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QAA Recognition Scheme for Access to Higher Education in England, Wales and Northern Ireland
Principles and criteria for the licensing of Authorised Validating Agencies

Approved October 2005

Preface

This section of the QAA Recognition Scheme for Access to Higher Education in England, Wales and Northern Ireland (Recognition Scheme ) document contains the principles and criteria to which the Quality Assurance Agency for Higher Education (QAA) refers when considering the fitness of a body to hold an Authorised Validating Agency (AVA) licence and thus become an awarding body for Access to Higher Education (HE). The principles and criteria have been developed to provide assurance in respect of the proper governance and operation of AVAs, and the quality assurance and academic standards which they promulgate in order to secure the quality of Access to HE provision, its continuing fitness for purpose, and the sufficiency and consistency of its standards. In this section, the four main principles articulate the fundamental objectives of AVA licensing and provide the context for the more detailed criteria.

The licensing criteria define the requirements for the award and renewal of AVA licences, but they may be met in different ways by different organisations. In the process for licensing and relicensing of AVAs, QAA will consider all relevant information and circumstances in order to assess whether the criteria have been met. Organisations will be encouraged to demonstrate how, in relation to their own circumstances, they have addressed these criteria. In some instances, where an organisation is being considered for an initial licence, such evidence will not always be available, as it will depend on some activity having taken place. An assessment of an organisation’s ability to meet the criteria will, in these instances, be based on the description of the structures, systems and processes which it intends to implement.

For the purposes of this document, the organisation to which an AVA licence is awarded by QAA is referred to as 'the AVA', irrespective of whether or not it has other responsibilities in addition to those related to Access to HE.

The principles for the licensing and relicensing of AVAs

Principle 1: Governance

The organisation has governance structures which enable it to meet its legal and public obligations, to render it appropriately accountable, and to allow it to discharge its AVA responsibilities securely.

Principle 2: Management

The organisation is able to manage its AVA responsibilities effectively, and to maintain an appropriate structure to support them.

Principle 3: Quality assurance, enhancement and development

The organisation is able to assure the quality and fitness for purpose of Access to HE programmes at the point at which they are granted formal approval, and to have effective means to develop, evaluate and review the Access to HE provision for which it has responsibility.

Principle 4: Academic standards

The organisation is able to secure the standards of achievement of students awarded the Access to HE Diploma.

The criteria for the licensing and relicensing of AVAs

Principle 1: Governance

The organisation has governance structures which enable it to meet its legal and public obligations, to render it appropriately accountable, and to allow it to discharge its AVA responsibilities securely.

Rationale

This principle is designed to ensure the current and probable future security of the licence within an AVA as an organisation. It requires the AVA to be properly constituted, to ensure that there is an appropriate balance between its management and governance structures, to specify clearly responsibilities for its major operations, and to protect itself from inappropriate or undue influence. The criteria also ensure that an AVA cannot devolve its major responsibilities under the licence to other bodies or individuals. In the Recognition Scheme, these aspects of governance are seen as forming the secure foundation for an AVA’s activities as a validating body.

It is also a fundamental aim of the Recognition Scheme to promote the Access to HE Diploma as a national award which is consistent and comparable across the range of licensed AVAs. It is thus in the interests of the Recognition Scheme, and the Access to HE provision which it regulates, to ensure that AVAs are independent bodies, which are able to respond to the requirements of the Recognition Scheme without being unduly restricted or controlled by any other body or organisation. The adoption of a clear legal identity is thus seen as a key element, as is the ability of an AVA to control its own staffing, finances and other resources.

