix to the Report which contains a summary of the answers. We send this free
of charge to you if your centre entered candidates for that series. You can download these
both from the PMI’s website.
5.3 Administration of the work based assessment
The remaining units are assessed during the course of normal work. Candidates do not have
to complete these units in any particular order nor do they have to complete one unit before
starting another. It is very likely that they will be collecting evidence of competence for more
than one unit at a time. Evidence put forward for assessment and verification can be up to 2
years old only if the assessor and internal verifier agree it is appropriate, relevant and valid.
Candidates may be assessed at any time which is convenient for them and their assessors.
You are responsible for
providing sufficient competent qualified assessors and internal verifiers
internally verifying assessment decisions and practices within the centre to check that
quality and consistency is maintained across all candidates and all assessors
maintaining records of assessment and verification (see section 5.6).
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How to apply for certificates of unit credit
You may apply for a certificate of unit credit as soon as the candidate has completed a unit,
only if:
the unit has been signed off by a qualified assessor and a qualified internal verifier
the external verifier has approved the issue of certificates of unit credit for that unit (see
section 6.8).
You must complete the application form and send it to the PMI together with the correct fee.
Applications for certificates of unit credit must be accompanied by the Assessment Record,
showing the signatures of the internal verifier and the assessor. Centres must keep copies of
all forms sent, in their candidates records.
The PMI processes applications for certificates of unit credit weekly. The certificates will be
sent to you and not directly to the candidates. Please contact us if you have not received your
certificates within 15 working days of submitting your form. We will contact you if for any
reason your application cannot be processed immediately. We cannot issue certificates of
credit to candidates who have been registered for less than 10 weeks.
What happens in centres where the assessors and internal verifiers are not yet qualified?
If the assessors do not yet have A1 they will need to assess candidates to generate the
evidence of competence required to gain A1. However they may not fully sign off units until
they have A1. Therefore a qualified assessor must countersign the assessment decision of
their unqualified colleagues.
If the internal verifiers do not yet have V1 they will need to carry out internal verification to
generate the evidence of competence required to gain V1. However they may not fully sign
off units until they have V1. Therefore a qualified internal verifier must countersign the work
of their unqualified colleagues.
If this causes problems for the centre then PMI must be notified immediately.
Centres may apply for certificates of unit credit assessed and/or verified by unqualified staff
only if the assessment and/or verification has been countersigned by qualified staff.
PMI’s role is to ensure that qualified assessors and internal verifiers carry out these functions.
During an external verification visit the external verifier can ask to see any assessor or
internal verifier that has carried out that role, or countersigned the work of others, even if they
were not normally based at the centre being externally verified.
Applying for a final certificate
An application for a final certificate can only be made once a candidate has received unit
certificates for all of the units that make up QPA. You may apply for a final certificate by
completing the application form and returning it to us with the correct fee.
Final certificates are processed monthly. They take about 6 weeks to process. We will
acknowledge your application and tell you when it will be processed.
The candidate’s name is hand written on the certificate which is signed by the President and
Chief Executive of the PMI.
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The certificate is framed and is sent to you direct from the framer. We will tell you when the
certificate is sent to the framer and you should expect to receive it within 3 weeks. Please
contact us if it does not arrive.
5.4 Replacement Certificates
Replacement Unit Certificates
If a certificate of unit credit is damaged in the post, PMI will issue a replacement. However,
the original certificate must be returned to PMI before a replacement will be issued.
If a certificate of unit credit is lost, PMI will not issue a replacement. However, we will issue
formal written confirmation of any units that a candidate has gained. Any request must be
made in writing to the Head of Vocational Qualifications.
Replacement Final Certificates
If a candidate has completed QPA and has lost/damaged their full QPA certificate, PMI will
issue a replacement certificate.
A request for a final certificate must usually be received within 3 years of the date of the
original final certificate. However, in exceptional circumstances we will issue a replacement
final certificate if the request is received after 3 years but no longer than 5 years after the date
of the original certificate.
If a request is received more than 5 years after the date of the original certificate, PMI will
issue a Statement of Confirmation of Achievement.
5.5 Special assessment arrangements
Under certain circumstances the PMI will authorise assessment arrangements for candidates
with particular assessment requirements. However any special arrangements will require the
candidates to meet the national standards and will ensure that those candidates do not gain an
unfair advantage over others.
If you have any candidates for whom special assessment arrangements may be required
you must contact us in the first instance to discuss the options.
You must make applications in writing to the PMI for special assessment arrangements,
detailing the reasons why the special arrangements are required, for whom and for how
long.
Any special arrangements requested on medical grounds must be supported by written
evidence of the medical grounds.
Where we agree to special assessment arrangements, the details and the duration of these
arrangements will be confirmed to you in writing.
You must not implement special arrangements prior to receiving written confirmation
from us that the proposed arrangements are acceptable.
The work based units
We do not anticipate that special assessment arrangements will be required for the work
based units. These all deal with competencies that the candidates would naturally
demonstrate in the work place. Where natural evidence of competence is not available the
units in the qualification specify where and to what extent simulation may be used. However
if you have any candidates for whom special assessment arrangements seem to be required
you must discuss this, in the first instance, with your External Verifier. In situations that need
more extensive discussions the Head of Qualifications, generally via the External Verifier,
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although centres may, obviously, make contact directly, will become involved. In situations
where extensive discussions are necessary this will include the centre, the External Verifier
and/or the Chief External Verifier and the Head of Qualifications.
