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For details on policies, procedures, how to complain read our terms and conditions below. If you have a question about any of the content below, contact us and we will be happy to help!

Further Information

POLICIES AND PROCEDURES
Here you can select links to L & L Training policies and procedures and some awarding body policies. If you can not find the one you are looking for please contact us with subject heading: L & L TRAINING POLICIES AND PROCEDURES


COMPLAINTS POLICY


INTRODUCTION
This document sets out the L & L Training Ltd complaints policy and procedures and is aimed at our centres, learners and all interested parties who encounter a direct or indirect service from the awarding body. Awarding Bodies value all the centres delivering our qualifications and the learners who undertake them and our aim every day is to meet or exceed the expectations of our customers.
We are confident of providing a high quality service and would be extremely disappointed if this is not the case. Therefore, it is important that, should you feel you have encountered a level of service that is below both your and our expectations you raise any concerns you may have with us immediately so that we may address them and learn any lessons from them.

 

SCOPE
This policy covers the procedures for complaints that learners, members of the public or centres may wish to make in relation to the qualifications and associated services offered by the awarding bodies. This complaints policy is not to be used to cover appeals in relation to final decisions made by awarding bodies. These areas are covered by our Appeals Policy. Should a complaint be submitted which is in fact an enquiry or an appeal we will respond to inform the relevant party that the issue is being considered, where appropriate, in accordance with the approach outlined in our Customer Service Statement and Appeals policy (contained within the ISO Management Manual). If you are unhappy about the way an assessment has been delivered and conducted and you suspect malpractice or maladministration may have occurred, you should send your concern to us in accordance with the arrangements in our
Malpractice and Maladministration Policy (contained within the ISO Management Manual).

CENTRES’ RESPONSIBILITY
Centres should take all reasonable steps to ensure that their staff involved in the management, assessment and quality assurance of our qualifications, and their learners, are aware of the contents of this policy and that our centre has a complaints handling procedure and an appeals process in place to deal with complaints from learners about the services they receive from our centre. If an individual is unhappy about a service or activity being delivered by our centre it must first of all go through the centre’s complaints process before bringing the matter to the attention of the awarding Body or exercising the right of further escalation as detailed within this policy.

 

REVIEW ARRANGEMENTS
We will review this policy and its associated procedures as part of our annual self- evaluation arrangements and revise it as and when necessary in response to customer, learner or regulatory feedback (e.g. to align with any appeals and complaints process established by the regulators) and any trends that may emerge in the subject matter of complaints received. 

 

HOW SHOULD I COMPLAIN?
All of our staff are trained to help our customers and they want to help, so you should first try to sort out any problem at the earliest opportunity by speaking to a member of our Customer Service staff. If they cannot help or you wish to speak to someone else, you can ask to speak to their manager. If this is not possible or if you are not satisfied with the help that has been provided, please send a written complaint, normally within one month of the event you are complaining about, and address it to us at the contact details
outlined at the end of this policy document. Learners and/or members of the public who wish to complain about a level of service provided by the centre at which they have taken a qualification should have exhausted their centre’s own complaints process before bringing the complaint to the Awarding Body.  Learners can make the complaint directly to the awarding body however, in exceptional circumstances, where they feel there was a significant breach of procedures by the centre.


IF I COMPLAIN WHAT DETAILS DO I HAVE TO GIVE?
When you contact us, please give us your full name and contact details including a daytime telephone number along with:
 a full description of your complaint (including the subject matter and dates and times if known);
 any names of the people you have dealt with so far;
 copies of any papers or letters to do with the complaint


COMPLAINTS BOUGHT TO OUR ATTENTION BY THE REGULATORS
Where the regulators notify us about failures that have been discovered in the assessment process or other activities of another awarding body, these will be reviewed in the same manner as other external complaints in accordance with the procedures below to ascertain if the same issue could affect the qualifications.

CONFIDENTIALITY AND WHISTLE BLOWING
Sometimes a complainant will wish to remain anonymous. However, it is always preferable to reveal your identity and contact details to us, and if you are concerned about possible adverse consequences please inform us that you do not wish us to divulge your identity. If it helps to reassure you on this point, we can confirm that we are not obliged to disclose information if to do so would be a breach of confidentiality and/or any other legal duty. While we are prepared to investigate issues which are reported to us anonymously and/or by whistle-blowers we shall always try to confirm an allegation by means of a separate investigation before taking up the matter with
those to whom the complaint/allegation relates. L & L Training Ltd defines whistle-blowers as being current or ex members of staff
(both permanent and contracted) or third party suppliers of a centre and/or current or previous learners who disclose information about malpractice/wrongdoing or the covering up of malpractice/wrongdoing.


