€¦ · Version 2.0 Page 2 of 246 © The Cpl Institute 2019 QAM Document Details Authors Patrick Toye, Rebecca Walls Version No 2.0 Date 9th April 2020 Document History Date

Version 2.0 Page 1 of 246 © The Cpl Institute 2019

Quality Assurance Manual

Version 2.0 – April 2019


QAM Document Details

Authors Patrick Toye, Rebecca Walls

Version No 2.0

Date 9th April 2020

Document History

Date Revised By Summary of Amendments

11th Mar 2019 PT, CL, RW & PS Initial Draft for Re-Engagement

6th Dec 2019 PT, RW Updating QAM with some of the mandatory changes requested in the Panel Report

9th Mar 2020 PT Updating QAM with some of the mandatory changes requested in the Panel Report

30th Apr 2020 PT Updating QAM with some of the mandatory changes requested in the Panel Report


Contents

Abbreviations – Used in this Document ........................................................................................... 11

Definitions / Glossary of Terms ......................................................................................................... 12

List of Figures .................................................................................................................................... 13

Quality Policy ................................................................................................................. 14

Policy Statement on Quality Assurance and Quality ........................................................ 15

Circulation List ................................................................................................................................... 16

Section 1 – Introduction ................................................................................................. 17

1.1 Company Profile .................................................................................................................... 17

1.2 The Cpl Institute Purpose ...................................................................................................... 17

1.3 The Cpl Institute Mission Statement..................................................................................... 18

1.4 Aim: ....................................................................................................................................... 18

1.4.1 The Cpl Institute’s Core Values are: .............................................................................. 18

1.4.2 Support Learners by: ..................................................................................................... 18

1.4.3 Ensure Learning Best Practice by: ................................................................................. 19

Section 2 – Governance and Management of Quality ...................................................... 20

2.1 Governance ........................................................................................................................... 21

2.1.1 Senior Management Team ............................................................................................ 22

2.1.2 The Cpl Institute Academic Council, Boards, Sub-Committees .................................... 23

2.1.3 Academic Council .......................................................................................................... 24

Boards & Sub-Committees ............................................................................................................ 26

2.1.4 Programme Board ......................................................................................................... 26

2.1.5 Examination Board ........................................................................................................ 27

2.1.6 Teaching, Learning and Assessment Committee .......................................................... 28

2.1.7 New Programme Development Committee ................................................................. 29

2.1.8 Appeals and Review Committee ................................................................................... 29

2.1.9 Admissions Committee ................................................................................................. 30

2.1.10 Quality Team ................................................................................................................. 31

2.1.11 Education and Training Governance ............................................................................. 33

2.1.12 Organisational Risk Management ................................................................................. 35

2.1.13 Business & Operational Risk ......................................................................................... 37

2.1.14 Identification of Risks .................................................................................................... 38

2.1.15 Garda Vetting Policy ...................................................................................................... 39


2.1.16 Safeguarding and Protection Policy .............................................................................. 50

2.1.17 The Dignity at Work Policy ............................................................................................ 56

2.1.18 Risk Analysis .................................................................................................................. 63

2.1.19 Management of Risks .................................................................................................... 64

2.1.20 Risk Matrix .................................................................................................................... 67

2.1.21 Internal Audits ............................................................................................................... 67

2.2 Management of Quality Assurance ...................................................................................... 69

2.2.1 The Cpl Institute Governance & Organisation Structure .............................................. 69

2.2.2 Management Responsibility ......................................................................................... 70

2.2.3 Quality Management Responsibility ............................................................................. 71

2.2.3 Roles and Responsibilities ............................................................................................. 72

2.2.3.1 Head of Operations .................................................................................................. 72

2.2.3.2 Training & Academic Affairs Manager ..................................................................... 72

2.2.3.3 QA & Compliance Manager ...................................................................................... 74

2.2.3.4 Marketing & eLearning Manager ............................................................................. 75

2.2.3.5 Quality Assurance Officer......................................................................................... 76

2.2.3.6 Training & Learning Co-ordinator ............................................................................ 76

2.2.3.7 Tutors ....................................................................................................................... 77

2.3.3.8 Learner Representative ............................................................................................ 79

2.2.3.9 External Quality Assurance Consultant .................................................................... 79

2.2.3.10 Internal Verifier ..................................................................................................... 80

2.3 Embedding a Quality Culture ................................................................................................ 81

2.3.1 Continuous Quality Improvement ................................................................................ 81

2.3.2 Quality Strategy............................................................................................................. 82

Section 3 - Documented Approach to Quality Assurance ................................................. 83

3.1 Documented Policies and Procedures .................................................................................. 83

3.1.1 Principles ....................................................................................................................... 83

3.1.2 Purpose of Quality Management System ..................................................................... 84

3.2 The Cpl Institute Quality System ........................................................................................... 84

3.3 Monitoring and Review ......................................................................................................... 84

3.4 Programmes of Education and Training ................................................................ 85

3.4.1 Programme Development, Approval and Validation .................................................... 85

3.4.2 Programme Approval Process Flow Chart .................................................................... 95

3.4.3 Programme Planning ..................................................................................................... 96


3.4.4 Programme Delivery ..................................................................................................... 97

3.5 Learner Admission, Progression and Recognition ................................................................ 99

3.5.1 Access, Transfer and Progression (ATP) Policy ............................................................. 99

3.5.2 Information for Learners Policy .................................................................................. 103

3.6 Recognition of Prior Learning (RPL) .................................................................................... 104

3.6.1 Recognition of Prior Learning (RPL) Policy .................................................................. 104

3.7 Programme Monitoring and Review ................................................................................... 109

3.7.1 Internal and External Monitoring and Evaluation Policy ............................................ 109

3.7.2 Programme Review, Re-validation and Validation ..................................................... 111

Section 4 - Staff Recruitment, Management and Development ..................................... 117

4.1 Recruitment Procedure ....................................................................................................... 119

4.2 Organisational Communication .......................................................................................... 120

4.3 Staff Development .............................................................................................................. 121

4.3.1 Continuous Professional Development Diagram ........................................................ 123

4.4 Code of Conduct – Staff & Contractors ............................................................................... 124

4.5 Monitoring and Review ....................................................................................................... 124

Section 5 - Teaching and Learning ................................................................................. 125

5.1 Teaching and Learning Policy .............................................................................................. 125

5.2 Provider Ethos that Promotes Learning .............................................................................. 129

5.2.1 Facilitating Diversity .................................................................................................... 129

5.2.2 Learner Issues ............................................................................................................. 130

5.3 National and International Practice .................................................................................... 132

5.4 Learning Environments ....................................................................................................... 133

5.4.1 Learning Resources ..................................................................................................... 133

5.4.2 Selection of Premises .................................................................................................. 134


Section 6 - Assessment of Learners ............................................................................... 136

6.0 Effective Management of Assessments .............................................................................. 136

6.1 Assessment of Learning Achievements .............................................................................. 137

6.1.1 Assessment Information to Learners .......................................................................... 137

6.1.2 Coordinated Planning of Assessment ......................................................................... 138

6.1.3 Security of Assessment Processes .............................................................................. 139

6.1.4 Additional Support Needs for Learners ...................................................................... 140

6.1.5 Consistency of Marking ............................................................................................... 141


6.1.6 Cross Moderation ........................................................................................................ 142

6.1.7 Internal Verification .................................................................................................... 143

6.1.8 External Examiner / Authentication ............................................................................ 146

6.1.9 Appeals, Re-Checks and Reviews ................................................................................ 148

6.1.10 Approval of Assessment Results ................................................................................. 153

6.1.11 Academic Integrity ...................................................................................................... 155

6.1.12 Feedback to Learners .................................................................................................. 160


Section 7 - Supports for Learners .................................................................................. 161

7.1 Code of Practice for Learners with Disabilities ................................................................... 161

7.2 Disability Reasonable Accommodation Policy .................................................................... 166

7.3 Learners Support Policy ...................................................................................................... 170

7.4 Work Placement Support and Supervision Policy ............................................................... 172

Section 8 - Information and Data Management ............................................................. 180

8.0 Management of Information .............................................................................................. 180

8.1 Information Systems ........................................................................................................... 182

8.2 Learner Information System ............................................................................................... 184

8.3 Management Information Systems .................................................................................... 185

8.4 Further Planning.................................................................................................................. 185

8.4.1 Data Collection & Analysis .......................................................................................... 185

8.5 Completion Rates ................................................................................................................ 186

8.6 Document Maintenance and Retention ............................................................................. 186

8.6.1 Document Management ............................................................................................. 186

8.7 Data Protection and Freedom of Information .................................................................... 188

8.7.1 Obtaining and Processing Data ................................................................................... 190

8.7.2 Data Access Requests .................................................................................................. 191

8.7.3 Requests to Rectify, Erase, Restrict or objections to Processing ................................ 192

8.7.4 Data Sharing Requests ................................................................................................ 193

8.7.5 Confidentiality and Security ........................................................................................ 194

8.7.6 Data Cleansing ............................................................................................................. 196

8.7.7 Managing a Data Breach ............................................................................................. 197

8.7.8 Internal Audits ............................................................................................................. 199

8.7.9 Staff Training and Support .......................................................................................... 200

8.7.10 Data Retention & Disposal .......................................................................................... 201


8.7.11 Retention Schedule ..................................................................................................... 203


Section 9 - Public Information and Communication ....................................................... 204

9.1 Programme Information ..................................................................................................... 205

9.1.1 Communication with Learners .................................................................................... 206

9.1.2 Communication with Staff .......................................................................................... 206

9.1.3 Communication with other Stakeholders ................................................................... 206

9.2 Communication Policy ........................................................................................................ 207

9.3 Learner Information ............................................................................................................ 208

9.3.1 Protection for Enrolled Learners (PEL) ........................................................................ 208

9.4 Quality Assurance and Evaluation Reports ......................................................................... 208


Section 10 – Other Parties involved in Education and Training....................................... 210

10.1 Collaborative Provision and Agreements............................................................................ 210

10.1.1 Introduction .................................................................................................................... 211

10.1.2 Purpose ............................................................................................................................. 213

10.1.3 Regulatory and Reference Documents ............................................................................. 213

10.1.4 Scope ................................................................................................................................. 213

10.1.5 Responsibility ..................................................................................................................... 214

10.1.6 Policy Intent and Purpose .................................................................................................. 214

10.1.7 Principles ............................................................................................................................ 215

10.1.8 Key Operating Principles .................................................................................................... 216

10.1.9 Overview of Collaborative Provision .................................................................................. 217

10.1.10 Establishment of Collaborative Provision ....................................................................... 219

10.1.11 Approval for Collaborative Arrangements ....................................................................... 222

10.1.12 Approval for Collaborative Arrangements ....................................................................... 224

10.1.13 Policies on Transnational, Collaborative Provision and Joint Awards ............................. 225

10.1.14 External Expertise, Examiners and Authenticators .......................................................... 225

10.2 External Agents involved in QA ........................................................................................... 226

10.3 Expert Panellists, Assessors and Authenticators ................................................................ 226

10.4 Monitoring & Review .......................................................................................................... 226

Section 11 - Self-Evaluation, Monitoring and Review ..................................................... 227

11.1 Monitoring and Evaluation ................................................................................................. 227

11.2 Provider Self Evaluation and Monitoring ............................................................................ 228


11.3 Internal Monitoring ............................................................................................................. 228

11.3.1 Internal Audits / Evaluations ....................................................................................... 230

11.4 Self- Evaluation, Improvement and Progress...................................................................... 232

11.4.1 Selection of External Evaluators & Consultants .......................................................... 234

11.4.2 Learner Involvement in Evaluation ............................................................................. 234

11.4.3 Management & Staff Involved in Self Evaluation ....................................................... 235

11.5 Provider Quality Assurance engages with External Quality Assurance .............................. 237

11.5.1 Quality Process Model ................................................................................................ 237

Appendix Section 1 - Application .................................................................................. 238

1.0a Application Letter for QQI Re-Engagement ........................................................................ 238

1.0b Completed Application for QQI Re-Engagement ................................................................ 238

1.1 Cpl Learning and Development TA The Cpl Institute .......................................................... 238

1.2 The Cpl Institute Org Chart ................................................................................................. 238

1.3 The Cpl Institute - Provider Agreement Template - v1.1 .................................................... 238

1.4 Cpl L&D Turnover Letter – March 2019 .............................................................................. 238

1.5 Cpl Learning and Development Ltd - Insurance Cert 2018-2019 ........................................ 238

1.6 CPL Learning Tax Clearance Cert ......................................................................................... 238

1.7 Statutory Declaration .......................................................................................................... 238

1.8 KPMG Letter of Support - L&D Ltd ...................................................................................... 238

1.9 TCI - Memorandum of Understanding ................................................................................ 238

Appendix Section 2 - Governance ................................................................................. 239

2.1 ISO 9001 2015 Certificate ................................................................................................... 239

2.2 Copy of Master List of Cpl Institute Courses ....................................................................... 239

2.4 Cpl Learning and Development PEL Arrangements ............................................................ 239

Appendix Section 3 - Management ............................................................................... 240

3.1 Cpl Institute Privacy Policy .................................................................................................. 240

3.2 Cpl Group Data Protection Policy ....................................................................................... 240

3.3 QQI Quality Process Model ................................................................................................. 240

3.10 Internal Key Dates - QQI Certification Periods Schedule - 2019 ......................................... 240

Appendix Section 4 – Programme Development & Delivery .......................................... 241

4.1 Tutor Handbook .................................................................................................................. 241

4.2 Tutor Contract for Services ................................................................................................. 241

4.5 Work Placement - Site Visit form ........................................................................................ 241

4.10 Tutors Evaluation Checklist ................................................................................................. 241


4.11 Tutor Competence Observation Sheet ............................................................................... 241

4.12 Programme Review Template ............................................................................................. 241

4.16 Tutor & Learner Issues ........................................................................................................ 241

4.17 Tutor Declaration ................................................................................................................ 241

Appendix Section 5 – Staff Recruitment & Development ............................................... 242

5.8 Further Education Policy ..................................................................................................... 242

5.10 End of Year Discussion Guide for Managers and Employees .............................................. 242

5.11 Equal Opportunities Policy .................................................................................................. 242

Appendix Section 6 – Health and Safety ........................................................................ 243

6.1 Training Facilities Checklist ................................................................................................. 243

6.2 Safety Statement................................................................................................................. 243

Appendix Section 7 – Assessment and Evaluation ......................................................... 244

7.1 Certificate Request & Daily Training Record ....................................................................... 244

7.2 Instructor Course Report .................................................................................................... 244

7.3 Training Evaluation Form .................................................................................................... 244

7.10 CPL Institute - External Authentication Report Template .................................................. 244

7.11a Internal Verification Report ............................................................................................ 244

7.11b Internal Verification Checklist ......................................................................................... 244

7.12 RAP Meeting Agenda .......................................................................................................... 244

7.15 Learner Request for Assessment Support Form ................................................................. 244

7.17 Learner Feedback Form ...................................................................................................... 244

7.18 Tutor Assessment Process .................................................................................................. 244

7.19 Tutor Guidelines for Marking .............................................................................................. 244

7.20 Letter - Final Statement of Results ..................................................................................... 244

7.21 Letter - Learner Appeal ....................................................................................................... 244

7.25 – Sample - QQI L6 Manual Handling Instruction Exam Paper ................................................. 244

7.26 – Sample - QQI L5 Safety and Health at Work Exam Paper .................................................... 244

7.27 – Sample - QQI L6 Training Needs ID and Design - Assignment Brief ..................................... 244

7.28 – Sample - QQI L5 Care Support Assignment Brief ................................................................. 244

Appendix Section 8 – Learner Access and Administration .............................................. 245

8.1 Learner Handbook .............................................................................................................. 245

8.2 In-Company Confirmation Template .................................................................................. 245

8.3 Public Confirmation Template ............................................................................................ 245

8.4 QQI Consent Form............................................................................................................... 245


8.5 Learner Contract Agreement .............................................................................................. 245

8.6 Pre-Course Questionnaire ................................................................................................... 245

8.7 Sample Pre-Entry to Programme - Interview Questions-Notes .......................................... 245

8.8 Sample Learner Registration Form - Healthcare Courses only ........................................... 245

8.15 Receipt of Submission from Learner ................................................................................... 245

8.20 Hardcopy - QQI L6 Train Deliver & Eval - Learner Handbook ............................................. 245

8.21 Hardcopy – QQI L5 Safety Representation - Learner Handbook ........................................ 245

8.22 Hardcopy – QQI L6 Manual Handling Instruction Learner Handbook ................................ 245

8.23 Hardcopy – QQI L5 Infection Prevention & Control Learner Handbook ............................. 245

8.24 Hardcopy - Workplace Competency Log ............................................................................. 245


Abbreviations – Used in this Document

QQI QQI Quality and Qualifications Ireland MIMLO Minimum Intended Module Learning Outcomes FET Further Education and Training CAS Common Awards System NFQ National Framework of Qualifications PEL Protection of Enrolled Learners PAEC Programmes and Awards Executive Committee ATP Access, Transfer and Progression QA Quality Assurance GDPR General Data Protection Regulation PPSN Personal Public Service Number DOB Date of Birth QBS QQI Business System RFI Request for Information RPL Recognition of Prior Learning RPEL Recognition of Prior Experiential Learning RPCL Recognition of Prior Certified Learning CRO Companies Registration Office ETB Education and Training Board HSA Health and Safety Authority ICT Information and Communication Technology ITN Identification of Training Needs QMS Quality Management System SOLAS An tSeirbhis Oideachais Leanunaigh agus Scileanna HIQA Health Information and Quality Authority DOH Department of Health


Definitions / Glossary of Terms

Award - A qualification conferred, granted or given by an awarding body and/or institution to record that a learner has acquired a particular standard of knowledge, know-how skill and/or competence. Awarding Body - An organisation that makes awards. Award Standards - Award standards describe the learning, in terms of knowledge, skill and/or competence that is to be acquired by learners before an award may be made. The awards standards describe the learning required to pass. Collaborative Provision - Two or more providers being involved by formal agreement in the provision of a programme or programmes and training leading to an award. Consortium Agreement - A formal and legally binding inter-institutional agreement concluded and signed by two or more partners in respect of providing, procuring or arranging programmes or other activities. It sets out the programme specific governing framework for the consortium's collaborative provision. The signing of a Collaborative Agreement is a pre-condition for collaborative provision. Due Diligence - Undertaking enquiries about a prospective collaborative arrangement to inform a decision on whether to proceed or not QQI - QQI was established on 6 November 2012 under the Qualifications and Quality Assurance (Education and Training) Act 2012. It was established as an integrated agency replacing four bodies that previously existed (HETAC, FETAC, NQAI and the IUQB) and assumed, inter alia, their awarding and quality assurance responsibilities. Recognition of Prior Learning (RPL) Prior learning that is given a value, by having it affirmed, acknowledged, assessed or certified. Transnational Provision - The provision of a programme of education, or part of a programme, in more than one country. It does not necessarily involve collaborative provision. Validation - The process by which an awarding body will satisfy itself that a learner may attain knowledge, know-how and skill, and/or competence, in taking a proposed programme, for the purpose of an award made by the awarding body.


List of Figures

Figure Description / Name Page No

2.1 TCI Management & Academic Structure 21

2.2 TCI Academic Council Boards and Sub-Committees 23

2.3 TCI Risk Matrix 67

2.4 TCI Governance & Org Structure 69

3.4 TCI New Programme Approval Process Flowchart 95

4.3 TCI CPD Diagram 123

11.5 TCI Quality Process Model 237


Quality Policy The Cpl Institute hereinafter termed the company is engaged in the provision of training and

consultancy services in the areas of Professional Development, eLearning, Fleet Safety

Services, Healthcare & Childcare, Health & Safety, Soft Skills and Reactivation of the Long

Term Unemployed.

Our Vision

• To be the leading provider of the aforementioned training services in Ireland

• To provide the highest standards of training delivery and services to all of our customers

• To consistently provide products and services that meet the requirements of our customers

• To recognise the contribution of employees that will assist us to achieve our common goal

• To provide the necessary resources and training to enable the Quality System to operate effectively

• To strive for Continuous Quality Improvement in all we do

In order to achieve these Quality Principles, the Company has established a Quality Assurance

Programme which is intended to satisfy the requirements of ISO 9001:2015, QQI Quality

Assurance standards and others, where applicable.

Specific and measurable quality objectives are established and reviewed during the

management review process.

It is the Quality Policy of the Company to ensure that all requirements for quality are

recognised by all personnel and that effective, consistent control of these requirements is

achieved to enable client satisfaction.

Patrick Toye Conor Loughran

Training & Academic Affairs Manager Head of Operations


Policy Statement on Quality Assurance and Quality

This Quality Policy statement outlines the Cpl Institute approach to the management of quality and standards. Our Training approach to quality complies with the provisions of the Qualifications and Quality Assurance Act 2012.

The Cpl Institute acknowledges that it is ultimately responsible for the academic standards of awards made in its name and for its learners’ quality of learning experiences. Our quality assurance policy has the following goals:

- Alignment to all or awarding bodies and all educational standards as laid down by validation requirements.

- Development of a quality assurance culture that is evident in all parts of the company

for the benefit of the learners, staff and all other stakeholders . - Ensuring The Cpl Institute’s programme design and development, quality assurance

and evaluation support a holistic and quality experience for each learner. - To make sure that appropriate and transparent governance and management

structures are in place to guarantee continuous progress in imposing and assisting

first-class quality assurance and development measures. - To put into effect and maintain procedures referring to the approval, tracking and

evaluation of all our educational programmes. - To take into consideration recommendations of unbiased, independent external peers

and organisations, in particularexternal examiners, professional, statutory and regulatory bodies and external assessors in internal and external reviews of academic, administrative and support units, and in subject matter-primarily based high-quality

reviews. - To accumulate quantitative and qualitative information and to conduct surveys to gain

evaluation from our key stakeholder groups including learners, employers and other

stakeholders, for quality improvement and policymaking. - To maintain programmes in good standing in relation to legislative obligations and to

make the organisation a centre of excellence for learners.

This Quality Assurance Policy will be reviewed on an on-going basis to ensure that it remains

appropriate, consistent and fit for purpose.


Circulation List

The Quality Assurance Manual is issued on controlled circulation, under the responsibility of the QA & Compliance Manager who must ensure that amendments are circulated to, and obsolete copies are disposed of. The issued number of copies of the Quality Assurance Manual and procedures as follows.

Copy No. Holder

1. Head of Operations 2. Quality Team 3. Training & Academic Affairs Manager 4. QA & Compliance Manager (Master Copy)

Purpose of this Quality Assurance System

The purpose of the Quality Plan is to detail how the quality processes for the plan will be

implemented to ensure that all educational programmes are delivered fit-for-purpose. This

will be achieved by ensuring that all quality assurance processes are conducted in a quality

manner and that the development of quality criteria will assist in measurement.ie. quality

control.

Quality Management Plan Components

To achieve this, The Cpl Institute Quality Management system includes the following

components:

• Quality Assurance - to ensure quality project management processes.

• Quality Control - via the development of quality outputs; and

• Quality Improvement – review points to assess and improve quality where possible.

Quality Philosophy

The Quality Philosophy for The Cpl Institute Project involves:

• Standards and methodologies for project management quality assurance (QQI, PHECC, IOSH, City & Guilds Quality Assurance Guidelines).

• Working in partnership with stakeholders and utilising a consultative approach to ensure broad stakeholder support;

• Effective processes to support arrangements for good governance and accountability;

• Input from individuals with appropriate subject or technical expertise to ensure development of outputs that are fit for purpose.


Section 1 – Introduction

1.1 Company Profile

- The Cpl Institute boasts multiple accreditation systems including the provision of over 60 QQI validated programmes, PHECC, IOSH & RTITB accreditation, NISO, RoSPA & RSA membership and holds ISO 9001 2015 quality assurance accreditation.

Your development as an individual or as an organisation is central to our offering:

- A comprehensive suite of professional development programmes from People management, and Continuous Improvement to Conflict Management designed to give you and your organisation a performance advantage

- A suite of Training and Development programme specific to the needs of the Healthcare Industry

- An unrivalled offering to assist in the development and management of industry/ organisations Health and Safety Management Systems, at training and consultation levels

- An extensive offering in E-Learning designed to enable compliance and competence development wherever you are and whenever you want to learn

- A personally tailored offering to suit organisation’s Corporate Fleet Risk profile and Fleet Management policy and development

1.2 The Cpl Institute Purpose

All of our programmes are designed to ensure that you have the option to achieve QQI, PHECC, IOSH & City & Guilds accreditation or complete internal organizational certification for upskilling and continuous professional development.

Our materials are designed in line with all awarding body validation requirements and ensure the effective delivery of all programmes to the certification level required.

We offer a tailored approach to your learner needs whereby the learner can review the learning outcomes we have defined and assist in the setting of additional new learning outcomes, to suit your specific needs. A subject matter expert will ensure that we deliver the programme applicable to the learner needs and mapped to all validated programmes.


1.3 The Cpl Institute Mission Statement

The Cpl Institute hereinafter termed the company is engaged in the provision of training and

consultancy services in the areas of Professional Development, eLearning, Fleet Safety

Services, Healthcare & Childcare, Health & Safety, Soft Skills and Reactivation of the Long

Term Unemployed.

We aim to increase productivity through relevant workplace-based learning & education and

increase your knowledge in areas that suit individual learner needs.

1.4 Aim:

We strive to provide learning endeavours that new learning programmes to individuals,

provide upskilling to current employees and support continual professional development of

individual learners.

1.4.1 The Cpl Institute’s Core Values are:

Respect: This encompasses integrity, fairness, listening, co-operation, responsiveness and perceptiveness.

Accountability: It is not just about your part of the job or task, it is about seeing the whole job through to the end – it is not done until it is all done.

Customer Focus: Excellence in everything we do for our clients and internal customers, including a commitment to innovation.

Effective Communication: Clarity in communication, openness and willingness to listen ensures a clear understanding of any request.

Empowerment: An entrepreneurial spirit and passion for the work we do which in turn supports and enables people to maximise their own individual potential.

1.4.2 Support Learners by:

1. Providing professional education environments and provide a rich range of services,

supports, resources and assessments to suit all learner requirements.

2. Delivering knowledge, skills and attitudinal objectives of all educational programmes

in a holistic and inclusive framework.

3. Assessing learners through fair and consistent assessment tools, where we can

provide evaluation for learner growth and skills improvement.


1.4.3 Ensure Learning Best Practice by:

1. Designing, developing and evaluating all educational programmes as laid down by

educational standards and/or validation requirements.

2. Providing a rich learning environment for all through the use of varied teaching

practices and resources

3. Liaising with key stakeholders and policymakers on all industry requirements and

utilise current trends/needs in the approach to devising learning content.


Section 2 – Governance and Management of Quality

This quality manual will outline the key policies and procedures that are aligned to all

education and learning activities of The Cpl Institute, in our accredited (QQI, PHECC, IOSH,

City & Guilds) and non-accredited programmes.

Governance & Quality assurance within The Cpl Institute is essential to the successful design,

delivery and evaluation of all our programmes and measured consistently through our quality

assurance system.

The Cpl Institute ensures that we comply with all relevant regulations and Statutory

Instruments e.g. GDRP, HIQA, Safety Health & Welfare, Employment, Safeguarding and

Equality & Diversity legislation


2.1 Governance

The Cpl Institute’s governance infrastructure has been established to ensure that it is

governed and managed effectively, with clear and appropriate lines of accountability for

each area of responsibility.

A governance structure (Figure 2.1 below and also see Figure 2.4) is in place to ensure that

there is adequate oversight of the financial and operational activities of the organisation

and that all legal, policy and ethical requirements are complied with.

Through the application of its governance structure, The Cpl Institute ensures that Quality

Assurance and standards of academic oversight are in place and that decisions regarding

admission, assessment and progression of any individual Learner are maintained completely

separate from those regarding financial and other commercial considerations.

The Governing Board supports the Head of Operations in ensuring that The Cpl Institute is

stable and in good financial standing, with a reasonable business case for sustainable

provision. In that context, the Head of Operations reports routinely to the Governing

Board in terms of financial and organisational sustainability. Likewise, the Head of

Operations and the Academic Council reports to the Governing Board on issues relating to

Academic Affairs, programme and staff performance and quality of programme delivery.

Figure 2.1 - TCI Management & Academic Structure


2.1.1 Senior Management Team

The Senior Management Team (SMT) is comprised of the Head of Operations, Training &

Academic Affairs Manager, QA & Compliance Manager and the Marketing and eLearning

Manager. This team brings together senior academic, compliance and commercial positions,

to help ensure that The Cpl Institute has a coordinated, clear and strategic direction.

The Senior Management Team is responsible for overseeing the day-to-day management and academic development of The Cpl Institute and also implementation

of the Strategic Plan and also serves to complement the work of the Academic Council Terms of Reference of the Senior Management Team

Responsibilities

• Develop and implement The Cpl Institute strategic plan

• Oversee the operational management of The Cpl Institute

• Consider and monitor human resources requirements

• Oversee marketing and brand awareness

• Manage resources to make sure that appropriate and effective facilities and services are available and scheduled to ensure the quality of delivery to Learners

• Manage access facilitation for Learners with disabilities

• Monitor progress against strategic goals

• Manage The Cpl Institute Risk

• Managing and deploying staff, including recruitment, performance management and development of staff.

Senior Management Team

• Head of Operations

• Training & Academic Affairs Manager

• QA & Compliance Manager

• Marketing and eLearning Manager Meetings Monthly meetings with informal meetings on an ongoing basis Reporting to Head of Operations reporting to Governing Board/manging Director


2.1.2 The Cpl Institute Academic Council, Boards, Sub-Committees

All boards and sub-committees in The Cpl Institute have prescribed memberships (including learner representation as appropriate), meeting schedules, and terms of reference concerning their responsibilities and remit. The Cpl Institute is committed to ensuring that the interrelationships between all boards, sub-committees and The Cpl Institute personnel are unambiguous. The sub-committee structure is subject to an annual review. Minutes are prepared for all boards and sub-committee meetings in The Cpl Institute and these minutes, which are retained on The Cpl Institute server in the appropriate board/committee folder, are available for inspection. The QA & Compliance Manager ensures they are filed and retained in accordance with The Cpl Institute’s Data Protection Policy. The Cpl Institute makes every effort to ensure gender balance in the composition of its sub-committees. The following para’s will outline all the different governance units (boards and sub-committees), their memberships and terms of reference and how they co-relate to each other in The Cpl Institute.

Figure 2.2 - TCI Academic Council Boards and Sub-Committees


2.1.3 Academic Council

The Academic Council of The Cpl Institute has overall responsibility for implementing the educational strategy as set by the Governing Board. It will manage and support the Academic Boards and sub-Committees of The Cpl Institute. Terms of reference:

General

• Governance of all Academic Matters

• Monitoring, review and ongoing improvement of all QA policies and procedures

• Approve policy amendments of The Cpl Institute pertaining to academic matters

• Appoint, review and monitor functioning of academic subcommittees

• Dissolution/modification of subcommittee(s) when and if required

• Finalise and ratify decisions relating to the work of subcommittees

• Consider appeals from any of the sub-committees, which have not been rectified at the level of that committee

• Appoint external members and approve appointments of internal members of Boards and sub-committees.

New Programmes

• To review and agree new programme proposals submitted by new programmes developments team

• Review Research in support of new programmes proposed

• Review and approve new programme submission documents prior to submission to QQI.

Assessment

• To review and decide on learner appeals relating to assessment outcomes (grades/marks)

• Review the application of penalties applied to assessment activities and approve policy and procedures for penalties

• To review and decide on learner complaints relating to assessment methodology and/or implementation

• Review the operation of Examination Boards and sign-off on minutes of same

• Review External Examiner Reports

• Approve appointments of External Examiners

• Monitor the implementation of QQI guidelines, policy and regulations pertaining to the assessment of learners.

Ongoing monitoring

• To review the findings and approve of changes generated by the ongoing monitoring procedures relating to academic matters, i.e., module content, readings, workshops, and assessment

• To make final decisions on matters referred to Council by Programme Board(s)

• Review the operation of Programme Boards and sign-off on minutes of same

• Approval of QA reports prior to publication

Periodic Evaluation


• To monitor the recommendations and implementation of improvements made by all review processes relating to programmes and academic functioning of The Cpl Institute including (but not limited to):

- Re-validation (Programme Review) - Institutional Review - Strategic Review

• Ongoing review and enhancement of the procedures for periodic reviews.

Membership of the Academic Council



• Training & Learning Co-Ordinator

• Tutor Representative X 2

• Learner Rep

• External Academics X 2

• External QA Consultant

• Educationalist

• Secretary (No Voting) Chairing of meetings Each Chairperson will hold the seat for a six month period which will include overseeing two meetings of the Academic Council. The Chair will rotate amongst the External Members and the Training & Academic Affairs Manager Frequency of meetings 4 times per year – (A minimum of two meetings per year is compulsory for all members). Incorporeal meetings are convened on occasion for specific matters requiring overview/ratification prior to the next meeting. Quorum for meetings 6 representatives; must include a minimum of two external members. Decision-making By vote. Each member will have an equal vote. Chair will have casting vote. Secretary will not vote. Breath of responsibility Accredited programmes run by The Cpl Institute. Meetings’ agenda Prepared and circulated in advance by Chair or Secretary on behalf of the Chair. Meetings’ minutes


The recording secretary will attend and produce minutes within 2 weeks of meeting.

Minutes will be stored electronically on The Cpl Institute server. Items of a confidential

nature (e.g. specific learner matters) may be recorded separately and stored securely.

Reporting arrangements The Academic Council will report into the Governing Board yearly with their annual report.

Boards & Sub-Committees

2.1.4 Programme Board

The Programme Board monitors and reviews all current programmes. Programme Board operates within the academic structure of The Cpl Institute. Terms of Reference:

• QA monitoring and evaluation of all aspects of programmes

• Monitor programme progression

• Monitor and recommend enhancements related to assessments

• Review and discuss results of ongoing evaluations of programmes

• Plan for and conduct the periodic review of programmes

• Action and monitor progress of Re-validation recommendations of programmes

• Produce and implement assessment strategies for programme, stages and modules of programme(s)

• Propose the appointment of external examiners

• Review reports of External Examiners and adapt recommendations

Membership of the Committee:

• Training & Academic Affairs Manager (Chair)


• Training & Learning Co-Ordinators

• Tutor

• Learner

Meetings: 2 meetings per year Reporting arrangements: Reporting to the Academic Council on Annual report. Recording procedures The Chair of the Programme Board is responsible for ensuring that minutes of all meetings are maintained and available to internal staff of The Cpl Institute and to the Academic Council. Minutes are forwarded to the Academic Council for approval.


2.1.5 Examination Board

Examination Boards are convened following an Internal Examiners Meeting where moderated results are considered. Matters to be discussed by the Examination Board includes:

• Determining if learners have been appropriately graded and classified

• Consideration of borderline cases

• Determination of eligibility for progression

• Recommendation for awards and classification

• External Examiners reports Terms of Reference:

• QA monitoring of assessment techniques, consistency of assessment and comparison of standards of programme(s) under consideration with national norms and best practice.

• Agree and ratify assessment results for all learners of programme, prior to forwarding to QQI.