The units assessed by case study examinations
We will only authorise special arrangements for any candidate for one examination series at a
time. You must seek re-authorisation each examination series that the special arrangements
are required. Under no circumstances will we allow candidates to take any examination at a
different date or time from that specified. Requests for special arrangements should be made
when submitting the entry for the candidate concerned or, in the case of a situation arising
after the entry has been submitted that necessitates special arrangements, as soon as possible
after that situation has arisen.
5.6 Centre Appeals procedure
The internal verifier must produce a documented appeals procedure and make it available to
all candidates. This must specify:
the route candidates must take if they have a grievance
the grounds for appeal
time scales for submitting the appeal and dealing with it.
This procedure may mirror company grievance procedures or be a separate procedure for
QPA. The PMI has a procedure for appeals against assessment of the case study
examinations and assessment decisions (see Section 7.5).
You must keep a record of all appeals and their outcome and this should be made available to
the external verifier.
5.7 Maintenance and retention of records
It is an important part of your role as a centre to maintain records of assessment and
verification which are reliable and auditable. As a minimum you must hold:
records of QPA candidates including candidate name, date of birth, contact address,
workplace address and contact details, assessor(s) name, internal verifier(s) name and
date of registration with the PMI
records of your assessors and internal verifiers including assessor and verifier
qualifications that they hold and the date obtained
assessment records (recording who was assessed, who conducted the assessment, what
was assessed, when it was assessed, the assessment decision, the assessment methods
used for each unit/component and the location of the supporting evidence)
evidence files/portfolios
records of internal verification activity detailing who verified what and when, details
of the sample selected and it rationale, records of internal verifier standardisation
meetings, records of assessor support meetings, assessor and verifier competence
records and monitoring records of assessor/internal verifier progress towards
achievement of the relevant assessor and internal verifier qualifications
records of certificates claimed including who claimed the certificate and when.
You must ensure that these records are available to the external verifier and that they provide
an audit trail which can clearly substantiate claims for certificates of unit credit. The records
must be made available to Ofqual/SQA on request.
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You must keep all records of assessment and internal verification activity for a minimum of 3
years and a maximum of 5 years following the completion of the units to which they relate.
You must retain the candidates’ evidence files/portfolios until after the external verification
visit immediately following the claim for certificates of unit credit based on this evidence.
The external verifier will want to see the evidence for some of the certificates of unit credit
claimed for work based units since the last external verification visit.
5.8 Provision of information to The Pensions Management Institute
You must keep us informed of any changes to candidate, assessor and internal verifier
information. To assist you we send you a copy of the details we hold about the assessors,
internal verifiers and candidates at your centre approximately two months before your
external verification visit is due (see section 6.6).
For existing candidates it is important that you inform us of changes of name and/or marital
status. All certificates are issued on the basis of the information which we currently hold on
our computer system.
You must inform us, using the Candidate Transferring Form, if existing QPA candidates join
your centre from another employer. We transfer their records to your centre and confirm their
candidate number and which units, if any, they have already gained. There is no registration
fee for candidates who have previously been registered as QPA candidates at another centre.
If any of your candidates leave your centre or give up QPA for any reason, please let us know
so that we can remove them from your centre records.
You must inform the PMI of any change which affects the ability of your centre to continue to
meet the full requirements of the approved centre criteria. We will agree with you a plan of
action to help you to meet the criteria in the future.
5.9 Review of quality assurance arrangements
You have a responsibility to monitor the effectiveness of your quality assurance systems.
You must undertake regular reviews of your assessment and verification systems against the
approved centre criteria and take action as required. Your external verifier will need to see
evidence that monitoring has occurred and corrective action has been taken where necessary.
5.10 Reporting Malpractice
PMI is required by the regulatory authority (Ofqual) to deal with malpractice on the part of
candidates, centre staff or others involved in providing QPA in line with Section D:
Malpractice of the NVQ Code of Practice
QPA centres must report any malpractice suspected after candidates have been registered as
soon as possible to the PMI.
Where malpractice is suspected in a centre the PMI will immediately suspend the centre from
making any claims for certification. This is to allow an investigation to be initiated and the
PMI to be satisfied that adequate safeguards are in place to guarantee the validity of the
certificates being claimed. Failure of a centre to co-operate with an investigation may also
result in the suspension of registration of candidates at that centre.
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Those responsible for managing and carrying out an investigation of a centre will be
independent of the management of normal working relationships with that centre or the
centre’s external verifier.
The PMI will notify the regulatory authorities when commencing an investigation and will
provide an estimated timescale for its completion.
The PMI will prepare a final report of its investigation which will detail to the regulatory
authorities:
the origin of the complaint or mode of discovery of the alleged irregularity(ies);
the investigations carried out;
the evidence adduced;
the conclusions drawn;
the recommendations for action and resolution of the matter.
Exceptionally the regulatory authorities may need to take over an investigation and in such
circumstances will provide a written instruction to the PMI informing us of this and the
reasons for taking such action.
The PMI must inform the regulatory authorities whenever it finds evidence that certificates
may be invalid and agree the appropriate action with the regulatory authorities. NVQ
certificates are in principle deemed invalid in the following circumstances:
the evidence assessed is not the candidate’s own work;
the candidate is still working towards the qualification after the certificate has been
claimed;
the certificates have been claimed on the basis of falsified records;
the PMI has issued certificates contrary to the NVQ Code of Practice and the PMI’s
accreditation agreement.
If certificates are found to be invalid, the PMI will discuss individual cases with the
regulatory authorities to decide what action to take.