WHAT WILL HAPPEN TO MY COMPLAINT? 

We will acknowledge receipt of your complaint within 2 working days, letting you know who is investigating your complaint. We aim to investigate the complaint within 5 working days. If your complaint is more complex, or involves people who are not available at the time, we may have to extend this. However, we will endeavour to resolve all complaints within a maximum of 20 working days. We may contact you within this period to seek further information or clarification (in some instances we may recommend a meeting).  At the end of the investigation we shall write/email to inform you of our decision.


SUCCESSFUL COMPLAINTS AND/OR ISSUES BOUGHT TO OUR ATTENTION
If any part of your complaint is upheld we will of course respond to the complainant accordingly and give due consideration to how we can improve our service and arrangements. We may, for example, review our procedures to assess the impact of the complaint on our qualification development, delivery or awarding arrangements and assessment process as relevant, or arrange for staff training.
In situations where a complaint has been successful, or where an investigation following notification from the regulators indicates a failure in our processes, we will give due consideration to the outcome and will take appropriate actions such as:
(a)      identify any other learner who has been affected by that failure;
(b)      correct, or where it cannot be corrected, mitigate as far as possible the effect of the failure; and
(c)      ensure that the failure does not recur in the future.


WHAT IF I AM NOT HAPPY WITH THE REPLY?
If you are dissatisfied with the decision you may request a further review of the complaint. This request should be made, in writing, to the awarding body – SQA. Details for SQA awarding body can be obtained from the centre co-ordinator RIGHT OF FURTHER ESCALATION (ONLY APPLICABLE FOR CANDIDATES UNDERTAKING REGULATED QUALIFICATIONS (E.G. SVQ) If for any reason you are not satisfied with the response from the awarding body or believe that you have either not been provided with or unable to be provided with a satisfactory response, you can escalate the complaint to the qualification regulator e.g. SQA Accreditation.  Details for Accreditation authority can be obtained from the centre co-ordinator.


EQUAL OPPORTUNITIES POLICY
GENERAL STATEMENT
This is the general statement and arrangements for equal opportunities policy and procedures as adopted by L & L Training Ltd. L & L Training is committed to providing equal opportunities in employment and throughout all their working practices. This means that all job applicants and employees and candidates enrolled upon training or development training, will receive equal and fair treatment regardless of sex, marital status, race, age, gender reassignment, pregnancy and maternity, religion or belief, sexual orientation or disability. The company’s approach to equal opportunities encompasses L & L Training policies for recruitment, training, promotion and
terms and conditions of employment. L & L Training values its employees and clients and has a responsibility to promote good practices, which ensure the fair treatment and well being at work. All judgments with regards to employees, contractors and candidates will be done solely on the basis of merit.


FORMS OF DISCRIMINATION
The following are examples of the kinds of discrimination, which are against the principles of Forde Training Services policy of equal opportunities. 

1. Direct discrimination, which is where an individual’s less favoured. An example would be where someone is refused promotion on the
grounds that they are coloured, female or disabled.
2. Indirect discrimination, this occurs where a requirement or condition for employment or work procedure, which cannot be justified, is
applied equally to all groups, but has a disproportionately adverse effect on one particular group.
3. Victimisation, is where someone is treated less favourably than others, this could be because they have taken action against the company, possibly under one of the relevant acts of parliament.

POLICY STATEMENT
Any complaint with regards to discrimination, direct or indirect will be promptly, thoroughly and sympathetically investigated by Forde Training Services. Any employee of L & L Training, regardless of employment status, who has been found to contravene this equal opportunities policy by carrying out a discriminatory act or acts, will be subject to L & L Training disciplinary procedures.
All people within L & L Training have a responsibility to ensure that they conduct themselves in a manner, which does not discriminate unfairly against any other employee, client or candidate.


MONITORING OF POLICY EFFECTIVENESS
The effectiveness of this policy is to be monitored at all levels of L & L Training structure and operation, this will take the form of customer response forms, that personnel will be required to complete in order to provide statistical information on equal opportunities and provide an opportunity to bring to our attention any relevant situation. The use of such forms is to be encouraged, particularly within areas that deal with recruitment, selection or enrolment. As part of the compilation of such information, these forms are to be retained by L & L Training and archived for a period of three years from the date of completion.


APPEALS POLICY & PROCEDURE
INTRODUCTION
This policy is aimed at our clients, including learners, who are enrolled on or have taken an approved qualification or unit. It sets out the process you should follow when submitting appeals to L & L Training and the process we will follow when responding to enquiries and appeals. It is also for use by our staff to ensure they deal with all appeals in a consistent manner. 