• Review outcomes of external examiner moderation of programme.

• Consider learner appeals in relation to assessment results and procedures of programme and make recommendations to Academic Council.

• Consider learners for progression with missing credit, approve/decline progression as appropriate.

• Review of penalties applied to assessment activities of programme.

• Review/monitor statistics/trends regarding assessment results of programme. Membership of the Committee:

• Training & Academic Affairs Manager (Chair)


• Internal Verifier

• Training & Learning Co-Ordinator

• Tutor

• External Examiner/Authenticator Meetings As necessary – prior to submission for certification to QQI Reporting arrangements The Chair of the Examination Board will report on the activities of the Board to the Academic Council. Recording procedures The Chair of the Examination Board is responsible for ensuring that minutes of all meetings are maintained and available to internal staff of The Cpl Institute and to the Academic Council. Minutes are forwarded to the Academic Council for approval. Note: Minutes of all Examination Board meetings are strictly confidential and are stored on

the system securely.


2.1.6 Teaching, Learning and Assessment Committee

Terms of Reference

Learner Supports

• Consider applications from learners for additional supports

• Agree and monitor implementation of additional supports

• Development of policy and procedures for the provision of learner supports

• Ongoing review and enhancement of procedures for learner support.

• Review and enhance Learner handbook.

• Reasonable Accommodation

• Work Placement Support and Supervision

• Learner complaints

Teaching and Learning Systems

• Ongoing review and enhancement of teaching systems

• Ongoing review and enhancement of teaching and learning resources.

• Develop and enhance the teaching, learning and assessment strategy of The Cpl Institute

Staff Development

• Identification and promoting of staff training and development

Information storage

• Retention and deletion periods.

• GDPR policy compliance.

Assessment

• Revise and discuss assessment techniques utilised by The Cpl Institute programmes

• Review/monitor The Cpl Institute statistics/trends regarding assessment results

• Review and approve of learners sitting supplemental examinations

• Approval of policy on penalties to be applied to assessment activities

• Ensure compliance of The Cpl Institute assessment policy and procedures with QQI regulations

• Monitor the implementation of assessment strategies for The Cpl Institute programmes and modules

• Monitor the recording of penalties applied to assessment activities.

Garda Vetting

• This sub-committee of this committee will be the Garda Vetting Review Committee*


• QA & Compliance Manager (Chair)*

• Training & Academic Affairs Manager*

• Tutor


• Training & Learning Co-Ordinator*

• Learner

Meetings As required by the committee. Reporting arrangements: The Chair of the committee reports on the activities of the committee to the Academic Council. Recording procedures: The Chair of the committee is responsible for ensuring that minutes of all meetings are

maintained and available to internal staff of The Cpl Institute and to the Academic Council.

2.1.7 New Programme Development Committee

This Committee supports the specific development of new programmes once preliminary approval has been obtained. Terms of Reference

• Development of programme(s) as per process agreed under QA

• Development and submission of new programme proposals to Academic Council

• Ongoing review and enhancement of process for the development of new programmes.


• Programme Lead (Chair)

• Tutor


• Associate or external programme developer

Meetings As required by the committee. Reporting arrangements The Chair of the committee reports on the activities of the committee to the Academic Council. Recording procedures The Chair of the committee is responsible for ensuring that minutes of all meetings are


2.1.8 Appeals and Review Committee

The Appeals and Review committee review appeals of examination and assessment grades

or appeals against the decisions of other sub-committees. The Reviews and Appeals

Committee is the hearing and decision-making unit in the case of academic reviews and

appeals.


Terms of Reference

• Consider appeals relating to Learner review of assessment, grade and award

• Determine the outcome of such appeals following the investigation process

• Where an appeal is accepted the Appeals and Review committee is required to determine the appropriate actions to be taken.


• External Academic Council Member (Chair)


• Tutor (none related to the Learner programme of study and wasn’t involved

previously)

• External Academic with experience of appeals

• Learner (may attend to address the committee)

Meetings: As required by the committee. Reporting arrangements: The Chair of the committee reports on the activities of the committee to the Academic Council. Recording procedures: The Chair of the committee is responsible for ensuring that minutes of all meetings are

maintained and available to internal staff

2.1.9 Admissions Committee

Considers all matters relating to admitting a learner. Terms of Reference:

• Review The Cpl Institute admissions, policies and procedures annually.

• Develop and monitor policy and procedures relating to Recognition of Prior Learning and transfers.

• Process applications.

• Conduct Open Days.

• Consider appeals from unsuccessful applicants.

• Review and consider trends in learner body population statistics.

• Ongoing monitoring and development of learner progression routes.

• Ensure detailed and accurate data regarding trends in learner admissions and registration is collected and maintained.

• Implement, monitor and review exemptions.

• Advises the Academic Council on matters related to the admission of full-time, part-time, short, professional, and other programme and transfer learners.


• QA & Compliance Manager (Chair)




• Tutor

Meetings As required by the committee. Reporting arrangements: The Chair of the committee reports on the activities of the committee to the Academic Council. Recording procedures: The Chair of the committee is responsible for ensuring that minutes of all meetings are


2.1.10 Quality Team

The Quality Team meets to ensure that The Cpl Institute quality assurance policies and procedures are effective, fit for purpose and working correctly. Also schedule and carry out internal audits.

Terms of Reference:

• Review The Cpl Institute’s full Quality System, Quality Assurance, policies and procedures annually.

• Process any changes to quality assurance documentation and to submit such changes to the Academic Council for adoption.

• Action issues that arise from quality assurance monitoring processes following annual report to the Academic Council meeting.

• Monitor the effectiveness of all quality assurance procedures through the various boards and committees of The Cpl Institute.

• Complete any functions delegated to it by the Academic Council or Senior Management

• Reports to Academic Council on all aspects of academic affairs and presents an annual report and recommendations to the Academic Council.



• Marketing and eLearning Manager




• Internal Verifiers

Meetings Monthly Meeting Reporting arrangements: The Chair of the committee reports on the activities of the committee to the Academic Council.


Recording procedures: The Chair of the committee is responsible for ensuring that minutes of all meetings are



2.1.11 Education and Training Governance

The Cpl Institute ensures the governance of all educational programmes through clear lines

of authority and staff training/progression. All activities are measured and monitored where

required, improvement processes are put in place.

RELAY – Performance Assessment & Management

On-going and annually, each resource is assessed in terms of their own training needs

analysis, thereby updating knowledge.

Using the above approach, The Cpl Institute conducts Performance Management which is

carried out on a continual basis.

RELAYSelf

AssessmentTL

Assessment

Consistent Scoring

Guidelines

Monthly One-One Meetings

Implement with TL & Training

Department

Internal Audits

Analyse Results

Develop Action Plan

Approach

o Major nonconformity o Minor nonconformity o Improvement opportunity o Observation o Recommendation

Result

Classification


Each internal resource is continually assessed in terms of their ability to perform. This is a

central core competency for all resources. Our Training & Academic Affairs Manager is

charged with ensuring efficient management skills are deployed at all times. Gaps in skill

levels are addressed through the implementation of internal & external training, buddying

and mentoring programs.

The Cpl Institute’s credibility and professionalism in the provision of training services over the

past 28 years is testament to its competence and authority to successfully deliver the service

tendered. This is supported by QQI accreditation (amongst others) as a training provider. The

qualifications, experience, commitment to high standards of excellence and dedication of all

involved within The Cpl Institute is paramount in its success to date. Continuous monitoring

and auditing of our service provision and self-evaluation of our programmes support our

competence, expertise and authority in performing the services as per this tender.

The Cpl Institute evaluates all programmes by employing both learner and Tutor evaluation /

Evaluation forms. The Training & Academic Affairs Manager reviews evaluations/feedback in

consultation with Training and Learning Co- Ordinators and is proactive in responding to any

issues that may arise. Reports are communicated directly to the Training & Academic Affairs

Manager who initiates changes as required.

•New Starter

Go-Live

•Refresher Trainings

•Career Path Ladder

•Role Specific Training

•Certification

Development towards Management

•Team Lead / Management Development Plan

Promotion


2.1.12 Organisational Risk Management

Policy / Procedure Name Organisational Risk Management

Version No 1.0

Approval Governing Board

Date of Approval TBC

Effective Date TBC

Amendments to Policy Initial version

Amendments to Policy Date Comments

9th Mar 2020 Initial Version

The Cpl Institute recognises that the nature of our activities and the educational

space in which we operate may expose us to risks which have the potential to impact

or harm our staff, learners, stakeholders, and success of our organisation.

It is our policy to adopt best practice in the identification, analysis, evaluation,

control, monitoring and review of risks to ensure that they are avoided, reduced,

shared or accepted.

To ensure this, we will:

- Embed full and effective consideration of risk within the planning and

management of new and existing activities across the organisation.

- Engage with all relevant stakeholders to determine and identify risks.

- Determine the level of risk for our organisation by considering the

likelihood and impact of identified

- Ensure that acceptable risk thresholds are clearly defined and

managed.

- Effectively manage risk throughout the organisation

- Maintain a risk register and control management plans.

- Monitor and review the risk register and enhance where required

Put contingency plans in place for areas of possible concern.

2.1.11.1 Purpose Construction of a risk management framework that ensures all levels of risk and

uncertainty are identified and managed.

All potential threat(s) to the delivery of our service will be appropriately managed, identified observed & resolved where concerns arise

2.1.11.2 Scope

The Cpl Institute business, overall operational activities including staff, accreditation

bodies and contractors involved in the delivery of educational activities.

2.1.11.3 Responsibility



2.1.11.4 Core Responsibilities include

- Delivery of learning & development at a consistent professional standard

- Identification & Determination of the levels of risk.

- Ensuring that the organisation has an effective risk management process

- Delegating authorities and responsibilities.

- Approving the completed Risk Management Policy, and associated guidance

documents.

Risk Assessment – H & S Consultants / Finance Officer

- Providing direction on the development of the risk criteria for analysing of

the impact of identified risk areas.

- Identifying, analysing and evaluating risks at multiple levels in the

organisation

- Advise Quality Team of all identified risks

- Monitor and review the risk register and control management plans.

- Reviewing processes in place within each risk to identify and assess the level

of risk involved.

Head of Operations / QA & Compliance Manager - Ensuring the development of the risk management policy and procedures

and the risk assessments and control measures plans through sub/ working

groups

- Development of a reporting system for all identified risks

- Oversee operational policies for risk management & reporting identified risk

situations.

- Developing a culture of Safety Awareness and wellbeing in both personal and

organisational respects

- Ensuring that the risk management policy and procedures are understood

and effectively communicated.

- Ensuring that all staff and contracted individuals are consulted in respect of

risk management issues aligned to their roles.

Training & Academic Team

- Advised of potential of risks

- Advised of their role in the management of risks relevant to their roles.

- Complying with all quality policies and procedures

- Reporting any concerns to management.

- Reporting risks to the health, safety and working environment for

themselves, learners or other individuals.

- Assist in the improvement learning environments to minimise risk.

Undertaking reporting procedures where required.


Related Documents Reference Number/ Appendices Number

Safety Statement & Risk Assessments Safety Policies Minutes of Meetings

2.1.13 Business & Operational Risk

Policy / Procedure Name Business & Operational Risk

Version No 1.0



Effective Date TBC




2.1.13.1 Purpose To provide clear guidance on the management of risk throughout all aspects of the organisation and clearly define all roles in these activities

2.1.13.2 Scope

The Cpl Institute business and overall operation



• Finance Officer

2.1.13.4 Keys Steps

The QA & Compliance Manager consults with Senior Management, and construction

of a subcommittee for Safety, Health & Welfare. A separate sub grouping with

external resource involved, will measure the risk scenarios for financial loss,

reputation and cessation of services.

This subgroup will consider the following:

- The sub-committee purpose and responsibilities

- Resources required

- The current safety polices in place and gap identification

- Internal & External requirements.

- The risk factors associated with training provision and all associated

activities.

Questions to help identify risk factors:


- Organisational responsibilities for safety & health

- What relevant legislation is applicable

- Individual roles and impacts of poor practice

- How do we achieve our aims/ objectives for risk management

- What impacts / considerations are there from external sources

- What are your contractual relationships and obligations to our

stakeholders?

The risk categories associated with the organisations strategic and operational activities. Common risk categories include: Governance, Human Resources, Reputation, Finance, Legal, Technology, Health and Safety, Compliance


Safety Statement & Risk Assessments Safety Policies Minutes of Meetings

2.1.14 Identification of Risks


Version No 1.0



Effective Date TBC



9th Mar 2020 Initial version

2.1.14.1 Purpose Identification of risks and associated concerns

2.1.14.2 Scope The Cpl Institute business and organisational activities



• Finance Officer

2.1.14.4 Keys Steps Consideration of all risks is essential to the identification.

The following questions may assist in this process:


- What are the perceived risk factors?

- What previous concerns arose?

- Was a change to our practice undertaken?

- What control measures are currently in place?

- What new possible control is there relation to each risk factor?

- What is the hazard to individuals?

- What legal obligations can this compromise?

- What factors are considered in the identification of potential risks.

Steps to Consider

- Recording each risk on to the risk matrix and the control measures under the

identified category.

- Mapping to a risk rating both prior to and preceding control measures and

assuring the compliance with these.


Safety Statement & Risk Assessments Risk Matrix Safety Policies Minutes of Meetings

2.1.15 Garda Vetting Policy


Version No 1.0

Approval Academic Council


Effective Date TBC



9th Mar 2020 Initial version 2.1.15.1 Introduction

The National Vetting Bureau (Children and Vulnerable Persons) Acts 2012 to 2016 provide a statutory basis for the vetting of persons carrying out relevant work with children or vulnerable persons. The Act also creates offences and penalties for persons who fail to comply with its provisions.

The Act stipulates that a relevant organisation shall not permit any person to undertake relevant work or activities on behalf of the organisation, unless the organisation receives a vetting disclosure from the National Vetting Bureau in respect of that person.


Therefore, The Cpl Institute as an organisation has to conduct Garda Vetting for any individual who may be carrying out relevant work and activity or training with children or vulnerable persons. Garda vetting cannot be applied for on a personal basis.

Furthermore, there is an obligation on any person who is employed and/or engaged

by or acts on behalf of The Cpl Institute to disclose any if they previously have been

convicted of a criminal offence(s), are convicted of a criminal offence or have

been/are indicted of a serious criminal offence.

2.1.15.2 Purpose

The Cpl Institute is committed the health, safety and wellbeing of its community. As

such, The Cpl Institute has a comprehensive suite of initiatives and policies in place

to enable The Cpl Institute to meet its obligations to provide a safe, inclusive and

diverse environment. One such policy is The Cpl Institute Garda Vetting Policy which

aims to fulfil The Cpl Institute’s commitment to its community and meet its legal

requirements under the National Vetting Bureau (Children and Vulnerable Persons)

Acts 2012 to 2016 (the Act). The Act provides a statutory basis for the vetting of

persons carrying out relevant work with children or vulnerable persons.

2.1.15.3 Definitions

Child/Children The term “child” or “children” shall be understood to mean any person under the age of 18 years.

Vulnerable Person The term “vulnerable person” shall be understood to mean a person, other than a child, who:

A. is suffering from a disorder of the mind, whether as a result of mental illness or dementia;

B. has an intellectual disability;

C. is suffering from a physical impairment, whether as a result of injury, illness or age; or

D. has a physical disability, which is of such a nature or degree-

• as to restrict the capacity of the person to guard himself or herself

against harm by another person; or

• that results in the person requiring assistance with the activities of daily

living including dressing, eating, walking, washing and bathing.

Relevant Work or Activities


“Relevant work” or “activities” shall be understood to mean any work or activity carried out by a person, a necessary and regular part of which consists mainly of the person having access to or contact with children or vulnerable persons. National Vetting Bureau Since the commencement of the National Vetting Bureau (Children and Vulnerable Persons) Acts 2012 to 2016 on 29th April 2016, the national vetting unit of An Garda Síochána (known before the Act as the Garda Central Vetting Unit) is now known as the National Vetting Bureau. The National Vetting Bureau is the single point of contact in An Garda Síochána to conduct Garda Vetting. Its primary objective is to provide an accurate and responsible vetting service which enhances the protection of children and vulnerable persons through enabling safer recruitment decisions. Garda Vetting Liaison Officer A Garda Vetting Liaison Officer is a person who is authorised within a Relevant Organisation for Garda Vetting to submit National Vetting Bureau Application Forms to the National Vetting Bureau on behalf of the Relevant Organisation and receive results and disclosures. The Garda Vetting Liaison Officer will provide the online application link to learners requiring Garda vetting and communicate with learners through the process. The Cpl Institute’s Garda Vetting Review Committee The Cpl Institute’s Garda Vetting Review Committee refers to the group tasked with assessing information received via a vetting disclosure and the suitability of the person to perform the role. The Cpl Institute’s Garda Vetting Review Committee will comprise the following persons:

• Garda Vetting Liaison Officer



Vetting Disclosure A vetting disclosure shall be understood to include particulars of the criminal record (if any) relating to the person, and a statement of the specified information (if any) relating to the person or a statement that there is no criminal record or specified information, in relation to the person.

2.1.15.4 Scope

This policy applies to anyone who is employed and/or engaged by, or applying to be

employed and/or engaged, and/or acts on behalf of The Cpl Institute who will have

access to children and/or vulnerable adults in the programme of their

employment/engagement in a manner which is not merely incidental to the role of

that person. Individuals who are not directly employed by The Cpl Institute, but who

are employed by contractors (or sub-contractors) of The Cpl Institute and who will

have access to children and/or vulnerable adults in the course of their duties in a

manner which is not merely incidental to the role may also be required to undergo


the vetting/clearance process. All learners on healthcare work placements will be

Garda vetted.


Garda Vetting Liaison Officer 2.1.15.6 Principles

The Cpl Institute is committed to taking all reasonable and practicable steps to

ensure that only suitable candidates are appointed to positions which involve direct

contact with children and/or vulnerable adults which is not merely incidental in the

performance duties. The Cpl Institute undertakes that any vetting carried out as part

of its obligations under the aforementioned processes, and other statutory

obligations, will be done so in an atmosphere of mutual respect, trust and

transparency. On this basis, The Cpl Institute aims to apply best practices as set out

in the National Vetting Bureau, An Garda Síochána, Code of Practice - Garda Vetting

and ensure that Garda Vetting is conducted in accordance with the National Vetting

Bureau (Children and Vulnerable Persons) Acts 2012 and 2016. The Cpl Institute

reserves the right to take such steps as is reasonable to the circumstances should

persons identified in scope of this document fail to discharge their obligations under

the Act and/or if information is obtained through the vetting process which

necessitates same. Any such steps should be necessary, proportionate and

reasonable for the purposes of protecting children and/or vulnerable adults and/or

fulfilling The Cpl Institute’s statutory obligations. The Cpl Institute may also take any

interim steps as it deems appropriate to the circumstances in such instances. Any

such steps shall not influence the outcome of any investigation or infer wrongdoing

on any party.

2.1.15.7 Vetting and Foreign Police Clearance of Applicants The Cpl Institute relies on the National Vetting Bureau (NVB), in conjunction with

Foreign Police Authorities, to ensure, as far as is reasonably practicable, the

suitability of any person who is carrying out work or activity, a necessary and regular

part of which consists mainly of the person having access to, or contact with,

children and/or vulnerable persons.

It is noted that while the legislation only refers to Garda Vetting, it is The Cpl

Institute policy to seek Foreign Police Certificates (FPC) from applicants in relevant

cohorts who have lived and worked abroad as part of its vetting process.

The Vetting Application Form requires the person subject to the vetting to disclose

particulars of any criminal record. The administration of the vetting process will be

carried out under the direction of The Cpl Institute Garda Vetting Liaison Officer


and/or any other The Cpl Institute employee as may be assigned such responsibility

from time to time.

If the applicant has resided outside Ireland for a cumulative period of 24 months or

more over the age of 18, they must furnish a Foreign Police Certificate (FPC) from

the country or countries of residence. The Cpl Institute, however, reserves the right

to request FPC for a lesser period at its sole discretion.

The FPC should state that the applicant has no convictions recorded against them

while residing there or should disclose any convictions recorded against the

applicant during the term of residence.

The Cpl Institute may at its sole discretion also require that applicants provide an

enhanced disclosure by the completion of an affidavit or statutory declaration.

The Cpl Institute may, at its sole and absolute discretion, afford an employee or a

potential candidate a period of up to six months to obtain the appropriate Foreign

Police Certificate. This period may be extended only in the most exceptional of

circumstances.

Where every effort has been made, and a Foreign Police Certificate is unobtainable

in a particular jurisdiction then the QA & Compliance Manager on behalf of The Cpl

Institute, may, at their absolute discretion, agree to an alternative method by which

a candidate/employee can discharge this obligation.

Should any information required to be supplied by an employee, third party or

prospective employment candidate be false and/or not forthcoming then The Cpl

Institute shall be entitled to rescind any offer of employment or engagement and, in

the case of employees of The Cpl Institute shall immediately refer the matter

through the appropriate internal policy.

2.1.15.8 National Vetting Bureau and Foreign Police Certificate Procedure for

Applicants

The following sections outline the various stages that are involved in the vetting

process:

Stage 1: Identification of Vetting

The QA & Compliance Manager having consulted with The Cpl Institute Garda

Vetting Liaison Officer as they consider appropriate will identify the types of posts

that require vetting. This does not preclude the QA & Compliance Manager from

deciding that from time to time that additional positions will require vetting. Certain

roles/activities may be designated by The Cpl Institute and/or Garda Vetting Liaison


officer as automatically requiring vetting. A sample of the current list of these roles

and activities is contained in para 2.1.5.3.12.

No assessment shall be required to be undertaken in respect of such roles and/or

activities are a necessary and regular part of their role as vetting is likely to be a

precondition of participating in such activities. If, however, the QA & Compliance

Manager is of the view that certain roles in these areas do not require vetting, for

example, due to the application of an exemption under the Act, an assessment shall

be required to be undertaken before a decision that the position does not require

automatic vetting is made. This decision shall be recorded by the QA & Compliance

Manger and The Cpl Institute Garda Vetting Liaison Officer and subject to review if

the activities undertaken in the role change.

Stage 2: Advertisement

All posts identified as requiring vetting will generally state in either the job

description or accompanying documentation that the post will be subject to vetting.

The fact that the job description/advertisement does not contain such a statement

does not preclude The Cpl Institute from requiring that such a post be subject to

vetting/re-vetting.

Stage 3: The Offer / Contract

Following completion of the recruitment and selection process, the candidate(s)

deemed suitable for the appointment can be offered the position subject to them

satisfying the full requirements of the role including satisfactory vetting by the NVB.

This will be explicitly reflected in the offer letter and/or contract, which will be

accompanied by instructions on how to complete the Garda Vetting process. No

person required to undergo vetting shall be permitted by The Cpl Institute to engage

in work activities with children and/or vulnerable adults until such time as all parts of

the recruitment and selection process including vetting by the NVB has been fully

completed to the satisfaction of The Cpl Institute.

Whilst The Cpl Institute may, at its sole and absolute discretion afford an employee

or a potential candidate a period of up to six months to obtain the appropriate

Foreign Police Certificate, the contract will explicitly state that the offer and their

continued employment is subject to them successfully completing the Foreign Police

Certificate process within the stated period.

Stage 4: Confirmation of NVB/Foreign Police response by Liaison Officer

Where the information supplied by the NVB/Foreign Police is inconsistent with the

information supplied by the applicant and/or those vetted under para 2.1.5.3.10 of


this policy, The Cpl Institute Garda Vetting Liaison Officer will contact the applicant

to clarify whether:

a) The information supplied by the NVB/Foreign Police is correct; or

b) The employee/candidate does not agree that the information supplied by

the NVB /Foreign Police is correct, in which case The Cpl Institute Garda

Vetting Liaison Officer will request the NVB/Foreign Police to review their

information and confirm or review their initial response.

Where the vetting disclosure contains criminal records information or 'specified

information’, The Cpl Institute should as soon as practicable make available a copy of

the vetting disclosure to the applicant.

The Cpl Institute may also take any interim steps as it deems appropriate to the

circumstances. Any such steps shall not influence the outcome of any investigation

or infer wrongdoing on any party.

Stage 5: Assessment of Information

The Cpl Institute may take such action and/or invoke such internal policies as it

considers necessary and appropriate in respect of any vetting disclosure.

Where a vetting disclosure contains convictions, specified information or

information that is inconsistent with that provided by the applicant, then it shall be

considered in the first instance by The Cpl Institute Garda Vetting Liaison Officer and

the QA & Compliance Manager who will determine what, if any, action is

appropriate.

Where further assessment is deemed appropriate, this will be carried out by The Cpl

Institute’s Garda Vetting Review Committee.

The Cpl Institute’s Garda Vetting Review Committee will comprise the following

persons: The Compliance Manager, the Training & Academic Affairs Manager and

Garda Vetting Liaison Officer.

The role of The Cpl Institute Garda Vetting Review Committee will be able to assess

the information on the vetting disclosure and the suitability of the person who is the

subject of the disclosure to perform the role.

The Cpl Institute’s Garda Vetting Review Committee will gather facts and decide as

follows:

1. The appointment can proceed/the employee may continue in their role;


2. There is a finding in relation to the suitability of a candidate in which case

The Cpl Institute’s Garda Vetting Review Committee will determine if the

appointment can proceed; or

3. In the case of retrospective vetting, re-vetting or a disclosure by any

person who is employed and/or engaged by or acts on behalf of The Cpl

Institute, facts gathered by The Cpl Institute’s Garda Vetting Review

Committee may be referred to the disciplinary policy or any other policy

appropriate to the circumstances.

In considering this assessment, The Cpl Institute’s Garda Vetting Review Committee

may, inter alia, consider the following criteria:

a. All the information disclosed to it by the NVB;

b. Previous employment history;

c. Educational qualifications;

d. Skills and competencies pertaining to the position sought/currently employed in;

e. Performance at interview or job assessment;

f. Satisfactory reference from acceptable referees in the opinion of The Cpl Institute;

g. The nature and seriousness of any conviction or offence which may be recorded in respect of the individual;

h. Mitigating factors, if any, in favour of the individual;

i. The self-disclosure of any such offence by the individual;

j. The age of the individual at the time any such offence was committed by the individual;

k. The length of time elapsed since any such offence was committed by the individual;

l. The conduct of the individual in the time elapsed since any such offence was committed;

m. Rehabilitative efforts undertaken by the individual in the time elapsed since any such offence was committed;

n. Recidivism rate, if any, of the individual in the time elapsed since any such offence was committed; and/or

o. Any other information relating to the commission of or involvement in the commission of an offence, or which would give rise or would be likely to give rise to a bona fide concern that the individual poses a risk to the safety of children and/or vulnerable adults.


This is not an exhaustive set of criteria. It is a general guideline to criteria The Cpl

Institute’s Garda Vetting Review Committee may consider and take into account

when assessing the suitability of an individual to undertake, or continue to

undertake, a role or engage in a work activity.

Stage 6 – Completion of the National Vetting Bureau / Foreign Police Procedure

Applicants, employees and/or any other person who is deemed to require vetting by

the NVB, or The Cpl Institute, and who has satisfactorily completed vetting (and all

other conditions of the appointment process) may be employed/engaged by The Cpl

Institute.

Applicants, employees and/or any other person who is required to provide a Foreign Police Certification may be employed/engaged by The Cpl Institute subject to them completing the process to the satisfaction of The Cpl Institute within six months of their commencement date.

2.1.15.9 Vetting and Foreign Police Certification of Existing Employees

Retrospective Vetting

The Cpl Institute is required to request employees and or third parties who are

already employed and/or engaged by The Cpl Institute in certain positions and/or

undertaking certain work activities to undergo vetting (including, for the avoidance

of doubt, the Foreign Police Certificate procedure).

Retrospective vetting will be carried out in accordance with this policy and all those

subject to these requirements will be informed that they will be required to undergo

vetting.

Re-Vetting

The Cpl Institute reserves the right to request any employee/third party to undergo

vetting/police clearance at any time in their employment/engagement but in any

event at appropriate intervals (currently every three years) or such shorter periods

as may be prescribed under the Act or as may be deemed appropriate by The Cpl

Institute.

The processes as outlined in para 2.1.5.3.5 will also apply to Re-vetting and

Retrospective Vetting of existing employees.

The Cpl Institute shall take such action and/or invoke such internal policies as it

considers necessary and appropriate in respect of any person’s failure or refusal to

engage in the vetting process and/or in respect of any vetting disclosure made.

2.1.15.10 Vetting Disclosure of Criminal Convictions


It is The Cpl Institute’s policy to ask any person who is carrying out work or activity, a

necessary and regular part of which consists mainly of the person having access to,

or contact with, children and/or vulnerable persons if they previously have been

convicted of a criminal offence(s).

Furthermore, there is an obligation on any person who is employed and/or engaged

by or acts on behalf of The Cpl Institute to disclose any if they previously have been

convicted of a criminal offence(s), are convicted of a criminal offence or have

been/are indicted of a serious criminal offence.

It will be a matter for The Cpl Institute’s Garda Vetting Review Committee to consider such disclosures on a case by case basis.

2.1.15.11 Posts which may require mandatory Garda Vetting/Foreign Police Clearance

If any person engaged by The Cpl Institute undertakes a role listed or is engaged in

the activities listed below as a necessary and regular part of their role then they may

be required to submit to Garda vetting and police clearance.

This is not an exhaustive list and may be added to, amended or varied by The Cpl

Institute from time to time and is subject always to any role and or activity being

identified as requiring vetting/clearance in accordance with para 2.1.5.3.2 of this

procedure.

Persons working in the areas below may not be automatically required to undergo

Garda Vetting and police clearance in circumstances where, for example, an

exemption to Garda Vetting applies under the Acts.

The QA & Compliance Manager in consultation with the Training & Academic Affairs

Manager will assess the work carried out on a case by case basis to determine if

Garda Vetting is required.

If the QA & Compliance Manager considers that an exemption may apply, they must

consult with the Garda Vetting Liaison Officer to clarify the position prior to allowing

an individual who has not completed the vetting process to undertake such

activities.

a. Office based staff

b. Contracted Trainers

c. All training involving children and/or vulnerable adults

d. Invigilators (when invigilating vulnerable adults or vulnerable adults may

be present)


e. Learners where it is a requirement of their programme to come in contact

with children/vulnerable adults

f. Where learners are vetted as a requirement for their programme, staff who

have similar access as the learners must then be vetted.


Garda Vetting Form Foreign Police Certification Safeguarding and Protection Policy National Vetting Bureau (Children and Vulnerable Persons) Acts 2012 to 2016

See section 2.1.5.4


2.1.16 Safeguarding and Protection Policy

Policy / Procedure Name Safeguarding and Protection Policy

Version No 1.0



Effective Date TBC




2.1.16.1 Introduction

The Cpl Institute has a duty to protect children, young people and vulnerable adults

from any form of abuse. This duty applies to all management, staff, learners, tutors

and others contracted in by the company.

We at The Cpl Institute are committed to safeguarding the well-being of children and

vulnerable adults who are participating in training programmes or residents where

learners are completing a work placement. Our aim is to create a safe, creative and

enjoyable learning environment where all can engage and where their protection

and welfare is paramount. To this end, we adhere to the Children First Act 2015 and

all associated guidelines, as well as Safeguarding Vulnerable Persons at Risk of

Abuse: National Policy and Procedures, published by the Health Service Executive.

This document contains The Cpl Institute’s policy and guidelines for child and

vulnerable adult protection and promotes codes of behaviour so that everyone is

aware of the standards of behaviour of both children and adults. All staff, learners

and tutors are required to adhere to this code. All staff, learners and tutors at The

Cpl Institute will be made aware of the policy and procedure and child/vulnerable

adult protection will be covered in detail as part of the induction.

2.1.16.2 Purpose This Safeguarding and Protection Policy is intended to state the policies and

procedures agreed by The Cpl Institute in respect of safeguarding and the protection

of children and vulnerable adults.

2.1.16.3 Regulatory and Related Legislation

• Child Care Act 1991

• Children Act 2001

• Protection for Persons Reporting Child Abuse Act 1998

• National Vetting Bureau (Children and Vulnerable Persons) Acts 2012 – 2016

• Children First: National Guidance 2011

• Tusla’s Child Safeguarding: A Guide for Policy, Procedure and Practice


2.1.16.4 Scope

While the majority of persons studying, working and using the facilities of The Cpl

Institute are adults, it is acknowledged that there may be learners on programme

that are under the age of 18 or learners on certain programmes that interact with

children and / or vulnerable adults as part of their training.

Under the Child Care Act 1991, any person under 18 years of age is considered a

child and should be protected under Children First, the National Child Protection

guidelines. Categories of such persons include:

• Registered learners who are not yet 18 years of age;

• Children and vulnerable adults who interact with learners, staff and tutors on

work placement or during work placement visits.

2.1.16.5 Responsibility Training & Academic Affairs Manager (Designated Liaison Person – DLP)

2.1.16.6 Procedure The Cpl Institute has a duty to protect children, young people and vulnerable adults

from any form of abuse. This duty applies to all management, staff, learners, tutors

and others contracted in by the company.

The company does not tolerate the abuse of children or vulnerable adults in any

way, whether by intent, or as a result of neglect or ignorance. Such abuse is regarded

as a denial of people’s rights and liberty.

The public are protected, and their confidence maintained by ensuring that only

suitable candidates participate on academic programmes where they may have

access to children or vulnerable persons. On these programmes, all registered

learners will undergo Garda vetting and liaise with the Cpl Institute Garda Vetting

Liaison Officer.

The Cpl Institute will ensure that all management and staff who are involved in the

provision of designated programmes where they will come in contact with children

or vulnerable adults, will undergo Garda Vetting as is required by our current policy

and legislation.

The Cpl Institute will ensure that all staff will receive child protection awareness

instruction and a briefing on The Cpl Institute’s Safeguarding and Protection Policy.

The Cpl Institute has appointed a Garda Vetting Liaison Officer who will be

responsible for processing all Garda Vetting on behalf of The Cpl Institute.


Learners are responsible for informing themselves of the requirements under this

policy and registration as a learner is considered confirmation of participation with

the policy.

The Cpl Institute undertakes to inform all learners of this policy during the learner induction.

2.1.16.7 Code of behaviour when working with children and vulnerable adults

When working with children and vulnerable adults it is essential that:

• Everyone is treated with respect and dignity.

• Contributions should be acknowledged by positive comments.

• Staff and learners should avoid spending excessive amounts of time alone with

children and vulnerable adults.

• While physical contact is a valid way of comforting, reassuring and showing

concern for children and vulnerable adults, it only takes place when it is

acceptable to the concerned party and should take place in areas where other

people are present.

• Good Practice includes valuing and respecting individuals, and the adult

modelling of appropriate conduct will always exclude bullying, shouting, racism,

sectarianism or sexism. Lack of respect may be shown in words, conduct, acts or

demeanour. It is recognised that harassment and bullying can seriously damage

working and social conditions, and it will not be tolerated during the course of

work, study or any other activity of The Cpl Institute.

• Staff or learners of The Cpl Institute should never physically punish or be in any

way verbally abusive to a child or vulnerable adult.

• Staff or learners of The Cpl Institute do not make suggestive or inappropriate

remarks to or about a child or vulnerable adult, even in fun as this could be

misinterpreted.