Centres have a shared responsibility with the PMI to deal with problems caused for
candidates when certificates have been wrongly claimed. When a decision is taken to
invalidate certificates, the PMI will ensure that the following actions are taken:
Follow the principle of seeking to protect the interests of candidates, in so far as is
reasonable and possible in the circumstances;
Contact the candidates involved and notify them of the status of their certificates and of
any arrangements for re-assessment and/or certification;
Ensure that the original certificates are cancelled on our database to ensure that duplicates
cannot be issued;
Inform the regulatory authorities of the details of the invalidated certificates and, where
appropriate, make the information available to public funding bodies.
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6. EXTERNAL VERIFICATION
6.1 What is external verification?
External verification is an essential part of our quality assurance system. It involves an
independent evaluation of your centre against specified criteria. These are the same criteria
which we use for centre approval (see Appendix A). The main purpose is to ensure that
national standards are maintained for QPA.
6.2 Who can be an external verifier?
External verifiers have to be pensions professionals. Several also have practical experience
as assessors or internal verifiers. Most are still working in the industry, a few are retired.
They have all been trained by the Pensions Management Institute, they attend update
meetings and receive regular briefings. They all have to hold D35 or be working towards V2,
the national standard for external verifiers.
An external verifier for a centre may not also act as an assessor or an internal verifier for that
centre.
6.3 What are the external verifier’s role and responsibilities?
The external verifier’s primary role is to ensure that national standards are maintained for
QPA through the quality and consistency of the assessment decisions made within the centre.
To achieve this the external verifier visits centres regularly and is responsible for
verifying assessment practices and centre procedures
providing information, advice and support to centres
providing information to the PMI on how centres are operating
identifying areas where the approved centre criteria are not being met and action
plan centres to put the correct systems and procedures into place.
6.4 When is an external verifier allocated to your centre?
We allocate an external verifier to your centre as soon as possible after you have applied for
centre approval. This is usually within one month of the receipt of your application. This
external verifier usually carries out the approval visit but another external verifier may be
asked to do this (see section 2.5).
We aim to ensure that there is no conflict of commercial interest between the external verifier
and the centre. Therefore your external verifier will work in a different sector. If possible
your external verifier will be based close to your centre.
We ask external verifiers first if they are willing to take on a particular centre. We then pass
on the details of the external verifier to the centre. You have the right to ask for a different
external verifier if you think that the person we have allocated is not appropriate. You can
refuse to accept an external verifier and we will allocate another.
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6.5 When do external verifier’s visits take place?
You share responsibility with your external verifier to ensure that visits are arranged when
required. All active centres must have at least one visit a year. Active centres with more
than ten candidates may have two visits a year. There may be occasions when additional
visits are required, for example, as a result of the outcome of a previous visit, or if there have
been major changes in your assessment and verification team. We will tell you if you need an
additional visit and remind you when your regular visits are due. Arrangements for extra (or
fewer) visits to a centre will be determined and agreed with PMI.
If yours is a multi site centre all your sites will receive visits from an external verifier over a
period of time but not necessarily in the same year. If your sites are widely scattered we may
ask other external verifiers to visit some of them but they will liaise with your main external
verifier.
The date of a visit is usually agreed in advance between you and your external verifier.
However, PMI and the regulatory authorities (OFQUAL and SQA) reserve the right to carry
out a visit at short notice or without prior notification in order to minimise the risk of
unsubstantiated claims for certification.
6.6 How to prepare for your external verifier’s visit
About two months before your regular visit is due we will ask you for an update on the
progress of your candidates at your centre. We will send this information to your external
verifier along with updated lists on your centre, who will then tell you who and what he or
she wants to see during the visit. Your external verifier has a sampling strategy and over a
period of time this must include:
all candidates
all assessors
all internal verifiers
all work based units
all assessment methods.
However your external verifier reserves the right to select some of the sample without prior
notice.
Before the visit takes place check the approved centre criteria (see appendix A). They
include:
management
resources
candidate support
assessment and internal verification
record keeping
review.
Your external verifier will want to cover all these issues during the visit.
Check the action plan in your last report to see whether you have complied with the agreed
action plan. This may be your last external verifier’s report, or, if yours is a new centre, your
approval report. Have evidence available to show that you have complied or what you are
doing to comply.
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You must provide access to premises, meetings, candidate assessment records and records of
achievement, internal verification records, documents and data, candidates and staff for the
purposes of external verification. Therefore, before the day of the visit you should make sure
that you have the relevant documentation available, including centre records, evidence
portfolios and records of assessment and verification, and that the people whom the external
verifier has asked to see are available on that day.
If you are using a peripatetic assessor and/or internal verifier one of them must be present for
the external verifier visit and over time the external verifier should have seen all peripatetic
assessors and internal verifiers used by the centre.
6.7 The external verification visit
The length of the visit will depend partly on the size of the centre and how active the
candidates are but should take at least half a day. Your external verifier will be able to give
you a clearer idea of the length of time required.
You must provide your external verifier with the opportunity to meet candidates and assessors
on their own if required.
Your external verifier will discuss the outcome of the visit with you on the day and draw up
an action plan with time scales to help you meet any of the criteria that you do not meet at the
time of the visit. The centre contact will be asked to sign the action plan to confirm the
centre’s agreement. Soon after the visit you will receive a formal report.
6.8 The external verifier’s report
Your external verifier will complete a report on the visit and submit it to the PMI. We will
copy this report to you. You should receive it within 4 weeks of the visit. Please contact us if
you have not received your report within that time scale.
The report is a record of the visit and the issues that were discussed and will include the
action plan agreed and signed during the visit. Your compliance with this plan will be
monitored by your external verifier and by the PMI and will be reviewed during your next
external verification visit. At the next visit your external verifier will want to see evidence
that each action point was met by the due date.