 

CENTRES’ RESPONSIBILITY
It is important that our staff involved in the management, assessment and quality assurance of our qualifications and learners are aware of the contents of this policy. In addition, we must have internal appeal arrangements which learners can access if they wish to appeal against a decision taken by our centre.  If an individual wishes to appeal against a decision taken by the centre it must first ofall go through the centre’s appeals process before bringing the matter to the attention of the awarding body or exercising the right of further escalation as detailed within this policy.

REVIEW ARRANGEMENTS
L & L Training will review the policy and its associated procedures as part of our annual self-evaluation arrangements and revise it as and when necessary in response to customer and learner feedback or requests from, or good practice guidance issued by, the regulatory authorities (e.g. to align with any appeals and complaints process established by the regulatory authorities in Scotland (SQA);
England (OFQUAL); and Wales (Welsh Government). 

 

FEES
L & L Training will not charge learners a fee to cover the administrative and personnel costs involved in dealing with appeals.


AREAS COVERED BY THE POLICY
This policy covers:
 Appeals from learners in relation to an assessment decision on the basis that we did not apply procedures consistently or that procedures were not followed properly and fairly
 Appeals from learners relating to an awarding body’s decision to decline a centre’s request to make reasonable adjustments or give
special considerations to an individual learner
 Appeals from learners in relation to the application by an awarding body of a sanction/action on an individual resulting an investigation into malpractice or maladministration or a decision to amend a learner/set of learners results following a malpractice or 
investigation
 Appeals from learners relating to a decision made by an awarding body following an investigation into a complaint

In all cases, appeals can only be made on the basis that we have not applied our procedures consistently or those procedures were not followed properly, consistently and fairly.


PROCESS FOR RAISING AN APPEAL
Learners have 20 working days from the date we notify you of the decision you are appealing against, in which to lodge an appeal against our decision. In the event of an appeal learners/centre staff should be advised to retain their course or qualification evidence until they receive a final decision. If a centre appeals on behalf of a learner in relation to a decision by an awarding  organisation we must ensure that we obtain the written permission of the learner concerned as assessment results can be affected as a result of an
investigation. Any learner who wish to appeal to the awarding body about an assessment outcome or about a related decision should be supported by us only when we have exhausted our own appeals process. It is expected that learners will only appeal directly to the awarding body in exceptional circumstances. When submitting an appeal to an awarding body we must provide relevant supporting information such as the following where applicable: 

 Learner name(s) and registration number (if applicable)
 date(s) you or the learner received notification of the awarding body’s decision
 Title and number of the qualification affected, or nature of service affected (if appropriate)
 Full nature of the appeal
 Contents and outcome of any investigation carried out the centre relating to the issue

INITIAL REVIEW OF THE APPEAL DETAILS
Upon receipt of all appeals L & L Training administration will acknowledge receipt of the appeal within 2 working days and aim to respond fully to the initial review of the potential appeal within 5 working days. Please note that in some cases the review processes may take longer, for example, if a centre visit is required.  In such instances, we will contact all parties concerned to inform them of the likely revised timescale.


APPEALS PROCEDURE
The Appeal Procedure has 5 Stages, which are as follows:
Stage 1 – Initially the Assessor will deal with your concerns about the assessment.  If the matter has been discussed and no satisfactory outcome has been achieved, the trainee and assessor will refer the matter to an Internal Verifier from the Centre.
Stage 2 – Your concerns will then be investigated by the Internal Verifier, he or she will make a decision, if the matter is still unresolved, the Internal Verifier will arrange for the appeal to be dealt with by an Independent Third Party
Stage 3 – The Independent Third Party will then deal with the appeal and they will make a decision, if the matter is still unresolved, then you must appeal directly to the awarding organisation.
Stage 4 – You should submit your appeal writing to the awarding organisation within fifteen working days of receiving written notification from L & L Training on the outcome of the appeal. Details for the appropriate awarding organisation will be provided on request. Your appeal must include a written account of why you think that L & L Training decision is wrong, and must include the evidence to support your case. Appeals of this kind will be referred by the awarding organisation to experienced subject specialists. The awarding organisation will inform you and L & L Training in writing of the decision of the subject specialists within fifteen working days of receiving the written appeal, and will give the reasons for the decision. If, for any reason, the matter cannot be resolved within this period, the awarding organisation will keep you informed of the progress.

Stage 5 – If you are still not satisfied with the outcome of your appeal after it has been dealt with by the Awarding Body then you have the right to escalate the matter to the relevant qualification’s regulator. Details of the appropriate
regulator will be supplied on request.


MALPRACTICE AND MALADMINISTRATION POLICY
INTRODUCTION
This policy has been created to enable L & L Training, known as ‘The Company’ within this document, to establish, maintain and comply with Awarding Body criteria and conditions, but also to allow effective detection, reporting and investigation into any malpractice or maladministration. 