• Children and vulnerable adults are encouraged to report cases of bullying to a

staff member of their choice. Complaints must be brought to the attention of

The Cpl Institute senior management immediately.

• Children or vulnerable adults are not discouraged from making a disclosure of

abuse through fear of not being believed, and to listen to what they have to say.

If this gives rise to a child protection concern, it is important to follow the

procedure for reporting such concerns, and not to attempt to investigate the

concern oneself.

The Cpl Institute is aware that those who abuse children or vulnerable adults can be

of any age (even other children), gender, ethnic background or class, and it is

important not to allow personal preconceptions about people to prevent

appropriate action taking place.


2.1.16.8 Code of practice for learners and staff involved with work placements

Staff and learners likely to be undertaking direct work involving children or

vulnerable adults based in work placements associated with designated programmes

will be required to hold a current Garda Vetting report that indicates that the person

is acceptable for working with children and vulnerable adults.

Staff and learners on external work placement or other external work activity should

familiarise themselves, and comply with, the Child Protection and Safeguarding

policy and procedures in place at the work placement facility.

The Cpl Institute recognises that work placements will have their own specific Child

Protection and Safeguarding Policies and Procedures in place and acknowledges that

these will take precedence over The Cpl Institute’s own policies in relation to

activities undertaken on the work placement.

2.1.16.9 Recruitment and Selection of Learners All learners studying on designated programmes are required to submit to Garda

Vetting prior to commencing the programme. The report issued will be considered to

be valid for 3 years.

These learners are responsible for proactively notifying the Training & Academic

Affairs Manager of any change in their status, e.g. criminal convictions or charges

pending.

The Cpl Institute web site must clearly state that Garda Vetting will be a requirement

for designated programmes, and that should the prospective learner have a criminal

record that it may seriously jeopardize their chances of being able to secure a work

placement during the programme, or subsequent employment.

Garda Vetting Guidelines are issued to learners by The Cpl Institute’s Garda Vetting

Liaison Officer. In order to process Garda Vetting, learners have 3 steps to complete:

• Provide adequate ID (list provided in registration pack);

• Complete and return the Garda Vetting Invitation form at registration (issued

by Garda Vetting Liaison Officer);

• Complete the e-vetting requirements.

On submission of the Garda Vetting Invitation by the Garda Vetting Liaison Officer in

The Cpl Institute the National Vetting Bureau will forward a link to the email address

supplied by the learner on their Garda Vetting Invitation form, to enter the e-vetting

system to fill out a Vetting Application Form.


Learners should look out for this e-mail arriving as they only have 30 days to

complete the application.

If a learner fails to submit a Vetting Application within the 30 days, they will have to

re-submit the ‘Garda Vetting Invitation Form’.

When learners have completed the application, they should print out the completion

page as they will need to produce this as proof of their e-vetting on-line completion.

Please note that Garda clearance only covers addresses in the Republic of Ireland

and Northern Ireland. If learners have resided in countries outside of the Republic of

Ireland / Northern Ireland for a period of 24 months or more, it will be mandatory

for them to furnish The Cpl Institute with a Police Clearance Certificate from those

countries stating that they have/have not any convictions recorded against them

while residing there.

Learners should ensure that they apply for this as soon as possible as it can take up

to 3 months to obtain. Learners will be refused placement without full satisfactory

clearance.

Regardless of whether the outcome was a custodial sentence or the application of

the probation act, convictions that may result in exclusion include (but are not

necessarily limited to) the following:

• Child related convictions;

• Violence, assault or grievous bodily harm;

• Drug related crime;

• Theft;

• Refusal to sign application and/or declaration form;

• Concealing information on one’s suitability for working with children;

• Refusal to consent to Garda clearance;

• Insufficient or inaccurate information regarding proof of identity.

Any learner has the right of appeal to the QA & Compliance Manager in the event of their dissatisfaction with the decision regarding the vetting process.

2.1.16.10 Recruitment and Selection of Staff

All applicants for posts at The Cpl Institute are required to declare any criminal

convictions, whether a custodial sentence was the outcome, or they were given the

benefit of the Probation Act, and/or of any charges pending.

Possessing a criminal record will not necessarily bar an applicant from working at the

company; the nature of a disclosed offence and its relevance to the post in question

will be considered.


However, convictions for offences relating to children and for violence or assault are

likely to be incompatible with working at the company.

The appointment of staff to work on designated programmes will be subject to

satisfactory clearance from Garda Vetting. The requirement to undergo vetting will

be set out in the job description.

In implementing this policy, The Cpl Institute will ensure that, in the first instance all

existing staff working on designated programmes will be subject to satisfactory

clearance from Garda Vetting.

All staff are responsible for notifying the company of any change in their status i.e.

charges leading to possible conviction.

The Cpl Institute commits itself to ensuring the following:

• All staff take part in an induction training process;

• All staff are fully cognisant and compliant with the Safeguarding and

Protection policies and procedures of The Cpl Institute;

• All staff are aware of the procedures for reporting allegations made against

staff members or others contracted in by The Cpl Institute;

All new staff are required to undergo a probationary period.


Garda Vetting Form Foreign Police Certification Garda Vetting Policy Children First Act 2015 Child Care Act 1991 National Vetting Bureau (Children and Vulnerable Persons) Acts 2012 to 2016

See Section 2.1.5.3


2.1.17 The Dignity at Work Policy

Policy / Procedure Name Dignity at Work Policy

Version No 1.0



Effective Date TBC





The Cpl Institute recognises the right of all employees to be treated with dignity and

respect and is committed to ensuring that all employees, tutors and learners are

provided with a safe working and learning environment which is free from all forms

of bullying, sexual harassment and harassment. Workplace bullying and harassment

adversely affect the quality of the learning environment by undermining employee

morale and can result in absenteeism, stress-related illnesses and higher turnover of

staff. Bullying and harassment can have a devastating effect on the health,

confidence, morale and performance of those subjected to it. Bullying and

harassment may also have a damaging impact on employees, tutors and learners not

directly subjected to inappropriate behaviour but who witness it or have knowledge

of it.

The Dignity at Work policy covers sexual harassment and harassment as outlawed by

the Employment Equality Acts 1998 to 2008 and workplace bullying and reflects how

The Cpl Institute in dealing with complaints of bullying and harassment.

2.1.17.2 Purpose

The purpose of The Cpl Institute’s Dignity at Work policy is to honour employees,

tutors and learners’ right to a safe working and learning environment where each

individual is respected. The Cpl Institute is committed to providing a working and

learning environment, which is free from all forms of bullying, sexual harassment

and harassment of any kind. All employees, tutors and learners are expected to

comply with this policy and The Cpl Institute will take appropriate measures to

ensure that any bullying and/or harassment does not occur.

Appropriate disciplinary action will be taken against any employee, tutor and learner

who violates this policy.



• Employment Equality Acts 1998 to 2008

• The Health and Safety Authority’s Code of Practice for Employers and Employees

on the Prevention and Resolution of Bullying at Work

• The Labour Relations Commission’s (LRC) Code of Practice Detailing Procedures

for Addressing Bullying in the Workplace • The Equality Authority’s Code of Practice on Sexual Harassment and Harassment

at Work

2.1.17.4 Scope This policy applies to all employees, tutors and learners including those who job-

share, work part-time and/or are on temporary and fixed term contracts.

It applies to forms of bullying, sexual harassment and harassment not only by fellow

employees but also by a learner, tutor, customer or other business contacts to which

an employee, tutor or learner might reasonably expect to come into contact within

the course of their employment, in the learning environment or during a work

placement.

The Dignity at Work policy applies to employees both in the workplace and at work

associated events such as meetings, conferences and work-related social events,

whether on the premises or off site.

2.1.17.5 Responsibility Head of Operations

Support Contact Person A support contact person is an employee of The Cpl Institute who has volunteered and received training to provide support and information on the Dignity at Work policy to colleagues who may feel they are experiencing bullying, harassment and or sexual harassment.

2.1.17.6 Policy

Definition of Bullying

Bullying at work has been defined as “repeated inappropriate behaviour, direct or

indirect, whether verbal, physical or otherwise, conducted by one or more persons

against another or others, at the place of work and/or in the course of employment

that could reasonably be regarded as undermining the individual’s right to dignity at

work”.


An isolated incident of the behaviour described in the definition may be an affront to

dignity at work, but as a once off incident, is not considered to be bullying.

Examples of bullying behaviour may include:

• Personal insults and name-calling;

• Persistent unjustified criticism and sarcasm;

• Shouting at staff in public and/or private;

• Sneering;

• Unfair delegation of duties and responsibilities;

• Setting impossible deadlines;

• Unnecessary work interference;

• Aggression;

• Not giving credit for work contribution;

• Continuously refusing reasonable requests without good reason;

• Intimidation and threats in general.

Definition of Harassment

Harassment is any form of unwanted conduct, related to an individual’s gender, civil

or family status, sexual orientation, religion, age, disability, race or membership of

the travelling community which has the purpose or effect of violating a person’s

dignity and creating an intimidating, hostile, degrading, humiliating or offensive

environment for the person.

The unwanted conduct may consist of acts, requests, spoken words, gestures, or the

production, display or circulation of written words, pictures or other material.

Definition of Sexual Harassment

Sexual harassment is any form of verbal, non-verbal or physical conduct of a sexual

nature which has the purpose or effect of violating a person’s dignity and creating an

intimidating, hostile, degrading, humiliating or offensive environment for the person.

The unwanted conduct may consist of acts, requests, spoken words, gestures, or the

production, display or circulation of written words, pictures or other material.

Examples of sexual harassment include:

• Sexual gestures;

• Displaying sexually suggestive objectives, pictures, calendars;

• Sending suggestive and pornographic correspondence, including e-mails or

text messages;

• Unwelcome sexual comments and jokes;

• Unwelcome physical conduct, such as pinching, unnecessary touching, etc.

The examples stated in this policy are not an exhaustive list and The Cpl Institute reserves the right to take action against these and other inappropriate behaviours.


2.1.17.7 Procedure

Should an employee, tutor or learner experience unwanted conduct, he or she is

encouraged to raise the issue so that it can be resolved speedily. Informal and formal

procedures are in place to deal with the issue of bullying/harassment at work. Any

investigation will be completed as quickly as possible and The Cpl Institute will take

all reasonable measures to ensure that the complaining employee, tutor or learner

will not be victimised or suffer any other adverse treatment as a result of making a

complaint.

The Cpl Institute may decide to access external assistance at any time during this

process.

Informal Procedure

It is often preferable for all concerned that complaints of bullying or harassment are

dealt with informally whenever possible, as often the perpetrator may not be aware

that their behaviour is causing such offence to others. This is likely to produce

solutions that are speedy, effective and minimise embarrassment and the risk of

breaching confidentiality.

Thus, in the first instance, an employee, tutor or learner who believes that they are

the subject of bullying and/or harassment should ask the person responsible to stop

the offensive behaviour.

• Raise the issue informally with the person who is creating the problem,

pointing out that their conduct is unwelcome, offensive or interfering with

work.

• If an employee, tutor or learner finds it difficult to approach the alleged

perpetrator directly, they should seek help and advice on a confidential basis

from their manager or anyone else that they feel comfortable talking to. Any

disclosures will be treated in strictest confidence.

• Having consulted with an appropriate person, the employee, tutor or learner

may request the assistance of the manager or senior person in raising the

issue with the alleged perpetrator(s). In this situation, the approach of the

manager or senior person should be by way of a confidential non-

confrontational discussion with a view to resolving the issue in an informal

low-key manner.

• An appropriate course of action at this stage, for example, could be exploring

a mediated solution.

An employee, tutor or learner may decide, for whatever reason, to bypass the

informal procedure. It is recognised that it may not always be practical to use the

informal procedure; particularly where the bullying or harassment is serious, or


where the people involved are at different levels in The Cpl Institute or an external

facility. In such instances the employee, tutor or learner should use the formal

mechanism set out below.

Formal Procedure

If the informal procedure is not appropriate, or if the issue has not been successfully

resolved, the following procedure should be followed:

• An employee, tutor or learner must contact their manager either verbally or

in writing outlining the nature of the complaint.

• The complaint will be subject to an initial informal examination by a

designated Manager, who can be considered impartial, with a view to

determining an appropriate course of action. At this stage, an appropriate

course of action could be exploring a mediated solution or otherwise

resolving the complaint informally. Should these approaches be deemed

inappropriate or inconclusive, a formal investigation of the complaint will

take place to determine the facts and the credibility or otherwise of the

allegation(s).

• If a formal investigation is deemed appropriate, the employee, tutor or

learner will be requested to outline the complaint in a written statement and

provide it to the designated manager.

• Senior Manager will appoint an impartial investigator to investigate the

complaint.

• The investigation will include interviews with both the employee, tutor or

learner and the alleged perpetrator. Another employee, tutor or learner may

accompany both sides during the interview process.

• In the interests of natural justice, the alleged bully or harasser will be notified

in writing of the nature of the complaint, given a copy of the allegation,

informed of his or her right to representation and will be given every

opportunity to rebut the detailed allegations made. A copy of the employee,

tutor or learner’s written statement may be given to them. A record in the

form of a written statement of reply may be taken.

• Whilst it is desirable to maintain utmost confidentiality, once an investigation

of an issue begins, it may be necessary to interview other employees, tutors

or learners. If this occurs, the importance of confidentiality will be stressed to

them. Any statements taken from witnesses will be circulated to the person

making the complaint and the alleged bully/harasser.

• A record of all relevant discussions which take place during the course of the

investigation will be maintained by the appointed investigator. Both parties

will be given the opportunity to comment on these and the witness

statements before any conclusion is reached in the investigation.


• The appointed investigator will outline their conclusions, and the reasons for

reaching their conclusions, in a written report. Both parties and senior

management will be given copies of the written report.

• Both parties will be given the opportunity to comment on the findings in the

written report before any action is decided upon by senior management.

Action Post Investigation

Where a complaint is upheld the disciplinary policy will be implemented. Should a

case of bullying or harassment be proven, The Cpl Institute will take the appropriate

disciplinary action which will be in line with The Cpl Institute’s Disciplinary Policy.

Such an action can include a warning, transfer, demotion or other appropriate action

up to and including dismissal or termination of contract.

Records of any warnings for bullying and/or harassment will remain in the employee,

tutor or learner’s file and will be used in determining disciplinary action to be taken

if any further offences of the same or similar nature occur in the future.

Observation of Bullying or Harassment

If bullying or harassment is observed to be taking place, it should be brought to the

attention of the employee, tutor or learner’s manager or if this is not appropriate,

any member of the senior management team.

Bullying or Harassment by Non-Employee

If an employee, tutor or learner believes that a non-employee with whom they have

come into contact in the course of their work or training has bullied or harassed

them, the employee, tutor or learner should adopt the procedures outlined above.

Where a formal complaint is made against a non-employee, efforts will be made to

ensure that the individual is dealt with through the procedures outlined here. If the

complaint is upheld, The Cpl Institute will take steps to prevent the situation arising

in the future, which may involve terminating the services of that person or the

organisation they represent.

Malicious Complaints

Sometimes complaints concerning bullying and harassment may themselves be false

and/or maliciously motivated. If The Cpl Institute finds this to be the case,

disciplinary action up to and including dismissal may be imposed or a termination of

a contract.

Confidentiality

All individuals involved in the procedures referred to above will be required to

maintain confidentiality at all times.

Appeal Procedure


Employee, tutors or learners have the right to appeal against the outcome of the

investigation. An employee, tutor or learner may exercise there right of appeal.

Employees, tutors or learners will be advised who will be appointed in the business

to hear their appeal. All appeals should be made in writing within five days from the

date on which the decision to impose disciplinary action is communicated to the

employee, tutor or learner. Employees, tutors or learners will be required to set out

the grounds for their appeal in writing.

The appeal will be heard as soon as it is practical, normally within five working days.

In some circumstances, due to details of the appeal and availability of the

appropriate persons, this timeframe may be unreasonable. In these instances, a

revised time frame will be communicated directly to the employee, tutor or learner.

Where appropriate, the appeal may be heard by a member of senior management or

by the Operations Director. At the appeal meeting the employee, tutor or learner

will be given the opportunity to explain the basis of their appeal. The Cpl Institute

appointed representative will be entitled to ask further questions and seek

clarification. At the conclusion of the appeal process, the decision will be delivered

to the employee, tutor or learner in writing. This is the final step in the internal

process and the decision made by the designated member of senior management or

Operations Director is final.



2.1.18 Risk Analysis

Policy / Procedure Name Risk Analysis

Version No 1.0

Approval Senior Management Team


Effective Date TBC




2.1.18.1 Purpose Identification of all possible risks and the evaluation of control measures on organisational activities.

2.1.18.2 Scope

The Cpl Institute business and organisational activities

2.1.18.3 Responsibility H & S Consultants - Risk assessors

2.1.18.4 Key Steps

Using the 5x5 rating scale, analyse the risks in terms of likelihood and impact using

the following steps:

1. Score the Likelihood Consider the likelihood that each risk may occur. Record the level under the column

heading – (Likelihood “L”) on the risk assessment

Likelihood Criteria

The following applies when considering the likelihood of the event taking place:

- Remote – exceptional circumstances.

- Unlikely – Rare probably of occurring.

- Possible – Might or could occur at some time.

- Likely – Occur in most circumstances.

- Highly Likely –Expected to occur in most circumstances.

2. Score the Possible Impact

Consider the possible impact that each risk may have. Record the level under the

column heading – (Impact “I”) on the risk assessment

Impact Criteria

The following applies when considering the event taking place:


- Insignificant – Low level impact with negligible consequences

- Minor – The consequences could threaten the role at hand, requires

observation to minimise impact.

- Moderate – A significant/medium potential of causing harm or difficulties

- Major – High potential to cause significant occupational health, safety and

welfare incident(s), financial loss or reputation damage.

- Extreme – Extreme potential to cause very serious occupational health,

safety and welfare incident(s) and organisational damage

3. Calculate the Risk Level

Use the 5x5 risk matrix to determine the overall risk level of each risk. Record the

outcomes and scores and link to required control measures. Core Stages

- Discuss the actions to be taken to mitigate against each risk and record

on the risk assessments.

- Review and amend as required but no less than yearly

Prioritise highest rated risks concerns, and identification of new control measures

required to mitigate these.


Risk Assessments Quality reviews Minutes of Meetings

2.1.19 Management of Risks

Policy / Procedure Name Management of Risks

Version No 1.0



Effective Date TBC




2.1.19.1 Purpose Identification of control measures and work practice enhancements

2.1.19.2 Scope

The Cpl Institute business and organisational activities



• Quality Team

• H & S Consultants - Risk assessors

2.1.19.4 Keys Steps

Consider one of the following four options to manage a risk: 1) Avoid the risk 2) Reduce the risk 3) Share the risk 4) Accept the risk

1. Avoid the Risk

Avoiding a risk is considered when the consequence of a risk is too high to accept

and cannot be easily reduced or shared. Avoiding risk may involve:

- Not undertaking the activity that would create the risk

- Removing the source of the risk

- Termination of the activity from quality & financial perspectives

2. Reduce the Risk

The following may reduce or control the likelihood of an event occurring:

- Policies and Procedures

- Internal and External Audits

- Contractual Conditions

- Preventive Measures

- Continuous Quality Improvement Activities

- Adherence to Quality Standards

- Staff Training

- Support and Supervision

3. Share the Risk

The following should be considered for sharing risk:

- Using a third party to complete a specialist or difficult activity (Second

Provider agreements)

- Using Insurance (Check that the insurer and insurance policies are suitable

and will cover specific risks)

- Limiting liability by using waivers and disclaimers

4. Accept the Risk

The acceptable net risk threshold is described as follows:


- Not undertaking any activities that would have an extreme impact on the

organisation, unless the likelihood of occurrence is considered to be at the

lowest level and after all control measures have been taken.

- We will not undertake any activities that would have a major impact on the

organisation where it is seen that risks are highly likely to occur.

- All activities sitting in the minor/ moderate risk group will be concerned only

when we can address all risks with control procedures.

Questions to assess risk management options:

- How adequate are our current ways of managing this risk?

- Is more than one option necessary to reduce the risk to an acceptable level?

- Does the option reduce the risk but also reduce our opportunities?

- How do the costs weigh up against its benefits?

- Can the resources required be provided to minimise the risk

- Has the risk been reduced to an acceptable level?


Risk Assessments Quality reviews Minutes of Meetings


2.1.20 Risk Matrix

Risk Matrix – Acceptable “Net Risk” after mitigating action has been taken.

Likelihood Remote Unlikely Possible Likely Highly Likely

Impact Score 1 2 3 4 5

Extreme 5

Major 4

Moderate 3

Minor 2

Insignificant 1

Legend

Acceptable

Marginal - Activities considered marginal can only be undertaken after

detailed scrutiny and with the approval of QA Team. Marginal activities

include:

- Extreme: Considered unlikely.

- Major: Considered possible or likely.

- Moderate: Highly likely.

Unacceptable

Figure 2.3 - TCI Risk Matrix

2.1.21 Internal Audits

The purpose of this procedure is to cover the conduct of internal quality audits of the

Quality Management System in all areas of The Cpl Institute’s activities to ensure that

the Quality Management System is reviewed on a regular basis to check its continuing

suitability and effectiveness and continuous quality improvement.

The QA & Compliance Manager will establish an Internal Audit Schedule covering all

elements of the Quality Management System, inclusive of all staff and contract

activities.

Frequency of auditing will be mapped to internal and external systems (ISO), with

prioritisation of procedures for auditing taken account of:

- Previous audit findings/importance of the process to the business/internal

non-conformances raised


- Audits will mainly be carried out by the Quality Team, under the guidance of

the QA & Compliance Manager.

- The Quality Team will also consist of trained auditors who carry out audits in

areas other than those for which they are directly responsible.

- Prior to an audit, the Auditor shall check any areas of outstanding action from

any previous audit and add these to the check sheet.

- The audit shall be conducted against the agreed check sheet or copy of the

procedure and the audit findings recorded on the check sheet.

- Deficiencies and corrective actions required, together with target dates for implementation, shall be recorded on the Internal Audit Report form.

- Internal Audit report forms are maintained by the QA & Compliance Manager and all issues /corrective actions are notified to relevant personnel.

- Progress on the implementation of agreed corrective actions shall be monitored by the QA & Compliance Manager at regular intervals.

- The audit non-conformances spreadsheet will be located on the TMA system for tracking /close out of items raised by the auditors in a timely fashion.

- Where actions are not completed the Audit Report form shall be forwarded to the Senior Management for discussion and appropriate action.

On completion of all actions, the report shall be filed as part of the Quality Records and for evaluation as part of the Senior Management Review of the Quality Management System.


2.2 Management of Quality Assurance

2.2.1 The Cpl Institute Governance & Organisation Structure

Figure 2.4 - TCI Governance & Org Structure


2.2.2 Management Responsibility

Policy / Procedure Name Management Responsibility

Version No 1.0



Effective Date TBC




Purpose Outline management roles in the monitoring of quality assurance and

implementation of all policies/ procedures.

Responsibility QA & Compliance Manager

Key Steps Development of a robust comprehensive assurance system which

reflects the day to day activities of the organisation.

- Establish performance measures to determine the

effectiveness of policies and procedures.

- Ensure ongoing monitoring of performance measures.

- Schedule and carry out regular management and staff

meetings.

- Carry out regularly scheduled observations, monitoring

and audits of all systems.

- Quality team to lead self-evaluation & corrective

actions

- External Quality reviews inclusive of ISO 9001:2015

audits

Documentation Internal & External Reports, Document Control Matrix, Quality

Improvement Plans, Internal KPI’s


Document Control Quality Improvement Plans


2.2.3 Quality Management Responsibility

Policy / Procedure Name Quality Management Responsibility

Version No 1.0



Effective Date TBC




Version: Date

Approved:

Purpose Outline the role of management and team members with

responsibility for quality management implementation, review and

monitoring.


Key Steps QA & Compliance Manager will have overall responsibility for the

Quality Assurance Systems and the monitoring of all Groups &

Councils.

Key responsibilities includes:

- Ensuring that processes for quality assurance are

established, implemented and maintained.

- Overseeing internal and external audits.

- Engaging with external consultants/ evaluators.

- Identification of need for improvements and

implementation of new procedures.

- Accreditation body communication on all Quality

matters

Documentation Role Descriptions, Internal Audit Reports, External Audit Reports,

Minutes of Meetings, Records of Correspondence (emails etc.)


ISO Audits Reports PHECC Quality Reviews IOSH QA Reviews


2.2.3 Roles and Responsibilities

2.2.3.1 Head of Operations

Purpose Overall responsibility for commercial activities and legal compliance of the The Cpl Institute. Responsibilities:

• Responsible for the direction, guidance and management of The Cpl Institute Management team and Revenue Streams, including Staff Development, Healthcare & PHECC, Fleet Safety Services and Training & Quality Teams.

• Ensuring the organisation generates the volume and quality of commercially appropriate business deals to ensure the growth and profitability of the organisation.

• Ensure appropriate brand exposure while ensuring value for money.

• Management of FTE head counts within the organisation.

• Management of profitability of the organisation.

• Ensure the resources in use within the organisation are appropriate to ensure effective business operations and requesting additional resources with appropriate business case where required

• Appropriate assessment and mitigation of risks to the organisation in the operations of the business.

• Appropriate reporting of business operations, risks and opportunities as they occur.

• Ensuring the development of the risk management policy and procedures and the risk assessments and control measures are in place.

• Oversee operational policies for risk management & reporting identified risk situations.

• Attends Senior Management Team Meetings, but does not sit on the Academic Council. May sit on the Quality Team.

• Maintaining confidentiality and adherence to data protection policies and guidelines.

• Responsible for the daily operation, effectiveness and continuous

• Improvement of the overall The Cpl Institute.

• Develop and maintain key strategic academic and industry related Partnerships.

• Responsible for The Dignity at Work Policy

2.2.3.2 Training & Academic Affairs Manager

Purpose The Training and Academic Affairs Manager has over responsibility for The Cpl Institute academic leadership, programme’s teaching and academic standards. Responsibilities:


• Manage self-evaluation and the ongoing monitoring of programmes and

associated services.

• overall responsibility for managing the programme development process

and providing the resources to develop the programme.

• The management of policy, planning and implementation of training

programmes developed by The Cpl Institute.

• Assist with management of accreditation, registration and the certification

processes, maintaining appropriate records.

• Overseeing the collection of data for evaluation, analysis and reporting

purposes.

• Producing an annual self-evaluation report for the organisation, acting as

the liaison for external reviews.

• Maintain and update a Quality Improvement Plan

• Meet lead module tutors for the programme once per year.

• has overall responsibility for ensuring the assessment process is adequately

resourced, including the allocation of an internal verifier.

• Appoint ad-hoc appointees and other board/committee members.

• Ensure that all programme related documents and material are up to date

• Develop assessment briefs and marking schemes in conjunction with

module tutors.

• Manage initial stages of Assessment Recheck and Review procedures.

• Manage the assessment processes to ensure the integrity of all academic

decisions regarding admission and progression.

• Act as the main point of contact with QQI, accrediting bodies and education

partners.

• Maintaining confidentiality and adherence to data protection policies and

guidelines.

• Manage Learner academic related complaints and process

• Maintain current regulations, programme files and links with QQI,

accrediting bodies and education partners.

• Ensure that learning materials and methods are consistent to the

programme aims and outcomes.

• Ensure that procedures for assessment and moderation are implemented

and security and integrity upheld.

• Ensuring that suitably qualified personnel are in place to carry out education

and training activities, inclusive of both administration and tutoring.

• Ensuring that personnel are adequately prepared and supported for their

role, whilst being allowed sufficient time to undertake their roles effectively.


• Ensuring that personnel involved in training, assessment and internal

quality assurance co-ordination have access to and regularly participate in

activities designed to promote continuous quality improvement.

• Designated Liaison Person – (DLP) - Safeguarding and Protection Policy

• Responsible for Work Placement Support and Supervision Policy.

• Responsible for Access, Transfer and Progression Policy

• Responsible for Recognition of Prior Learning (RPL)

• Attend Academic Council Meetings, Programme Board, and Examination

Board meetings and other sub-committees each year. Also act as chair on a

few of the board and other sub-committees.

2.2.3.3 QA & Compliance Manager

Purpose Manage the development and implementing of all Quality Assurance procedures and academic quality standards and ensure full compliance in The Cpl Institute. Responsibilities:

• Ensuring that administration, assessment, data collection, and internal

quality assurance procedures are implemented correctly and consistently.

• Ensuring there are current and appropriate QA policies and procedures are

in place and implemented.

• Ensuring that general correspondence from awarding bodies is

disseminated to all relevant staff.

• Assist with the development and co-ordination of the appropriate recording

systems, documentation, policies and procedures for quality assurance and

ensuring that staff and associated stakeholders are familiar with these

systems.

• Safeguarding the integrity and currency of programme validation and

awards, including compliance with the terms and conditions of programme

approval and the requirements and regulations of accrediting bodies for

ongoing provision of delivery.

• Manage oversight of academic quality and standards, academic records and

examinations.

• Maintain records, reports and audit trails.


guidelines.

• Liaise with agencies to facilitate external programme validation from

accrediting bodies.

• Audit reports on programmes and Learner evaluations.

• Please the audit schedule and carry out internal audits .

• Ensure that inputs and reports are made available to appropriate

committees.


• Ensure that approved programme evaluation and review processes are

carried out.

• Work with the teaching faculty in devising and reviewing programme

Schedules.

• has responsibility for informing the Academic Council of programme

developments, organising approval, and arranging the validation process

with QQI.

• Prepare a range of reports crucial to Quality Assurance processes including

monitoring reports, annual programme reports and external moderation

reports.

• Ensure academic staff are aware of, and adhere to the policies, guidelines

and regulations.

• Is responsible for the implementation of the appeals policy.

• is responsible for the implementation of this Academic Integrity policy.

• Assist with Learner complaints process where requested.

• Attend Board and other sub-committees each year and also act as chair on

a few of the board and other sub-committees.

2.2.3.4 Marketing & eLearning Manager

Purpose To drive all market events and manage the implementation of The Cpl Institute online offering. Also act as the Data Protection Officer for The Cpl Institute. Responsibilities:

• Design, develop and deliver the formatted lectures and presentations (tutor-led, online) to support academic staff and Leaners in the effective use of digital technologies to enhance teaching and learning.

• Update all online content

• Manage all Marketing and social media events.

• Design, develop and integrate high quality online learning materials, suitable for assessment methods and a range of delivery approaches, in collaboration with academic staff.

• Manage, maintain and update the website content.

• Maintaining confidentiality and monitor adherence to data protection polices and guidelines.

• Review data protection polices and guidelines and advise Senior of any requested changes.

• Act as a subject matter expert in the area of technology enhanced learning and instructional design.

• Consult and collaborate with Training and Academic Affairs Manager on projects related to the design and development of online programme materials and resources.


• Communicate frequently and effectively with various project collaborators to ensure that goals are met and objectives are being fulfilled.

• Work with the IT Manager and be main point of all for IT issues in The Cpl Institute.

• Cultivate an environment that encourages creative and independent use of instructional technology throughout The Cpl Institute.

2.2.3.5 Quality Assurance Officer

Purpose To develop and ensure implementation of Quality Assurance procedures Responsibilities

• Manage and implement Quality Assurance systems and procedures designed to enhance and monitor the effectiveness of all The Cpl Institute programmes.

• Work closely with the QA & Compliance Manager, Training and Academic Affairs Manager and all staff in The Cpl Institute implementing and rolling out all Quality Assurance requirements in The Cpl Institute.

• Contribute to programme development specifically in relation to the teaching and learning strategy.

• Carry out internal audits.


• Evaluate the effectiveness of the Quality Assurance policies and procedures within The Cpl Institute.

• Prepare reports as required by Boards and Sub-committees.

• Attend Academic Council or Sub-Committees when requested.

• Asist in Managing where required, the Learner complaints procedure

2.2.3.6 Training & Learning Co-ordinator

Purpose Has specific responsibility for implementing Quality Assurance procedures

and to oversee the teaching and learning strategy of The Cpl Institute.

Maintaining a strong support link between The Cpl Institute and its Learners.

Responsibilities

• Liaising with learners, Tutors and associated stakeholders on a regular basis.

• The preparation of training materials before programme commence.

• Guiding learners through the registration process, ensuring that all required

documentation is in place.

• Contribute to programme development specifically in relation to the

teaching and learning strategy.

• Provide support to tutors in all aspects of planning and programme delivery.


• Contribute to The Cpl Institute strategy, policies and procedures and

approach to teaching, learning and assessment for all programmes.

• Work in conjunction with the QA & Compliance Manager and Quality

Assurance Officer with respect to Teaching & Learning policy requirements.

• Oversee reasonable accommodation policy and report on same.

• Manage where required Learner complaints procedure.

• Report to the module tutor any Learner queries.

• Act as Internal verifier for examination board

• Co-ordinate and approve venues in accordance with training specifications.

• Act as a primary point of contact for current and prospective Learners.

• Provide Learner support as appropriate.

• Provide academic results, letter and transcripts to learners

• Responsible for and co-ordinating assessment re-checks

• Manage training material requirements and logistics associated with same.

• The revision, maintenance and updating of all filing systems and folders on

server.

• Attending and responding to all initial enquiries in a prompt manner.

• Maintaining and updating all information resources. E.g. TMA

• The ordering of equipment and training materials.

• Managing face to face, email and telephone enquiries.


guidelines.

• Following up on payments and the tracking of invoices. E.g. TMA

• Setting up and coordinating meetings and events.

• Assisting in any other administrative duties, as directed by the Training &

Academic Affairs Manager.

• Oversee all administrative tasks in relation to QBS, Learner documentation,

IV, Examination Boards.

• Sit on relevant boards and sub-committees when requested.

2.2.3.7 Tutors

Purpose Delivering programme content, coaching, tutoring and assessing Learners on all The Cpl Institute programmes in accordance with stated learning outcomes for individual modules and the overall programme outcomes. Responsibilities

• Welcoming learners to the programme and advise them of the context of

learning.

• Informing learners of the programme outline, delivery & assessment.


• Act as the first point of contact for the Learner with an issue relating to the

programme of study and its components.

• Encouraging learners to provide feedback throughout the programme.

• Maintaining a register of attendance.

• Ensuring contact details are correct, for administration purposes.

• The preparation of assessment briefs and marking schemes and provide

learners with details of these.

• Providing learners with notice of deadlines for the return of assignments

and assessment deadlines.

• Adhere to all assessments policies and procedures

• Reports on programme delivery, assessment and moderation matters

• Providing learners with feedback and guidance on their draft assignments.

• The marking of assessments in accordance with marking schemes.

• Ensuring that assessments are adapted, where required and reasonable, to

ensure that learners with support needs are accommodated.

• Provide constructive feedback to Learners on assessed work within a

specified time.

• Act ethically and professionally.

• Act as assessor for practical based assessments or written classroom

• Administration of all module/programme return paperwork

• Participate in continued professional development programme.


guidelines.

• Sit on relevant boards and sub-committees when requested

The role of the tutor also includes:

- Ensuring all assessment material is checked and complete before submission

to the Training & Learning Coordinator

- The completion and return of the Tutor report form(s) to the training

coordinator, highlighting any issues, problems or challenges and make

recommendations that will enhance the delivery of quality training.