If your candidates are doing work based units the report will state whether or not you may
apply for certificates of unit credit. Where your external verifier recommends that certificates
of unit credit may not be issued for all or some work based units, the action plan will include
the steps you must take before certificates can be issued.
The PMI will not issue certificates of unit credit for work based units to a centre unless that
centre has had a recent satisfactory external verifier’s report recommending their issue.
Recent means within the previous 12 months for centres with 10 or fewer candidates or
within the previous visit out of the 2 visits per year for centres with 11 or more candidates.
Multi site centres are treated on an individual basis and we will advise you of the frequency of
visits required to each site. Any centre where there has been a major change of centre staff
since the last visit must have a further external verification visit before we will issue
certificates of unit credit for the work based units.
You have a right of appeal against external verification decisions (see section 7.5).
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7. WHAT IS THE ROLE OF THE PENSIONS MANAGEMENT INSTITUTE?
7.1 Setting National Occupational Standards for pensions administration
The Financial Skills Partnership (FSP) was responsible for setting the National Occupational
Standards (NOS) for all occupations within the financial sector, including pensions. The FSP
worked with representatives from all sectors of the pensions industry to draw up and review
the occupational standards of competence for pensions administrators on which QPA is
based.
These standards are accredited by the Qualifications and Curriculum Authority (QCA – this is
now Ofqual) and the Scottish Qualifications Authority (SQA)
7.2 Awarding Body
The PMI is the Awarding Body for QPA. We administer all aspects of the qualification and
are responsible for its quality assurance.
7.3 Our commitment to you
Prompt service
The PMI is committed to providing a customer focused, prompt and professional service to
all its approved assessment centres. All centres should have a copy of our Customer Service
Statement which includes time scales for our administration, so that you know when you
should expect to receive specific information. Centres requiring additional copies should
contact the PDU Department.
Provision of information
We send twice yearly mailings to centres in January and July. These include
information about forthcoming case study examinations and an entry form (January
& July)
fees for the current year (in January)
training events diary (in January)
Additional mailings are sent to centres during the year when necessary.
Help line
For enquiries about any aspect of QPA:
telephone the Qualifications Department on 020 7392 7400
write to us at PMI House, 4-10 Artillery Lane, London, E1 7LS
fax us on 020 7375 0603
e-mail us on [email protected]
We aim to deal with enquiries within 5 working days.
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Provision of support materials
We provide a range of support materials for candidates, assessors and internal verifiers which
include:
On-line learning
Copies of past case study examination papers
Examiners’ Reports
You can obtain details of current materials and costs by contacting the PMI. Details are also
included with the mailings to centres and on our website. We aim to despatch support
materials within 10 working days of receiving the order and payment (where applicable).
Regional groups
The PMI has a number of regional groups that welcome local members with an interest in
pensions. They do not have to be Fellows, Associates or Students of the PMI. Their
meetings are often of interest to QPA candidates and assessors. For details of your nearest
group, please contact us or look on the main PMI website.
PMI’s website
Information about QPA can be found on the PMI’s website www.pensions-pmi.org.uk from
which it is possible to download centre mailings, forms, past examination papers and
Examiners’ Reports.
Equal opportunities
The PMI fully supports the principles of equal opportunities and is committed to satisfying
these principles in all its activities and in its published material. Our complete equal
opportunities statement is in Appendix B.
7.4 What should you do if you have a complaint?
If you have a complaint you may contact the Head of Qualifications in the first instance to
discuss the issue informally. Alternatively you may submit a formal written complaint to the
Head of Qualifications. You should also do this if your complaint has not been resolved to
your satisfaction through informal discussions. We will acknowledge receipt of a written
complaint within 5 working days of its receipt and we undertake to investigate your complaint
and report back to you within 10 working days of its receipt.
We have a formal appeals procedure covering certain specific issues (see section 7.5).
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7.5 Appeals procedure
Centres have a right of appeal against refusal of centre approval and external verification
decisions.
Candidates have a right of appeal against examination and assessment decisions.
All appeals must be submitted in writing and include full details of the grounds for
appeal.
Appeals must be submitted by the centre contact to the Head of Qualifications at PMI
House.
Appeals must be received within one month of notification of a decision against which the
appeal is being made.
Charges:
Appeals against centre approval decisions and external verification decisions are
free of charge.
Appeals against examination and assessment decisions are subject to an
administration charge of half the current cost of a certificate of unit credit which
will be refunded if the appeal is upheld.
A written outcome of the appeal will be sent to the person who submitted the appeal within
1 month of the receipt of the appeal.
If the appellant is dissatisfied with the outcome, a final appeal may be made to PMI
Council. This must be submitted in writing to the Head of Qualifications within one
month of receiving the written outcome of the appeal. It will normally be submitted to the
next Council meeting. The appellant will be notified of the date when the appeal will be
heard.
A written outcome of the final appeal will be sent to the person who submitted it no later
than 5 working days after the Council meeting at which it was considered.
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APPENDIX A - APPROVED CENTRE CRITERIA - OFQUAL
Ofqual and SQA have both produced approved centre criteria. The Pensions Management
Institute uses these as the basis for evaluating your initial application to become a QPA centre
and for the ongoing monitoring of your centre through visits by your external verifier. The
two sets of criteria are similar but not identical. SQA’s criteria have been developed from
and are linked with the Scottish Quality Management System (SQMS) Standards. Ofqual’s
criteria are used if you are offering NVQs and SQA’s criteria if you are offering SVQs. Multi
site centres offering both NVQs and SVQs must satisfy both sets of criteria. The wording in
italics provides guidance on meeting the criteria.