SCOPE
This policy is aimed at
 Learners who are registered on or have taken The Company’s approved qualifications or units.
 The Company staff and consultants involved in the development, delivery and award of The Company qualifications and accredited
courses

It sets out the steps The Company’s learners, or other personnel will follow when reporting suspected or actual cases of malpractice or maladministration and The Company’s responsibilities in dealing with such cases. It also sets out the steps to follow when reviewing the cases.


RESPONSIBILITIES
CENTRE’S RESPONSIBILITY
It is important that at induction and update training the staff involved in the management, assessment and quality assurance of The Company qualifications and accredited courses are fully informed of the contents of the policy. It is also imperative that Learners understand and are aware of the contents of this policy. 


REVIEW AND AMENDMENTS
When occurrences of malpractice or maladministration are identified internal processes and procedures will be reviewed and amended as appropriate on the outcome of the investigation, to ensure that the occurrence is not repeated. The Policy will be reviewed annually and revised as and when necessary in response to centre and learner feedback, changes in our practices, actions from the regulatory authorities or external awarding Bodies or changes in legislation. 

 

POLICY STATEMENT
The Company DOES NOT tolerate any forms of malpractice or maladministration, including plagiarism and seeks to ensure the avoidance in every aspect of the assessment process, to undertake careful review of any reports of malpractice /maladministration and to take robust action to resolve any proven cases. This policy covers malpractice by learners, centre staff or others involved in the
provision and assessment of a qualification or its units, and maladministration on the part of The Company or any other party involved in the assessment process.  The Company will conduct a full investigation into any instances of alleged or suspected malpractice, and will take such action with respect to the individuals concerned as seems to it to be necessary in order to maintain the integrity of the
qualifications concerned and to safeguard the interests of learners. In all matters related to malpractice, The Company will act fairly and without prejudice to all parties involved.

 

DEFINITION
MALPRACTICE
Is essentially defined as “The act or an instance of improper or unethical practice” i.e. the deliberate falsification of records in order to obtain certificates. Any deliberate activity, neglect, default or other practice that attempts or may compromise the integrity or validity of the assessment process or certification process will be defined as malpractice. The following are examples of malpractice by Company staff. The list is not exhaustive and other instances of malpractice may be considered by The Company at their discretion: 


 Falsifying, altering or amending any documents or materials issued by the Awarding Body
 Manufacturing, producing and/or issuing any documents or materials which purport to be official documents
 Intentionally registering a Learner under a false name and/or date ofbirth
 Replacing a Learner genuinely registered by another person who is not that Learner
 Deliberately harassing a Learner during or immediately before an examination
 Claiming certificates for Learners that have not personally completed the course and passed assessment criteria
 Claiming funding for Learners that do not exist
 Impersonating a learner
 Failing to keep any Awarding Body mark schemes secure
 Alteration of any Awarding Body mark schemes
 Alteration of Awarding Body assessment and grading criteria
 Assisting learners in the production of work for assessment, where the support has the potential to influence the outcomes of assessment, for example where the assistance involves Centre staff producing work for the learner
 Producing falsified witness statements, for example for evidence the learner has not generated
 Allowing evidence, which is known by the staff member or learner, not to be the learner’s own, to be Included in a learner’s assignment/task/portfolio/ coursework facilitating and allowing impersonation
 Misusing the conditions for special learner requirements, for example where learners are permitted support, such as an amanuensis, this is permissible up to the point where the support has the potential to influence the outcome of the assessment
 Failing to keep learner computer files secure
 Falsifying records/certificates, for example by alteration, substitution, or by fraud
 Fraudulent certificate claims, that is claiming for a certificate prior to the learner completing all the requirements of assessment
 Failing to keep assessment/examination/test papers secure prior to the assessment/examination/test
 Obtaining unauthorised access to assessment/examination/test material prior to an
Assessment / Examination / Test.
 Failure by any responsible person to ensure that Learners receive any official documents or materials issued by the Centre in respect of examination results in a timely manner; or withholding such documents or materials without good reason
 For the purpose of this policy this term also covers misconduct.


The following are examples of malpractice by learners
 Falsifying, altering or amending any documents or materials issued by the Awarding Body
 Manufacturing, producing and/or issuing any documents or materials which purport to be official documents

PLAGIARISM
Plagiarism is defined as ‘taking someone else’s work or ideas and trying to pass them off as your own’.  This can take various forms, including, but not limited to:
 Including part of someone else’s work in your won without using quotation marks and identifying the source, this includes cutting and
pasting information from the Internet;

 Copying, rewording or summarising someone else’s work and including it as your own without acknowledging the source;
 Not labelling diagrams/illustrations that you have used


COLLUSION
Collusion involves two people working together on a task that should have been done by the learner alone, this could be;
 Two learners working together on their respective task; 
 A line manager acting as a mentor for a learner working towards their qualification
 The assessor providing too much support and disempowering the learner; While we absolutely encourage the excellent support that the learners can give to each other and the crucial support that the learners get from their line manager, there is a very definite difference between providing support and disempowering the learner.