Criteria

The organisation will be able to demonstrate that:

1.1 it has aims which are congruent with the overall purposes and aims of the Recognition Scheme

1.2 its constitutional basis is clear and readily identifiable, and that it has formal documentation which provides a description of its legal identity, functions, aims, and structures

1.3 its constitutional arrangements and governance structures ensure an appropriate level of formal accountability, and that the organisation is protected from the undue influence of any one of, or a minority group of, its stakeholders

1.4 its constitutional basis or relationship to any other organisation does not restrict the independent decision-making or operation of the AVA as specified under the terms of the AVA licence

1.5 it has taken legal advice about the appropriateness of its legal identity to meet its public obligations, and has taken a considered decision on the basis of the advice received

1.6 either its legal identity ensures that its liability exists separately from that of its individual stakeholders and their representatives, and/or it has taken steps to limit its liability and that of its individual stakeholders, so far as is possible, through insurance

1.7 either its legal status requires it to have formally regulated financial arrangements, and/or it has established an external agency arrangement through which its financial affairs are scrutinised

1.8 there is a clearly identified basis on which it is able to enter into formal legally binding agreements; and, where there are formal agreements between the organisation and the suppliers of any goods or services which are integral to the operation of the AVA (including where the supplier is otherwise involved in the operation of the AVA), such agreements define the separation of the responsibilities, liabilities and authority of each party

1.9 it is not itself a provider of Access to HE programmes or a receiver of Access to HE students

1.10 its constitutional structure includes the participation of organisations providing Access to HE programmes, HE institutions which receive Access to HE students and are subscribers to the QAA, and other organisations, agencies, or public bodies with appropriate interests in Access to HE and the provision of educational opportunities for adults across its region

1.11 within its governance structure, it has sufficient and appropriate experience and expertise to ensure sound governance and informed decision-making in relation to Access to HE matters and, in particular, that:

1.12 the clearly identified locus of authority for AVA responsibilities within its governance structures is that body with ultimate controlling authority within the organisation; and that there are clear descriptions of the role and responsibilities of any executive officers or sub-committees which may be involved in the practical operation of the licence and, in particular, that:

Principle 2: Management

The organisation is able to manage its AVA responsibilities effectively, and to maintain an appropriate structure to support them.

Rationale

This principle places a strong emphasis on the AVA’s adoption of a formal strategy for Access to HE as part of its planning processes, and the establishment and development of a culture of quality and self-assessment within the AVA. It is also designed to ensure that the organisation has the administrative and management capacity to operate the AVA licence appropriately, and to sustain that management successfully into the future. There is a focus on areas such as systematic data collection, rigorous financial management, proper record-keeping and written procedures for key operations. This is designed to ensure that the work of the organisation is well-established, sustainable and not reliant on individual staff. The expectation that an AVA will engage in activities which promote Access to HE more generally is part of the Recognition Scheme’s aim to extend the opportunities which are provided by Access to HE programmes locally, regionally and nationally.

Criteria

The organisation will be able to demonstrate that:

2.1 it has a strategy for Access to HE and has systematic and effective mechanisms which enable it to pursue that strategy and, in particular, that:

  1. it operates a regular strategic planning process
  2. it has strategic and operational objectives which address the development and enhancement of Access to HE provision; and which take account of prevailing regional and national strategies, and issues relating to credit
  3. it has specific targets related to its declared objectives for Access to HE, and assigns responsibilities and resources for meeting those targets
  4. it has arrangements in place for monitoring, evaluating and reporting on the achievement of targets
  5. its policies and plans relating to Access to HE are systematically reviewed and revised, taking account of the outcomes of the monitoring process
  6. its arrangements make effective use of the views of Access to HE programme providers and receivers of Access to HE students

2.2 its strategy for Access to HE includes the promotion of Access to HE in general and, specifically, purposeful action to advise its providers and other stakeholders on the appropriate development and targeting of their programmes; and in particular that it identifies, as part of its overall strategy, those groups in its locality and region which have most need of further opportunities to progress to HE, communicates its analyses to its providers on a regular basis, and cooperates with other organisations and agencies in its region which have responsibilities or shared interests in educational opportunities for adults