OFQUAL’S APPROVED CENTRE CRITERIA
1. MANAGEMENT SYSTEMS
1.0 The centre’s aims and policies in relation to NVQs are supported by senior management
and understood by the assessment team
What does your organisation expect from QPA? Will it form the basis of all training for
administrators? Will it be compulsory/available for those who want it/open to a limited
group of staff? How does senior management plan to support the running of the
qualification? Evidence of support by senior management will be provided by the signature
on the application form, or by a relevant memo or other documentation.
During subsequent visits, your external verifier will ask if anything has changed.
1.1 The centre’s access and fair assessment policy and practice is understood and complied
with by candidates and assessors.
Your organisation should not put unnecessary barriers in the way of administrators taking
the qualification. It is quite acceptable for the employer to pilot the qualification with a few
employees to begin with and then evaluate this pilot before making QPA generally available.
You may be asked to consider if any candidates are being excluded who could be given
access such as part time employees or any with other special needs.
1.2 The roles, responsibilities, authorities and accountabilities of the assessment and
verification team across all assessment sites are clearly defined, allocated and understood.
The roles and responsibilities of the assessor and internal verifier are clearly defined in
Section 3 of Regulations and Guidance Notes for Centres.
In larger centres it is important that each assessor knows who internally verifies their
assessments and which candidates they are responsible for. In centres employing peripatetic
assessors and internal verifiers the responsibility for registering candidates, dealing with the
examinations and liaising with the external verifier must be clearly defined.
The approval visit provides an opportunity to discuss the proposed arrangements. During
subsequent visits your external verifier will monitor and report on these arrangements.
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1.3 There is effective communication within the assessment team and with the awarding
body.
The centre needs to ensure that there is effective communication within the assessment team
but this can be through existing company structures. The centre needs to ensure that PMI is
notified of changes in personnel or anything else which affects the centre and that all forms
etc. are completed and returned promptly as required. This will apply to procedures such as
checking examination materials and applying promptly for completed work based units.
Therefore it is important to be clear who is responsible for these tasks.
1.4 Awarding bodies are notified of any changes which may affect the centre’s ability to meet
the approved centre criteria.
Any changes to the assessment team must be forwarded immediately.
1.5 Assessors and verifiers have sufficient time, resources and authority to perform their
roles and responsibilities effectively.
It is only possible to discuss this in theory at the initial meeting but it will be something to be
kept under review by the centre and reviewed by your external verifier during subsequent
visits.
1.6 Information supplied to the awarding body for the purposes of registration and
certification is complete and accurate.
The external verifier may check on copies of correspondence with PMI once the centre is
approved e.g. to see the centre only applied for certificates of unit credit once a unit had been
completed.
1.7 Queries about the qualification specification, assessment guidance or related awarding
body material are resolved and recorded.
Centres should keep a record of any queries raised concerning QPA and the answer to the
queries. You will be asked if you are aware of this requirement at the approval visit. Your
external verifier may ask about this at a subsequent visit.
1.8 Candidate records and details of achievements are accurate, kept up to date, securely
stored in line with awarding body requirements, and available for external verification and
auditing.
These issues will be discussed at the approval visit. It is not necessary to have separate
records and storage systems for QPA. Candidate records may be stored with, for example,
appraisal reports. However the centre must have a way of tracking the candidates’ progress.
The external verifier will want to see these records.
1.9 Requests are complied with for access to premises, records, information, candidates and
staff for the purpose of external verification.
External verifiers must have access to the candidates, their portfolios, assessor and internal
verifier records, the assessment team and all other resources associated with running QPA.
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2 RESOURCES
2.0 There are sufficient competent and qualified assessors and internal verifiers to meet the
demand for assessment and verification activity.
The approval visit is an opportunity to discuss how many assessors and internal verifiers
would be appropriate for your centre, who might be best suited to take on these roles and the
qualifications in assessment which will be required. Plans agreed as a result of the approval
visit will be monitored during subsequent visits and additional recommendations may be
made.
2.1 A staff development programme is established for the assessment and verification team
in line with identified needs.
This will not necessarily be a formal programme. It may mean ensuring that assessors have
access to appropriate materials and/or attend training courses. It may involve plans to allow
assessors and verifiers to gain the appropriate assessor and internal verifier qualifications.
The approval visit will be used to discuss what is available and what the centre’s plans are.
During subsequent visits your external verifier will review progress and report on this.
2.2 Resource needs are accurately identified in relation to the specific award and resources
are made available.
For most pensions departments the resources required already exist as the candidates are in
employment. Specific resource needs will be a room for examinations and an appropriate
invigilator.
2.3 Equipment and accommodation used for the purposes of assessment comply with the
requirements of relevant health and safety acts.
A public liability certificate is acceptable evidence for this - all centres should have one. It
should be available for inspection at the approval visit.
3 CANDIDATE SUPPORT
3.0 Information, advice and guidance about qualification procedures and practices are
provided to candidates and potential candidates.
During the approval visit your external visit will discuss with you how your centre plans to
inform staff about QPA.
During subsequent visits the external verifier will discuss this with assessors, internal
verifiers and candidates and report on it.
3.1 Candidates’ development needs are matched against the requirements of the award and
an agreed individual assessment plan is established
All candidates must have individual assessment plans but these will be subject to review and
change. These will be discussed at the approval visit.
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During subsequent visits the external verifier will expect to see assessment plans.
3.2 Candidates have regular opportunities to review their progress and goals and to revise
their assessment plan accordingly.