- Advising the Training & Learning Coordinator of any accidents or incidents

which may occur while completing the relevant paperwork allocated for that

purpose.

- Advising the Training & Learning Coordinator of any learner who may be

experiencing difficulties so that remedial action or relevant supports can be

put in place.

- Advising the training coordinator of any early leavers so that the Training &

Learning Coordinator can follow up with the learner to ascertain the reasoning

and attempt to facilitate the return of the learner.


- Acknowledgment of the receipt of documents and other relevant information.

- If examinations are part of a programme, the Tutor should refer to and follow

the guidelines on how to conduct an examination.

- To maintain records of any additional supports given to a learner and return

these records with the learner portfolio.

- To store all learner details and portfolios confidentially and securely until such

time as they are ready for submission.

2.3.3.8 Learner Representative

Purpose The purpose of the Learner representative is to inform and provide a Learner’s perspective to the relevant Academic Council, Boards or any sub-committees. The Learner representative is ideally a current senior Learner which has completed a few modules with The Cpl Institute. The same expectation of confidentiality applies to the Learner representative as it does to all attending members of committees. Responsibilities Attend the Academic Council meetings Provide Learner feedback and perspective to the relevant Council/Board • Attend Programme Board meetings

• Attend Examination Board meetings o Attendance at the Examination Board may be confined to

those sections where the Learner representative does not have a conflict of interest within the item of discussion such as results sheet which include the attending Learner representative results.


guidelines.

2.2.3.9 External Quality Assurance Consultant

Purpose The External Consultant is a member of the self-evaluation panel and also will

sit on relevant boards and sub-committees when requested.

Responsibilities

• The design of an evaluation process compatible with the organisation’s

activities.

• Carrying out an annual evaluation of the quality assurance system.

• Conducting on-site observations and consultations with Tutors and staff.

• Reviewing data collection, analysis, and recording processes and

recommend areas for development.

• The preparation and submission of final evaluation reports in consultation

with the Training & Academic Affairs Manager and the QA & Compliance

Manager.


• Attending at least one meeting to outline the evaluation process.

Timeframe to be confirmed in line with Organisational needs or review

requirements.

• Sit on relevant boards and sub-committees when requested.

• Communicating regularly with the Training & Academic Affairs Manager

concerning the evaluation process.


guidelines.

2.2.3.10 Internal Verifier

Purpose The Internal Verifier (IV) checks assessments, marks/grades, calculations and

confirms all in keeping with our QA Procedures. Also will complete an IV Report

as part of the process.

Responsibilities

• Adherence to assessment procedures.

• Learner evidence matches the assessment specifications of the award.

• Appropriate assessment methods are used for testing of all learning outcomes.

• Documentation was issued to learners i.e. assessment briefs, learner declarations.

• Documentation was used to record learner results and was completed effectively.

• Evidence is available for all learners, results are recorded, and feedback has been provided on grading.

• Percentage marks and grades awarded are consistent with grading band.

• Provisional results are available.

• Results are recorded/available for all learners submitted for provisional results.

• Note any irregularities on IV report and take corrective action.

• Liaise with Examination Board and Training & Academic Affairs Manager on any issues arising from the IV process.

• Complete an IV report and file, copy available for Examination Board.


• Will sit on Examination Board Committee and other boards and sub-committees when requested.

This list is not exhaustive and may be updated or amended by Senior management Team

when the need arises in order to comply with legislation or further requirements associated

with quality assurance guidelines.


2.3 Embedding a Quality Culture

2.3.1 Continuous Quality Improvement

Policy / Procedure Name Continuous Quality Improvement

Version No 1.0



Effective Date TBC




The Cpl Institute is committed to the continuous improvement of all its courses/

programmes and all services. We recognise our responsibilities to provide a quality

service to meet the needs of all our stakeholders.

In order to achieve this, we will:

- Comply with all legal and statutory requirements and awarding body

guidelines.

- Establish and follow a comprehensive Quality Assurance System

- Monitor and review Quality to ensure its relevance and effectiveness

- Identifying areas for improvement and enact change

- Communicate the importance of quality throughout the organisation and

provide guidance and supports where required.

- Provide training to ensure we can operate our quality policies and

procedures for best practice.

- Recruit and develop staff so as they have the skills required to provide the

highest quality service.

Purpose

To oversee our quality throughout the organisation and provide monitoring and supports

where required

Scope

All activities associated with education and training, to include all staff, tutors and

evaluators.

Responsibility


The Cpl Institute quality team committee have overall responsibility for ensuring the

relevance, resourcing, implementation and compliance with the quality policy.


QQI Quality Process Model Appendix 3.3

2.3.2 Quality Strategy

Key stages in quality analysis and improvement planning

Collect, analyse and utilise feedback from learners for evaluation purposes

Collect, analyse and utilise feedback from tutors for programme evaluation and needs requirements

Collect, analyse and utilise feedback from industry to ensure that learning outcomes are meeting industry requirements

Collect and analyse information on learner participation, success rates and progression, non-completion rates for learner benchmarking

Monitor and review tutor performance by way of observations, feedback and CPD

Review all learning resources as required and enhance access to online systems

Conduct quality reviews of policies and procedures in line with organisational needs and accreditation bodies

Internal verification and external authentication

External audits, including ISO and Educational Standards

Self-evaluation and quality improvement planning


Trainers Evaluation Checklist Trainer Competence Observation Sheet Programme Review Template Tutor & Learner Issues Tutor Declaration Instructor Course Report Training Evaluation Form External Authentication Report Template Internal Verification Report Internal Verification Checklist Learner Feedback Form

Appendix 4.10 Appendix 4.11 Appendix 4.12 Appendix 4.16 Appendix 4.17 Appendix 7.2 Appendix 7.3 Appendix 7.10 Appendix 7.11a Appendix 7.11b Appendix 7.17


Section 3 - Documented Approach to Quality Assurance

3.1 Documented Policies and Procedures

The Cpl Institute is a learner centred organisation which recognises the importance of quality

and continuous quality improvement through all our areas of practice

Our delivery of high-quality learning programmes is achieved through participation from all

stakeholders in quality monitoring and improvement process.

We have developed policies and procedures for each area identified by awarding bodies, such

as:

- Quality and Qualifications Ireland (QQI)

- Pre-Hospital emergency Council (PHECC)

- City and Guilds (C&G)

The Academic and Senior management of the organisation have defined, documented and

approved a quality management system that:

- Is appropriate to the needs of the organisation and of learners.

- Includes a commitment to the continual quality improvement and maintaining

high standards

- Provides a detailed description of all processes & procedures associated with

educational activities

- Provides a framework for reviewing quality objectives.

- Communicated quality systems across all levels of the organisation.

- Monitored and reviewed for continued suitability and application.

3.1.1 Principles

All Tutors will be appropriately qualified and have relevant industry experience.

- Our entire team will be available to provide support to learners.

- We will seek to listen to all stakeholders and act on Evaluation.

- We are committed to honesty, openness and transparency.

That Quality Assurance is implemented throughout the organisation, and is systematically

monitored and reviewed on an annual basis, being updated where necessary, or due to

changes in Educational Standards


3.1.2 Purpose of Quality Management System

To provide staff, learners, tutors and contractors with a comprehensive quality system that

guides the day to day activities associated of educational activities within our learning

environment.

3.2 The Cpl Institute Quality System

The Cpl Institute has a documented Quality Assurance System and we are committed to

providing our learners with training programmes of the highest quality that comply with all

legal, statutory and awarding body requirements.

3.3 Monitoring and Review

The Training & Academic Affairs Manager and the QA & Compliance Manager will provide

ongoing monitoring of quality and assist in the assurance of all elements of the organisation

in its educational activities. Learner Evaluation forms and Tutor Reports will be analysed after

each module/programme.

Internal audits will be conducted and reviewed at Senior Management, QA Team and

Academic Council meetings.

Recommendations for changes to any procedures through the evaluation processes will be

reviewed at the QA Team and Academic Council meetings.

Any changes required will be reported to QA Team for approval.

External evaluation of Quality by an external authenticator will be conducted on regular basis

and all reports reviewed and communicated to all core staff.

The QA Team will provide oversight of all documentation associated with Quality system and

ensure sufficient resources are available for its effective implementation, review and auditing.


3.4 Programmes of Education and Training

3.4.1 Programme Development, Approval and Validation

Policy / Procedure Name Programme Development, Approval and Validation

Version No 1.0



Effective Date TBC





The Cpl Institute is committed to best practice in the design and approval / validation of programmes, and to meet the objectives and intended learning outcomes. Ensuring we are aligned to awarding body guidelines and in line with The Cpl Institute’s mission and vision. This policy will inform the designing and approving of programmes constructed to

ensure that the learning outcomes required for a specified award have been addressed

and mapped to specific industry requirements.

To achieve this, we will ensure that:

- Learning activities are designed to allow learners to draw on their

previous education or life experiences.

- Programmes are developed and reviewed in consultation with the

relevant Senior Management Team, Academic Council, stakeholders and

professional bodies.

- Processes comply with awarding body guidelines.

- Programmes provide clear pathways to other programmes.

- Where one programme is a pathway to another, programmes are

designed to ensure that learners can make a successful transition.

- We provide learners with a work learning experiences (work placements),

where applicable.

3.4.1.2 Purpose

The purpose of these procedures and guidelines is to ensure the proposed programme:

• Is consistent with The Cpl Institute’s strategic planning and contributes to achieving The Cpl Institute’s aims and objectives.

• Is a valuable educational experience to learners.

• Is formally approved and validated prior to delivery.

• Is developed to meet the requirements of the awarding body QQI


• Has access, transfer and progression arrangements that meet the awarding body criteria for approval.

• Is subject to continuous monitoring and an annual review.

• Is subject to revalidation in advance of the expiry on the certificate of validation. (This is normally every five years).

3.4.1.3 Regulatory and Reference Documents

• Statutory Quality Assurance Guidelines - developed by QQI for Independent/Private Providers coming to QQI on a Voluntary Basis – QQI 2016.

• Policy and Criteria for Making Awards – QQI, 2014.

• Policies and Criteria for the Validation of Programmes of Education and Training –

QQI 2017.

• Statutory Quality Assurance Guidelines developed by QQI for use by all Providers

– QQI April 2016.

3.4.1.4 Scope

This policy applies to all QQI programmes developed by The Cpl Institute which are part

of The Cpl Institute’s strategy, employers, the business community, learners, faculty,

various stakeholders, skill shortages and professional bodies.

Programmes of Education and Training are classified as:

1. Quality and Qualifications Ireland Awards (QQI). The processes and responsibilities are detailed in New programme development and approval process.

2. The Cpl Institute’s short programmes 3. Collaborative Programmes with Third Parties

Prior to submitting a programme to QQI for validation, an approval process shall be undertaken, by the Senior Management, to ensure The Cpl Institute resources are properly employed in developing programmes with a sound rationale and all submission documents are approved by the Academic Council. Please note that Programmes do not commence until a Certificate of Approval has been obtained from QQI and the programme is approved for delivery by The Cpl Institute Governing Board.


The responsibilities and approvals are briefly described below and also in Fig. 3.1

Programme Approval process flowchart. (see section 3.4.2)

• The Training & Academic Affairs Manager has overall responsibility for managing

the programme development process and providing the resources to develop the

programme.


• The QA & Compliance Manager has responsibility for informing the Academic Council of programme developments, organising approval, and arranging the validation process with QQI.

• The Training & Academic Affairs Manager has responsibility for appointing a programme team lead and programme team to develop a submission.

• The Programme Lead has responsibility in conjunction with the programme development team for completing the proposed programme document.

• The Academic Council approval is required at stage 2 and stage 4.

• Senior Management Team approval is required at Stage 1 and Stage 2.

• Governing Board approval is required at Stage 5. Revisions to this section, policy and/or procedures are subject to the approval of the Academic Council.

3.4.1.6 Development of Programmes for Validation by QQI

QQI has published several policies and procedures relevant to programme development and validation. In addition to the procedures in this section the development of new programmes must be carried out in a manner consistent with these QQI policies and procedures. This section needs to be read in conjunction with QQI’s Core Policies for the Validation by QQI of Programmes of Education and Training (2017).

3.4.1.7 Stages of New programme Development and Approval New programme development and approval is a five-stage process as outline in Fig. 3.1 Programme Approval process flowchart. (see section 3.4.2)

• Stage 1 - Preliminary approval to proceed with proposed development of the programme.

• Stage 2 - Internal Development of the proposal.

• Stage 3 - Development of the programme submission to QQI.

• Stage 4 - Evaluation of the programme by an independent panel.

• Stage 5 - Authorisation to offer the programme. QQI awards include major awards, minor awards, special purpose and supplemental awards. The process below describes the procedures relating to the development and validation for major awards. The approval process for minor awards, special purpose and supplemental awards are the same as that for major awards, but the detail provided in submissions will not necessarily be the same. Programmes submitted for minor awards, special purpose and supplemental awards must meet the validation criteria for the awards.

Stage 1 - Preliminary Approval for Development of a New Programme The Training & Academic Affairs Manager is responsible for programme development and ensuring the Programme Development Team is adequately resourced to develop the programme. Sufficient time should be allocated for the programme approval process to allow for development, validation, marketing. New programme proposals may originate from a variety of sources, both internal and external and for a variety of reasons or based on industry needs. Proposals should be developed with reference to the


QAM and any other external requirements. The initial outline of the programme is presented to the Senior Management Team. Approval The Senior Management Team considers the proposal and approval can be granted based on the following:

1. The proposed programme is aligned with The Cpl Institute’s strategy. 2. There is evidence of learner demand for the programme. 3. There is support for the introduction of the programme (such as from

industry/employers, legislation demands or regulatory bodies). 4. There is good rationale for providing the programme. 5. The programme meets a national skills shortage or training needs.

Stage 2 - Development of the Proposal Where Stage 1 approval is obtained the Training & Academic Affairs Manager appoints a Programme Lead who establishes a Programme Development Team who will consult with stakeholders and prepare a Programme Proposal including an estimate of the Proposed Programme Resource Requirements. The Programme Lead is responsible for ensuring that the proposal shall address the following:

• Programme Details including the Award standard.

• Rationale for the Programme including any unique features.

• Alignment with The Cpl Institute’s strategic plan.

• An overview of the potential market with a competitor analysis.

• Potential demand for the programme nationally.

• Proposed arrangements for access, transfer and progression.

• Programme aims and objectives, proposed draft Minimum Intended Programme Learning Outcomes.

• Outline of structure and content. It is important to note that the validation process is an evidence-based process. All stakeholder feedback must be evidenced through business meeting minutes, surveys, meetings with learners, minutes of consultation with regulatory bodies, etc.

Approval The proposal document is submitted to the Senior Management Team for feedback and approval. The Senior Management Team is responsible for evaluating the financial and resource implications of the programme and its alignment with the strategic plan. The proposal together with the Senior Management Team approval is submitted to the Academic Council. Academic Council will approve the establishment of a Programme Development Team. The Academic Council is responsible for evaluating the academic merit of the programme and assesses the proposal against the QQI Core Validation Criteria. If a programme is based on a collaborative agreement the QA & Compliance Manager shall ensure that a due diligence report is completed and presented to Senior Management Team. Following approval by the Senior Management Team


the report is submitted to the Academic Council. The Governing Board is informed of all collaborative agreements and the due diligence reports are provided. The Training & Academic Affairs Manager is responsible for academic due diligence and the Finance Officer for financial and legal due diligence.

Stage 3 - Development of the Programme Submission to QQI Once the Academic Council approves the development of the programme, the Programme Development Lead and the Programme Development Team develop the programme content in line with the approved proposal, stakeholder feedback and industry expertise and informed by QQI Core Validation Criteria. The Programme Development Lead organises the meetings of the Programme Development Team and ensures appropriate meetings are held with stakeholders to complete the required QQI Programme Validation together with supporting documentation for the submission to QQI. The Training & Academic Affairs Manager ensures that the programme submission takes each of the 12 criterion statements in turn and explains how the programme meets the criteria. This submission should also address the sub-criterion statements where applicable. The validation may be refused by QQI if any one of the applicable criteria or sub-criteria are not demonstrated to be satisfied. An important exercise carried out by the Development Team is mapping the MIPLOs against the award standards and with comparable programmes. The programme is developed to the point that it is ready to be offered to learners. Programme Documentation Programme documentation includes all information required to demonstrate that the programme addresses all applicable validation criteria. The headings and subheadings of the QQI General Programme Validation Manual template for Presenting an Application for Validation (Check QQI website). The team will evaluate the programme against the core validation criteria which are stated. The QQI template to be completed is detailed and requires explicit information and responses to be provided with supporting documentation where relevant. Please note generalised, non-programme specific, vague, ambiguous, contradictory or evasive responses to the criteria are unacceptable and may result in the refusal of validation if they appear in the provider’s evaluation report, and the rejection by QQI of an independent evaluation report. The completed template together with the evidence supported documentation and proposed programme schedule is submitted to the QA & Compliance Manager.

Evaluation of the Programme by an Internal Independent Panel The QA & Compliance Manager establishes an internal review of the proposal on behalf of the Academic Council. The composition of the internal independent review panel shall be determined by the QA & Compliance Manager and will have external (independent) representation.


The internal independent review panel prepares an evaluation of the relevant programme against the applicable validation policies and criteria. The Senior Management Team will be provided with a copy of the report and will be informed by the Academic Council if there are changes to the initial resource requirements for the delivery of the proposed programme. The Programme Lead will take account of recommendations made by the internal independent review panel prior to submitting programme documentation and internal evaluation report to the Academic Council for approval before submitting to QQI for validation.

Stage 4 - Evaluation of the programme by an Independent Panel appointed by QQI On approval of the Proposed Programme Submission the completed programme template, supporting documentation and proposed programme schedules are submitted by the QA & Compliance Manager to QQI together with the appropriate validation fee. The QA & Compliance is responsible for complying with QQI’s submission requirements, liaising with them regarding proposed dates for a site visit if required, agreeing with QQI the composition of the Independent Evaluators on the Validation Panel and making arrangements for the validation meeting. This should be undertaken in consultation with the Senior Management Team, Programme Development Lead and training staff. The Training & Academic Affairs Manager, in consultation with the Programme Development Lead, is responsible for making all necessary arrangements relating to the team proposing the new programme. Submission to QQI For submission to QQI, the following applies: The Cpl Institute must be eligible to apply for programme validation based on the criteria laid out in section 3 of the Policies and Criteria for the Validation of Programmes of Education and Training – QQI 2017: a) Established procedures for QA under section 28 of the Act. b) Established procedures for access, transfer and progression. c) Comply with all arrangements for the protection of enrolled learners. The QA & Compliance Manager submits the following for all validations: 1. Completed submission template and supporting documentation 2. A self-evaluation of the relevant programme against the applicable validation policies and criteria. 3. The applicable fee. Independent evaluators will undertake site visits as part of the evaluation. They may interview the provider’s senior management team, the programme personnel and other relevant stakeholders including any relevant learners. The evaluation group may provide informal feedback to the provider at the conclusion of a site visit. Any such feedback will not be comprehensive and will be given without prejudice to the final independent evaluation report. The validation panel makes a recommendation to QQI. There are three possible outcomes:


I. Satisfactory. It recommends that QQI can be satisfied that an enrolled learner of that provider who completes that programme will acquire, and where appropriate, be able to demonstrate, the necessary knowledge, skill or competence to justify an award of QQI being offered in respect of that programme. II. Satisfactory subject to proposed special conditions. Specified with timescale for compliance for each condition and these may include proposed pre-validation conditions i.e. proposed (minor) things to be done to a programme that almost fully meets the validation criteria before QQI makes a determination. III. Not satisfactory. After QQI has received the independent evaluation report, it will make this available to The Cpl Institute. The Cpl Institute will be invited to: a) Comment on the factual accuracy of the independent evaluation report. b) Respond to the overall findings (e.g. whether they are accepted by the provider). c) Submit any modified documentation and plans addressing any pre-validation conditions proposed in the independent evaluation report. Where a validation determined by QQI involves special conditions and recommendations, The Cpl Institute will have an opportunity to comment on factual accuracy of the report. Once agreed the Academic Council will consider and respond to the report and submit:

• Plans for addressing any pre-validation conditions and/or recommendations.

• Modified programme documentation. Differential validation involves QQI validation of a programme that is based on, or a modification or extension of, a QQI validated programme. The QQI validation of the original programme can inform the QQI validation of the derived programme and this can simplify the QQI validation process for the derived programme.

Stage 5 - Authorisation to Offer the Programme On completion of the validation process a Certificate of Validation is issued by QQI. The QA & Compliance Manager is responsible for maintaining the record of the Certificate of Validation, the submission documentation, and reports of the Validation Panel. The programme is subject to statutory conditions of validation as prescribed in section 9 of the Policies and Criteria for the Validation of Programmes of Education and Training – QQI 2017 and for a specified duration as published in the Certificate of Validation. The programme is subject to ongoing monitoring and periodic review. The independent evaluation report, the validation determination by QQI, and the Certificate of Validation, are substantive products of the validation process. The QA & Compliance Manager is responsible for the following:


• Notifying the Governing Board, Academic Council and the Senior Management Team of the outcome of the validation and providing them with the findings of the Panel.

• Publication of programme details, the independent evaluation report, the validation determination by QQI and the Certificate of Validation as well the applicable PEL will be published.

The relevant reports will also be published on the QQI website. The Governing Board will authorise the running of the programme subject to the resource availability in The Cpl Institute. A Checklist and Notification of New Programmes template is filled out to communicate correct programme information to all stakeholders.

3.4.1.8 Changes that can be made to a Validated Programme As stated in section 8 of QQI’s Policies and Criteria for the Validation of Programmes of Education and Training, 2017: A validated programme is not a static entity, frozen in time. It is expected that the provider will make necessary enhancements and adaptions to programmes from year to year. However, there are limits to what may be changed before a modified programme must be submitted to QQI for validation as a new programme. These limits depend on the scope of the provider’s QA procedures as approved by QQI. Where an extensive (i.e. very substantial) change to a programme is one that effectively results in a new programme, then it must be validated as such. Any change must be consistent with the applicable award standard(s) against which the programme was validated. The interpretation of what does and does not constitute an ‘extensive change’ is a matter to be informed by expert judgement. Examples of ‘extensive changes’ would be:

• Undermining anything that was essential to support the original validation decision.

• Elimination of any core intended programme learning outcomes.

• A change in the pre-requisite learning requirements for a given programme. The Training & Academic Affairs Manager and QA & Compliance Manager will consult on proposed changes to programmes and a record is kept by the QA & Compliance Manager of any changes that are agreed. The QA & Compliance Manager will consult with QQI in case of any doubt about whether or not validation would extend to a modified programme. The QA & Compliance Manager will inform the Academic Council of any and all changes to programmes.

3.4.1.9 Revalidation QQI programmes are always validated conditionally.

• All validation determinations are subject to a ‘duration of enrolment’ condition, this is typically five years.


• The duration of enrolment is variable and defined as the interval during which learners may be enrolled on the validated programme.

• Revalidation is validation by QQI of a programme that has emerged or evolved from a programme that had been previously validated by QQI. This can occur if the original programme may have reached a point where, for example, it needs to be substantially modified or updated such that the end result is a new programme.

• Revalidation is also required for any programme that is to continue to enrol learners following expiry of the duration of enrolment.

3.4.1.10 The Cpl Institute Short/Minor Programmes The approval process for The Cpl Institute short programmes follows a similar development and approval process as described above in section “Stages of New programme Development and Approval”. The Cpl Institute’s short programmes are mainly programmes of education or training that companies propose that The Cpl Institute deliver and may be based on a specific company purpose or regulatory requirement. Stage 1 - Preliminary Authorisation When a programme is proposed it is reviewed by the Senior Management Team in the first instance. The Senior Management Team considers the merits of an outline proposal, authorisation to proceed with the initial programme development is granted based on the following:

• That the programme is consistent with The Cpl Institute strategic planning and contributes to achieving The Cpl Institute aims and objectives.

• That the programme offers a valuable education or training experience to learners and for a specific purpose.

• Resource requirements.

• Fee. Stage 2 - Internal Development of the Proposal Where preliminary authorisation is approved a Programme Development Lead is appointed to develop a detailed programme proposal. The proposal is submitted to the Senior Management Team and includes:

• Programme Details - title, short description, duration, etc.

• Rationale for the Programme including any unique features.

• Alignment with The Cpl Institute’s strategic plan.

• Programme aims, objectives, and intended learning outcomes.

• Outline of structure and content.

• Assessment strategy.

• Profile of target participant. The Senior Management Team considers the proposal on the basis of the documentation above and the financial arrangements of the proposal, and if it satisfied with the merit of the proposal then approval is granted to proceed with the development of the


programme. The final proposal, excluding financial information, is submitted to the Academic Council for approval. Stage 3 - Development of the Material The programme material comprises:

• Learner Handbook

• Marketing Material

• Programme Document including all material for delivery and supplementary material.

In some cases, stage 2 and 3 may be combined. Stage 4 - Evaluation of Programme by Company and Financial Arrangements Where the final programme submission is agreed by both The Cpl Institute and the proposing company, if relevant, a formal agreement is signed and the Senior Management Team will authorise delivery of the programme. The Academic Council and Governing Board are notified of authorisation to provide the programme.


Checklist and Notification of New Programme form


3.4.2 Programme Approval Process Flow Chart

Figure 3.4 - TCI New Programme Approval Process


3.4.3 Programme Planning

Policy / Procedure Name Programme Planning

Version No 1.0



Effective Date TBC




Purpose This procedure describes the scheduling of programmes, including

timing, resources and resources required. Planning and running of

programmes is so important and based on many contributing factors

and must be well planned in advance, so specific items like resources,

facilities must be available and permission sought from Senior

Management Team

Responsibility Training & Learning Coordinators

Key Steps The Training Coordinators:-

- Will seek permission from Senior Management team

before scheduling a programme.

- Will provide a schedule of programmes to be advertised

on the website and assist with other promotional

tools/material.

- will book and confirm all Tutors and venues

- prepare all programme resources, supporting materials,

equipment, learner induction pack/presentation,

Evaluation forms, etc. are all prepared and checked by

another training coordinator.

The Tutor:-

- is responsible for double checking that all the required

resources are in place before the programme starts.

- All venues/facilities must meet the organisations

selection criteria and be approved prior to selection.

Documentation Calendar of Events, Website, Resource Checklist, Facilities Checklist,

All programme documentation and Material.


Instructor Course Report Training Evaluation Form Training Facilities Checklist

Appendix 7.2 Appendix 7.3 Appendix 6.1


3.4.4 Programme Delivery

Policy / Procedure Name Programme Delivery

Version No 1.0



Effective Date TBC




Purpose To ensure that all programmes are delivered in a consistent manner so

that learners can maximise their learning experience while also

allowing for enhanced delivery by Tutors.

Responsibility Tutors

Key Steps At the beginning of each programme the Tutor delivers a

comprehensive learner induction to include:

- An introduction to the organisation and the

programme.

- Health & Safety induction and learner welfare

arrangements

- Learner workbook is given to learners to include hand-

outs, notes and support material.

The Tutor(s) are encouraged to make use of a variety of delivery styles

Tutors must:

- Advise Learners with identified support needs that they will be accommodated, as necessary and inform Training Co-ordinators.

- Ensure all relevant course documentation is distributed

to learners and completed e.g. daily sign in sheets,

Evaluation forms etc.

- All relevant documentation is returned to the Training

Co-ordinator.

- Be responsible for ensuring all assessment activities are

carried out according internal procedures and

validation.


Documentation Learner Induction Checklist, Tutor Declaration, Course Material,

Reasonable Accommodation Form, Sign in Sheets, Evaluation Forms.


Learner Handbook Tutor Declaration Learner Induction Checklist Course Booklets Daily Training Record Training Evaluation Form

Appendix 8.1 Appendix 4.17 Appendix 7.1 Appendix 7.3


3.5 Learner Admission, Progression and Recognition

The Cpl Institute aim to provide a quality further education service that is accessible to all and

allows for the acquisition and development of skills and knowledge at all levels. It is the policy

of The Cpl Institute, as far as practical, to admit all applicants who fulfil minimum academic

requirements for it programmes.

The Cpl Institute provide accurate and up to date information on the programmes and

services offered by The Cpl Institute and routes for transfer between programmes within the

company or to another company having received recognition for knowledge, skill and

competence acquired, as well as progression to other programmes at a similar or higher level

than the preceding programme.

All applicants who seek additional supports or who has reasonable accommodation requests

as a result of a disability or medical condition will be catered for as per section 7 (Support for

learners).

All information is published on The Cpl Institute website and in The Cpl Institute brochure and

is provided in hardcopy /electronic copy to applicants on request

3.5.1 Access, Transfer and Progression (ATP) Policy

Policy / Procedure Name Access, Transfer and Progression

Version No 1.0

Approval Admissions Committee


Effective Date TBC





It is the policy of the Cpl Institute to ensure that learners can avail of fair and

transparent access, transfer and progression in our programmes.

This will be achieved by:

- Providing potential learners with sufficient information about each

programme.

- Developing clear entry criteria.

- Providing learners with accurate content on the programme.


- Identifying transfer and progression opportunities.

- Ensuring learners are aware of the transfer and progression options available

to them.

- Ensuring that entry requirements are transparent, fair and consistent.

- Providing learner supports for equality & diversity of learners.

3.5.1.2 Purpose The purpose of this policy is to outline The Cpl Institute’s overarching framework for admission, transfer and progression procedures. This policy supports the enrolment of suitably qualified learners and the creation of a

diverse learners. This policy promotes lifelong learning and facilitates learner

mobility.


• QQI Policy Restatement - Policy and Criteria for Access, Transfer and Progression in Relation to Learners for Providers of Further and Higher Education and Training (NQAI, 2003, Restated 2015)

• Qualifications and Quality Assurance (Education and Training) Act 2012

• Core Statutory Quality Assurance Guidelines (2016), QQI.

3.5.1.4 Scope This policy applies to all programmes offered and delivered in The Cpl Institute

It applies to programmes and standalone modules/minor awards that carry

academic credit.

The procedures for admission, transfer and progression for programmes delivered collaboratively with other providers are specified in the relevant collaborative agreement.

3.5.1.5 Responsibility The Training and Academic Affairs Manager is responsible for this policy and

ensuring all programme information is communicated to the Training & Learning Co-

ordinators, who is responsible for providing information to all learners. The Training

and Academic Affairs Manager has ultimate responsibility for this policy, effective

development, implementation and reviewing with the admissions committee.

3.5.1.6 Policy / Procedure

Principles


All programmes at The Cpl Institute are aligned to the appropriate level of the

National Framework of Qualifications (NFQ).

Procedures for admission, transfer and progression are in line with the national

legislation and support The Cpl Institute’s strategic plans.

The Cpl Institute is committed to non-discrimination, diversity in its learner body,

and the protection of the dignity of the learner at all stages in the learner lifecycle

from application to graduation for major award.

The Cpl Institute is committed to the highest academic standards in its academic programmes.

Admission

The Cpl Institute welcomes and supports applications from all appropriately qualified

learners irrespective of social, cultural and educational backgrounds.

The Cpl Institute recognises formal, informal and non-formal prior learning as

relevant for admission to programmes. (See Section 3.6 on RPL)

Applicants are admitted on the basis of their individual merits, abilities and aptitudes

and the extent to which they can make a meaningful contribution to the programme

of study.

Applications for programmes are processed fairly and impartially, and in a consistent

and transparent manner.

The Cpl Institute recognises that it is not in the interest of an applicant to be

admitted into a programme of study on which s/he is unlikely to be successful

because of lack of English language competency or lack of necessary skillset. If

English is not the applicants first language, then he/she may be required to submit

evidence of English proficiency.

Learners on programmes with work placements will be subject to Garda vetting

under the provisions of the National Vetting Bureau. This may limit an admission.

For some programmes, an interviewing process is carried out for suitability of

learners.

- to check if any extra or additional support or reasonable accommodation

requests is required for learners. (See Section 7 – Support for Learners).

- To check the best possible fit between the learner and the programme is

found and to ensure that The Cpl Institute can adequately and appropriately

provide supports to ensure that all leaners have equal opportunity to succeed

on their programme of choice.


- To check on applicant’s proficiency of the English language.

Entry to or progression on programmes can be achieved by RPL and each individual

will be assessed on an individual basis through the RPL policy. (See Section 3.6 on

RPL)

The Admissions Committee is responsible for overseeing the annual review and fair

application of the admissions and ensure that appropriate record keeping is

maintained for applicants.

Transfer

Procedures are in place to consider and, where appropriate, to approve requests

from learners to transfer out of one programme into another.

Learners may apply, through their tutor, for permission to transfer to another

programme. Transfer applications, which must be made in writing, should be

submitted to the Training and Academic Affairs Manager, who will process the

application.

While every effort will be made to allow adequately qualified learners to change

programme, it will not be possible to permit a transfer into a programme which

already has a full complement of learners.

Learners who are being considered for a transfer to another programme, should

register for and attend the programme to which they were admitted. In no case may

learners register for a programme until their application to transfer has been

formally approved by the Training and Academic Affairs Manager.

Progression

Learners who wish to progress onto additional programmes should contact the

Training and Academic Affairs Manager.

The Training and Academic Affairs Manager will provide them with information in

relation to their progression, including where these programmes are available and

what entry criteria is required. Some of these programmes will be provided by other

Further Education Training providers or Higher Education Training providers.


Company Brochure Company Website


Section 3.6 - RPL Section 7 – Supports for Learners

3.5.2 Information for Learners Policy

Policy / Procedure Name Information for Learners Policy

Version No 1.0



Effective Date TBC




3.5.2.1 Introduction The Cpl Institute policy on communication with learners is to ensure that we

promote regular and effective information for all to assess our programmes of

learning.

3.5.2.2 Purpose To ensure that current and prospective learners have sufficient information about

programme access, transfer and progression and for the participation in

programmes.


N/A 3.5.2.4 Scope


Institute are adults, it is acknowledged that there may be learners on programmes

that

3.5.2.5 Responsibility Training and Academic Affairs Manager

3.5.2.6 Policy / Procedure Essential information required for learners includes:

- Programme information, clearly outlining entry requirements and

arrangements, transfer, progression, learner resources, Awarding body,


Programme level, Programme content, outline of assessment and learner

supports available etc. are published on our website.

- Programme brochures and promotional material.

- Relevant and accurate information in on the website.

- Social networking sites

- Oral communication, electronic communication, one to one meeting with

prospective/current learners.

- Informative learner induction.

- Learners will be supplied with a handbook (if applicable), programme outline,

and all other resources as required.

- Open Nights and Information Evenings

- Protection of Enrolled Learners (PEL).


Learner Handbook Tutor Declaration Learner Induction Checklist Course Booklets Company Brochure Company website

Appendix 8.1 Appendix 4.17

3.6 Recognition of Prior Learning (RPL)

3.6.1 Recognition of Prior Learning (RPL) Policy

Policy / Procedure Name Recognition of Prior Learning

Version No 1.0



Effective Date TBC




3.6.1.1 Introduction and Statement

The Cpl Institute aims to provide a quality further education training service that is

accessible to all and allows for the acquisition and development of skills and

knowledge at all levels. Learners’ needs are accommodated, and The Cpl Institute

assist them to gain entry to a programme of education and training, to be granted


credit or exemptions and / or receive a QQI award by recognising the knowledge,

skills and competencies they already have acquired.