 

MALADMINISTRATION
Is essentially defined as “To administer or manage inefficiently or dishonestly.” Any activity, neglect or default or other practice that results in the non-compliance of the specified requirements for delivery of the qualifications as set out in the relevant codes of practice.
The following are examples of maladministration by Centre staff. The list is not exhaustive and other instances may be considered by The Company at their discretion:
 
 Delay
 Incorrect action or failure to take any action
 Failure to follow procedures or the law
 Misleading or inaccurate statements
 Maladministration is any inefficient, incorrect or improper instance of managing, administering or co-ordinating procedures or systems which leads to an outcome other than that which was desired and which (in the context of this policy) affects or undermines the integrity of any assessment or qualification.
 Entering incorrect details on a database or records system errors in recording and / or transmitting data
 Sending information, documents and / or materials to a person other than the intended recipient

PREVENTION
The Company will take all available and reasonable steps to prevent the occurrences of malpractice and maladministration through the effective detection of irregularities and the reporting and investigation into any instances. These steps include:
 Learners will undergo an induction which will inform learners of The Company policy on malpractice and the penalties for attempted and actual incidents of malpractice and they will be provided with a copy of the policy in the learner handbook.
 Showing learners, the appropriate formats to record cited texts and other materials or information sources including websites. Learners should not be discouraged from conducting research; indeed, evidence of relevant research often contributes to the achievement; however, the submitted work must show evidence that the learner has interpreted and synthesised appropriate information and has acknowledged any sources used.

REPORTING
Anybody who identifies or is made aware of suspected or actual cases of
malpractice or maladministration at any time must immediately report their
findings to The Company where the Directors will promptly take any steps which
seem to him/her to be appropriate to prevent any adverse effect to which the
suspected malpractice / maladministration may give rise and where any such
Adverse Effect occurs, mitigate it as far as possible and correct it. At this stage the
directors will inform the awarding body of the incident and keep them informed
of the progress accordingly.
In doing so they should put them in writing/email and enclose supporting
evidence with the form including (where relevant):
 Centre’s name, address and number.
 Learner’s name.
 Title and number of the qualification / accredited course affected or
nature of the service affected.
 Date(s) suspected or actual malpractice occurred.
 Full nature of the suspected or actual malpractice.
 Written statements from those involved in the case e.g. witness
statements.
 Date of the report and the informant’s name, position and signature.
 If malpractice is discovered by an Awarding Body representative (e.g.
EV, EE, EQA, examiner, moderator, etc.) or has been reported directly to
the Awarding Body by a third party, the relevant Awarding Body will
conduct an investigation taking into account the nature of the
malpractice allegation. Such an investigation will require the full
support of the Managing Director and all personnel linked to the
allegation.
 Where it appears that the suspected malpractice / maladministration
may involve another Awarding Organisation, the Director will inform
that Awarding Organisation as appropriate.

 In suspected cases of malpractice that involve an Awarding Body
representative (e.g. EV, EQA, EE, etc); the relevant Awarding Body will
conduct an investigation appropriate to the nature of the allegation.
 For accredited courses and NVQ/SVQ qualifications, any alleged
incident of malpractice brought

To the awarding body’s attention after the issue of certificates will result in a full
investigation by the awarding body. Depending on the outcome of the
investigation, certificates may be recalled and declared invalid.
 Where the suspected malpractice / maladministration involves the
awarding of regulated

Qualifications, the regulatory authorities will be informed as appropriate and
according to any such requirements laid down by them. Due regard will be given
to any requests or directives issued by the regulatory authorities to carry out
particular courses of action in relation to any case of suspected malpractice /
maladministration.
 Where in the opinion of the Director the case of suspected malpractice
/ maladministration is such as to suggest that a criminal act may have
been committed, the appropriate law enforcement agencies will be
informed and due procedures followed as required by those agencies.
 We have to investigate all cases of maladministration in liaison with
the parties concerned. If an investigation results in evidence of
maladministration, we will unfortunately have to impose the
appropriate sanction and take the necessary steps to ensure that the
learners’ interests are protected as far as is reasonably possible. This
may include making arrangements for re-assessment or certification,
as appropriate.
 Records of investigation are kept as per awarding organisation
requirements. For example investigations regarding SQA regulated
qualifications will be held for 6 years and all other SQA qualifications
for 3 years.