At the approval visit centre plans for candidate/assessor meetings will be discussed. It is
recommended that regular meetings between the assessor and candidate are timetabled.
Frequency and duration will depend on many factors including the experience of the
candidate and the normal working relationship between the assessor and the candidate. The
centre will be expected to keep these arrangements under review.
This will be monitored and reported on during subsequent external verifier visits.
3.3 Access to assessment is encouraged through the use of a range of valid assessment
methods.
At the approval visit, the range of possible assessment methods will be discussed but this is
covered more fully during assessor training sessions. During subsequent visits the external
verifier will monitor the assessment methods to see if an appropriate range is used.
3.4 Particular assessment requirements of candidates are identified and met where possible.
This will be discussed at the approval visit and monitored subsequently where appropriate.
This could include special arrangements for part timers, the need to move staff to a different
area to provide evidence of competence, arrangements to overcome a disability. See also
section 5.4 in Regulations and Guidance Notes for Centres.
3.5 There is an established appeals procedure which is documented and made available to all
candidates.
Candidates must have a means by which they can appeal against assessment decisions and
they must be made aware of what it is. See section 5.5 in Regulations and Guidance Notes
for Centres.
3.6 Unit certification is made available to candidates.
QPA is awarded unit by unit and a claim for a framed final certificate can be made once all
units have been completed and claimed.
4 ASSESSMENT AND VERIFICATION
4.0 Internal verification procedures and activities are clearly documented, consistent with
national requirements and ensure the quality and consistency of assessment.
If your centre has in-house internal verifiers, they must systematically check the work of
assessors and keep a record of it. For QPA this will mean that the internal verifier will do
100% sampling of assessments when the assessors first start. They must keep a record of the
assessment decisions they have internally verified. The internal verifier must sign each
Assessment Record before every workbased unit is claimed.
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At the approval visit proposed arrangements will be discussed. During subsequent visits
your external verifier will report on how well these arrangements are working.
4.1 Assessment decisions and practices are regularly sampled and findings are acted upon to
ensure consistency and fairness.
The approval visit will ensure that you are aware of the need to do this. It will be monitored
and reported on during the external verifier’s visit after the approval visit.
4.2 Records of internal verification activity are maintained in line with awarding body
requirements and made available for the purposes of auditing.
The external verifier will want to see these records.
4.3 The effectiveness of the internal verification strategy is reviewed against national
requirements and corrective measures are implemented.
Centres, especially those with large numbers of candidates, several assessors or more than
one site must monitor the consistency of assessment and introduce corrective measures where
disparities are identified. The external verifier will ask about this.
4.4 Assessment is conducted by qualified and occupationally expert staff.
During the approval visit centres will be asked about potential assessors. They are not
expected to have any specific pensions qualifications, although if they do this will provide
evidence of their occupational competence. Usually the post they hold within the
organisation will be sufficient evidence of their occupational competence.
Assessors who do not already hold a recognised assessor’s qualification will be expected to
obtain the relevant certificate within 18 months of starting to assess. Unqualified assessors
cannot sign off candidates’ units. This will be discussed during the approval visit. It will be
monitored and reported on during subsequent external verifier’s visits.
4.5 Internal verification is conducted by appropriately qualified and experienced staff.
Internal verifiers must be occupationally competent. Their job role and/or qualifications will
be evidence of this. The approval visit will provide an opportunity to discuss who may be
most appropriate to fill this role.
Internal verifiers must gain a recognised internal verifier’s qualification within 18 months of
starting to internally verify assessments. Unqualified internal verifiers cannot sign off
candidates’ units. This will be monitored and reported on during subsequent external
verifier’s visits.
5 RECORDS
5.0 The centre’s achievements are monitored and reviewed and used to inform future centre
qualification developmental activity
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5.1 Candidate, employer and other feedback is used to evaluate the quality and effectiveness
of qualification provision against the centre’s stated aims and policies, leading to continuous
improvement.
Centres should evaluate whether QPA has delivered what was expected of it and if not, why
not. Where it has not centres should consider how best to address this problem. The external
verifier will ask about any evaluation that the centre has undertaken and any subsequent
action taken.
5.2 Actions identified by external verification visits are disseminated to appropriate staff and
corrective measures implemented.
An integral part of the external verification visit will be to check the centre’s progress
towards implementing actions included in the action plan agreed during the previous visit.
5.3 Information and recording systems enable candidates’ achievements to be monitored and
reviewed in relation to the centre’s equal opportunities policy.
Centres will be expected to evaluate candidates’ progress and to see if there are any barriers
to access to the qualification or progress through it which can be removed. The external
verifier may ask about this.
SVQ CENTRE APPROVAL CRITERIA
SQA’s SVQ centre approval criteria are similar, but not identical, to OFQUAL’s
approved centre criteria.
SQA’s criteria are set out below. The notes in italics after each section indicate how Scottish
centres might meet these criteria.
MANAGEMENT SYSTEMS
1
A quality management system must be in place to ensure that client, candidate
and staff needs are met.
1.1
1.2
1.3
There must be a documented quality system which the centre operates
There must be an appropriate system for document control
All appropriate teams and people must be kept up to date with quality policy,
procedures and standards.
Up to date information on the training performance of the centre and its candidates
must be available.
Responsibilities for management of quality management system and all associated
areas must be clearly and appropriately allocated.
The quality management system should be systematically reviewed and the findings
acted upon.
1.4
1.5
1.6
Your organisation must have clear aims of what it expects to achieve by becoming an
approved centre for this qualification. Will the qualification form the basis of all training for
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administrators? Will it be compulsory, available to those who want it or open to a limited
group of staff?