The Cpl Institute actively promotes the principles of lifelong learning, including the

recognition of learning wherever and whenever it is achieved; in this regard, it is

committed to enabling more inclusive approaches for mature and lifelong learners at

different stages of their personal and professional lives, who wish to undertake their

studies on a full or part-time basis.

This policy ensures that The Cpl Institute is correctly implementing and properly

managing the process for learners who wish to apply for Recognition of Prior

Learning (RPL) and gain access into/or exemptions in a programme.

3.6.1.2 Purpose

The purpose of this procedure is to acknowledge prior learning received at another

provider or from another awarding body which will mean that the learner may

receive recognition of skills and knowledge already acquired and/or certified or prior

learning or experiential (non-certified), which can then go towards certification for the

programme of study which is leading to a Major, Minor or Special Purpose award.

The learner will complete an application for recognition of prior learning for

consideration.

3.6.1.2 Regulatory and Reference Document(s)

• Principles and Operational Guidelines for the Recognition of Prior Learning in

Further and Higher Education and Training (2015)

• Access, Transfer & Progression (ATP)

3.6.1.3 Scope

Recognition of Prior Learning (RPL) is a system whereby learning acquired through

certified programmes and/or through experience can be acknowledged as a basis for

entry onto formal programmes of study, and/or for gaining exemptions from parts of

a programme of study. The Cpl Institute offers Recognition of Prior Learning (RPL),

the prior learning can be Certified or Experiential (non-certified). This policy applies

to all learners seeking to use prior learning.

Recognition of Prior Certified Learning (RPCL)

Prior Certified Learning is where an applicant has already been awarded a

qualification for a formal programme or module taken with another provider or


training organisation. This prior learning can be recognised on the National

Framework of Qualifications and may entitle the applicant to:

▪ Admission to a programme or course of study.

▪ Exemptions from some components of a programme.

▪ Exemptions from some components of a programme which duplicate the

learning an individual has already acquired.

▪ Credits towards a qualification.

Where prior certificated learning is the basis for RPL, the learner is required to

provide the relevant syllabus and a transcript of results and Certificate.

The Cpl Institute reserves the right to seek supporting evidence from the training

provider/education institution referred to, in the application and where appropriate

seek other supporting reference documentation from an employer or referee.

Only when The Cpl Institute is completely satisfied that the learner meets the criteria, that

an exemption will be granted. Exemptions may be granted at any stage of a programme.

Recognition of Prior Experiential Learning (RPEL)

This involves the awarding of credit for learning from experience. In this case, the

candidate must demonstrate that the learning outcomes have been achieved by

producing a portfolio of evidence to support the claim for access, exemption or

credit (in some instances the Training and Academic Affairs Manager or the assessor

may decide to use an alternative method of assessment, e.g. project/assignment or

examination). Supporting documentation and authentication of evidence of work-related

experience may be required from an employer.

As a general principle, credit is given for learning, not for experience per se. The

portfolio of evidence must be written in such a way that the matching of the

knowledge, skills and competencies of the module learning outcomes to the prior

learning and is clearly demonstrated. As part of the assessment the learner may be

interviewed by an appointed tutor/assessor. Learners can receive support with

developing their portfolio from the Training & Learning Co-ordinators.


The Training and Academic Affairs Manager is responsible for this policy and

ensuring all information is communicated to the Training & Learning Co-ordinators,

who is responsible for providing information on RPL to all learners.


The Training and Academic Affairs Manager has ultimate responsibility for this

policy, effective development, implementation and reviewing with the admissions

committee.


If applying for RPL on any programme with The Cpl Institute, an RPL application must

be completed online. Also, one of the Training & Learning Co-ordinators will conduct

a short telephone interview, discussing their experience to date both professionally

and academically to determine their eligibility for RPL and may seek other

information or supporting documentation.

This online form will be sent to the relevant Training & Learning Co-ordinators who

will pass onto the Training and Academic Affairs Manager, who will approve or

contact the learner to further clarification on the details provided.

When applying online, The Cpl Institute website shows clearly the requirement for

RPL and a place on the programme is not guaranteed until their RPL application has

been reviewed and evaluated. The learner will be contacted within 24 hours of

completing their RPL form online to further discuss their eligibility.

If the Training and Academic Affairs Manager assesses the learner as having the

experience required to join an RPL programme, the learner is sent a copy of the

learning outcomes to be reviewed and informed of the timetable to attend as part of

the programme. If the Training and Academic Affairs Manager is unsure it will be

brought to the admissions committee and the learner informed of this by the

Training & Learning Co-ordinator. The learner’s exemption may be granted or

refused and learner informed.

If approved, learners are encouraged to engage in self-directed learning in the

intervening days between training days. To enable this, learners are provided with

learner handbooks covering each module in detail, complete with end of unit

assessments which learners are encouraged to complete to confirm their self-

directed learning.

If an applicant is entitled to an exemption and completely satisfied The Cpl Institute

that the applicant meets the stated criteria that an exemption will be granted.

Exemptions may be granted against any stage of a programme.

Where the module that is being exempted counts towards the overall result for an

award an exemption will result in the recommendation of an award, except in the

case of the previous learning having an equivalent mark/grade attached, which can

be verified through an official transcript of results from The Cpl Institute itself or


another provider. In this instance the learner will be eligible to carry the grade

previously achieved, and to count this towards their new award.

The learner will also have the option to decline the offer of exemption and carry out

the regular requirements of the module(s) and be awarded a grade based on their

achievement in the module, which will be put forward for the award. The credit

value of exemptions awarded will not be greater than the credit value of the

previous accredited learning.

Previous accredited learning to be considered for exemption purposes must be at the same or higher level than the module(s) for which the exemption is being sought.


Company Brochure Application for RPL Learner Portfolio Records of Correspondence Admissions Report for Admissions Committee/Academic Council


3.7 Programme Monitoring and Review

The purpose of this procedure is to ensure that programmes are reviewed at regular intervals to ensure their continued relevance and to improve delivery and content where appropriate, as part of our continuous improvement ethos. Staff and learners are encouraged to contribute feedback and suggestions to the programmes and services they are involved with. The Training & Learning Co-ordinators will review learner and tutor evaluation on a regular

basis and note suggestions in the Quality Improvement log.

The Training and Academic Affairs Manager along with the Programme Board committee is responsible for ensuring the ongoing monitoring and periodic programme reviews takes place.

3.7.1 Internal and External Monitoring and Evaluation Policy

Policy / Procedure Name Internal and External Monitoring and Evaluation

Version No 1.0



Effective Date TBC





The Cpl Institute facilitates and promotes the continuous monitoring of programmes

through various methods and seeks feedback on all aspects of the programme from

internal and external sources. Feedback is reviewed and recommendations are

considered as part of continuous improvements.

3.7.1.2 Purpose To ensure the continued relevance of all programme content and delivery, ensuring that that recommendations for improvements are gathered and implemented accordingly.


• Policy and Criteria for Making Awards – QQI 2017

• Policies and Criteria for the Validation of Programmes of Education and Training

– QQI 2017


3.7.1.4 Scope



Institute are adults, it is acknowledged that there may be learners on programmes

that

3.7.1.5 Responsibility Programme Board


Internal Monitoring and Evaluation

Evaluation and Review will consist of but not limited to:

• Learner Evaluation forms reviewed and summarised after each

module/programme.

• Tutor reports reviewed and summarised after each module/programme.

• Tutor workshops/briefings are held to review programmes and associated

assessments and results brought to the Academic Council.

• End of programme review reports – including content and structure, learner

achievements, disciplinary procedures, safety concerns, communication with

learners

• The Training and Academic Affairs Manager will carry out periodic

module/programme reviews

• An annual programme review will be carried out by programme review team

/ academic council and Learners may be asked to participate in a programme

survey.

• Feedback from the Teaching Learning, Exam and Assessments committee

External Monitoring and Evaluation

Evaluation and Review will consist of :

• Being monitored by QQI

o Programme quality and attainment of awards standards

o Internal/ External quality procedures (re-validation)

o Quality indicators – Annual completion rates

• External Audits

• External Authenticator

• Arrangement for the protection of learners

The QA & Compliance Manager will notify QQI the awarding body of any minor

changes and will go through a validation process if major changes are required to the

programme, before offering the modified programme to learners.



Programme Review Template Tutor Course Reports Training Evaluation Form EA Reports RAP Meetings Results Summary Sheet Company Brochure Quality Improvement Log


3.7.2 Programme Review, Re-validation and Validation

Policy / Procedure Name Programme Review, Re-Validation and Validation

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Effective Date TBC




3.7.2.1 Introduction Programme review is a provider owned process and relies on QA approved by QQI.

Re-validation/Validation is a process owned by QQI and carried out on its behalf in

part by an independent expert panel, which makes a recommendation for approval

or otherwise to QQI’s through the completion of an Independent Evaluation Report.

Ultimately, programme approval depends on an application for re-

validation/validation meeting all the Criteria and Sub-Criteria of QQI’s Validation

policy must be met.

3.7.2.2 Purpose To ensure that all programmes are reviewed at regular intervals and programmes with extensive changes required, are to be re-validated. That a programme board is established for each programme.


• Statutory Quality Assurance Guidelines - developed by QQI for Independent/Private Providers coming to QQI on a Voluntary Basis – QQI 2016.



• Policies and Criteria for the Validation of Programmes of Education and Training – QQI 2017

3.7.1.4 Scope All The Cpl Institute programmes up for review at regular intervals or up for re-

validation.

3.7.1.5 Responsibility Programme Board

3.7.1.6 Policy / Procedure Please note that stages 3, 4 & 5 in the New Programme Development and Approval

(see section 3.4.1.7 and Fig. 3.1 Programme Approval process flowchart see section

3.4.2) are common to both the re-validation of existing programmes and the

validation of new programmes.

Stages 1 and 2 below are unique to Programme Review.

Programme Review

Programme Review is the formal evaluation of QQI accredited programmes and

related services, carried out at regular intervals for related programmes. This review

process has an internal and an external evaluation phase.

The specific objectives of a programme review are to:

• ensure that the programme remains appropriate, and to create a supportive

and effective learning environment.

• ensure that the programme achieves the objectives set for it and responds to

the needs of learners and the changing needs of society.

• review the learner workload.

• review learner progression and completion rates review the effectiveness of

procedures for the assessment of learners.

• inform updates of the programme content; delivery modes; teaching and

learning methods; learning supports and resources; and information provided

to learners.

• update third party, industry or other stakeholders relevant to the

programme(s).

• review quality assurance arrangements that are specific to that programme.

Stage 1: Programme Review - Self-Evaluation Step 1: Formation of the Programme Review team


A programme Review Team is formed under the co-ordination and

management of the relevant Programme Board.

Step 2: Planning of the process to include collation of 5-year QA summary report The programme review team will conduct a review of the Quality Assurance

data collected for the programme(s) during the 5-year period being

addressed by the review.

Step 3: Stakeholder Consultation Consultation with relevant stakeholders will be conducted to gather feedback

and opinions on the successes of the programme(s) and recommendations

for future developments. Relevant stakeholders will be defined by the

Programme Review Team and the focus of the programme review itself.

Step 4: Agreement in writing of Terms of Reference The progamme Review Team will define the Terms of Reference for the

programme review and agree these with QQI.

Step 5: Review of data and development of Provider’s Programme Review Report The Programme Review Team will convene meetings as necessary to review

the data gathered through steps 2 and 3, and critically evaluate the

programme.

The Programme Review Team will develop recommendations for

developments and improvements to the programme as a result of this review

and analysis. Details of actions taken and results of each step of the internal

phase, as well as the recommendations generated, will be presented in a

Provider’s Programme Review Report.

Stage 2: External Independent Review Stage 2 of the Programme Review is carried out by an Independent Review

Panel which is required to make an impartial judgement on the continued

maintenance of the overall standard of the programme and on its

acceptability for the award in question, when compared with similar

programmes elsewhere in Ireland. The Independent Review Panel is agreed

with QQI at the time of the agreement of Terms of Reference, at which time

it may also be requested (and agreed in writing) that the same Panel

members are designated as Independent Evaluators for the Revalidation

Phase (Phase 3-below).

Step 1: Site Visit of the Independent Review Panel

The Independent Review Panel is comprised of external peers familiar with

current practice and developments in the programme area.

Panel members are selected with the aim of forming a balanced panel which

has:


• an understanding of the relevant sector;

• experience of working in the sector;

• knowledge and expertise in relation to teaching and assessment;

• expertise in relation to national and international trends relevant to

the programme;

• an acceptable gender balance of at least 40% of either gender

Each of the panel members will be supplied with the Provider’s Programme

Review Report and any necessary supporting documentation well in advance

of the panel visit. In order to complete its work, the review panel visits The

Cpl Institute to review the relevant documentation including the programme

review report, discuss the programme with the Programme Review Team,

learners of the programme(s) and review the facilities available for

conducting the programme(s).

The Chair of the programme review team is responsible for agreeing the

agenda for the panel visit with the Secretary of the panel, ensuring all

relevant personnel are available to meet with the panel as required and that

all relevant documentation is available. On completion of the site visit, the

Review Panel and Programme Review Team meet and the Chairperson of the

Panel provides verbal feedback to the Programme Review Team. Issues are

discussed and clarifications are provided. The Panel and Review Team discuss

recommendations in relation to developing and improving the programme(s).

Step 2: Production of an Independent Programme Review Report

Following the panel visit the Secretary is responsible for producing a written

panel report, which gives the panel’s response to the self-evaluation

conducted by The Cpl Institute and their recommendations for developments

and improvements to the programme. It should also include a

recommendation, positive, negative or conditional, in respect of the

continuing validation of the programme(s), which are the subject of the

review. The report should specify the duration of revalidation recommended,

but not in excess of five years.

Step 3: Response to the Independent Programme Review Report

The Programme Review Team will have the opportunity to review the report

before it is finalised, in order to check for factual accuracy. At this stage, the

review team should also prepare a formal response to the Panel’s report and

an implementation plan in respect of any recommendations made by the

Panel. This response and plan becomes part of the Provider’s Evaluation

Report.


Step 4: Response of the Independent Panel)

Following The Cpl Institute’s response to the Panel at step 3 above, the Panel

may make a final response.

Stage 3: Validation/Revalidation - Submission to QQI for revalidation of programme Stage 3 here for re-validation is the similar to stage 3 & 4 of New Programme

Development and Approval (see section 3.4.1.7) and the validation of new

programmes.

The Provider’s Evaluation Report, will be forwarded to QQI for Independent

Evaluation, as part of the revalidation process. This will be accompanied by a

formal request for revalidation and:

• Documents demonstrating prerequisites to apply have been established

• The proposed terms of reference for the Independent Evaluation Report, if these have not been agreed earlier at Phase 1, Step 4.

The QA & Compliance is responsible for submitting the completed validation

documentation to QQI. In the case of all applications for validation, the application will

be submitted on the current QQI Template, with QQI appointing the panel.

QQI may get back with further queries or recommendations in the Independent

Evaluation report before it is submitted.

Stage 4: Adoption and Implementation of Recommendations

Stage 4 here for re-validation is the similar to stage 5 of New Programme

Development and Approval (see section 3.4.1.7) and the validation of new

programmes.

This the final stage of in the Programme Review, Validation and Re-validation

processes. The Provider’s Evaluation Report and Independent Evaluation Report are

circulated to the Academic Council and the relevant Programme Board. The

recommendations of the report are formally approved and adopted at the Academic

Council meeting. Following this the recommendations are taken up by the relevant

Programme Board, which will plan for and monitor their implementation.

The Cpl Institute will receive a copy of the Independent Evaluation Report for fact

checking before it is submitted to the Programmes and Awards Executive Committee

for approval or declining of re-validation or validation.


Programme Review Template Tutor Course Reports Training Evaluation Form EA Reports



RAP Meetings Results Summary Sheet Company Brochure Quality Improvement Log Provider Evaluation Report Independent Evaluation Report


Section 4 - Staff Recruitment, Management and Development

Policy / Procedure Name Staff Recruitment

Version No 1.0



Effective Date TBC




The Cpl Institute recognise that the recruitment, selection and retention of staff is one of the most important roles for our Senior Management Team and is critical to the development and success of our business. It is important to invest time and effort in sourcing the right person for a position. The Cpl Institute will use professional recruiters to assist in resourcing professional and experienced staff and associates nationwide. The Cpl Institute mission is:

- To sustain a working environment that attracts, develops and retains committed employees, who share in the company’s goals, objectives and ongoing achievements.

- To take all reasonable steps to ensure that the Company achieves the best

possible appointment to any post.

- To take all reasonable steps to ensure that all candidates receive, and are seen to receive, fair and equitable treatment.

- To take all reasonable steps to ensure the application of consistent practice

throughout all areas of the company’s policies and procedures, with particular emphasis on those applicable to recruitment, selection and retention of suitable employees.

- To take all reasonable steps to ensure that the Company meets all of its

Statutory, industry accreditation and moral responsibilities / requirements.

- To take all reasonable steps to ensure that the policies and procedures are executed in the most cost-efficient manner.

Purpose

The purpose of this procedure is to ensure that The Cpl Institute has a recruitment system that is transparent and fair in order to appoint the best candidate to a position and in


keeping with the employment equality legislation. The need to recruit staff and associates is based on identifying the human resource needs as per turnover and increasing portfolio of programmes offered and services delivered. Clearly defined role descriptions are in place for all levels, which are used in the selection process, and there are detailed recruitment criteria and recruitment processes laid down which is in keeping with employment equality legislation.

Scope

This policy applies to the recruitment and development of all staff associated with

education and training activities.

Responsibility

The Senior Management Team is responsible for evaluating the need for the role against

planned activities and for providing support and development opportunities.


Job Specifications


4.1 Recruitment Procedure

Policy / Procedure Name Recruitment Procedure

Version No 1.0



Effective Date TBC




Purpose The purpose of this procedure is to ensure that all new The Cpl

Institute staff receive a comprehensive recruitment process which is

co-ordinated, by the Training & Academic Affairs Manager and QA &

Compliance Manager.

Responsibility Training & Academic Affairs Manager and QA & Compliance Manager

Key Steps Once a recruitment need has been identified and approved, the

following will apply:

- Management meeting held to agree the job and tutor

specification.

- Advertise the position online, in print media and/or

utilise a recruitment agency, if required.

- Applicants are invited to send their applications to

administration

- Once the deadline for applications has passed,

administration will compile all applications and make

them available to the interview panel.

- The recruitment panel will screen against the set

criteria, i.e. job and person specification. The most

suitable candidates are selected for interview

- Communication with selected new tutors/ staff

- Issued a contract of services accompanied by any other

relevant documentation.

Documentation Job Description, Advertisements, Interview notes, Scoring sheets,

Interview Schedule, Correspondence (emails, letters etc.),


Job Description Advertisements Interview Notes


4.2 Organisational Communication

Policy / Procedure Name Organisation Communication

Version No 1.0



Effective Date TBC




It is The Cpl Institute policy to promote and ensure regular and effective communication at all levels of the organisation. The Cpl Institute believes that communication must be two way and inclusive of diversity. The Cpl Institute are committed to providing accurate information and guidance about our programmes and services and to seek constructive feedback from our learners and all stakeholders where possible to ensure continuous improvement and develop programmes and services which reflect best practice. Communication is delivered indirectly via website, newsletter, telephone and email and directly face-to-face.

Purpose The purpose of this procedure is to describe how staff communicate with learners from initial contact, through the duration of the programme up until certification through verbal, para verbal and written communication. The Cpl Institute considers that good communication with learners will foster an improved learning experience for learners thereby empowering learners to achieve their goals.


Key Steps - Common communication channels include meetings,

email, phone, website, social media, notice boards etc.

- Induction – Including mission, aims and objectives of

The Cpl Institute, Quality induction

- Staff/Personnel meetings – formal and informal.

- Updates from the awarding body.

- They will be encouraged to provide Evaluation on any

issues which may arise during programme activities.

- Programme review meetings, including:

- Review of Learner Evaluation forms.

- Review of Tutor reports.


- Review of any other stakeholder Evaluation.

Documentation Induction Checklist, Emails, Learner Evaluation Forms, Tutor Course

Reports, Awarding Body Correspondence.


Internal Emails Meeting Minutes Awarding Body Updates

4.3 Staff Development

Policy / Procedure Name Staff Development

Version No 1.0



Effective Date TBC




Purpose The purpose of this procedure is to ensure that a documented system is in place to identify the training, development and support needs of staff. The Head of Operations is responsible for the development and implementation of training programmes for all staff. The identification of individual training needs is carried out as part of the performance management and appraisal process.

Responsibility Teaching, Learning & Assessment Committee

Key Steps The Cpl Institute operates a systematic approach to staff development

underpinned by the systematic monitoring and evaluation of

education and training activities.

The procedure is intended to be open and interactive between

management and staff by encouraging regular and meaningful

communication.

- Induction

- Informal discussion and Evaluation - The Head of

Operations and staff member(s) will meet informally for

discussion and Evaluation.


They will:

- Discuss the progress in achieving the annual work and

development goals set in the current plan.

- Discuss any support(s) required by the staff member to

meet the specified targets.

- Where relevant, discuss and note updated goals to

reflect any changes to organisational objectives.

- Following the discussion(s), any changes will be noted

in the performance plan, including the reason for the

agreed changes, and formalised during the next review

meeting.

- Observation (Tutors)

- The Training & Academic Affairs Manager carries out

one in class observation of experienced Tutors during

the year and more if required.

- For new Tutors, The Training & Academic Affairs

Manager will carry out an observation during the first

solo delivery of a module/ programme. A further two

observations will be carried out during the first 12

months.

- If there are obvious areas for improvement, The Tutor

will be asked to address them with immediate effect

and will receive the appropriate support in order to do

so.

- Where required, and/or requested, additional training

and/or continuous professional development

opportunities are made available.

- Head of Operations carries out reviews and appraisa in

line with end of year performance and achievements.

Documentation Induction Checklist, Record of Meetings, Employment Contract,

Observation Form, Annual Performance Appraisal, Learner Evaluation

Forms.


Induction Checklist Further Education Policy End of Year Discussion Guide for Managers and Employees Learning & Development Policy



4.3.1 Continuous Professional Development Diagram

Figure 4.3 – CPD Diagram


4.4 Code of Conduct – Staff & Contractors

Policy / Procedure Name Code of Conduct for Staff & Contractors

Version No 1.0



Effective Date TBC




This code of conduct applies to all staff carrying out activities on behalf of The Cpl Institute

and it is the responsibility of all to familiarise themselves with it.

This code should be read in conjunction with the disciplinary procedures, health and safety

procedures and the contract of employment.

At all times, all are expected to:

- Treat learners and all staff with courtesy and respect.

- Comply with reasonable requirements as laid down in role description.

- Familiarise and adhere to all policies and procedures.

- Carry out their duties with integrity, care and diligence.

- Promote and protect the good reputation of The Cpl Institute.

- Preserve the confidentiality of all information and maintain the riles of GDRP

- Not act in a way which is discriminatory towards individuals or groups and

observe the nine ground/reasons of discrimination: gender, disability, age,

religion, family status, race, civil status, sexual orientation or membership of

the travelling community.

- Take reasonable steps to ensure the health, safety and welfare of all

- Dress in a way which is appropriate to their position and duties.

- Refrain from using offensive language.

- Not attend work or carry out duties whilst under the influence of alcohol,

illegal drugs or other substances which prevent them from doing so

competently.


The Head of Operations and the Training & Academic Affairs Manager will be responsible for

the day to day monitoring of staff and Tutor performance. Review of contractor’s forms part

of the continuous monitoring of the quality assurance process.

The Head of Operations and the Training & Academic Affairs Manager with the support of

other staff members and are responsible for ensuring all Tutors and administrative staff are

recruited and trained to the highest level.


Section 5 - Teaching and Learning The Cpl Institute aims to provide a quality further education training service that is accessible

to all and allows for the acquisition and development of skills and knowledge at all levels.

Flexibility and accessibility are key characteristics of any strategy devised to provide learning

opportunities for adults. The Cpl Institute provide accurate and up to date information on all

programmes of learning, provides effective access routes for learners and for progression to

other programmes in the field of practice.

5.1 Teaching and Learning Policy

Policy / Procedure Name Teaching and Learning Policy

Version No 1.0



Effective Date TBC




Introduction

The Cpl Institute is committed to delivering programmes with a comprehensive support

system that facilitates effective learning and enables learners to reach their maximum

potential while achieving the best possible results. The Cpl Institute promotes a learning

model that ensures flexibility for adults learners and recognises that managing learning

can be difficult while juggling further education and other commitments in life. Learners

are supported through effective timely supports and effective access routes for leaners

between programmes or for progression to other programmes in their field of practice.

Purpose

To promote flexible learning, active communication with learners and work towards

excellence in teaching and all learner activities in the further education training sector.

Regulatory

• Core Statutory Quality Assurance Guidelines (2016)

• Qualification and Quality Assurance (Education and Training) Act 2012

• Sector Specific Independent/Private Statutory Quality Assurance Guidelines (2016), QQI

Scope

This policy applies to all programmes, further education programmes and training

activities


Responsibilities

The Training and Academic Affairs Manager is responsible for providing the resources to

ensure a quality teaching and learning environment for tutors and learners.

The Training and Academic Affairs Manager is responsible for the day to day resourcing

of education and training activities.

Tutors are responsible for creating an environment for learners to maximise their

potential.

Policy & Learning Strategy

The Cpl Institute is committed to providing a learning environment that enables learners

to reach their maximum potential while achieving the best possible assessment results.

This policy outlines our approach to teaching and learning and continuous role in

achieving high quality teaching and learning practices.

We will achieve this by:

- Ensuring teaching and learning activity is professional, positive, engaging.

- Ensuring learners fully understand the learning outcomes as laid out in

their programme.

- Assisting learners to develop their knowledge skills, & attitudes through

positive learning experiences.

- Approaching teaching and learning actively to motivate and engage with

learners.

- Utilising technologies and other resources available to enhance the

learning experience.

- Encouraging Tutors to be reflective, assess their own performance and

development needs.

The Learner will learn through the following key strategies:

Learning Materials

The Cpl Institute provides high quality module booklets, handouts, presentations and

other learning materials that are regularly updated. The materials are structured to cater

to the needs of adult learners, through the provision of separate sections that support

each learning outcome.

Directed Study & Learning

The Cpl Institute tutors encourages directed study & learning through a focus on the

learning outcomes which are in the module booklets or learning material. The learners

have to complete some self-directed learning activities and in turn, are covering the

learning outcomes.


Workshops

Group workshops are encouraged (for each module) to provide learners with the

opportunity to collaborate with other learners and develop their understanding and

appreciation of the learning outcomes associated with the module and the setting up of

study groups. These opportunities for group learning also provide an excellent

opportunity for learners to social network, make contacts, and discuss all aspects of the

programmes or discuss issues with their peers. Some of this is done through online

media or after programme hours.

Practical and Skills Assignments

A key component of the assessment of the learner’s learning is their application of that

learning to their place of work. This process is assessed using a variety of media,

including written reflection, participation in group discussions and the completion of

learning activities which a lot of the time are of a practical nature and reflecting their

own workplace.

Learners are supported through the following key supports:

Tutorials

If required, Learners have access to a tutor to support them with their studies. Tutorial

supports are provided through a variety of media including, e-mail, telephone and face-

to-face. Any or all of the following areas may be discussed during tutorials:

• Revision of study topics.

• Local study groups.

• Assignment preparation, guidance and feedback.

• Additional issues that may arise relevant to the learning process e.g. Module

Material.

Feedback (Formative and Summative)

The Cpl Institute provides numerous opportunities for learners to obtain feedback on

their learning and understanding as they progress through each module. These

opportunities include online learning activities, peer and tutor feedback through online

discussion forums and tutorials. Following each module assessment, the learner is

furnished with detailed written feedback, which clearly outlines the learner’s

performance against the key learning outcomes of that module. Learners can expect to

receive this feedback via e-mail approximately 6 weeks after they have submitted their

assessment.

Daily Support


The Cpl Institute provides immediate office hour support and out of office support to

Learners on matters related to any academic aspect of the programme, assignment

submission or IT issues, etc..

Workplace or Work Placement Support

While on work placement, support is provided by work placement facility and the learner’s

manager/supervisor in site in association with The Cpl Institute. The work placement

manager/supervisor is responsible for providing the learner with appropriate activities to

enable them to achieve their intended learning outcomes, practical competencies within their

current workplace environment and supporting the learner’s professional development

See Work Placement and Supervision Policy.

The Partnership Approach and Three-Way Collaboration

The Cpl Institute considers participation on its programme as a partnership between the

learner, their employer and The Cpl Institute. Through this collaborative approach the

employer allows time for attendance at programmes, study time, to attend study

groups, examinations and agrees the learner may undertake work-based assignments as

part of their regular duties or a work placement and with financial support being

provided to the learner by the employer.

The learner makes a commitment to complete programme assessments, attend the

Programme/workshops, undertake personal study and directed study in their own time,

engage with peers and tutors outside of hours, engage with supervision and fulfil their

financial obligation to pay programme fees.

The Cpl Institute provides module booklets, handouts, presentations and other learning

materials, can assign a Tutor if required to a learner, provides other support and co-

ordinates the assessment and certification of programmes.


Instructor Course Report Programme Review Template



5.2 Provider Ethos that Promotes Learning

5.2.1 Facilitating Diversity

Policy / Procedure Name Facilitating Diversity

Version No 1.0



Effective Date TBC




Purpose The purpose of this procedure is to ensure that arrangements are in place to facilitate the diversity of learners.

Responsibility Training & Academic Affairs Manager

Key Steps The following steps will be undertaken:

- Email sent to learners prior to commencing their

programme requesting information on any additional

support needs.

- Application form to have section for learners to request

additional support.

- Learner interviews will be used to ascertain support

needs. These will be managed and/or facilitated where

possible to allow learners to participate fully on

programmes.

- Programme content/delivery/assessment adapted to

facilitate those with support needs.

- Provide Learner inductions, One to One meeting,

Assessment feedback.

- Learners with support needs identified during delivery

and continuous assessment will be afforded as much

individual attention and encouragement as possible

within the constraints of programme delivery.

Documentation Application/Registration Form, Induction Checklist


InCompany Confirmation Template Appendix 8.2


Public Confirmation Template Appendix 8.3

5.2.2 Learner Issues

Policy / Procedure Name Learner Issues

Version No 1.0

Approval Teaching Learning and Assessment Committee


Effective Date TBC




Version: Date

Approved:

Purpose To provide learners with effective advice on how to make a complaint

Responsibility Training and Academic Affairs Manager

Key Steps Complaints can be made verbally or in writing and to any staff

member.

Stage 1 – Informal

A complaint can be made informally to any member of staff, who will

discuss the complaint with the learner and attempt to resolve.

Learners will be notified of the required time to investigate or remedy

the issue. The staff member receiving the complaint will attempt to

resolve the complaint immediately

Details should be recorded on the course/module report.

Stage 2 – Formal Complaint

If a complaint cannot be resolved informally or if the learner feels that

an informal complaint will not address the issue, then the complaint

should:

- Be submitted in writing within 5 working days of initial

contact or the issue arising to the course/programme

Training & Learning coordinator.

- It should provide a detailed account of the issue.


- The course/programme Training & Learning coordinator

will contact the learner within 5 working days to

acknowledge receipt of the complaint and outline the

course of action to be taken.

- Training and Academic Affairs Manager will undertake

an investigation of the complaint.

- The investigation may take different forms depending

on the nature of the complaint. This process is

completed within 10 days of receipt

- When the investigation is complete the learner will be

notified of the outcome in writing.

- Where the learner is not satisfied with the outcome,

they can make a request for a final review to be carried

out.

- The request for a review must be submitted in writing

to the Appeals and Review Committee within 10

working day of the outcome.

- Appeals and Review Committee will be appointed to

carry out the review. The decision from this review will

be final.

Documentation Records of Correspondence, Complaints Form/Email


Tutor & Learner Issues Complaints Log

Appendix 4.16


5.3 National and International Practice

The Cpl Institute offers Further Education Training programmes in line with the National

Framework of Qualifications. In relation to Further Education Training programmes

reference is made to IQAVET, as the Irish national reference point for EQAVET (European

Quality Assurance in Vocational Education and Training). Therefore, from a policy and

framework perspective all programmes offered by the Cpl Institute aim to maintain and

develop national and international guidance to encourage the development of new

approaches and enhance the status of The Cpl Institute.

To enhance our educational provision and keep up to date with national and international

standards of practice:

- Engage with awarding bodies.

- Maintain membership of representative bodies and organisations.

- Provide staff members with opportunities to engage with peers.

- Engage in a variety of knowledge sharing activities with industry stakeholders

- Attend seminar/ briefings on best practice

- Maintain CPD for all staff and align to new practices

Learners where English is not their first language are admitted to The Cpl Institute

programmes and given support if there is a language barrier. The Recognition of Prior

Learning (RPL) in relation to international qualifications is referenced against the NARIC

service offered by QQI and other QQI publications which demonstrate international systems

equivalency in relation to the NFQ.

Given the nature of programmes offered by The Cpl Institute, continual reference with

regards to programme and systems updates is made to publications and learning material.

Learning Material is updated with reference to material published by from the HSE, DOH,

HIQA (Health Information and Quality Authority), other relevant regulators (e.g. Health and

Safety Authority, Data Protection Commissioners,) as well as to QQI policy and guideline

updates.


5.4 Learning Environments

5.4.1 Learning Resources

Policy / Procedure Name Learner Resources

Version No 1.0



Effective Date TBC




Purpose To confirm that all necessary resources are in place and identify new

resources where required

Responsibility Training and Academic Affairs Manager / Training & Learning Co-

Ordinators

Key Steps Assess facilities/resources needed for each module/ programme.

- Ensure that learner evaluation is used to identify gaps

- Identify list of key resources for each programme at

design stage.

- Budget allocated for necessary resources.

- Programme material review at standard and academic

meetings

- Provision of back up equipment for all Tutors.

- Maintenance contracts are put in place for all internal

and external equipment

Documentation Resource Checklist, Supplier Contracts, Budget Request Form, Record

of Meetings, Learner Evaluation Forms, Tutor Report


Tutor & Learner Issues Training Facilities Checklist Instructor Course Report Training Evaluation Form

Appendix 4.16 Appendix 6.1 Appendix 7.2 Appendix 7.3


5.4.2 Selection of Premises

Policy / Procedure Name Selection of Premises

Version No 1.0



Effective Date TBC




Purpose To ensure the premises and facilities are accessible and maintained.

Responsibility Training and Academic Affairs Manager / Training & Learning Co-

Ordinators

Key Steps For our own premises, a maintenance review is carried out regularly.

Safety statement and risk assessments have been developed.

- A health and safety check is carried out on the premises

for each programme, including own premises and

external venues.

- Premises selection criteria will reflect module/

programme requirements and the access needs of

potential learners.

- Where premises are rented, a copy of the premise’s

safety statement and risk assessment will be requested

and reviewed.

- All programmes delivered will contain information on

facilities, housekeeping and safe access and egress

including fire assembly points.