2.3 it has established procedures for monitoring and assessing the continuing quality and effectiveness of its management and operation, including consideration of potential risks to its activities, and mechanisms to ensure that appropriate action is taken in response to the outcomes of such procedures and, in particular, that:

  1. it has in place a self-assessment mechanism designed to enhance organisational quality and leadership
  2. it makes use of statistical and other data to review its performance
  3. it keeps explicit records of the AVA's achievement in relation to its stated objectives for the year

2.4 it establishes and maintains an effective deliberative structure with a clear statement on the membership, terms of reference and the mode of operation of each committee and, in terms of public accountability, ensures that all formal minutes and other records are produced to a professional standard

2.5 it operates a systematic and rigorous approach to the management of its financial affairs and, in particular, that:

  1. it has forward planning in its financial management including budgeting mechanisms which take account of the AVA’s objectives and specific targets for Access to HE
  2. there are clear processes and systems through which it records, controls, and monitors financial decision-making and transactions
  3. it operates standard accounting procedures and is able to produce annual accounts appropriate to meet the requirements of the annual report to QAA

2.6 there is a level and structure of staffing and physical resources capable of delivering the requirements involved in the holding of an AVA licence, and the AVA’s staff are fully accountable to it through clear management lines and, in particular, that:

  1. its facilities and administrative systems are sufficient to manage its AVA responsibilities
  2. responsibility for the effective leadership and day-to-day management of the organisation is clearly located
  3. appropriate staff training and development is available

2.7 it has published operational procedures related to Access to HE including those related to the registration of students with the AVA; the development, validation, and moderation of Access to HE programmes; and the award of credit and Access to HE Diplomas and the issue to students of credit transcripts and diplomas, in keeping with the requirements of the common credit framework for Access to HE

2.8 it has effective structures and systems for the collection, recording and holding of data about Access to HE programmes and students and, in particular, that:

  1. it has systems which enable the organisation to track learner achievement and award and transfer credit, in keeping with the requirements of the common credit framework for Access to HE
  2. it maintains a current record of all units, in a standard format, which have been approved for use within the AVA’s Access to HE programmes
  3. it is able to provide accurate and timely information to satisfy QAA’s reporting requirements

2.9 it communicates to its stakeholders effectively about matters relating to Access to HE and, in particular, that:

  1. it has mechanisms to inform providers directly and promptly of regulatory matters relating to the design, delivery, and management of Access to HE programmes
  2. AVA policies, procedures, and activities, including its strategy for Access to HE, are made widely and regularly available to its stakeholders

2.10 it fulfils its responsibilities as an awarding body by monitoring the activities of its providers to maintain the integrity of the Access to HE Diploma and, in particular, that:

2.11 it has an approved equal opportunities policy, the implementation of which is evident in relation to its activities, processes and procedures

2.12 it has transparent and accessible procedures to enable complaints, grievances and appeals to be received, considered, and resolved fairly, including procedures to consider complaints from students and providers to the AVA in its role as an awarding body

2.13 it is able to produce an annual report on its activities, and the Access to HE provision for which it has responsibility, in accordance with QAA requirements.

Principle 3: Quality assurance, enhancement and development

The organisation is able to assure the quality and fitness for purpose of Access to HE programmes at the point at which they are granted formal approval, and to have effective means to develop, evaluate and review the Access to HE provision for which it has responsibility.

Rationale

The processes of the approval and review of individual Access to HE programmes are at the heart of the Recognition Scheme and are among its key quality assurance processes. This principle acknowledges the importance of thorough and transparent development and validation processes, making appropriate reference to the requirements of the common Access to HE credit framework and Access to HE qualification specification, and requires that the act of approval is made with the full authority of the AVA as the holder of the licence. It also requires AVAs to establish mechanisms by which the Access to HE programmes they validate are subject to continuing review and enhancement.