What evidence is there that senior management supports the plans for the SVQ?
You must ensure that all assessors and internal verifiers are clear about their roles and
responsibilities. These will include, candidate registration, assessment planning, record
keeping, internal verification procedures, liaison with PMI, liaison with the external verifier.
You must have clearly defined procedures for internal verification and internal verification
activity must be documented.
You must review the effectiveness of your centre in delivering the qualification and in meeting
your stated aims. You should take any necessary action in the light of this review.
You must keep proper records and these need to be available for the external verifier if
required. These records will include candidate information, copies of candidate registration
forms and details of candidate progress and achievements. There must also be records of
unit certificates applied for. Internal verification activity must also be recorded.
RESOURCES
2
The structure, level and type of staffing must be appropriate to the qualifications
provided. Staff development provision meets the needs of both the organisation
and the individual.
2.1
There must be a system for ensuring that the structure and level of staffing enables the
centre’s objectives to be achieved.
Competent staff who have the necessary qualifications, occupational experience and
understanding must be deployed in the support, delivery, assessment and internal
verification of the qualifications being offered by the centre.
There should be appropriate recruitment, selection and job allocation criteria and
procedures and clear job descriptions and remits for all grades of staff.
All new recruits and post holders must have access to induction
There must be a staff development plan and staff must be clear about the kind of
support available
A system of regular review of staff development needs to be maintained
Competences of all staff must be progressively developed in line with the centre’s
business plan
2.2
2.3
2.4
2.5
2.6
2.7
The main resources you will require are sufficient qualified assessors and internal verifiers
with the time to carry out their roles. Assessors and internal verifiers who have yet to gain
the required qualifications need to have support to do so. You will need to consider how you
will help them to gain the necessary qualifications and what on-going support you will
provide.
You need to consider how much time assessors and internal verifiers are to be given to carry
out their roles and to review this. You should also consider how many candidates will be
allocated to one assessor.
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The assessors must have a recognised assessor’s qualification and be competent in pension
scheme administration. Unqualified assessors may not sign off candidates’ units.
The internal verifier should regularly sample the work of the assessors and take action where
necessary to ensure consistency and fairness.
Internal verifiers must have a recognised internal verifier’s qualification and be competent in
pension scheme administration. Unqualified internal verifiers may not sign off the work of
assessors.
You should regularly review the training and development needs of your assessors and
verifiers and take appropriate action.
EQUAL OPPORTUNITIES
3.
Equal opportunities should be ensured for all clients, candidates and staff.
3.1
3.2
The centre must have, operate and monitor an equal opportunity policy
The centre must ensure that everyone eligible has an equal chance of benefiting from
the services it provides.
The centre must promote equal opportunities to all clients, candidates and staff
4.3
How will you ensure that all candidates have fair access to assessment? Do you have
candidates with special needs that you will have to address? For example are there
candidates who are part time employees for whom special arrangements may be necessary?
Who will be responsible for ensuring that all candidates have fair access to assessment?
What systems will you have in place to review this?
HEALTH AND SAFETY
4.
There must be a safe and healthy environment for all candidates, staff and
visitors.
4.1
Premises must be registered as required by the Health and Safety Executive or Local
Authority Environmental Health Department.
The centre must ensure that premises, facilities, equipment and materials are suitable
for the range and number of candidates, staff and visitors.
There must be appropriate access to premises and facilities.
4.2
4.3
The centre must provide information about its health and safety arrangements and the
systems in place to review these.
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COMMUNICATIONS
5
Communication and administration arrangements must meet the needs of
external bodies, centre staff and candidates.
5.1
5.2
The centre must have an effective internal communication system.
The organisation must have an effective external communication system with the
awarding body, clients and candidates.
There must be appropriate contract arrangements between the centre, assessment sites,
clients and candidates.
There must be an appropriate and effective system for the management of all
subcontracted services.
Record keeping must be appropriate to the delivery of qualifications and units and the
management requirements
5.3
5.4
5.5
The centre needs to ensure that there is effective communication within the assessment team
but this can be through existing company structures. The centre needs to ensure that PMI is
notified of changes in personnel or anything else which affects the centre and that all forms
etc. are completed and returned promptly as required. This will apply to procedures such as
checking examination materials and applying promptly for completed work based units.
Therefore it is important to be clear who is responsible for these tasks.
Centres should keep a record of any queries raised concerning QPA and the answer to the
queries. You will be asked if you are aware of this requirement at the approval visit. Your
external verifier may ask about this at a subsequent visit.
It is not necessary to have separate records and storage systems for QPA. Candidate records
may be stored with, for example, appraisal reports. However the centre must have a way of
tracking the candidates’ progress.
CANDIDATE SUPPORT
6
The needs of individual candidates must be identified, action plan or personal
training/assessment plans formulated, progress reviewed and support provided
where needed.
6.1
Candidates must have the opportunity to discuss their starting points and possible goals
and relate these to learning and/or assessment opportunities through action plans or
personal training plans.
Candidates’ prior achievements must be taken into account.
Induction to the organisation, qualifications and units must be provided for all
candidates.
All candidates must have regular opportunities during the qualifications and units to
review their individual progress and goals and re-plan where necessary.
There must be a system for referral of candidates to specialist services if reviews show
that this is needed.
There should be pre-exit guidance provided to support post-SVQ or unit progression.
6.2
6.3
6.4
6.5
6.6
You need to ensure that all potential candidates are made aware of the qualification and that
new candidates have an appropriate induction session.
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All candidates must have agreed individual assessment plans. There must be regular
meetings between assessors and candidates to review progress and to revise the assessment
plan as appropriate. If candidates have particular assessment needs you should try to meet
these if possible.