- External premises will be reviewed to ensure suitability,

including a review of learner Evaluation.

Documentation Safety Statement, Risk Assessments, Premises Selection Checklist,

Health and Safety Checklist


Training Facilities Checklist Health & Safety Checklist for Risk Safety Statement Risk Assessments

Appendix 6.1



It is the responsibility of the Training & Learning Co-ordinator and individual Tutors to

ensure they have sufficient and appropriate resources in place to deliver their programmes

effectively. Any deficiencies should immediately be brought to the attention of the Training

& Learning Co-ordinator. It is the responsibility of the Training & Learning Co-ordinator to

monitor all materials to ensure they are both up to date and fit for purpose.

The status of all resources, complaints and issues relating to education and training will be

discussed, with actions identified at regularly scheduled quality meetings. In addition to the

ongoing monitoring activities outlined, the Training and Academic Affairs Manager will be

responsible for reviewing all relevant evaluation and reporting to the Quality Team. An

annual review of all teaching and learning activities and resources will take place.


Section 6 - Assessment of Learners Supporting Documents

• QQI (2013) Assessment and Standards (Revised)

• QQI (2013) Quality Assuring Assessment Guidelines for Providers

• QQI Policy Restatement - Policy and Criteria for Access, Transfer and Progression in Relation to Learners for Providers of Further and Higher Education and Training- NQAI 2003, Restated 2015

6.0 Effective Management of Assessments

Policy / Procedure Name Effective Management of Assessments

Version No 1.0



Effective Date TBC




It is the policy of The Cpl Institute that all learners should receive fair, transparent and

consistent assessment and in line with awarding body guidelines.

Learners will be made aware of the methods of assessment and their responsibilities for

achieving and demonstrating the required knowledge and skills in advance of any

assessment event taking place.

The circumstances of each learner will be taken into consideration and our procedure

will detail guidelines for approaches and acceptable facilitation for those with additional

support needs.

We are committed to all aspects of the assessment process and will ensure that it is:

- Understood by Staff and Learners.

- Valid for the purpose of awarding body requirements.

- Fair to learners, in terms of both access and process.

- Internally verified to ensure the process is fair and consistent.

- Externally authenticated to ensure it is consistent with national standards.

- Consistent with awarding body assessment policy and guidelines.

- Evidence of assessment will be maintained to allow verification and

validation of the assessment process .

Purpose


To ensure quality assurance and effective management of the conduct of assessment

practices.

Scope

This policy applies to all assessment activities carried out by The Cpl Institute.

Responsibility

The Programme Board Committee are responsible for ensuring assessment practices are

fit for purpose and in line with awarding body guidelines.

The Training & Academic Affairs Manager has overall responsibility for ensuring the

assessment process is adequately resourced, including the allocation of an internal

verifier and the appointment of an external examiner/authenticator.


Internal Verification Report External Authentication Report Template Trainer Assessment Process Trainer Guidelines for Marking Internal Key Dates - QQI Certification Periods Schedule

Appendix 7.11a Appendix 7.10 Appendix 7.18 Appendix 7.19 Appendix 3.10

6.1 Assessment of Learning Achievements

6.1.1 Assessment Information to Learners

Policy / Procedure Name Assessment Information to Learners

Version No 1.0

Approval Programme Board


Effective Date TBC




Purpose To ensure learners have access to information for them to successfully

participate in the assessment process.

Responsibility Training & Learning Coordinators, Tutor(s)

Key Steps Pre-Module/Programme information outlines assessment details.

- Provision of assessment information is appropriate,


- Learner handbook/information pack distributed to all

learners.

- Assessment brief distributed to all Learner induction.

- Group briefing prior to each assessment activity and

during the delivery of each programme.

Documentation Assessment Brief, Learner Handbook, Induction Checklist, Course

Outline, Promotional Material


Learner Handbook Assessment Briefs

Appendix 8.1 Appendix 7.11a

6.1.2 Coordinated Planning of Assessment

Policy / Procedure Name Co-ordinated Planning of Assessments

Version No 1.0



Effective Date TBC




Purpose To ensure that assessment is planned in advance of commencing

programme and scheduled to facilitate learners abilities and in line

with knowledge attainments.

Responsibility Training & Learning Coordinators, Tutor(s)

Key Steps Training & Learning Coordinators consider and plan for assessment to

include:-

- Plan and coordinate assessment, in line with

requirements.

- Review of learner application(s) to determine additional

support needs for assessment activities and make

necessary adjustment.

- Dates scheduled to provide an even spread of

assessment throughout the course


Documentation Record of Meetings, Assessment Schedule and Plan, Application

Forms,


6.1.3 Security of Assessment Processes

Policy / Procedure Name Security of Assessments

Version No 1.0



Effective Date TBC




Purpose To ensure the security and integrity of assessment materials, the

assessment process, learner’s evidence and submission requirements.

Responsibility Training & Academic Affairs Manager / Training & Learning

Coordinators

Key Steps Secure storage area allocated for all assessment materials

- Assessment master copies are controlled via secure

username and password access and stored on

computer network or portable computers.

- Hard copies stored behind lock and key in a secure

location with designated access.

- Relevant Tutors supervise exams, retaining and

verifying an exam attendance sheet and ensure the

exam material is signed by both themselves and a

learner.

- Learner assessment material is sent by registered post

or is hand delivered by The Tutor to The Training

coordinator. Where appropriate, assessment material

may be sent electronically.

- Learners are required to confirm authorship by signing

declaration stating that the work submitted has been

created by themselves.


- Random observation of assessment activities may be

carried out by the Training & Academic Affairs

Manager.

- Results of assessments are maintained electronically

and backed up onto removable media for storage and

retained securely, as per retention schedule.

Documentation Daily Sign in Sheets, Attendance Register, Learner Declaration,

Examination Material Receipt.


Daily Training Record Assessment & Exam Papers Learner Declaration

Appendix 7.1

6.1.4 Additional Support Needs for Learners

Policy / Procedure Name Additional Support Needs for Learners

Version No 1.0

Approval Teaching, Learning and Assessment Committee


Effective Date TBC




Purpose To provide learners with additional support needs where required so

that they can achieve assessment of the standards being assessed.

Also see Section 7 – Supports for Learners


Key Steps - Learners identify to staff any additional support needs

when applying for a programme.

- Individual meetings with learners to assess additional

support needs and agree appropriate

accommodation(s).

- Tutors will have the authority to adjust assessment

methods to accommodate learners’ needs if they are

informed of needs during programme delivery, as

agreed with Training & Academic Affairs Manager


- These can include enlargement of print, facilitating the

use of a scribe or reader, practical assistance, rest

periods, provision of adaptive equipment and software

if available.

- All staff are trained in the provision of adaptations and

accommodations during assessment to ensure the

integrity of the assessment process.

Documentation Reasonable Accommodation Form, Application Form.


Learner Request for Assessment Support Form Section 7 – Supports for Learners

Appendix 7.15 Section 7

6.1.5 Consistency of Marking

Policy / Procedure Name Consistency of Marking

Version No 1.0



Effective Date TBC




Purpose To ensure all assessments are marked in a fair and consistent way

among all assessors


Key Steps - Tutor Induction to include training in assessment

methods and marking.

- Assessment guidelines documented in line with

programme requirements, including sample answers,

marking schemes and guidelines.

- Cross-moderation will be organised where appropriate

- Random observation of Tutors by Training & Academic

Affairs Manager during assessment events

- Internal verification and external authentication

processes looking at results

- Review of learner Evaluation forms.


Documentation Induction Checklist, Record of Meetings, Cross Moderation Log,

Internal Verification Report, External Authentication Report, Learner

Evaluation Forms.


Internal Verification Report External Authentication Report Template Trainer Assessment Process Trainer Guidelines for Marking

Appendix 7.11a Appendix 7.10 Appendix 7.18 Appendix 7.19

6.1.6 Cross Moderation

Policy / Procedure Name Cross Moderation

Version No 1.0



Effective Date TBC




Purpose This procedure is to ensure that consistent level of instruction and

assessment across all levels of education within the organisation.


Key Steps When scheduling assessment and certification periods, cross-

moderators will be identified by the Training & Academic Affairs

Manager.

- Where there are multiple programmes in any

certification period, the Tutor of one programmes may

serve as the cross-moderator for a programme

delivered by another

- Cross moderated markings should be clearly identified

by using a different colour to the original markings, this

can be aligned to current practice of red for marking,

green for IV and blue for EA.

- Any changes should be recorded on the cross-

moderation log, which will be made available for

internal verification and external authentication (Tutors

must be available to speak to the EA if necessary).


Method & Sampling – The method of the cross-moderation will be

determined by the Training & Academic Affairs Manager.

One of the following mechanisms may be used:

- All distinctions and fails will be second-marked.

- All borderline marks will be second-marked.

- A random sample of papers from each module/

programme (25% + 1) will be second marked.

Notes:

In instances where there is only one module for certification, all

learner results will be cross moderated.

For any new Tutors, the first module/programme will be fully

moderated (all learners).

Documentation Cross Moderation Log


6.1.7 Internal Verification

Policy / Procedure Name Internal Verification

Version No 1.0



Effective Date TBC




Purpose To ensure The Cpl Institute is awarding fair & consistent marks to all of

our learners and check all calculations.

Responsibility Internal Verifier(s)

Key Steps All assessment periods have an Internal Verifier (IV) appointed, and

these IV are internal staffing

- IV training provided for all relevant staff.

- Ensure that the IV is given sufficient time to complete IV

related activities effectively.


- Sampling Strategy

- Samples will be taken from every learner group. An

appropriate sampling strategy is defined for each

certification period and will:

- Be representative of all awards and all assessment

techniques.

- Be sufficient in size enabling sound judgments to be

made about the fairness and consistency of assessment

decisions.

- Cover the full range of attainment in terms of grades

achieved.

- Include a random selection of evidence for each

grade/band.

- Identify evidence which is borderline between grades

e.g. learners who have not or learners who have only

just achieved within the grading band.

- Ensure new assessor decisions are sampled at least

once during the assessment cycle.

The IV will check the selected sample to ensure:

- Marks have been calculated in line with guidelines.

- Marks are transferred correctly from learner evidence

to marking sheet.

- Percentage marks and grades allocated are consistent

with grading bands.

The following will be appropriate for internal verification for each

certification period and as laid out by relevant awarding body

guidance documents:

- A minimum of 12 portfolios included in the sample for

each award.

- If there are 12 or less portfolios for an award, all

portfolios will be internally verified.

- If there are more than 12 portfolios for an award, the

sample will normally be greater than 20% and will not

be less than 13 assessment portfolios, as per the

following table:

Number of assessment portfolios

for certification

Number of assessment

portfolios to be included


0 – 12 All

13 – 50 13

51 – 100 25

101 – 200 40

Assessment portfolios selected by the IV must include the following in

the sample to determine the cut-off points between the grades:

The highest unsuccessful

The lowest pass

The highest pass

The lowest merit

The highest merit

The lowest distinction

The remaining number of portfolios will be randomly chosen, across all

grade bands, until the sample quota is reached. All Tutors will be

sampled over a defined period. Sampling from new Tutors will be

100% of learners who present for certification from their first

programmes.

The IV Report

- Having completed the IV process, the Internal Verifier

completes the IV Report confirming the outcome of the

process.

- The report will be retained and made available to the

External Authenticator and results approval panel.

- It captures evidence that the internal verification

process has taken place, acknowledges strengths, any

gaps identified and highlighting areas for improvement.

Documentation IV Checklist, IV Report


Internal Verification Report Internal Key Dates - QQI Certification Periods Schedule

Appendix 7.11a Appendix 3.10


6.1.8 External Examiner / Authentication

Policy / Procedure Name External Examiner / Authentication

Version No 1.0

Approval Examination Board


Effective Date TBC




Purpose To ensure that there is independent, confirmation of fair and

consistent assessment of learners which is in accordance with

awarding body specifications

Responsibility Training & Academic Affairs Manager/ External Examiner

Key Steps A suitably qualified External Examiner/ Authenticator (EA) is selected.

Selection Criteria

- Broad technical/subject matter expertise within the

appropriate award area/field of learning.

- Have the required knowledge and expertise to confirm

that policies and procedures in relation to awards and

assessment are being implemented.

- Experience of carrying out assessment or similar

relevant work within the industry/field.

- Have administrative and IT skills e.g. report writing.

- Be in a position to operate within the code of practice

and/or guidelines issued by the awarding body.

- Be independent of our organisation.

- Carry out their role as EA with integrity and

professionalism.

External authentication will take place in line with the assessment and

certification schedules.

Preparation for External Authentication – The following should be

agreed and/or made available in advance of the EA:

- Date, time and venue.

- Sampling strategy.


- Paperwork to be completed and the time allocated to

this.

- The date by which the EA report will be completed.

- Evaluation to appropriate personnel.

- Availability to the Results Approval Panel.

Documents to be made Available:

- Assessment briefs.

- Examination papers.

- Marking schemes.

- Outline solutions.

- Assessment plan(s).

- Learner assessment evidence.

- Learner assessment results (recorded on a provisional

results sheet).

- Component specification.

- Internal Verification Report(s).

- EA will be carried out in line with the organisations

sampling strategy

Complete the Examiner’s Report

This report is available to the results approval panel and provides

evidence that the external authentication process has taken place.

It comments on the outcomes of results moderation against national

standards, acknowledges strengths, any gaps identified and highlights

areas for improvement.

Documentation EA Checklist, EA Report


External Authentication Report Template Internal Verification Report Internal Key Dates - QQI Certification Periods Schedule - 2019 Learner Portfolios

Appendix 7.10 Appendix 7.11a Appendix 3.10


6.1.9 Appeals, Re-Checks and Reviews

Policy / Procedure Name Appeals, Re-checks and Reviews

Version No 1.0



Effective Date TBC





Following the issuing of grades/results and feedback to learners, The Cpl Institute

fully understands that learners may have issues with the assessment outcome or

require assistance in understanding their assessment outcome. Where a learner has

concerns, they are encouraged to lodge an appeal or seek a re-check/review.

The Assessment Appeals, Re-Check & Review Policy outlines the circumstances

under which learners may submit appeals/re-checks or reviews and the procedures

that will be followed. Decisions that can be appealed include assessment results for

all modules.

Definitions An appeal is where a learner formally requests that a decision or judgement of a lower authority is referred to a higher authority for alteration or reconsideration of the decision. Re-check means the administrative operation of checking (again) the recording and combination of component scores for a module and/or stage.

Review means the re-consideration of the assessment decision, either by the original assessor or by other competent persons or a committee. Learners are required to state the grounds for the requested review. The grounds for review will normally be that the learner suspects that the assessment was erroneous in some respect. A complaint is an expression of a concern that a particular assessment procedure is unfair or inconsistent or not fit-for purpose.

6.1.9.2 Purpose The Cpl Institute recognises that, from time to time learners may feel that they have

grounds to appeal the results or request a re-check of their assessments.

This policy sets out the principles, circumstances, grounds and possible outcomes of

an appeal by a Learner against a decision made by The Cpl Institute.


Learners with concerns about the outcome of an assessment should contact the

relevant Training & Learning Co-ordinator as soon as possible.


• QQI (2013) Assessment and Standards (Revised)

• QQI (2013) Quality Assuring Assessment Guidelines for Providers

6.1.9.4 Scope This policy applies to all learners wishing to appeal decision made by The Cpl

Institute. Learners may appeal assessment results as a result of procedural

irregularity in the conduct of the assessment process or the learner feels that they

were not assessed fairly. Learners may appeal to The Cpl Institute for their work to

be re-checked and/or reviewed. Any request for a review must be in writing/emailed

to the Training & Learning Co-ordinator.

Dissatisfaction or disappointment with the result of an assessment is not a ground

for an assessment appeal.

6.1.9.5 Responsibility The Academic Council is ultimately responsible for the reviews and appeal policy.

The QA & Compliance Manager is responsible for the implementation of the appeals

policy and reports to the Academic Council. The Training & Learning Co-ordinators are

responsible for re-checks. The Training & Academic Affairs Manager who is responsible

for managing Stage 1 & 2 and the QA & Compliance Manager manages stage 3.

Certain formal committees of The Cpl Institute have formal deliberative, decision-

making powers delegated to them by the Academic Council. The Reviews and

Appeals Committee is the hearing and decision-making unit in the case of academic

reviews and appeals.

6.1.9.6 Policy / Procedure The Cpl Institute understands that there are instances where Learners may wish to

question the assessment grade and or feedback they receive on their assessment.

The Cpl Institute is committed to ensuring the assessment procedures are reliable,

valid, accurate and fair and therefore implements appropriate procedures to

facilitate Learners to seek to appeal, re-check or review of an assessment decision. The

following procedures for learner to appeal, request re-check or a review.

Request for a Recheck a) A Learner wishing to have the marks awarded for a particular module (or

modules) re-considered should seek a recheck (or rechecks) of the relevant


module(s) after all assessments are corrected and internally verified. A recheck is

a re-examination of the marks awarded for a module, or part of a module, to

ensure that there have been no arithmetical or clerical errors and that all the

marks to which the Learner is entitled have been included in the final total.

b) The Learner must contact the tutor or relevant Training & Learning Co-ordinator

in writing no later than 10 working days after the examination results have been

released to the learner or booked by person. Requests received after that date

will not be considered. The Learner should supply any details that he/she

believes will help expedite the recheck.

c) Requests for rechecks must be accompanied by the appropriate €20 fee which

shall be set in respect of each module for which such a request is made. In the

event of a recheck resulting in an amended mark the fee will be refunded.

d) All rechecks will be completed within ten days of being received.

e) The recheck will be conducted by the appropriate module Tutor.

f) The Training & Learning Co-ordinator will inform the Learner in writing or

electronically of the outcome of the recheck.

Request for a Review - Stage 1 a) A review is a request to reconsider the grade awarded to a Learner in an

assessment for specific reasons.

b) The grounds for a review are one or more of the following:

• The examination regulations of The Cpl Institute have not been properly

Implemented.

• The regulations do not adequately cover the candidate’s case.

• Compassionate circumstances exist which may not have been considered

by the Tutor. Normally, such compassionate circumstances

must be notified in writing to the Training & Learning Co-ordinator or the

Training & Academic Affairs Manager when they occur.

d) The Cpl Institute will seek to complete all reviews within twenty-eight (28) days

where review requests have been received in writing by the Training & Learning

Co-ordinator or Training & Academic Affairs Manager not later than 10 working

days after the examination results have been released to the learner or booked

by person.

e) Only a written request for a review made in writing signed by the person/learner

concerned will be considered.

f) A request for a review must state the grounds upon which the review is sought,

and the candidate must supply evidence in support of his/her request.

g) Prior to any formal review the Learner will be invited by the Training & Academic

Affairs Manager to view their original assessment script, marking scheme and


marks awarded. This viewing will be scheduled to coincide with either the next

face to face workshop attended by the Learner, or an appointed Learner visit to

The Cpl Institute.

h) The assessment sighting of all related work shall be managed by the Training &

Academic Affairs Manager and following this the Learner may decide to

• withdraw the review request or

• proceed with the request for a review conducted by the Teaching,

Learning & Assessments Committee.

i) Should the Learner request a formal review through the Teaching, Learning &

Assessments Committee, the processing of the review will be carried out having

due regard to the schedule of meetings of the committees.

i) A €20 fee for a review shall be set, which in the event of a successful review, will

be refunded.

k) Following receipt of the review fee and written request from the Learner the

Teaching, Learning & Assessments Committee will formally convene.

Request for a Review - Stage 2 Procedure to Request a Teaching, Learning & Assessments Committee – Stage 2.

a) Where the Learner requests a Teaching, Learning & Assessments Committee

review the Training & Academic Affairs Manager shall contact the Teaching,

Learning & Assessments Committee in the event of a Learner wishing to pursue

the review.

b) The Teaching, Learning & Assessments Committee shall then consider the

evidence presented to it and decide the outcome of the review.

c) The following are members of the Teaching, Learning & Assessments Committee:


• Tutor (none related to the Learner programme of study)

• Teaching and Learning Co-Ordinator



• The Learner concerned may choose to address the Teaching, Learning &

Assessments Committee on the circumstances of the review. In the event of

the Learner seeking this opportunity a person of his/her choice may

accompany the Learner to the meeting.

d) In carrying out a review, the Teaching, Learning & Assessments Committee may

consult with such persons, as it deems appropriate. The Teaching, Learning &

Assessments Committee may require that a review of the marking of an

assessment be undertaken by another tutor, where feasible, or by an external

tutor or by external authenticator.


e) All decisions of the committee will be by majority vote. In the event of a tie, the

Chairperson will have a casting vote.

f) The Learner will be informed by the Training & Academic Affairs Manager, in

writing by registered post or electronically, of the outcome of the review.

g) A Learner dissatisfied with the outcome of a review may appeal the decision of

the Teaching, Learning & Assessments Committee.

h) The Training & Academic Affairs Manager shall notify the Learner’s Tutor of the

outcome of the review.

i) Where appropriate, as in if the Learner has accepted the decision of the

Teaching, Learning & Assessments Committee, the QA & Compliance manager

shall notify QQI of the outcome of the review.

Request for an Appeal - Stage 3 Procedure, if the learner requests to appeal the review at stage 2.

a) Grounds for Appeal: The Learner can appeal the outcome of the review on the

grounds that the review did not properly address his/her case. The introduction

of new material that could have been included in the submission for the review

shall not be a valid ground for appeal.

b) A request for an appeal following the decision of the Teaching, Learning &

Assessments Committee decision must be received by the QA & Compliance

Manager not later than the date specified in the letter notifying the candidate of

the decision of the Teaching, Learning & Assessments Committee.

c) Only a written request for an appeal made in writing signed by the learner

concerned will be considered

d) A request for an appeal must state the grounds upon which the appeal is sought.

e) The learner must supply evidence in support of his/her request.

f) The Appeals and Review Committee will be responsible for determining the

outcome of the appeal.

g) Membership of Appeals and Review Committee. The following will be selected

as members of the Appeals and Review Committee:




previously)


• The Learner concerned may choose to address the Committee on the

circumstances of the appeal. In the event of the Learner seeking this

opportunity a person of his/her choice may accompany the Learner.


Procedures of the Appeals and Review Committee Procedure, if the learner requests to appeal the Teaching, Learning & Assessments

Committee’s decision.

The Appeals and Review Committee:

a) Shall consider the report of the Teaching, Learning & Assessments Committee

and Training & Academic Affairs Manager.

b) Will seek (through the Chairperson) such information or advice as it considers

necessary and in such manner as it considers appropriate.

c) Shall, having considered the circumstances, decide the outcome of the appeal.

d) May, through the QA & Compliance Manager, seek the advice of such external

professionals considered necessary to ensure a proper and fair procedure.

d) Shall make their collective decision by majority vote. In the event of a tie, the

Chairperson shall have a casting vote.

e) Shall inform the learner in writing, by registered post or electronically, of the

outcome by the QA & Compliance Manager. All decisions of the appeal

committee are final subject to any legal rights of the Learner. The Training &

Academic Affairs Manager shall notify the Learner’s Tutors of the outcome of the

appeal.


Assessment Paperwork Learner Feedback Instructor Report Meeting Minutes

6.1.10 Approval of Assessment Results

Policy / Procedure Name Approval of Assessment Results

Version No 1.0



Effective Date TBC




Purpose To ensure that assessment results are reviewed and signed-off by the

organisation prior to submission for certification by the awarding

body.


Responsibility Examination Board

Key Steps An examination board is scheduled for each assessment period.

An examination board is convened to approve results, the following

documentation should be reviewed:

- Agenda for Examination Board meeting

- Provisional results for consideration.

- Internal Verification Report.

- External Examiner/Authentication Report.

- Tutor/Assessors Report.

- Grade Changes.

- Corrective Actions.

- Appeals Processed.

- AOB.

A completed report will be retained for auditing and monitoring

purposes.

It forms evidence that the authentication process has taken place. It

acknowledges strengths, any gaps identified and highlights areas for

improvement in the authentication process.

The examination board report will include:

- Panel membership.

- Agenda for meeting.

- Proposals to the meeting.

- Minutes of meeting.

- Proposals recorded in the minutes may include

decisions:

- To adapt the recommendation of the IV report.

- To adapt the recommendations of the EA report.

- To approve results before the meeting (provisional now

approved).

- Request for certification.

- To issue results to learners

Documentation Record of Meetings, Final Approved Results, Results Summary Sheet


RAP Meeting Agenda RAP Meeting Minutes External Authentication Report Template



6.1.11 Academic Integrity

Policy / Procedure Name Academic Integrity

Version No 1.0



Effective Date TBC





The Cpl Institute is committed to building a culture which values and supports good

and honest academic conduct. The Cpl Institute will not tolerate acts of assignment

falsification, misrepresentation, or deception. The policy applies where an individual

is engaging in academic work and accepts responsibility for upholding academic and

ethical standards.

Definitions Academic Integrity

This refers to the process of completing academic work independently, honestly and

in an appropriate academic style using good referencing and acknowledging all

sources.

Achieving good academic practices involves a Learner:

• Engaging with and using research from their discipline.

• Demonstrating an understanding of the thinking, writing, and practices in

the discipline.

• Independently evaluating theoretical and practical dimensions of a

particular discipline and putting it into to your own words.

• Originating new ideas.

Academic Malpractice This refers to any action or practice that undermines the fairness of an assessment.

The action may be deliberate or accidental. The following actions are considered to

constitute academic malpractice however, these actions and practices are not

exhaustive:

• Avoiding or attempting to avoid assessment regulations.

• Falsification of data: making up results and recording or reporting them


• Forgery of data: manipulating research, materials, equipment, or

processes or changing or omitting data or results such that the work is

not accurately represented in the research.

• Unauthorised collusion: aiding, attempting to aid, obtaining aid from or

attempting to obtain aid from another Learner or any other person to

contribute to an assessment task (except where required for group

assessment tasks) or any form of cheating

• Plagiarism is copying another person's ideas, words or writing and

pretending that they are one's own work or passing it off as your own

work failing to use academic referencing conventions.

• Self-plagiarism is the use of one's own previous work in another context

without citing that it was used previously.

6.1.11.2 Purpose

The purpose of this policy is to establish standards for the ethical conduct of

academic work, to establish parameters for the detection and investigation of

instances of academic malpractice, and to set penalties for those found to have

engaged in academic malpractice.


• QQI Assessment and Standards (Revised 2013)

• QQI Quality Assuring Assessment Guidelines for Providers (Revised 2013)

• QQI Core Statutory Quality Assurance Guidelines (2016

6.1.11.4 Scope This policy applies to all Learners completing programmes with The Cpl Institute.

6.1.11.5 Responsibility The QA & Compliance Manager is responsible for the implementation of this policy

on behalf of the Academic Council. Further, all The Cpl Institute staff and Learners

are responsible for upholding the principles of this policy. The Cpl Institute staff are

responsible for reporting suspected malpractice to the QA & Compliance Manager or

the Training & Academic Affairs Manager.

6.1.11.6 Policy / Procedure This policy applies to all learners and where a learner is engaging in academic work,

they must accept responsibility for upholding academic and ethical standards.

The Cpl Institute is always committed to building a culture which values and supports

good and honest academic practices and conduct.


Procedures for Minimising Academic Malpractice The procedures that are in place for minimising Academic Malpractice include:

• Ensuring that all Learners are aware of the Academic Integrity Policy of The

Cpl Institute

• Educating Learners about what constitutes academic integrity. As part of the

induction process, Learners will receive info on academic integrity.

• The content of this will set out the expectations of both Learner and Tutors

and will clarify the expectations of both Learner and Tutor.

• Assessments will change occasionally for each module and/or will be rotated

on some modules.

• Where assessments are being carried out at practical classes or

demonstration of skills, these assessments will be recorded and reviewed by

tutors, internally and by external authenticators to ensure consistency of

marking. Each learner will identify themselves on the videos.

• Software may be used to ensure that written assignments do not display

evidence of plagiarism.

Procedure for Investigating Academic Malpractice Where a Tutor suspects Assessment Malpractice, the Training & Academic Affairs

Manager should be informed immediately, and the following steps completed:

• All material related to the alleged malpractice should be made available to

the Training & Academic Affairs Manager. A report should be prepared by the

Training & Academic Affairs Manager taking into consideration the extent of

the evidence of the alleged malpractice.

• If the outcome of this investigation is that there is no case to answer, then

the case is closed, and no formal records are maintained.

• If the Training & Academic Affairs Manager is of the opinion that there is a

case to answer, then a meeting of the Teaching, Learning & Assessments

Committee is arranged. The purpose of this meeting is to determine whether

the allegation is upheld and if so, what the appropriate penalty is to be. If the

outcome of this meeting is that the allegation is not upheld, then the case is

closed, and no formal records are maintained.

• The Learner is invited to attend this meeting in person and is given the

opportunity to be accompanied by a colleague of choice, if they wish. They

may be questioned about the situation and assessment content.

• A record of the meeting is maintained and reported to the Academic Council

only where the case has been upheld by the Teaching, Learning &

Assessments Committee.


• The Learner is notified in writing of the outcome including the penalty, if

applicable, within 5 working days of the Teaching, Learning & Assessments

Committee meeting.

• The Learner has the right to appeal the Teaching, Learning & Assessments

Committee decision and should do so within five working days of receiving

the Teaching, Learning & Assessments Committee outcome notice.

Membership of the Teaching, Learning & Assessments Committee The following are members of the Teaching, Learning & Assessments Committee:


• Tutor (none related to the Learner programme of study)

• Teaching and Learning Co-Ordinator




circumstances of the review. In the event of the Learner seeking this, they are

given the opportunity of a person of his/her choice may accompany the

Learner to the meeting.

Guidelines for Establishing Penalties for Assessment Malpractice A judgement is made on the required penalty for a plagiarism offence based on the

following criteria:

a) History of the Learner and whether the particular case is a first, second etc.

time offence.

b) Amount of plagiarism involved (the percentage of the document

plagarised).

c) Level of Award and Credit weighting.

d) Value of the Assessment/Assignment.

Right of Appeal The Learner has a right to appeal the decision of the Teaching, Learning &

Assessments Committee and this must be made within 5 working days of receiving

outcome correspondence from The Cpl Institute. The policy and procedures for

appeals, re-check and reviews are then implemented. The decision of the Appeals

and Review Committee is final in this matter. The Learner is then notified of the

decision within 10 working days of the appeal being lodged.

The following will be selected as members of the Appeals and Review Committee:





previously)



circumstances of the appeal. In the event of the Learner seeking this

opportunity a person of his/her choice may accompany the Learner.

Procedures of the Appeals and Review Committee Procedure, of the learner requests to appeal the Teaching, Learning & Assessments

Committee’s decision.

The Appeals and Review Committee:

a) Shall consider the report of the Teaching, Learning & Assessments Committee

and Training & Academic Affairs Manager.

b) Will seek (through the Chairperson) such information or advice as it considers

necessary and in such manner as it considers appropriate.

c) Shall invite the Learner to address it on the circumstances of the appeal. In the

event of the Learner accepting this opportunity a person of his/her choice may

accompany the Learner.

d) Shall, having considered the circumstances, decide the outcome of the appeal.

e) Shall through the QA & Compliance Manager, seek the advice of such external

professionals considered necessary to ensure a proper and fair procedure.

f) Decisions of the Appeals and Review Committee shall be by majority vote. In the

event of a tie, the Chairperson shall have a casting vote.

g) The learner will be informed in writing, by registered post or electronically, of

the outcome by the QA & Compliance Manager. All decisions of the Appeals and

Review Committee are final subject to any legal rights of the Learner. The QA &

Compliance Manager shall notify the Training & Academic Affairs Manager.


Assessment Paperwork Learner Feedback Instructor Report Teaching, Learning & Assessments Committee Meeting Minutes Appeals and Review Committee Meeting Minutes


6.1.12 Feedback to Learners

Policy / Procedure Name Feedback to Learners

Version No 1.0

Approval Teaching, Learning and Assessment Committee


Effective Date TBC




Purpose To ensure Tutors provides effective feedback to learners

Responsibility Tutor(s)

Key Steps - During the programme the Tutor will organise feedback

sessions where learners will receive timely and

constructive

- Evaluation on summative assessment.

- A summative Evaluation sheet is developed for learners

and completed by their Tutor.

- Records of learner Evaluation are retained.

Documentation Record of Meetings, Assessment Evaluation Form


Learner Feedback Form Instructor Reports

Appendix 7.17


Evaluation comments are gathered at the end of each module/programme from Learners

and Tutors. Questions are designed to gather information and insight into the effectiveness

of the assessment process.

This information is feedback to the Teaching, Learning & Assessments Committee and used

to modify and improve the effectiveness of future assessment activities in keeping with the

validated programme.


Section 7 - Supports for Learners

7.1 Code of Practice for Learners with Disabilities

Policy / Procedure Name Code of Practice for Leaners with Disabilities

Version No 1.0



Effective Date TBC




7.1.1 Introduction

The Cpl Institute is committed to ensuring that learners with disabilities have as

complete and equitable access to all aspects of programmes as can reasonably be

provided.

The Cpl Institute has adopted a Disability Policy, which is applicable to all learners

with disabilities. This is in accordance with the Disability Act 2005, the Equal Status

Acts 2000 (as amended).

Learners with disabilities are encouraged to speak to either their tutor or the

Training & Learning Co-ordinators to seek supports where their disability could affect

their ability to participate fully in all aspects of the programme. Also given the

opportunity to complete a “Reasonable Accommodation Request Form”.

This policy and code of practice have been aligned with a national policy called

‘Inclusive Learning and the Provision of Reasonable Accommodations to learners

with Disabilities in Further Education’, agreed by the Disability Advisors Working

Network (DAWN), in developing standardised teaching, learning, and assessment

procedures for learners with disabilities in Further Education in Ireland.

7.1.2 Purpose of the Code of Practice

This code of practice provides a framework for documenting the company’s reasonable accommodation provision for learners with disabilities and will be reviewed regularly, based on feedback from learners, members of staff, and other stakeholders.

7.1.3 Reasonable Accommodation – Definitions and Application

For the purpose of this Code of Practice and all The Cpl Institute policies relating to

learners with disabilities, a Reasonable Accommodation is any action that helps to


alleviate a substantial disadvantage due to a disability and/or a significant ongoing

illness.

As per The Equal Status Act 2000: “Discrimination includes a refusal or failure by the

provider of a service to do all that is reasonable to accommodate the needs of a

person with a disability by providing special treatment or facilities, if without such

special treatment or facilities it would be impossible or unduly difficult for the

person to avail himself or herself of the service.” Reasonable Accommodations are

defined as standard or non-standard Reasonable Accommodations.

A standard Reasonable Accommodation is defined as an amendment to the learner’s

teaching, learning and assessment which enables them to participate fully in their

education. A non-standard Reasonable Accommodation occurs when the company

recognises that tutors may need to consider providing alternative non-standard

teaching learning and assessment methods where standard Reasonable

Accommodations are not sufficient to meet the needs of the learner.

The application of a Reasonable Accommodation will result from consideration of

the circumstances of the individual learner and will involve the learner in discussion

of possible routes of action. What is ‘reasonable’ for The Cpl Institute will vary

according to a range of factors and will depend on the circumstances of the

individual case.