Criteria

The organisation will be able to demonstrate that:

3.1 it operates an effective system of programme development, through which it clearly specifies its requirements and provides appropriate guidance relating to:

  1. the individual stages and procedures for the development of Access to HE programmes, including a requirement that the development process involves consultation with representatives from HE with relevant expertise
  2. the process and criteria for the validation of Access to HE programmes , including a statement that QAA recognition may be given only to programmes which are delivered in the UK 1
  3. Access to HE programme design, with reference to the structures and mechanisms of the common credit framework for Access to HE, and including a requirement that programmes should be explicitly designed to prepare adult students from under-represented groups for study in UK HE
  4. the award of an Access to HE Diploma, with reference to the common, credit-based Access to HE qualification specification
  5. the form and content of documentation to be submitted for programme validation
  6. any other matters which are relevant to the successful validation of an Access to HE programme

3.2 there is a rigorous system for programme validation, including processes for unit approval and approval of rules of combination, which is designed to ensure consistency of outcome in relation to the quality and academic standards of Access to HE programmes

3.3there are established procedures for the conduct of programme validation panels which ensures externality, objectivity and consistency of process in the consideration of Access to HE programme submissions and, in particular, that:

  1. there are established criteria for the membership and composition of validation panels, to include representatives from providers of Access to HE programmes (external to those applying to deliver the programme), receivers of Access to HE students in HE, and relevant curriculum expertise for the programme being considered
  2. validation panel members are made aware of the purpose, conduct, and possible outcomes of the validation process
  3. the roles and responsibilities of validation panel members and any AVA officers attending a validation panel are made clear
  4. the chair and members of the validation panel have no real or apparent conflicts of interest in respect of the outcome of the validation event, and those responsible for developing the programme are not involved in the validation process
  5. validation panel outcomes are properly recorded with a clear indication of any subsequent action, the responsibility for taking such action, and the relevant timescales
  6. any conditions set as a result of the validation exercise are met prior to the commencement of the programme, and that their satisfactory fulfilment is formally recorded
  7. up-to-date records of all validation decisions and definitive programme documentation are maintained

3.4 the validation process must confirm that a programme meets the standard requirements relating to

3.5 the validation process must ensure that a programme is fit for purpose as a preparation for study in HE in general, and with reference to the programme's main intended progression route(s) in particular, through its consideration and confirmation of

3.6 where an Access to HE programme is intended to lead to further study for a professional qualification, students are made aware of, and given the opportunity to meet, the entry requirements of the professional body concerned

3.7 the recommendations of a validation panel are referred to the designated body within the AVA’s deliberative structure for formal approval, and that the approval of an Access to HE programme is made with the full authority of the AVA prior to its commencement

3.8 there are processes in place to regulate modifications to programmes to ensure programmes’ continuing coherence and to ensure that, in cases where modifications are substantial, the programme is subject to a further full validation process

3.9 there is a rigorous system for the regular review and development of the Access to HE provision validated by the AVA, with reference to quality and comparability of programmes and consistency of student outcomes and, in particular, that:

  1. the review of programmes is undertaken on an annual basis, or on some other regular timescale for which the AVA has a convincing rationale
  2. the process for review involves self-assessment of Access to HE programmes by providers which, itself, includes consideration of student feedback
  3. the review includes analysis of the effectiveness of targeting in relation to recruitment; the quality of the students' experience; the standards of student achievement; student retention, completion and progression; and appropriate responses to issues raised through the process of moderation
  4. there are mechanisms to identify matters of concern arising from review processes; to address the matters identified; to stipulate those responsible for taking action; and to indicate an appropriate timescale within which such action should be taken
  5. data on Access to HE programmes and students, including an appropriate cohort analysis, is formally considered within the review process
  6. there are mechanisms through which the AVA is able to identify and disseminate good practice, and to ensure that the outcomes of review procedures are fed into its own planning processes

3.10 it has a system for the periodic revalidation of programmes which assures their continuing quality and fitness for purpose; and in particular that:

  1. it has a clear timescale for revalidation which should not normally be more than five years from initial validation
  2. the process of revalidation addresses the continuing appropriateness of the areas listed in 3.5 above
  3. the process of revalidation takes into account the outcomes of annual programme monitoring and review procedures
  4. the process includes representation from HE
  5. the process includes a critical review prepared by the provider

3.11 it is a focus for the promotion and development of Access to HE provision within its government region or regions, and offers appropriate services and opportunities to support the processes for the quality assurance and enhancement of Access to HE and, in particular, that it:

  1. provides opportunities to enable practitioners to discuss and share best practice in respect of Access to HE provision
  2. provides opportunities for the discussion of approaches to curriculum and curriculum development across the providers within the AVA
  3. facilitates events or initiatives designed to enhance the consistency and equivalence of assessment practices and academic standards
  4. promotes initiatives which focus on innovation and development in Access to HE provision
  5. provides leadership in the promotion of Access to HE at local and regional levels, and becomes involved in national projects which have the same purpose.

Principle 4: Academic standards

The organisation is able to secure the standards of achievement of students awarded the Access to HE Diploma.

Rationale

This principle is designed to ensure that an AVA establishes and operates its systems for ensuring that the consistency and sufficiency of academic standards is maintained for the awards which it has responsibility. The principle also incorporates the requirement for a regulated and secure process for the award of the Access to HE Diploma and the issue of Access to HE certification.

Criteria

The organisation will be able to demonstrate that:

4.1 it has established a system of regular external programme monitoring and assessment ('moderation') through which the quality, comparability and fitness for purpose of Access to HE programmes, and the consistency and sufficiency of standards of student achievement, are assured and, in particular, that:

  1. there is a clearly specified definition of the function of moderation, to include the maintenance and enhancement of the quality and fitness for purpose of Access to HE programmes; monitoring the student experience on the programme; the verification of standards of student achievements leading to the granting of the Access to HE award; and an overview of the conduct of assessment, which ensures the approved programme is being delivered and that students are receiving fair and equitable treatment
  2. moderation processes pay due regard to objectivity, impartiality, fairness and equity
  3. the moderation process ensures that the standard of all Access to HE awards is consistent within the AVA and meets the requirements of the common Access to HE qualification specification and appropriate subject specifications, where they exist
  4. there is a clear specification for the operation of the process of moderation, including the purpose and number of visits, the activities to be undertaken, criteria for the sampling of evidence of student achievement, and processes for verifying and monitoring the standards achieved by students
  5. where the AVA’s own process of moderation makes use of providers' internal moderation or verification procedures, there is a system for approving and monitoring those procedures, and the articulation between the systems of internal and external moderation is set out
  6. where there is more than one moderator for a programme, or the organisation operates a system with different categories of moderators, the respective responsibilities of different moderators are identified, and relationship between them is stated
  7. within the moderation process as a whole, there is provision for expert moderation at the subject level

4.2 it has procedures that will ensure that those who act on the AVA's behalf to monitor the quality of Access to HE programmes and the standards of student achievement ('moderators') are competent to do so and, in particular, that:

  1. there are clear criteria for the selection of moderators, which include appropriate expertise, current curriculum knowledge and relevant experience in adult education, FE or HE
  2. moderators are external to the provider and have a sufficient degree of independence from the admissions process of related programmes within any receiving institution to ensure that there is no potential conflict of interest
  3. moderators are appointed by, and responsible to, the AVA and not a providing or receiving institution
  4. there are explicit contractual arrangements between the moderator and the AVA, which set out the moderator's duties and term of service, and prohibit any sub-contracting of duties
  5. the period of office of a moderator for any one Access to HE programme, or any one Access to HE provider, is time-limited and, normally, no longer than four years
  6. there are sufficient moderators appointed in response to the number and range of subject areas on the Access to HE programme, and to ensure that the moderation of student achievement is thorough, rigorous and fair
  7. there is provision for the mandatory induction and training of new moderators that will enable them to carry out their role effectively, including guidelines which detail the nature of the AVA's moderation process; the roles and responsibilities of moderators; and the authority with which they are entitled to act
  8. there are established mechanisms to enable moderators to compare standards and judgements across the AVA’s programmes
  9. there are mechanisms through which moderators are updated on any changes in the AVA’s or other relevant body’s policy and practice
  10. there are mechanisms through which the AVA monitors moderators' performance, and responds appropriately where their performance is deemed to be unsatisfactory
  11. there is a process through which the AVA can terminate a moderator's employment, if necessary