Candidates should be given guidance on career development following completion of the
SVQ. Your organisation’s appraisal system or staff development programme may fulfil this
purpose.
ASSESSMENT AND VERIFICATION
7.
Assessment instruments must allow evidence of all candidates’ sustained
competence to be gathered. The evidence must conform with the standards
required by the awarding body for the qualification or unit. Assessment must be
internally verified. Awarding body requirements for external verification must
be met. There must be an appeals system.
7.1
The planned assessment instruments for programmes leading to a qualification or units
must conform to awarding body arrangements.
Planned instruments must be appropriately resourced and implemented for all
candidates for all outcomes/elements of competence and performance criteria.
The evidence of candidates’ work must be accurately judged by assessors against the
awarding body standards required for the qualification or unit.
The evidence of candidates’ work, records of assessors’ judgement and records of
internal verification must be retained in accordance with awarding body requirements.
There must be an effective and accessible system of appeals.
There must be an effective system for candidate registration and certification.
7.2
7.3
7.4
7.5
7.6
Assessors should use a range of appropriate assessment methods.
You must keep records of assessment and verification.
You must have an appeals procedure in place so candidates can appeal against an
assessment decision. Candidates must be informed of the appeals procedure.
Assessors and verifiers must be appropriately qualified.
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APPENDIX B - EQUAL OPPORTUNITIES STATEMENT
As a nationally recognised professional body and as an awarding body, the Institute is
responsible for ensuring that its Members, staff, and those applying for Membership and its
examinations are treated fairly and that there is equality of opportunity regardless of the
individual’s gender, racial origin, religious persuasion, sexual orientation or disability.
The Institute will ensure avoidance of inequality:
in the selection, recruitment and training of all those working for or on behalf of the
Institute;
through the monitoring of practices, procedures and data relating to the operation of
the organisation, its courses and assessment materials;
in the format and content of all syllabuses, regulations and examinations;
in the preparation, production and distribution of all material;
by the relaxation of any conventional rules and regulations which serve to inhibit the
performance of those candidates with special needs in relation to candidates not so
disadvantaged, provided that such action does not have a deleterious effect on the
standard, quality and integrity of assessments.
In operating its procedures, in formulating its assessment methods and in producing materials,
the Institute will make every effort to provide a format, language or approach, which in
relation to an individual’s gender, racial origin, religious persuasion, sexual orientation or
disability:
is not offensive to members of particular groups;
is capable of being readily understood by all;
has the same meaning for all;
implies no stereotyped or biased attitudes;
includes terms or concepts or forms of presentation which are not more familiar to
some groups than others;
does not employ assessment techniques that are easier for some groups of candidates
to use.
The Pensions Management Institute fully supports the principles of equal opportunities and is
committed to satisfying these principles in all its activities and in its published material.
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APPENDIX C - GLOSSARY
A and V units
NVQ units which define the competence of assessors and verifiers
A1 for assessors
A2 for assessors who assess candidates through observation only
V1 for internal verifiers
V2 for external verifiers
A and V units were introduced during 2002 and replace D units.
Accrediting bodies
These are the Qualifications and Curriculum Authority (QCA – now Ofqual) for NVQs in
England, Wales and Northern Ireland and the Scottish Qualifications Authority (SQA) for
SVQs in Scotland. They judge proposed qualifications (submitted for accreditation by
awarding bodies) against NVQ/SVQ criteria for acceptance into the National Qualifications
Framework. They also accredit Awarding Bodies to offer qualifications within the National
Framework.
Approved centres
Organisations that have been approved by the Pensions Management Institute to offer the
QPA.
Approved centre criteria
The criteria laid down by Ofqual and SQA which centres have to meet to become and to
remain as approved centres. The Pensions Management Institute monitors compliance with
these criteria through its external verification system.
Assessors
Individuals appointed by an approved centre to assess candidates’ evidence.
Awarding Bodies
Organisations approved by Ofqual and SQA to award NVQs and/or SVQs. The Pensions
Management Institute is the Awarding Body for QPA.
Candidates
Individuals seeking credit for their competence.
Certificate of unit credit
A certificate awarded to candidates for each unit they complete.
Continuing Professional Development (CPD)
Activities through which assessors and verifiers keep their knowledge and skills up to date.
D units
NVQ units which define the competence of assessors and verifiers
D32 and/or 33 for assessors
D34 for internal verifiers
D35 for external verifiers
D units were replaced by A and V units during 2002.
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External verifiers
Individuals appointed by the Awarding Body, the Pensions Management Institute, to monitor
the assessment and internal quality assurance of centres approved to offer the qualification.
Their role is defined in the D35 unit, which they must have.
Final certificate
The framed certificate awarded to candidates on completion of the qualification.
Internal verifiers
Individuals appointed by an approved centre to ensure consistency and quality of assessment
within the centre.
Multi site centres
Approved centres with candidates at more than one site. Each site must have designated
assessors and internal verifiers although individual assessors and internal verifiers may carry
out the role at more than one site.
National Vocational Qualification (NVQ)
A qualification which has been approved by QCA.
Qualifications and Curriculum Authority (QCA – now Ofqual)
The accrediting body for NVQs in England, Wales and Northern Ireland.
Scottish Qualifications Authority (SQA)
The accrediting body for SVQs in Scotland.
Scottish Vocational Qualification (SVQ)
A qualification which has been approved by SQA.
Standards
These state in terms of outcomes what is expected of an individual performing a particular
occupational role. Candidates are assessed against the standards to determine whether or not
they are competent to administer pension schemes.
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