Factors influencing the determination of what is reasonable will include: the

effectiveness of taking particular steps in enabling the learner to overcome the

relevant disadvantage; whether the steps would significantly compromise the

academic standards or professional practices associated with the programme of

study; health and safety issues; the effect on other learners; and the financial and

other cost to The Cpl Institute.

7.1.4 Reasonable Accommodations in assessment

The company has responsibilities under the Equal Status Act, to ensure that learners with disabilities are not disadvantaged for reasons relating to their disability in its methods of assessment. Adjustments to assessment for a learner with a disability may take one of two general forms:

• Modifying the circumstances under which the existing assessment is taken

• Providing an alternative/equivalent form of assessment.

In only a very small number of cases the effects of the learner's disability are such

that an alternative form of assessment is required.

7.1.5 The Cpl Institute Policy on Confidentiality for Learners with Disabilities


The Cpl Institute encourages learners with disabilities to disclose information on

their disability to the Training & Learning Co-ordinators before they apply to The Cpl

Institute or at any point during their studies.

Such disclosure is encouraged so that The Cpl Institute can work with the learner to

ensure that reasonable accommodations are identified and facilitated in conjunction

with the learner. Learner will be asked to complete a “Reasonable Accommodation

Request Form”.

An electronic record of the learner’s contact with the Training & Learning Co-

ordinators is held securely in accordance with the Data Protection Act (2003 and

2018), and information provided to the Training & Learning Co-ordinators is

regarded as ‘sensitive personal data’.

Any documentation or information presented in disclosing a disability is held by the

Training & Learning Co-ordinators, and specific medical or other documentation will

not be disclosed to any third party except where necessary to provide Reasonable

Accommodations.

Where a learner requests, and is granted any form of Reasonable Accommodation,

such as extra time in exams, or permission to record lectures/tutorials, the Training

& Learning Co-ordinators will, in consultation with the learner, disclose relevant

information to the individuals responsible for providing or facilitating learners in

accessing such accommodations. In such instances, only information relevant to the

particular situation will be disclosed.

Where tutors contact the Training & Learning Co-ordinators for advice regarding individual learners, the Training & Learning Co-ordinators will be informed that it is necessary to obtain the permission of the learner in writing, before the individual case is discussed. The completed “Reasonable Accommodation Request Form” will be consulted.

7.1.6 Reasonable Accommodation Decision Making Process

7.1.6.1 Needs Assessment

Based on appropriate evidence of a disability and information obtained from the learner on the impact of their disability and their academic programme requirements, the Training & Learning Co-ordinators will identify supports designed to meet the learner’s disability support needs. The completed “Reasonable Accommodation Request Form” will be consulted.

The following areas are addressed:-

• Nature of disability or condition, to include: impact on education, severity,

hospital admissions etc.


• Treatment: any medication they are taking, outpatient appointments, such as

physiotherapy;

• Previous support: arrangements made at secondary school or with other

Further Education Training Providers, if any;

• Current difficulties: difficulties the learner anticipates that they have or may

have with their programme requirements;

• Access to equipment and IT facilities;

• Appropriate academic and disability support. These might include, for

example, accessible class venues, in-course support and examination support

arrangements.

7.1.6.2 Review of Support

Learners receiving Reasonable Accommodation will be contacted twice-yearly to review their support requirements. This process provides learners with an opportunity to review and provide feedback on the quality of support received during the year. It also allows learners to discuss their needs for further programmes and to request changes to their support provision where additional support is required or support is no longer necessary. Learners can contact the Training & Learning Co-ordinators for a review of their support at any time during the academic year if the impact of their disability changes or they do not feel the Reasonable Accommodations in place adequately address their needs.

7.1.6.3 Communication of Reasonable Accommodations to Staff

Following the Needs Assessment by the Training & Learning Co-ordinators and the submission of appropriate evidence of a disability by the learner, a report is disseminated to the learner’s programme tutor.

This information should be disseminated in line with the Data Protection Act (2003

and 2018), and The Cpl Institutes data protection policies. Further information on

dealing with personal and sensitive data can be obtained from The Cpl Institute’s

Data Protection Officer.

7.1.6.4 Confidentiality

Information about disability is classed as sensitive personal data and will be

processed by The Cpl Institute in accordance with the Data Protection Act (2003 and

2018), and The Cpl Institute’s Data Protection Policy. The company cannot pass on

personal or sensitive information without the learner’s written permission. When

the learner registers with the Training & Learning Co-ordinators, they are asked to

sign a ‘Consent to disclose form’ allowing the Training & Learning Co-ordinators to

forward on any relevant information regarding their disability and/or support needs.

This allows the Training & Learning Co-ordinators to forward the report to the

relevant tutor. General background details of the learner’s specific disability will be

included in the report.


A learner is not obliged to reveal detailed information to the tutor about their

disability. In some instances, it may be useful for the tutor to know, but in many

cases, it may not be relevant to the Reasonable Accommodation support.

A discussion about disability disclosure usually takes place between the Training &

Learning Co-ordinators and the learner, with the learner deciding what information

may be passed on during the completion of the Needs Assessment. The completed

“Reasonable Accommodation Request Form” will be consulted.

7.1.6.5 Dissemination of the report & ensuring Implementation of Reasonable Accommodations

Reasonable Accommodations and reports are available on the learner’s record.

Tutors must ensure they have a system in place to capture the Reasonable

Accommodations specified on the learner record. It is the responsibility of each tutor

to have an effective dissemination and implementation system in place to allow for

information on Reasonable Accommodations to be circulated to all relevant staff e.g.

those organising examinations and timetabling if required.


7.2 Disability Reasonable Accommodation Policy Policy / Procedure Name Disability Reasonable Accommodation Policy

Version No 1.0



Effective Date TBC




7.2.1 Introduction

The Cpl Institute is committed to ensuring that learners with disabilities have access to all programmes and this Disability Policy will outline the support mechanism and how a learner can disclose their disability and the completion of a “Reasonable Accommodation Request Form”.

7.2.2 Purpose

The purpose of this policy and the associated Code of Practice (above in 7.1), is to

provide a framework for the provision of Reasonable Accommodations for learners

with disabilities studying with The Cpl Institute.

The policy defines standard and non-standard Reasonable Accommodations

available to learners with disabilities. The policy explains how Reasonable

Accommodations are granted and communicated to all relevant stakeholders.

The policy demonstrates The Cpl Institute’s compliance with relevant national legislation and policies.

7.2.3 Scope

This policy applies to all learners with disabilities studying at The Cpl Institute

The most common forms of standard Reasonable Accommodations agreed in this

policy are outlined in the Code of Practice, (see section 7.1).

A procedure for requesting a non-standard Reasonable Accommodation is outlined

in the Code of Practice.

This policy applies across The Cpl Institute and includes learners, staff and any other

persons providing goods and/or services associated with the functions of the

company. All of these are responsible for ensuring that they adhere to the relevant

sections of this policy.

7.2.4 Principles

The Cpl Institute will strive to create an environment where learners are comfortable

in disclosing a disability and are provided with opportunities to do so at various

stages throughout their time at The Cpl Institute. The Cpl Institute endorses the

principles of inclusive teaching, learning, and assessment.


The Cpl Institute will strive to ensure that its courses and programmes are as

inclusive and as accessible as possible.

Learners with disabilities will have access to appropriate academic Reasonable

Accommodations in accordance with the individual’s certified disability.

The learner and the staff are key partners in the development and provision of

Reasonable Accommodations, which enable the learner’s participation in all

teaching, learning, and assessment.

7.2.5 Definitions

Disability: The legal definition of disability stipulated in the Employment Equality Act 1998 and Equal Status Acts (2000) as amended, is as follows:

1. “the total or partial absence of a person’s bodily or mental functions, including the absence of a part of a person’s body,

2. the presence in the body of organisms causing or likely to cause, chronic disease or illness,

3. the malfunction, malformation or disfigurement of a part of a person’s body,

4. a condition or malfunction which results in a person learning differently from a person without the condition or malfunction, or

5. a condition, illness or disease which affects a person’s thought processes, perception of reality, emotions or judgement or which results in disturbed behaviour.

And shall be taken to include a disability which exists at present, or which previously

existed but no longer exists, or which may exist in the future, or which is imputed to

a person.” A disability is significant, long term and/or enduring in nature, lasting

longer than a year.

Reasonable Accommodation: A Reasonable Accommodation is any action that helps to alleviate a substantial disadvantage due to a disability and/or a significant ongoing illness. As per The Equal Status Act 2000: “Discrimination includes a refusal or failure by the

provider of a service to do all that is reasonable to accommodate the needs of a

person with a disability by providing special treatment or facilities, if without such

special treatment or facilities it would be impossible or unduly difficult for the

person to avail himself or herself of the service.”


Factors influencing the determination of what is reasonable will include: the

effectiveness of taking particular steps in enabling the learner to overcome the

relevant disadvantage; whether the steps would significantly compromise the

academic standards or professional practices associated with the programme of

study; health and safety issues; the effect on other learners; and the financial and

other cost to The Cpl Institute.

For the purpose of this policy, Reasonable Accommodations are defined as standard

or non-standard Reasonable Accommodations.

A standard Reasonable Accommodation is defined as an amendment to the learner’s

teaching, learning and assessment which enables them to participate fully in their

education.

A non-standard Reasonable Accommodation occurs when the company recognises

that programmes may need to consider providing alternative non-standard teaching,

learning, and assessment methods where standard Reasonable Accommodations are

not sufficient to meet the needs of the learner.

7.2.6 Policy Statement

The Cpl Institute welcomes applications from prospective learners with disabilities

and is committed to making Reasonable Accommodations to enable learners to fully

participate in programmes.

Learners with disabilities are encouraged to disclose their disability to the Training &

Learning Co-ordinator.

Training & Learning Co-ordinators are facilitators in the process of advising and/or

providing Reasonable Accommodations and, as such, are viewed as experts in the

area of Reasonable Accommodations and as a resource to learners and tutors in the

identification and implementation of Reasonable Accommodations in teaching,

learning, and assessment.

Reasonable Accommodations are determined on a case-by-case basis through a

Needs Assessment. This is carried out by a suitably qualified staff member in The Cpl

Institute. A Needs Assessment considers the nature of the disability, programme

requirements, and individual differences.

Standard Reasonable Accommodations (see definition above) identified through the

Needs Assessment process, carried out by a suitably qualified staff member, are

communicated to the relevant tutors. The Reasonable Accommodation in question


will be put in place, unless a specific rationale is provided by the tutor for not

implementing it. (see Reasonable Accommodation Request Form).

All Reasonable Accommodations not covered in are considered as non-standard

requests. The Training Co-ordinator will engage with the Training Academic Affairs

Manager to determine if the accommodation being requested can be implemented

and/or if it constitutes a ‘Reasonable Accommodation’.

If there is agreement, then the Reasonable Accommodation will be recommended to

the tutor, for consideration and approval.

If the Training & Learning Co-ordinator and the Training Academic Affairs Manager do

not reach an agreement as to the requested non-standard Reasonable

Accommodation, firstly, efforts should be made to assess whether an alternative,

effective, and reasonable form of accommodation can be made for the learner in

question.

In the event of an agreement on an alternative, effective and reasonable form of

accommodation not being reached, the matter will be referred to the QA &

Compliance Manager, who will adjudicate as to what, if any, accommodation should

be made for the learner in question. The decision of the QA & Compliance Manager

will be final, binding on all parties, and will be communicated to all relevant parties

including the learner, the relevant tutor and Training & Learning Co-ordinator.

All Cpl Institute staff should maintain appropriate confidentiality (as per Data

Protection legislation and The Cpl Institute policies) of records and communication

concerning learners with disabilities, except where the disclosure is authorised by

the learner as indicated in the completed Reasonable Accommodation Request

Form.

Related Documents Reference Number/ Appendices Number Training Facilities Checklist

Reasonable Accommodation Request Form Learner Request for Assessment Support Form Records of Correspondence



7.3 Learners Support Policy

Policy / Procedure Name Learners Support Policy

Version No 1.0



Effective Date TBC




7.3.1 Introduction

The Cpl Institute is committed to providing learners with adequate support and

resources to maximise their learning potential.

• Monitoring and review of resources to ensure they are fit for purpose and readily

accessible.

• Ensure learners are fully informed of the supports and resources available to

them.

• Provide sufficient pre-entry information on the content, assessment and

demands of each programme to enable potential learners to make an informed

choice about their participation on a programme.

• Providing information on the range of supports available and how to access

those supports.

• Providing prospective learners with the opportunity to disclose any support

needs on application or at any time during their programme.

• Providing learners with the opportunity to highlight any concerns they may have

during their programme.

• Ensuring learners have access to Tutor and administrative support throughout

their programme.

• Providing reasonable accommodation to ensure that learner needs are met at

every stage of their programme.

• Support the learners in obtaining work placements

7.3.2 Purpose

To provide a workable learning environment, support for all learners and ensure that

any additional learner support needs are available to all learners so as they can

access to all our programmes.

7.3.3 Scope

This policy applies to all learners.

7.3.4 Responsibilities


The Training & Learning Co-ordinators are responsible for ensuring all resources are

in place. The Academic Council are responsible for ensuring that all supports, and

resources are considered at the design stage and implemented into practice.

Final approval will lie with the Training Academic Affairs Manager.

The Training Academic Affairs Manager will be responsible for extra resources &

monitoring the progress of learners through their programme ensuring resources are

made available to provide additional support if required.

Tutors are responsible for monitoring learners during their programme and providing

additional support where required and discuss any concerns with the Training


7.3.5 Policy

All learners are advised to disclose any support needs they may have when they

register. Those identified with support needs are then contacted by email or phone

to make the necessary arrangements.

Learners who encounter difficulties during their programme are advised to inform

their Tutor or the programme Training coordinator immediately.

The following supports will be available to learners:

• Venues assessed to ensure the location is accessible to all individuals and that

appropriate facilities are in place.

• Physical modifications to the training and assessment location e.g. seating

arrangements etc., if necessary.

• Learning materials provided in an accessible format, where possible.

• Additional time allocated to complete assessments, where warranted.

• Alternative assessment formats.

Support from a reader and/or scribe to complete assessments or examinations.

7.3.6 Monitoring and Review of Learners Support

The Training & Learning Co-ordinators will monitor applications and report any

requests for additional supports to the Training Academic Affairs Manager.

The Training Academic Affairs Manager will liaise with the relevant Tutor during

programmes or with work placement manager/supervisor to discuss learner needs

and any supports they may require.


Training Facilities Checklist Reasonable Accommodation Request Form



Learner Request for Assessment Support Form Request for Extension From - Online Records of Correspondence Website Promotional Material

Appendix 7.15

7.4 Work Placement Support and Supervision Policy

Policy / Procedure Name Work Placement Support and Supervision Policy

Version No 1.0



Effective Date TBC




7.4.1 Introduction

A work placement gives learners the opportunity to transfer the theoretical elements

relevant to their programme, to their work area while being supervised by a relevant

professional in the workplace or a healthcare facility. Our healthcare programmes require a

work placement to be completed as part of the work experience module. The Cpl Institute

will assist learners in obtaining placements suitable to their needs and abilities. Whilst

undertaking your work placement it is important to learn some valuable information

relating to the work placement facility and some common standards which exist in the

healthcare industry.

7.4.2 Purpose

This policy has been developed to provide support, quality assurance, accountability and

development mechanism for The Cpl Institute learners, mainly healthcare learners

completing their Healthcare Support programme. Healthcare support programme aims to

teach theories of practical skills and develop these practical skills with the aim of

incorporating both theoretical and practice strands on professional programmes.

Supervision in the workplace forms an integral part of the work experience module and all

learners must engage in a work placement to gain the practical experience. As such, the role

of the supervisor in the workplace is a highly valued one. The aim of the policy is to set a

framework of clear and transparent processes for the learner, work placement

manager/supervisor and the roles and responsibilities for all 3 parties involved. (The Cp

Institute, Learner and work placement manager/supervisor).


7.4.3 Regulatory Insurance and Legal Requirements

The Policy is intended to have regard to The Cpl Institute legal obligations in the context of

work placement including the common law duty of care and

• Safety Health & Welfare at Work Act 2005,

• General Data Protection Regulation (GDPR)

• Equal Status Act 2000 – 2008

• Employment Equality Act 1998-2005

• Organisation of Working Time Act 1997

• National Vetting Bureau (Children and Vulnerable Persons) Acts 2012 to 2016

7.4.4 Scope

This Policy applies to all learners attending and being managed/supervised during a work

placement.

7.4.5 Roles and Responsibilities

This Policy sets out the responsibilities of The Cpl Institute’s staff and others involved in the

work placement with clear identification of roles and responsibilities will ensure a successful

work placement experience.

7.4.5.1 Training and Academic Affairs Manager

The Training Academic Affairs Manager responsibilities include:

• Ensuring that this Policy is reviewed, updated as appropriate.

• Ensuring that appropriate procedures are in place to support this Policy.

• Ensuring that any breaches of the Policy are properly dealt with.

• Will conduct intermittent work placement visits to the various facilities and meet

with the work placement manager/supervisor.

7.4.5.2 QA & Compliance Manager

The QA & Compliance Manager is responsible for ensuring the Policy is implemented and to

:-

• Ensure their The Cpl Institute’s staff attend targeted training and briefing sessions as

required.

• Have regular reviews to ensure the adherence to the policy, procedures and ensure

documentation is updated as appropriate.

7.4.5.3 Learners

The Learner is responsible for:

• Attending any briefing sessions provided by The Cpl Institute.


• Attending any induction sessions provided by the Work placement facility.

• Advising The Cpl Institute of any issues that may affect their ability to engage in work

placement manager/supervisor.

• Adhering to the all work placement facility policies and procedures.

• Contacting The Cpl Institute tutor at agreed intervals or the Training and Academic

Affairs Manager.

• Ensuring the competency log is fully completed and signed off by the work


7.4.5.4 Work Placement facility

The work placement facility, in association with The Cpl Institute, is responsible for

providing the learner with appropriate activities to enable them to achieve their intended

learning outcomes and competencies within their current workplace environment.

7.4.6 Policy Statement

A positive learner experience while in the work placement will serve the healthcare

profession well as it will identify compliance with statutory and professional ethical

guidelines, ensure learners work within their scope and meet regulatory requirements. This

work placement and experience gained will prepare the learner for future employment. It is

envisaged that the learner’s engagement with the work placement will ensure clarity of

roles and responsibilities and create structured opportunities to discuss work, review

practical experience, progress and plan for any future development as the learner continues

to relate theory to practical skills throughout the programme.

7.4.6.1 Key work placement relationships

The key to success in learner work placement lies in the management of the relationships.

There are

three key relationships involved in the work placement:

1. The Cpl Institute and Learner

2. The Cpl Institute and Work placement

3. Learner and Work placement / manager/supervisor

Each of above has an obligation to nurture and develop these relationships to ensure each

Learner has a successful work placement.

7.4.6.2 Monitoring and Communication during the work placement

During the learner work placement, there will be ongoing communication between Training

and Academic Affairs Manager, programme tutor, the work placement manager/supervisor

and the learner. The work placement will be monitored by the Training and Academic Affairs


Manager to ensure the learner is achieving their learning objectives, competency log is

being completed and to address any concerns or issues.

7.4.6.3 Feedback and Debrief Post-Supervision

After completion of the work placement, learners will be required to provide feedback to

their tutor and the Training and Academic Affairs Manager on their work placement. In light

of the feedback, a review of the work placement process and experience may be carried

out.

7.4.6.4 Documentation / Recording

Documentation and recording of information must be completed throughout the entire

learner work placement.

This includes but is not limited to:

• Agreement with the work placement facility and includes insurance.

• Key programme learning outcomes and competencies signed off in the competency

log by work placement manager/supervisor.

• Any communications during the learner work placement.

• Post work placement review.

Please not that Data protection legislation will be considered and complied with during the

whole learner work placement.

7.4.6.5 The role of the Work placement manager/supervisor

The work placement manager/supervisor’s role involves the following:

• Establishment of mutually agreed learning goals as per competency log which the

learner will work towards during work placement.

• Helping learner to enhance or develop observation, communication and relationship

skills as essential requirements for effective healthcare environment.

• The development of an open, trusting and confidential relationship with the learner,

where opportunities for learning and professional development are maximised.

• Setting aside a regular time for feedback on the learner’s progress or discuss any

issues

that arise.

• The completion of the competency log. Learners should be involved in this process

and should be aware of the contents of the completed log before it is returned to

The Cpl Institute.

7.4.6.6 Appointing a work placement manager or supervisor


All work placement managers or supervisors will be qualified, experienced and a senior

member of staff in the work placement facility. The manager or supervisor should be able to

work daily with the learner in order to arrive at a valid and comprehensive

assessment/evaluation of the learner’s abilities. While it is hoped that the manager or

supervisor will be in a position to supervise the learner for the entire duration of the work

placement, should unforeseen absences occur, it is essential that an alternative manager or

supervisor can be put in place and the learner advised, and agreed with the Training and


7.4.6.7 Support for Supervisors

To support the work placement managers or supervisors in their important work The Cpl

Institute can offer training for managers or supervisors. The Cpl Institute will also email all

related information on the work placement so as the managers or supervisors are fully

advised of support mechanisms. The work placement manager or supervisor and learners

can contact the Training and Academic Affairs Manager at any point during the work

placement, to discuss any issues which are impacting on the work placement or if the work

placement is not going according to plan.

7.4.6.8 The Role of The Cpl Institute tutor

Through regular classroom sessions and tutorials before the work placement commences,

the programme tutor will assist and guide learners in the preparation for their work

placement and discuss the programme learning objectives to be achieved during the work

placement.

7.4.6.9 The Role of the Learner

The work placement is important so as the learner and develop the necessary practical and

social skills and adapt to the healthcare environment to become:

• A caring, reliable, responsible and observant healthcare worker.

• A person using both initiative and an awareness of the needs and rights of various

clients in the facility.

• A skilled person in forming relationships and communicating with healthcare

residents.

• A person that can work constructively with colleagues and team members.

• A person to maintain confidentiality which reflects a sound approachable

personality.

• A person that can prioritise and maintain the safety of both client users and those

involved in their care.


7.4.6.10 What should the Learner wear

The work placement manager/supervisor will advise you in advance, what to wear or they

may provide you with a uniform (conforming with Health and Safety requirements). It is

important to note that you must wear appropriate clothing as requested by your work


7.4.6.11 Behaviour during Work Placement

While you are in attendance of work placement, your behaviour must be professional at all times. Remember that you are there to learn and gain valuable experience in the work place. Therefore adhere to all facility local rules and regulations and

• Act professionally at all times as residents relations could be present.

• Adhere to the timetable and the scheduled breaks.

• Ensure you are not standing idle, always look for something to do.

• Do not be on your phone or standing around chatting to other colleagues.

• Be honest – if you don’t know how to do something, just ask.

• If you damage equipment tell your work placement manager/supervisor straight away.

• Do that extra bit, go that extra mile and it will pay off and achieve a good reference.

7.4.6.12 Personal Hygiene

As you may be moving around and performing tasks that put you under pressure, you may become extremely warm and you must maintain good personal hygiene. You must ensure that your uniform or work clothing is clean before entering work each day and you may need spare clothing. Encourage you to shower/Wash daily prior to entering work and make sure your footwear is clean.

7.4.6.13 Mobile phones in work placement

Most employers do not allow the use of the mobile phones during work hours. Please adhere to local rules and regulations regarding mobile phones in your work placement. If your mobile phone is meant to be in your locker, then ensure that your mobile phone is stored away in a secure locker or location. Most work placements will offer you a locker to store away personal belongings during your working day/shift. Place your mobile phone, personal belongings and any other valuables in this locker. Bring the key with you and keep it safe on you. If you do need to take a telephone call during your break, be respectful to others and go to a quiet location in the canteen or outside to make or take the call. 7.4.6.14 Laptops/iPads in the Work Placement Facility

For security reasons it is recommended that you do not bring a laptop/iPad into the work

placement facility.


7.4.6.15 Social media sites

Whilst the use of Facebook and other social media sites during work hours is not acceptable, either is speaking about your work placement manager/supervisor or colleagues on them in such an open forum. Be careful of what you post and say on these websites and take care of disclosing any confidential information or data. Do not post negatively about work placement manager/supervisor or colleagues as your friends could be their friends or you may want a job with that facility again at a future date.

7.4.6.16 Working Time

The Organisation of Working Time Act 1997 sets out the statutory minimum entitlement for employees/learners during their work placement. All learners are entitled to have breaks while they are work. All learners are entitled to rest periods as defined in the Organisation and Working Time Act 1997. 7.4.6.17 If Difficulties Arise

Throughout the course of the programme it is possible that issues may arise for some

learners

and/or managers/supervisors which could impact on the work placement.

Such issues could include:

• Learner taking maternity leave.

• Learner goes on extended sick leave.

• Learner takes up a new work placement in a different facility.

• Disciplinary process in relation to the Learner.

• Manager/Supervisor leaving their current role.

• Manager/Supervisor going on maternity leave or other extended leave (parental

leave/sick leave etc.) and is no longer in a position to manage/supervise the learner.

• Manager/Supervisor unhappy with the learner’s performance or participation in

Work placement.

• Learner unhappy with the work placement Manager/Supervisor.

In any of these instances the manager/supervisor and/or the learner should contact the

Training and Academic Affairs Manager to discuss the issue and agree a plan of action to

resolve the issue.


Company Insurance Competency Log Booklet Emails / Records of Correspondence Work Placement – Site Visit Form Tutor & Learner Issues



Learner Handbook Garda Vetting Policy Safeguarding and Protection Policy

Appendix 8.1 See Section 2.1.5.3 See Section 2.1.5.4


Section 8 - Information and Data Management

8.0 Management of Information

Policy / Procedure Name Management of Information

Version No 1.0



Effective Date TBC




Information is a core asset of The Cpl Institute.

It is a key resource required to meet our business objectives and expectations of all

stakeholders. We are committed to creating, managing and retaining secure records and

providing access to same for continuous quality improvement.

This is underpinned by the following principles:

- Management of information effectively

- Information resources are secured by the organisation and not to be

stored on individual systems.

- Responsibility for managing information assets is clearly identified.

- Staff will be able to access information for the effective performance of

their role and there will be the opportunity for the free flow of information,

as appropriate.

- Protection of personal information, which cannot be shared for legal

reasons, e.g. in relation to privacy, security or due to commercial

sensitivity.

- Produce accurate information

- Information will be timely, relevant and consistent.

- Information will be managed and will comply with relevant legislation.

- Manage information in accordance with policies, standards and

procedures

Purpose

To provide a framework for managing information which will enable the organisation to:


Deliver quality services by having timely access to meaningful and appropriate

information, be open and transparent, comply with all legislation and protect both

company and personal information.

Scope

This policy applies to all staff, contractors, representatives working on behalf of the

organisation who have access to records in all formats, whether paper, electronic or

audio-visual.

It includes emails produced or received in the conduct of business which are part of the

organisational record.

Responsibility

The Senior Management Team are responsible for direction that policies and procedures

are in place for the safe management of information.

All staff, contractors, consultants and agents are responsible for documenting their

actions and decisions accurately in the organisations records and for managing

information in accordance with procedures and related policies.



8.1 Information Systems

Quality System Area Performance Measure/ Documentation Review Actions Required

Responsible Person

Governance and Management Quality reviews & improvement tasks

Priority tasks open

Risk issues Identified

Risk analysis review

Documented Approach to Quality Assurance

Policies and procedures review/ amendments

Programmes of Learning and Staff training Number of registered learners

Course completion rates

Inhouse/ validated programmes

Recruitment, Management and Continuous Professional Development

Tutor evaluations

Staff CPD/ Induction/Training

Tutor recertifications.

Tutor retention

Teaching and Learning Provider evaluation rating

Programme evaluations

Complaints and areas for improvement highlighted

Assessment & Certification of Learners Grade Analysis against national averages

Number Certified (in all areas)

Learner submission gaps

2nd Marking /Appeals /Notifications to awarding bodies

Non submission for assessment

Learner Supports Learner supports available

Supports needs achieving certification

Information and Data Management Number of data breaches

Learner and Tutor files -arising issues

Learner assessment portfolios – non completion


GDPR non compliance

Information and Communication Completed internal and external quality reports

Public information- no arising issues

Provider agreements/Partnerships Sub-contracting arrangements in place

Provider agreements, success/ identified gaps.

Self-Evaluation, Monitoring and Review Monitoring and Evaluation activities

Quality improvements plans

Quality improvement tasks open


8.2 Learner Information System

Policy / Procedure Name Learner Information System

Version No 1.0



Effective Date TBC




Purpose To track performance and generate reports on learner registration,

completion and course provision.

Responsibility Training & Learning Coordinators

Key Steps Check the system to ascertain if the learner is already registered,

- Each learner is assigned a unique number when they

enrol on a programme for the first time.

This number is to be inputted into the system with their personal

information, to include:

- Name, Address, Contact Details, Gender, Date of Birth,

PPS Number, Emergency Contact Person, Prior

Learning, Additional Support Needs.

Information collected during and after each module is to be inputted

into the system to include:

- Attendance Additional Support Provided, Progression,

Non-Completion, Assessment Results, Certification.

Documentation Learner records



8.3 Management Information Systems

Policy / Procedure Name Management Information System

Version No 1.0



Effective Date TBC




The Cpl Institute have a customised electronic management information system (TMA) which is accessible to all management and administration staff. The system provides:

- A data repository and reporting function for all organisational activity. - Database to include learner details, certification details per learner,

assessment details, application and completion rates per module etc. The system is monitored through:

- External evaluation – An external IT support company provide support and maintenance of the system.

- Identified improvements and necessary updates are carried out in a timely manner.

- The system is backed up daily and is updated on a regular basis. - Use the centrally based filing system for electronic and paper files.


8.4 Further Planning

8.4.1 Data Collection & Analysis

Policy / Procedure Name Data Collection & Analysis

Version No 1.0



Effective Date TBC





Purpose To ensure up to date, accurate and reliable data is available at all

times for direct provision and supports to all learners


Key Steps The QA & Compliance Manager will carry out an analysis of data to

ensure secure security of data.

- Reports will be presented at regularly scheduled staff

meetings.

- Regularly scheduled programme review meetings, ref.

completion rates, grade analysis, learner satisfaction

rates, enrolment rates target groups (learner profile

details, per module/programme).

Documentation Minutes of Meetings, Data Reports


8.5 Completion Rates

In order to assure all our stakeholders that the organisations learning delivery, assessment

and evaluation meets best practice, The Cpl Institute will undertake both data collection and

measurement of all completion rates of programmes. These will be tracked using our TMA

system and provided for review at both Academic Council and Admissions Committee.

We will endeavour to consistently measure our grading and identify any areas of concern in

either the delivery of a programme or the assessment tools aligned to it. Industry standards

and results will be used as a tool for bench marking within the organisation and all identified

areas for improvement will be acted upon.

Our auditing processes will assist in these measurements and pre validation of any new

programme, we will look to national published grades to set the level of learner activity and

results.

8.6 Document Maintenance and Retention

8.6.1 Document Management

Policy / Procedure Name Document Management

Version No 1.0




Effective Date TBC




Purpose The purpose of this procedure is to ensure that we can trace, record

and retrieve the involvement of learners in all activities of the delivery

of our programme to learners. These records will be maintained

securely until such times as they will be destroyed. The accuracy of the

records will be assured as much as is reasonably practicable

Responsibility Training & Learning Co-Ordinators

Key Steps Records must be managed through their lifecycle: from creation,

through storage and use, to disposal.

Creation and Maintenance - Information users will:

- Create, keep and manage records which document the

organisation’s principal activities.

- Maintain records the organisation requires for business,

regulatory, legal and accountability purposes.

- Create records with meaningful titles so that they can

be retrieved quickly and efficiently.

- Create and maintain records in accordance with the

procedures for version and document control.

- Make sure records are authentic, reliable, have integrity

and remain usable.

- Ensure appropriate backup arrangements are in place

for electronic records (including restoration of backups

and disaster recovery if electronic records are

damaged).

- Storage - To maximise efficiency, reduce costs, enable

sharing and minimise risks, information users will:

- Not store information permanently on removable

media (e.g. memory sticks, external hard drives etc.).

- Using Information - In order to balance the

organisations commitment to openness and

transparency and a desire to store our information with


our responsibility for privacy and sensitivity

requirements, information users will:

- Ensure all records are subject to appropriate security

measures.

- Document decisions regarding access so that they are

consistent and can be explained and referred to.

Documentation Learner Records, Staff Records, External Audit Report, Internal Audit

Reports


Internal Audit Reports

8.7 Data Protection and Freedom of Information

Policy / Procedure Name Data Collection & Analysis

Version No 1.0



Effective Date TBC




The Cpl Institute is committed to the protection of the rights and privacy of individuals and organisations whose data is held by the organisation. This commitment is underpinned by full compliance with the statutory measures that ensure these rights, namely the Data Protection Act 1988, the Data Protection (Amendment) Act 2003 and the General Data Protection Regulation 2016. To meet our responsibilities under the legislation and in accordance with the data protection principles, we will:

- Obtain and process information fairly. - Keep it only for one or more specified, explicit and lawful purposes. - Use and disclose data only in ways compatible with these purposes. - Take appropriate measures to keep data safe and secure. - Keep it accurate, complete and up-to-date. - Ensure it is adequate, relevant and not excessive. - Retain for no longer than is necessary for the purpose or purposes in was

collected. - Provide data to data subjects upon request.


Purpose To outline the rules on data protection and the legal conditions that must be satisfied in relation to the collecting, obtaining, handling, processing, storage, transportation and destruction of personal data. To protect The Cpl Institute from the consequences of a breach of its responsibilities.

Scope All staff, contractors and tutors handling data for or on behalf of The Cpl Institute who have access to data in all formats i.e. paper, electronic, audio-visual etc.

Responsibility - Ensuring resources are in place to meet the requirements of this policy. - Ensuring the policy and procedures are adequate, up-to-date, in line with

legislative requirements and systematically reviewed. - Designating a Data Protection Officer (DPO).

Training & Academic Affairs Manger - Assisting the Senior Management Team to develop, review and approve

the policy and procedures. - Ensuring the organisation is fully compliant with legislation in its day to day

activities. - Ensuring only authorised personnel engage in activities associated with

providing the service. - Monitoring the implementation of this policy and associated procedures. - Dealing with concerns arising out of the implementation of this policy.

Staff - Complying with the requirements of the policy and associated procedures. - Creating and maintaining full and accurate records of all activities. - Handling data with care and respect so as not to compromise their

integrity. - Preventing unauthorised access. - Bring any observations or concerns that may require updates to the policy

and procedures to the attention of the Training Manager. Data Protection Officer (DPO)

- Monitor compliance with the General Data Protection Regulation. - Collect information to identify processing activities. - Analyse and check the compliance of processing activities. - Inform, advise and issue recommendations. - Provide support, assistance and training.


QQI Consent Form Appendix 8.4


8.7.1 Obtaining and Processing Data

Policy / Procedure Name Obtaining and Processing data

Version No 1.0



Effective Date TBC




Purpose To ensure that all data is obtained and processed in a transparent and effective manner.

Responsibility All Staff

Key Steps Information may only be collected for the provision of education and training activities and associated services. Information will be collected to:

- Provide services including, but not limited to, training and consultancy.

- Provide personnel, payroll and pension administration services.