4.3 it makes use of the outcomes of the moderation process to improve and enhance approved Access to HE programmes and, in particular, that:

  1. there is clear guidance for moderators on the nature, structure, content, frequency and submission of moderation reports
  2. there is an involvement of key AVA committees with responsibilities for quality and standards at appropriate points in the overall framework for moderation including the appointment of moderators and the receipt of, and response to, moderators’ reports
  3. there are procedures for receiving and responding to moderation reports; processes for ensuring that appropriate staff of providing organisations receive copies of moderators' reports; and procedures for ensuring that recommendations and other matters arising from the reports are acted upon within an agreed timescale
  4. there are clear procedures for action to be taken in the event of providers failing to address issues raised in moderation or other reports to ensure that quality and standards of the programme are safeguarded, including procedures for the ultimate sanction of withdrawal of an Access to HE programme’s approval
  5. the overall outcomes of the moderation process are analysed and reviewed on a periodic basis by the AVA

4.4 it has specified procedures and clear criteria for the award of an Access to HE Diploma to students and, in particular, that:

  1. formal authority for the award of an Access to HE Diploma is clearly located within the AVA
  2. there is explicit guidance about the function, process, and appropriate membership of final assessment boards or meetings
  3. there are effective systems and procedures to ensure consistent application of the programme specification of required learning achievement for the award of the Access to HE Diploma
  4. verified evidence of achievement is required before the award of credits or the Access to HE Diploma can be made
  5. recommendations for the award of Access to HE Diplomas and credits are approved only after the process for moderation has been completed
  6. all students on Access to HE programmes who complete the required learning achievement, as specified in the approved programme documentation, are awarded an Access to HE Diploma or credits, as appropriate by the AVA

4.5 it has a regulated process for the issue of Access to HE Diplomas and credit transcripts to students and, in particular, that:

  1. certificates have a standard format which include the specific title of the award in keeping with QAA’s requirements for Access to HE award titles; the name of the AVA; and the authorised Access to HE logo, including the words ‘recognised by the Quality Assurance Agency for Higher Education’
  2. there are secure administrative procedures for the issue of certificates, and for recording the issue and re-issue of Diplomas and credit transcripts
  3. the AVA provides credit transcripts to all those who have been awarded credits, which details their credit achievement on approved units of the programme.

Standard conditions of approval

The following standard conditions are attached to the award of licences to an AVA. An AVA is required to provide an explicit written statement, which indicates that:

  1. it will conform with, and abide by, the principles, criteria and operational guidance set out in the QAA Recognition Scheme for Access to Higher Education in England, Wales and Northern Ireland, and in any other documents relating to Access to HE, as published from time to time by QAA
  2. it will follow the procedures set out in its licence application and/or those approved in subsequent submissions to QAA
  3. resources are available to it for implementing the procedures set out in its documentation
  4. information about it and its activities, and the Access to HE programmes which it approves, will be provided from time to time, as requested by QAA
  5. it will cooperate with, and participate in, QAA's procedures for the monitoring and review of AVAs
  6. it will not subsequently devolve to another agency any part of those responsibilities described in its submissions as approved by QAA.

1Also including the Channel Islands and the Isle of Man << Back