DEALING WITH MALPRACTICE AND MALADMINISTRATION
 It is the responsibility of the Director to carry out an investigation into
allegations of malpractice. Investigations into alleged malpractice
against the Directors will be carried out by an appointed nominee. The
alleged incident must be reported to the Awarding Body at the earliest
opportunity.
 The Company will ensure that staff leading the investigation are
independent of the staff/learners/function being investigated.
 In all cases The Company will protect the identity of the ‘informant’ as
required.
 The Company personnel who have had previous involvement in the
matter do not participate in the review process.
 The Company aims to action and resolve all stages of the investigation
within 20 working days of receipt of the allegation. Please note that in

some cases the investigation may take longer; for example, if a centre
visit is required. In such instances, we’ll advise all parties concerned of
the likely revised timescale.
 The investigation may involve:

 A request for further information from The Company or The
Company’s personnel.
 Interviews (face to face or by telephone) with personnel
involved in the investigation.

 If The Company discovers or suspects anyone of malpractice, The
Company must make the individual fully aware (preferably in writing)
at the earliest opportunity of the nature of the alleged malpractice and
of the possible consequences should malpractice be proven
 If The Company is alleging an individual may have been involved in act
of malpractice, must give the individual the opportunity to respond
(preferably in writing) to the allegations made. must also inform such
individuals of the avenues for appealing should a judgment be made
against them.
 Assessors/Trainers will be investigated according to the procedures
laid down in the Awarding Bodies Code of Conduct / Terms and
Conditions.
 Employees of will be investigated according to the disciplinary
procedures laid down in the Employee Handbook.
 Failure on the part of any person connected with (whether Applicant,
Trainer, Examiner, Employee, etc.) to co-operate with any investigation
into malpractice or maladministration may lead to appropriate action
being taken against that person.

It may be necessary during this process to notify the funding authorities and for
the Awarding Body to share information with other Awarding Bodies. The
Awarding Body may have to notify the police in some cases of malpractice.
OUTCOMES
On conclusion of a malpractice / maladministration investigation, The Company
will propose one or more of the following courses of action if the allegation is
upheld.
 Trainers/Assessors/members of staff may be subject to disciplinary
proceedings as per the Awarding Body Code of Conduct
 Employees may have their contract suspended or terminated.
 Contracted personnel found guilty of malpractice may have their
Engagement revoked.
 The Company reserves the right in all cases to publish the names of
those found guilty of malpractice.
 The Director will ensure that all reasonable steps are taken to prevent
the malpractice or maladministration from recurring.
PENALTIES AND SANCTIONS APPLIED BY AWARDING BODIES

Where malpractice against a Centre/member of staff/learner is proven, the
awarding body will have to consider whether the integrity of its
assessments/examinations/tests might be jeopardised if /member of
staff/learner in question were to be involved in future
assessments/examinations/tests.
APPEALS
Appeals to against outcomes arising from malpractice need to be made only to
the Director by learners and/or members of staff.
Individual members of Centre staff may appeal to the Awarding Body in respect of
decisions taken against them personally.
RIGHT OF APPEAL
Any appeal against the outcome of a malpractice investigation should be made
according to The Company’s policy and procedures for complaints.

Data Management Procedure for SQA Qualifications
DATA MANAGEMENT PROCEDURE FOR SQA QUALIFICATIONS
INTRODUCTION
L & L Training Ltd, known as ‘The Company’ within this document, is fully aware of
the Awarding Organisations requirement to have a functioning Data Management
system.  This system will ensure that data received, stored and processed will be
kept secure and will be stored in accordance to the relevant Data Protection Act.
PROCESS
Administration staff will ensure the Trainers/Assessors operating on behalf of The
Company will collect all of the necessary data required by the Awarding
Organisation to properly register and manage each individual’s qualifications.
The form used to hold this information is the Learner Registration/Achievement
Details Form, these are included in the Learner Induction Pack given to Learners
at the commencement of their course.
At start of the programme the forms are given to Administration staff by the
Trainer/Assessor in order that the Learners can be registered for the appropriate
qualification/s, once registered the Administrator will record the registration
number on the Learner form and return the forms to the Trainer/Assessor in
order that the Learners number can be recorded on the Assessment
documentation.
The Administrator will use the company address to register the Learner, this will
ensure all Certificates are sent to The Company where the Certificates will then
be sent to the Learner. In some instances the Certificates are sent to the
Company address that has requested and paid for the training. All certificates are

sent with a covering letter and a return section asking for confirmation of the
receipt of Certificates which should be returned to The Company.
At the point where Certificates are received by The Company, the Administrator
will access the SQA Connect portal and reinstate the Learners home address, the
information will be taken from the original Learner Registration/Achievement
Details Form.
For Learners not continuing with their qualifications, on confirmation of leaving
the programme the Administrator will withdraw the Learners from the SQA
Connect portal.
Data Cleansing – ensure that the candidates who are registered through the sqa
connect system details are correct and check completion dates of the
qualification they are registered for are in date , Update information where
necessary – to be checked over 12 weeks or when necessary
STORAGE OF PERSONAL DETAILS
The personal details of all learners are kept on the secure company shared area
which is password protected.  Only authorised Company staff will have access to
this area.
Hard copies of any paperwork containing personal details will be scanned and
uploaded to a learner folder on the shared area.  The hard copy will then be
shredded.
All records will be retained and stored  to meet the legal requirements of the Data
Protection Act 1998 and the SQA.
MANAGEMENT OF LEARNER EVIDENCE RECORDS
Below are the SQA requirements for retention of learner assessment and
verification records;

EVIDENCE RETENTION REQUIREMENTS
Table 1: Centres NOT selected for external verification
Table 2: Centres NOTIFIED of selection for external verification
Type of qualification

Retention
time Bulky evidence

Ephemeral
evidence Retention time Bulky evidence

Ephemeral
evidence

Higher National Units
 
Professional
Development Award
Units

3 weeks after
candidate
Unit
completion
date

3 weeks after
candidate Unit
completion date

3 weeks after
candidate Unit
completion date Retain for EV visit

Retain physical evidence
of identified Unit sample
for EV visit, keep *records
of other evidence but
dispose of other physical
evidence

Keep * record of
evidence of Unit
sample, if visit not
scheduled for date of
assessment

Higher National
Graded Units

3 weeks after
candidate
Unit
completion
date

3 weeks after
candidate Unit
completion date

3 weeks after
candidate Unit
completion date

Retain project
evidence for EV
visit/examination
evidence for central
verification event

Retain physical evidence
of identified Unit sample
for EV visit, keep *records
of other evidence but
dispose of other physical
evidence

Keep* record of
evidence of Unit
sample, if visit not
scheduled for date of
assessment

SVQ/NVQs
 
Skills for Work
Courses

3 weeks after
candidate
Group Award
completion
date
 

3 weeks after
candidate Group
Award completion
date

3 weeks after
candidate Group
Award completion
date Retain for EV visit

Retain physical evidence
of identified Unit sample
for EV visit, keep *records
of other evidence but
dispose of other physical
evidence

Keep* record of
evidence of Unit
sample, if visit not
scheduled for date of
assessment

NQ Units belonging to
National Courses and
Awards, even if taken
as stand-alone Units.
 
NQ Coursework

End of
academic
year in which
Unit resulted
— 31 July

Keep  records of
evidence to end of
academic year in
which Unit
resulted — 31 July

Keep records of
evidence to end of
academic year  in
which Unit resulted
— 31 July

End of academic
year in which Unit
resulted — 31 July

Retain physical evidence
of identified Unit sample
for EV visit, keep 
*records of other
evidence record but
dispose of other physical
evidence

Keep * record of
evidence of Unit
sample, if visit not
scheduled for date of
assessment

SQA Awards**
National Certificates
National Progression
Awards

3 weeks after
candidate
Unit
completion
date

3 weeks after
candidate Unit
completion date

3 weeks after
candidate Unit
completion date

3 weeks after
qualification
completion date

Retain physical evidence
of identified Unit sample
for EV visit, keep *records
of other evidence but
dispose of other physical
evidence

Keep * record of
evidence of Unit
sample, if visit not
scheduled for date of
assessment

Construction short
duration
qualifications:
Street Work
qualifications
Health and Safety in a
Construction
Environment
Level 1 and National
End of
academic
year in which
qualification
resulted — 31
July

Keep  records of
evidence to end of
academic year in
which qualification
resulted
— 31 July

Keep  records of
evidence to end of
academic year in
which qualification
resulted
— 31 July

Retain for EV visit Retain physical evidence
of identified Unit sample
for EV visit, keep *records
of other evidence but
dispose of other physical
evidence

Keep * record of
evidence of Unit
sample, if visit not
scheduled for date of
assessment

Workplace Awards
 
*records of evidence may be in electronic, paper, visual or audio formats
**SQA Awards — Customer Service; Cycling; Internet Safety; Personal Finance;
Safe Road User; Wider Achievement

Roles and Responsibilities for Vocational Qualifications
ROLES & RESPONSIBILITIES FOR VOCATIONAL QUALIFICATIONS
Title Who are They? What is Their Role

Candidates

Individuals seeking
credit for their
achievements and
competence

 Show they can perform to national
standards in order to be awarded with an
S/NVQ or Construction Certificate or
demonstrate the specified knowledge,
understanding and skills.
 Take some responsibility for the quality of
evidence provided to assessors.
 Show regular progress toward the
qualification
 Provide authentic evidence
 Ensure contact information is kept up-to-
date and notify assessor of any changes.
 Notify the assessor in advance if deadlines
cannot be met.

Assessors

Employed by an
approved centre to
assess candidates’
evidence. They are
in direct contact with
candidates

 Undertake candidate induction
 Support the candidate through the
qualification
 Identify and support candidates requiring
reasonable adjustments/special
considerations.
 Judge candidates’ evidence against the
national standards.
 Decide whether the candidate has
demonstrated competence.
 Ensure that the assessment practice meets
awarding body guidance.
 Attend standardisation meetings and
maintain CPD

Internal Verifiers

Employed by an
approved centre to
ensure consistency
and quality of
assessment within
the centre

 Work with assessors to ensure the quality
and consistency of assessment.
 Monitor how the centres assessors carry
out assessments.
 Ensure that their own verification practice
meets the required standards.
 Make sure that the assessment and
verification records and documents are fit
for purpose and meet awarding body
requirements.
 Ensure that requests to the awarding body
for certificates are based on assessments
of consistent quality.
 Provide support and guidance for centres
assessors.

Centre Co-ordinators

May take on some
of the internal
verifiers functions,
particularly
administration

 Act as contact for the awarding body and
the external verifier.
 Ensure that there are accurate assessment
and verification records for the qualification.
 Ensure there is the appropriate amount
assessors or internal verifies for each
award.
 Request certificates from the awarding
body.
 Maintaining security of access to the
Awarding organisations system e.g. SQA
Secure Site, and to notify the AO of a
suspected breach to this site.
 Notify AO’s of any change of premises,
change of head of centre, owner or Co-
ordinator, change of name of centre or
business or contact details, outcome of
internal/external investigations, removal of
centre and or qualifications approval by
another awarding body, any change to
centre’s arrangements for secure storage
of examination papers and candidate
evidence (where relevant).
 Periodically ensure centres document
retention procedures are in line with AO
requirements.

Approved Centres

Organisations
approved by the
awarding body to
assess and verify
qualifications

 Manage assessment and verification on a
day to day basis
 Have effective assessment practices and
internal verification procedures
 Meet awarding body requirements for
delivering the qualifications
 Have sufficient competent assessors and
internal verifiers with enough time and
authority to carry out their roles effectively.

External Verifiers

Appointed by the
awarding body to
monitor the work of
the approved
centres. They are
they key link
between the
awarding body and
centre.

 Make sure that decisions on competence
are consistent across centres.
 Make sure that they quality of assessment
and verification meets national standards.
 Sample candidate assessments and
monitor assessment and verification
practices in centres.
 Provide feedback to centres
 Make regular visits to centres and
assessment locations.

Expert Witness

A person whose
level of specialised
knowledge or skill in
a particular field
qualifies them to
present their
opinions or facts

 Will posses the relevant occupational and
trade knowledge.
 Does not need to be a qualified assessor
but is required to be a subject matter expert
with an understanding of the assessment
procedure of which he/she is a part
 When learners are in the workplace, their
line manager, or supervisor may be able to
act as the expert witness.

Awarding Bodies Organisations
accredited to award
vocational
qualifications

 Ensure the quality and consistency of
assessment for qualification nationality
 Provide guidance for centres
 Appoint, support and develop external

verifiers, allocate them to centres and
monitor their work.
 Approve and monitor centres against
specified criteria
 Collect information from centres to inform
national decisions about delivering
qualification
 Provide information to awarding
organisations

Standard Setting
Bodies

Develop the national
occupational
standards on which
S/NVQ and related
vocational
qualifications are
based.


Work with awarding bodies to produce an
assessment strategy

Provide information about, and the
clarification of the national occupation
standards.

SQA (Scottish
Qualifications
Authority)

The accrediting
body for Scotland

 Accredit qualifications put forward by
awarding bodies f they are meet the
published criteria
 Ensure the quality of the overall
qualifications system through work with
awarding bodies
 Monitor the quality and effectiveness of
awarding bodies through quality audits.

QCA (The
Qualifications &
Curriculum Authority)

The accrediting
body for England,
Wales and Northern
Ireland

 Accredit qualifications put forward by
awarding bodies if they meet the published
criteria
 Ensure the quality of the overall
qualifications system through work with
awarding bodies
 Monitor the quality and effectiveness of
awarding bodies through quality audits.

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