- Update databases. The data subject must be made aware of the following prior to processing their data:

- Reason for collecting the data. - How it will be used. - Legal basis for processing the data. - Disclosure to third parties. - Retention period. - Contact details for the DPO.

Learners rights: - Right to be informed. - Right of access. - Right to rectification. - Right to erasure. - Right to restrict processing. - Right to data portability. - Right to object. - Rights around automated decision making and profiling. - Right to withdraw consent at any time. - Right to make a complaint.

Personal data should only be processed for the specific purpose(s) notified to the data subject(s) and for which it was gathered in the first place:


- If it is requested to be used for any other purpose, consent must be obtained from the data subject(s)

- Data should only be disclosed for the original purpose it was obtained.

- Data should not be disclosed to third parties without the explicit consent of the data subject.

- Verbal consent may be obtained for the disclosure of non-sensitive data.

- Written consent must be obtained for the disclosure of sensitive data.

- Sensitive personal data may be disclosed without the express written consent of the data subject in the following circumstances:

- Where it is required by law. - Where it is required for legal advice or legal proceedings,

and the person making the disclosure is a party or a witness.

- Where it is required for the purposes of preventing, detecting or investigating offences, apprehending or prosecuting offenders, or assessing moneys due to the state.

- Where it is required urgently to prevent injury or damage to health, or serious loss of or damage to property.

Documentation IT System, Personnel Files, Retention Schedule, Disposal Log, Emails, Written Correspondence


QQI Consent Form Appendix 8.4

8.7.2 Data Access Requests

Policy / Procedure Name Data Requests

Version No 1.0



Effective Date TBC




Purpose To allow an individual access to their personal data


Responsibility Data Protection Officer (DPO)

Key Steps Once a data request is received, the following applies: - Inform the individual that the request must be submitted

in writing to the DPO using the organisation’s access request form (form issued by email upon request).

- Once the written request is received the DPO will verify the identity of the individual using reasonable means – e.g. request a copy of recent photo I.D.

- Once verified, the DPO will process the request or assign a person who will process it.

- The DPO will track/record results to ensure compliance (In the event of a dispute, an audit trail must be available to demonstrate compliance).

- Processing the request should be complete within one month of receiving the request in writing.

- This time period can be extended to two months where requests are complex or numerous.

- Inform the individual of the extended time period. - Send the data electronically to the individual in the

agreed time, unless the individual requests that it be sent manually.

Documentation Access Request Form, Tracking Log, Emails, Written Correspondence


Access Request Form Emails

8.7.3 Requests to Rectify, Erase, Restrict or objections to Processing

Policy / Procedure Name Requests to Rectify, Erase, Restrict or Object to Processing

Version No 1.0



Effective Date TBC




Purpose To ensure that individual requests are dealt with in a timely and effective manner.


Key Steps Once a request is received the following applies: - Inform the individual that the request must be submitted

in writing to the DPO.


- Once the written request is received, the DPO will verify the identity of the individual using reasonable means – e.g. a copy of a recent photo I.D.

- Once verified, the DPO will process the request or assign a person to it.

- The DPO will track/record results to ensure compliance (In the event of a dispute a trail must be available to demonstrate compliance).



- Inform the individual of the extended time period. - Notify the individual of the results of their request within

the agreed timeframe.

Documentation Emails, Written Correspondence


Access Request Form Emails

8.7.4 Data Sharing Requests

Policy / Procedure Name Data Sharing Requests

Version No 1.0



Effective Date TBC




Version: Date Approved:

Purpose To ensure that individual requests are dealt with in a timely and effective manner.


Key Steps Handling a Request Once a data portability request is received, the following applies:

- Inform the individual that the request must be submitted in writing to the DPO using the organisation’s data request form, detailing all data requested (form issued by email upon request).

Once the written request is received, the DPO will:


- Verify or delegate a person who will verify the identity of the individual using reasonable means – e.g. a copy of a recent photo I.D.

- Once verified, the DPO will process the request or delegate someone to process it.

Processing a Request - Gather all data requested in whatever format it is in. - Save all data in PDF format. - Send the data to the data subject for review and agree

upon it. - Once agreed, send the data in PDF format to the other

controller identified by the data subject and request a receipt.



- If the time period is to be extended, inform the individual.

- The DPO will track/record results to ensure compliance. - In the event of a dispute, an audit trail must be available

to demonstrate compliance. - The person responsible must send notification to the

data subject of the results of their request within the agreed timeframe.

Documentation Data Request Form, Tracking Log, Emails, Phone Calls, Written Correspondence.


Data Request Form Emails

8.7.5 Confidentiality and Security

Policy / Procedure Name Confidentiality and Security

Version No 1.0



Effective Date TBC





Purpose To ensure that information is managed in a consistent, secure and confidential manner.

Responsibility Data Protection Officer (DPO), All Staff

Key Steps Standards of security include the following: - Access to the IT system is limited to authorised

personnel only, each of which will have individual passwords for secure access.

- Access to IT servers is restricted, in a secure location and available to a limited number of approved Staff.

- Access to any staff personal data is restricted to authorised personnel for legitimate purposes only.

- Access to computer systems is password protected with other factors of authentication as appropriate to the sensitivity of the data.

- Non-disclosure of personal security passwords to any other individual including other personnel is encouraged.

- Information on computer screens and manual files to be kept out of sight from unauthorised individuals.

- Back-up procedures in operation for information held on computer servers, including off-site back-up.

- Computers are protected by anti-virus software. - Computers have automatic screen savers should the user

fail to log out. - Personal manual data is to be held securely in locked

cabinets, locked rooms, or rooms with limited access. - Staff are provided with data protection information and

training relevant to their role.

Documentation Training Records, Computer Audit Trail, Log in Details.



8.7.6 Data Cleansing

Policy / Procedure Name Data Cleansing

Version No 1.0



Effective Date TBC




Purpose To ensure accurate, up to date data is available to the organisation and that it is in line with data protection legislation and guidelines.


Key Steps In order to ensure clean data all fields must be complete at time of initial entry on any systems. Quality checks are carried out quarterly on a random selection of:

- Learner Records - Log any issues identified. - Contact all organisations annually to verify and update

information. Maintain the database:

- Assign responsibility for systematic cleansing. - Update policies and procedures. - Seek external expertise, if required. - Keep staff informed and upskilled. - Carry out random spot checks. - Discuss issues with relevant staff members. - Ensure consistency of data entry among all staff. - All policies and procedures are reviewed annually, as per

the document control matrix. - Staff records are updated annually, or sooner if required,

in line with performance reviews. - Information on the website and/or social media is

reviewed and updated weekly. - All data is reviewed annually for relevance and updated

or disposed of as required.

Documentation Quality Reports, Quality Improvement Plan, Record of Meetings, Document Control Matrix



8.7.7 Managing a Data Breach

Policy / Procedure Name Managing a Data Breach

Version No 1.0



Effective Date TBC




Purpose To ensure a standardised management approach is implemented in the event of a data breach.


Key Steps A data breach may happen for a number of reasons, including: - Loss or theft of equipment on which data is stored. - Inappropriate access controls allowing unauthorised use. - Equipment failure. - Human error e.g. the sending of an email to the wrong

address. - Unforeseen circumstances, such as a flood or fire. - Computer hacking. - Access where information is obtained by deception.

Should a breach occur it is to be manged in the following way: - Details of the incident should be recorded, including. - A description of the incident. - The date and time of the incident. - The date and time it was detected. - Who reported the incident and to whom it was

reported? - The type of data involved and how sensitive it is. - The number of individuals affected by the breach. - Was the data encrypted? - Details of any IT systems involved. - Notification of the breach - Internal Notification

A data breach must be reported without delay to the DPO and the Senior Management Team, with the incident details.

- The DPO will immediately convene a meeting of relevant people to deal with the incident.

- The group will assess the incident details and the risks involved, including:

- What type of data is involved? - How sensitive is the data involved?


- How many individuals’ personal data are affected by the breach?

- Were there protections in place e.g. encryption? - What are the potential adverse consequences for

individuals and how serious or substantial are they likely to be?

- How likely is it that adverse consequences will materialise?

External Notification

- It is best practice to inform the office of the data commissioner immediately for advice on how best to deal with the aftermath of a data breach.

- The DPO will be responsible for contacting the office of the data commissioner.

- The Senior Management Team, in consultation with the office of the data commissioner, will decide if it is appropriate to inform the persons whose data has been breached (Not every incident will warrant notification).

- When notifying individuals, Senior Management will consider the most appropriate medium for doing so. It will bear in mind the security of the medium for notification and the urgency of the situation.

- Specific and clear advice will be given to individuals on the steps they can take to protect themselves and, what the organisation is willing to do to assist them.

- The DPO will be the contact person for further or ongoing information.

- The Senior Management Team will also consider notifying third parties, such as An Garda Síochána who can assist in reducing the adverse consequences to the data subject(s).

- Other statutory agencies will be informed, as required. Evaluation and Response

- Subsequent to any breach, a review of the incident will be made by Senior Management. The purpose of this review will be to:

- Ensure that the steps taken during the incident were appropriate.

- Describe and record the measures being taken to prevent any repetition of the incident.

- Identify areas that may be in need of improvement. - Document any recommended changes to policy and/or

procedures which are to be implemented as soon as possible thereafter.

Documentation Record of Meetings, Emails, Quality Improvement Plan



8.7.8 Internal Audits

Policy / Procedure Name Internal Audits

Version No 1.0

Approval Quality Team


Effective Date TBC




Purpose To ensure systems in place are operating in accordance with the data protection acts and regulations and to identify any risks or possible non-compliance.


Key Steps Internal audits will be carried out annually by the DPO, who will: - Complete the audit schedule

The schedule specifies the areas and/or processes to be audited, the audit criteria and scope of the audit.

- Areas specified in the schedule are audited against relevant documentation and standards (audit criteria).

- Internal audits are carried out across selected activities annually, with greater frequency, if required.

- The frequency of audits can be adjusted depending on the results of previous audits, Evaluation, new procedures or the importance of an identified issue.

The audits are carried out by: - Reviewing manual and electronic procedures and

compliance. - Consultation with relevant Staff. - Reviewing previous audit reports and improvement

plans. - A summary internal audit report is completed by the

Data Protection Off outlining any strengths and areas for improvement.

- Where an issue is discovered it is recorded and any Issues will be prioritised for completion.

- The issue and corrective action should be agreed between the auditor and the person tasked with completing the corrective action.


- Where no issues are found, a record is retained to signify that an audit has been carried out, i.e. an audit report must still be completed.

- Corrective actions are checked at the end of each month by the Data Protection Officer to verify completion.

- Reports are provided to the next quality team meeting for review.

- Internal audit reports are to be maintained for a period of three years.

Documentation Audit reports, Quality Improvement plan, Corrective Action Log


Internal Audit Reports Correction Log

8.7.9 Staff Training and Support


Version No 1.0



Effective Date TBC




Purpose To ensure that staff have the necessary knowledge and skills to carry out their activities


Key Steps Training and supports will include - Initial data protection information will be provided at

induction. - All new staff members will receive training on the IT

system. - The Data Protection Officer will provide periodic updates

and awareness training as required. - Upskilling workshops will be held annually. - Manuals will be reviewed and updated annually or

sooner if required. - Updates will be communicated to stakeholders

electronically. - The IT lead will provide ongoing advice and support.

Documentation Training Attendance Sheets, Login Details, Induction Checklist, Staff CPD Records



Daily Training Record

Appendix 7.1

8.7.10 Data Retention & Disposal


Version No 1.0



Effective Date TBC




Purpose To provide guidance to staff in meeting their obligation in relation to the retention and disposal of data.


Key Steps Management will: - Ensure all Staff are made aware of the records retention

schedule so that they know which records the organisation has decided to keep and their personal responsibility to follow the retention schedules.

Information users will: - Review records in accordance with the retention

schedule when they are no longer required for on-going business or specific legal or regulatory purposes.

- Review records at the end of their retention period and arrange for secure destruction, transfer to storage or given a further review date - Documentation of the disposal or transfer of records will be completed and retained.

- Manage electronic records in accordance with the retention schedule. It is recommended that an intended disposal or review date is captured when creating electronic records.

All data created and/or received by staff in the course of their duties are retained for as long as they are required to meet legal, administrative, financial and operational requirements. The final disposal, either through transfer to archives or destruction, is carried out according to the retention schedules. Retention periods depend on different criteria, including compliance with legislation and best practice.


The retention periods are the minimum time that records should be kept and are calculated from the end of the calendar month, following the last entry on the record. A records retention schedule will apply to a series of records and will indicate when eligible records must be destroyed or deleted, as well as when permanent records are to be archived. In conjunction with the retention periods included in this policy, the following principles should also be observed:

- Be conservative and avoid inordinate degrees of risk. - Consider the consensus of knowledgeable/experienced

people. - Retain a record if it is likely to be needed in the future,

and if the potential consequences of not having it would be substantial and are foreseeable at the time.

- Apply common sense. - Disposal of records must be authorised by a senior

manager or the Data Protection Officer. - Where hard copy records are to be destroyed after the

retention period has expired, they should be destroyed using a shredder, or where there is a large amount of records to be destroyed, a professional contractor with expertise in this field should be employed on a confidential basis with the intention that such contractor will oversee the process and issue a certificate of destruction.

- A record in the form of a register is to be maintained of all records destroyed, providing verifiable authorised proof of destruction.

- The register should be kept in perpetuity and should provide details of all records destroyed, including identifying the name of the person to whom the record relates.

- The register should be signed and dated by the person who authorised the destruction of the records. This register should be held in a secure location.

- Electronic records should be disposed of as per the retention schedule.

- Third parties who have received records should be notified and requested to dispose of those records according to the retention schedule.

Documentation Retention Schedule, Disposal Log, Staff CPD Records, Emails



8.7.11 Retention Schedule

This is a list of common types of information showing how they should be classed and the

retention period.

Information Type Retention Period Disposal

Staff & Tutor Documentation

Personal Details

Professional Details (CV, Contract of Employment etc.)

CPD Records

Learner Documentation

Learner Records (Such as contact information: phone address, etc)

Module/Programme Details

Assessment Details

Module/Programme Documentation

Programme Content

Programme Information

Programme Material (Hard Copy and Soft Copy)



The Data Protection Officer will be responsible for monitoring compliance by carrying out

random audits during the year and a scheduled audit annually. The procedures will be

reviewed annually by the Data Protection Officer, Senior Management Team and the

Academic Council

Any issues will be raised at regularly scheduled staff meetings and actioned as required.

The policy will be reviewed by the Quality Team every periodically or should a need to amend

after a raised concern or clarification.


Section 9 - Public Information and Communication

Policy / Procedure Name Communication with All Stakeholders

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The purpose of this procedure is to describe how The Cpl Institute communicates with all stakeholders through verbal, para verbal and written communication. The Cpl Institute considers that good communication with stakeholders will allow us to meet the learning and training needs of the stakeholders and ensure best practice. To achieve this, we will:

- Have a clear vision and mission that enables all to understand and engage

with our education and training aims and objectives.

- Provide and be provided with appropriate information to enable us to

deliver a quality service to all stakeholders.

- Ensure policies and procedures are clearly communicated.

- Disseminate information to inform decision making, practice and

encourage a communication stream for continuous quality improvement.

Purpose

To provide information on programmes of education and training and quality assurance

policies, procedures and reports.

Scope

This policy applies to all education and training activities as well as both internal and

external communications.

Responsibility

The QA & Compliance Manager are responsible for ensuring that policies and procedures

are in place for all education and training activities. Responsibility will be delegated as

appropriate.


All Sub-Committees are responsible for:

- Promoting a culture of open and honest communication.

- Ensuring all Stakeholders are kept updated on relevant activities.

- Ensuring that information is made available to all stakeholders in a timely

manner, via the appropriate channels.

- Maintaining two-way communication and listening to Evaluation and

comments from all Stakeholders.

- Monitoring the effectiveness of the policies and procedures.

Staff are responsible for:

- Ensuring good individual communication practice.

- Being informed and having the knowledge to be effective in their role.

- Taking responsibility for communicating with stakeholders.

- Using open two-way communications to keep colleagues and

stakeholders informed.

- Continually measuring and evaluating communication procedures.

Learners are responsible for:

- Being aware of and actively using communication channels and processes

that are designed to enhance and support their experience.

- Responding to communications from representatives in a timely manner.

- Actively engaging with formal and informal Evaluation processes that

provide an insight into how services and infrastructure for learners might

be enhanced.

- Taking an active role in opportunities provided for learner representation,

if applicable.

- Informing staff at the earliest opportunity of any concerns or issues that

may be affecting their ability to learn.


9.1 Programme Information

Policy / Procedure Name Programme Information

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It is The Cpl Institute policy to promote and ensure regular and effective communication at

all levels of the organisation. The Cpl Institute believes that communication must be two way

and inclusive of diversity.

The Cpl Institute are committed to providing accurate information and guidance about our

programmes and services and to seek constructive Evaluation from our learners and all

stakeholders where possible, to ensure the continuous improvement and development of our

programmes and services, which reflect best practice.

Communication is delivered indirectly via our website, newsletter, by telephone, email and

directly face-to-face.

9.1.1 Communication with Learners

The purpose of this procedure is to describe how staff communicate with learners from initial

contact, through the duration of the programme up until certification, via verbal, para verbal

and written means of communication.

The Cpl Institute believes good communication with learners will foster an improved learning

experience for learners, thereby empowering learners to achieve their goals.

9.1.2 Communication with Staff

The purpose of this procedure is to describe how information is communicated to, from and

between staff, via verbal, para verbal and written means of communication. The Cpl Institute

believes that good communication with staff is a key component to a positive, healthy work

and learning environment.

9.1.3 Communication with other Stakeholders

The purpose of this procedure is to describe how The Cpl Institute communicates with all

stakeholders, via verbal, para verbal and written means of communication. The Cpl Institute

considers that good communication with stakeholders will allow us to meet the learning and

training needs of the stakeholders and ensure best practice.

Purpose To ensure that programme information is made available to learners

and that it provides enough information to make an informed choice

about participation on a programme.

Responsibility Marketing Manager, Training & Academic Affairs Manager

Key Steps Sources of Information

- Website


- Social Media

- Promotional Material/Exhibitions

- Local Media

- Emails

Information to be Provided

- Programme Title

- Award Type

- Awarding Body

- National Framework of Qualifications Level (if

applicable)

- Entry Criteria

- Module Outline/Content

- Transfer and Progression Opportunities (if applicable)

- Assessment Details

- Details on Protection for Enrolled Learners (if

applicable)

The following will be made available:

- Quality Assurance Policies and Procedures

- Awarding Body Reports and Evaluations

- Learner Award Information (Assessment statistics)

Documentation Promotional Material, Website, Centre Activity Report


9.2 Communication Policy

Policy / Procedure Name Communication Policy

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Purpose To ensure that information is provided to and collected, analysed,

acted upon and used to inform improvements to training activities.

Responsibility Senior Management Team, Academic Council

Key Steps Communication Methods

- Website.

- Internal reporting.

- Replying to requests for information in a timely

manner.

- Attendance at meetings and events.

- Participation in external review.

- Submission of documentation.

- Annual Reports.

- Collecting Evaluation

- Stakeholder needs assessment.

- Scheduled emails to and from associated stakeholders.

- Attendance at local events (Networking Opportunities).

Documentation Record of Meetings, Internal and External Reports, Survey Results,

Quality Review Report, Annual Report, Needs Assessment Report


Meeting Minutes Audit Reports

9.3 Learner Information

The Cpl Institute has a learner handbook and is made available to all learners attending

validated courses/programmes. This handbook will be reviewed by the Teaching, Learning

and Assessments Committee on an annual basis.

9.3.1 Protection for Enrolled Learners (PEL)

The Cpl Institute has learner protection in place for all learners who enrol on validated

programmes in accordance with the Qualifications and Quality Assurance (Education and

Training) Act 2012. The arrangements are in the form of insurance which will provide learners

with refunds should the organisation cease to trade.

See appendix 2.4 – The Cpl Institute PEL Arrangements

9.4 Quality Assurance and Evaluation Reports

The Cpl Institute will publish the following on its website.


- Awarding Body Reports on request

- Quality Assurance Policies and Procedures - accessible by learners

- Summary Reports from Internal Self-Evaluation on request

- External Evaluation Reports available on request


The QA & Compliance Manager and the Marketing Manager will monitor published

information to ensure it is up to date, accurate and relevant.

The Academic Council are responsible for ensuring appropriate PEL arrangements are in

place.

A review of PEL arrangements will be included on the agenda for Academic Council.

The Head of Operations will inform the Training & Academic Affairs Manager of any applicable

changes.

PEL arrangements will also be reviewed annually to ensure compliance with all regulations.


Section 10 – Other Parties involved in Education and Training

10.1 Collaborative Provision and Agreements

Policy / Procedure Name Collaborative Provision and Agreements

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10.1.1 Introduction

The Cpl Institute staff have been involved in education and training for over 20 years and

have quality assurance policies and procedures in place across a range of awarding

bodies. All collaborative arrangements or other relationships with awarding bodies, both

in Ireland and the UK, offered through The Cpl Institute are organised with reputable

bodies and are subject to appropriate internal and external QA procedures.

This section details the policy and procedures which should be followed for the

development, approval and ongoing quality management of programmes operated in

collaboration with other organisations or providers nationally.

The Cpl Institute is a Further Education Training provider and its awards are validated by

QQI. The Cpl Institute’s Governing Board has overall responsibility for correct

governance of all parts of the organisation and The Cpl Institute’s Academic Council

(comprising of internal, external academics & learners) oversees academic governance

on behalf of the Governing board.

The Cpl Institute is interested in collaborative provision because it has the potential to

enrich provision to the advantage of learners, in a way that The Cpl Institute could not

achieve on its own. Collaborative programme provision is strategic in nature and builds

on The Cpl Institute’s mission and a shared vision and ethos with similar providers. The

Cpl Institute is committed to the provision of quality education and positive learner

experience within an increasingly diversified learner population. It sees collaborative

provision as one element of a strategic approach to supporting greater learner

diversification and thus more holistic learner experience with Further Education Training

providers.

The Cpl Institute is committed to collaborative arrangements which are characterised by

support and respect. It will only engage in Collaborative arrangements where it is

assured that each of the partner providers will and can play a significant and equitable

part in each facet of the development and delivery of collaborative programmes.

The Cpl Institute sees collaborative provision as a means of drawing on the industry

experience and expertise of partner providers for the ultimate benefit of learners and

therefore is also committed to ensuring that any prospective partner providers is in good

academic and financial standing. It is also necessary to ensure that prospective providers

are competent and sufficiently well-resourced to fulfil its obligations, as well as being

legally entitled to enter into an agreement. Collaboration will only be used where it is in

the mutual interests of partner provider and the overall learner experience.

This policy draws on QQI Policy for Collaborative Programme, Transnational Programmes

and Joint Awards (2012), but The Cpl Institute will only be involved in the Further


Education Training sector at present. It specifically focuses on collaborative provision in

the context of taught programmes where there is a single Awarding body – in this instance

Quality and Qualifications Ireland (QQI). QQI defines Collaborative Provision as follows:

“There may be collaboration in the development of the programme, in the academic

monitoring of the programme, in the teaching, in the assessment, etc. or a combination

of any of these” (QQI, 2012:5).

QQI also stipulates that “A provider is responsible for any activities conducted in its name

and this responsibility extends to activities conducted by consortia involving the provider.

Accordingly, a provider’s Academic Council should establish the overarching strategy for

collaborative provision; approve potential collaborator providers and should be involved

in the establishment of any collaborative arrangements and the associated agreements”.

The Cpl Institute Governing Body and Senior Management will approve the overarching

strategy for collaborative provision; approve potential collaborative providers; any

collaborative arrangements as well as associated agreements. Academic Council within

The Cpl Institute will ensure adherence to academic standards and governance of

programmes.


10.1.2 Purpose

This policy document specifies the quality assurance procedures of The Cpl Institute for

collaborative provision and agreements in relation to programmes awarded by QQI at

level 5 and level 6 on the NFQ.

10.1.3 Regulatory and Reference Documents

QQI Policy for Collaborative Programme, Transnational Programmes and Joint Awards

(2012),

10.1.4 Scope

The Cpl Institute’s collaborative provision will be limited to the development and delivery

of taught level 5 and level 6 programmes of the National Framework of Qualifications in

the Further Education Training sector. In this instance, collaboration will be established

between:

(a) The Cpl Institute

(b) Private Homecare

The two named providers may collaborate on programmes leading to QQI awards at Level

5 and level 6 on the NFQ. Should future opportunities to expand collaborative provision

arise, this policy will be subject to revision and approval of The Cpl Institute Senior

Management, Academic Council and QQI.

Within the context and scope specified above this policy sets out the guiding principles,

and framework of responsibilities, structures and processes for The Cpl Institute for:

• the establishment, approval and governance of the partnership for collaborative

provision.

• the development of collaborative provision programmes, the validation or re-

validation of collaborative provision programmes and awards, and the processes

associated with the authorisation to proceed.

• the on-going management of collaborative provision programmes, including

delivery, assessment, monitoring, revalidation, evaluation and response, and the

provision of information to learners and for the general public.

In a collaborative arrangement, where The Cpl Institute is the lead partner/primary

provider for Quality Assurance, all policies and procedures relating to the programmes

contained in this document will equally apply to the delivery of the programmes offered.


10.1.5 Responsibility

• Academic Council should establish the overarching strategy for collaborative

provision; approve potential collaborator providers and involved in associated

agreements.

• The Cpl Institute Governing Body and Senior Management will approve the

overarching strategy for collaborative provision.

• The Academic Council will ensure adherence to academic standards and

governance of programmes.

• The Joint Programme Team, reporting to the Academic Council of The Cpl

Institute will have responsibility for the proper running of the programme

• Training and Academic Affairs Manager is responsible for Due Diligence and Risk

Assessment exercise

10.1.6 Policy Intent and Purpose

Essentially the policy will inform collaborative engagement in an ethos of quality provision,

ensure the quality of programme provision with partner providers and safeguard the

reputation of The Cpl Institute and partners by having explicit standards which will

safeguard against possible recklessness or negligence.

The overall intent and purpose of the policy is to:

(a) ensure clarity, transparency and consistency with regards to collaborative

provision.

(b) inform stakeholders about The Cpl Institute’s procedures for assuring the

standards and quality of collaborative provision.

(c) act as a guide and support for The Cpl Institute Faculty and staff.

(d) Set out clearly for both The Cpl Institute staff and potential collaboration

partners the required compliance and quality assurance processes.

(e) inform prospective partners of The Cpl Institute standards and requirements

in developing collaborative agreements and subsequently managing

collaborative provision.

(f) Ensure that all procedures deliver a consistent learning experience to those

learners on the collaborative programmes and with those delivered by The

Cpl Institute.

(g) Ensure compliance with QQI standards, policies and procedures on quality

assurance.

(e) Ensure the mechanisms for the operation of the consortium are clearly

considered, detailed and specified.


10.1.7 Principles

The Cpl Institute have used the guiding principles for collaborative provision as promoted

by the Irish Higher Education sector, although working in the Further Education sector,

which require that providers:

(a) are cognisant of the strategic and policy contexts for collaborative provision.

(b) have primary responsibility for the management, quality assurance and delivery

of programmes of in further education in the sector.

(c) ensure that learners enrolled on collaborative programmes receive an equivalent

learning experience to other learners.

(d) give due consideration to the academic support of learners, including to learner

representation on appropriate committees.

(e) develop approval and quality assurance processes for collaborative programmes,

which involve the conduct of appropriate due diligence, ongoing monitoring and

checks.

(f) recognise the need to have formal written agreements for all collaborative

arrangements.

The Cpl Institute will ensure adherence to these principles and the details of how this will

be achieved will be specified in the Collaborative Agreement (CA) and the programme

documentation. In all such developments The Cpl Institute will operate within the policy

contexts as specified by the appropriate bodies including QQI and any other relevant

regulatory parties.

In the Collaborative Agreement and the programme validation documentation, The Cpl

Institute will clearly outline its ownership and responsibility with regard to QA processes

and procedures and the delivery of an excellent learning experience to learners.

Appropriate governance arrangements will apply relating to the operation of the

consortium itself, the running of the programmes, teaching and learning, assessment,

learner representation, feedback and QA monitoring. Overall day to day governance will

be the responsibility of Training and Academic Affairs manager assisted by QA &

Compliance Manager and Academic Council. Regular reports on the collaboration, its

operation, progress and QA monitoring will be discussed at all Academic Council

meetings.

The Joint Programme Team, reporting to the Academic Council of The Cpl Institute will

have responsibility for the proper running of the programme and for ensuring

standardisation of programme content, the learner experience and assessment across all

venues where the programmes are delivered.


10.1.8 Key Operating Principles

The Cpl Institute is committed to collaborative provision where each provider Partner

plays a significant mutually agreed and equitable part in each aspect of the development

and/or delivery of the programmes. This may be evidenced through:

• Alternating meetings between sites or hosting MS Teams / Zoom meetings

• Sharing responsibilities for key roles such as the Chair of Joint Programme Teams.

• Recognition of each Partner in all promotions and media communications in

relation to its provision, in an honest, fair and accurate manner.

Quality assurance processes employed in respect of potential partners in collaborative

provision will be the quality assurance processes operated by The Cpl Institute for all

programmes delivered and this will ensure consistency.


10.1.9 Overview of Collaborative Provision

Collaborative provision for the purpose of this policy refers to the engagement of the

providers named above being involved by means of formal agreement in the

development, provision and monitoring of a programmes in the Further Education

Training sector leading to a Level 5 or 6 award with QQI. In that regard, this document

refers to all aspects of collaborative provision, encompassing all stages in the

development of a collaborative programme up to and including validation by QQI as well

as its subsequent delivery and academic monitoring. The collaborative arrangements for

other aspects of such collaborative agreements including learner recruitment and

selection and registration, provision of physical facilities, provision of support services,

programme delivery, monitoring and assessment are also addressed.

Within the context of the scope of this particular policy it is envisaged that there are a

number of distinct phases (albeit interconnected) as follows. Some of these stages are

presented below and some of the steps will run concurrently;

Stage 1: Collaborative Consortium Preparatory Phase

• Identification of potential new programme.

• Identification of, and preliminary research on, prospective partners for a

Consortium.

• Approval from the Governing Board of The Cpl Institute and Academic Council

to enter into a Memorandum of Understanding.

• Establishment and signing of a Memorandum of Understanding between

providers.

• Undertaking mutually agreed processes of Due Diligence and Risk Assessment.

• Establishment and signing of a detailed Consortium Agreement.

Stage 2: Programme Proposal & Development Phase

• Programme Development (including the establishment of a New Programme.

• Development Committee (as per The Cpl Institute QA procedures) and carrying

out market research.

• Programme validation or re-validation.

• Planning of programme delivery.

Stage 3: Programme Delivery & Monitoring Phase

• Delivery methods.

• Assessment.

• Monitoring.


• Periodic review.

• Evaluation and response.

• Provision of information for learners and for the general public.

Stage 4: On-going Management of Collaborative Aspects

• Content Delivery.

• Assessment.

• Monitoring.

• Revalidation.

• Evaluation and Response.

• Provision of information for learner and for the general public .


10.1.10 Establishment of Collaborative Provision

All collaborative arrangements will be negotiated, agreed and managed through the Training and Academic Affairs in consultation with the Academic Council. The Training and Academic Affairs may delegate functions within the process as appropriate.

The distinguishing feature of a collaborative programme is that it is jointly developed

between two providers - in this case the two providers (named above). New ideas for the

development of collaborative provision emerge from many sources, including

engagements with the relevant sectors or identifying new contexts for the delivery of

existing popular modules/content. Whatever the source any new idea for collaborative

provision is subject to this policy and the procedures specified. Members of staff are free

to bring ideas on possible collaborations to the attention of Senior Management Team

for consideration.

When a possible new idea (collaboration) is identified proposers are required to submit

an outline of the programme prior to the development of a full submission. This is

submitted to the Training and Academic Affairs for initial evaluation, prior to

consideration by the Senior Management. If the Training and Academic Affairs is of the

view that the proposal requires additional information, he will work with proposer to

secure this prior to submission of the initial proposal to the Senior Management Team.

On receipt of the proposal from the Training and Academic Affairs Manager an

evaluation by relevant members of the Senior Management Team (lead by Head of

Operations), of the proposal itself and potential collaborative providers takes place.

The evaluation criteria include the proposal’s alignment with The Cpl Institute’s strategic

vision, resource availability and quality assurance demands. If agreed by Senior

Management Team the proposal will be brought to The Cpl Institute’s Governing Board

by the Head of Operations for agreement to continue with further exploration of the

initiative. When agreed with the Governing Board a Memorandum of Understanding

(MoU) (intent to proceed) can be signed with the providers identified as possible

partners/ providers in the consortium. This will include detail on the following:

1) The parties involved;

2) Initial aims of the collaboration;

3) Work to be undertaken by the parties individually and collaboratively;

4) Timelines for the completion of tasks;

Training and Academic Affairs Manager appoints a programme lead who prepares a

formal proposal and resource requirements.


The signing of the Memorandum of Understanding authorises The Cpl Institute to

proceed to the next step - Due Diligence and Risk Assessment processes.

A Due Diligence and Risk Assessment exercise will be undertaken by The Cpl Institute

prior to entering into a Consortium Agreement for collaborative provision. Due Diligence

and Risk Assessment is the responsibility of the Training and Academic Affairs Manager

who will undertake due diligence with the identified partner provider, in addition to

facilitating due diligence examination of The Cpl Institute by the potential partner

provider as part of their engagement with The Cpl Institute. The Cpl Institute will enter

into a legally binding non-disclosure agreement with its prospective partner provider

covering any private information shared and/or acquired during this process. This

agreement may be signed at the same time as the Memorandum of Understanding.

The Training and Academic Affairs Manager will co-ordinate the Due Diligence and Risk

Assessment exercises, assisted by a dedicated Review Committee which s/he will Chair,

whose composition will vary with the nature, scope, scale and strategic significance of

the proposed collaboration, and to avoid any potential conflict of interest. The

Committee may co-opt additional members if it deems this necessary.

The Programme Review Committee will formulate a comprehensive, informed, true and

fair view of prospective partners, and in particular, of their capacity and ability to deliver

on commitments under the proposed collaboration. It may seek advice from The Cpl

Institute Financial Controller, its legal advisers, the proposer of the initial idea and

her/his team, and any other relevant sources.

As a result of a Due Diligence and Risk Assessment exercise the following may be

required:

• The exchange of Self-Evaluation Reports between The Cpl Institute and prospective

collaborative partner provider.

• A site visit by the Programme Review Committee.

• A robust evaluation of the academic, legal and financial standing of prospective

partners by the Programme Review Committee.

• An identification of critical risk factors by the Programme Review Committee, and

an assessment of potential exposure and related liability on the part of The Cpl

Institute.

The Self-Evaluation Report will normally be expected to contain the following

information:

• Profile and range of activities, including existing partnerships/collaborations.

• Governance, strategy, structure, culture.


• Regulatory environment and quality assurance, including outcomes of recent

external reviews.

• Learner services, supports and environment.

• Staffing profile.

• Financial performance, position and prospects.

The Due Diligence and Risk Assessment exercise may include a site visit by members of

The Cpl Institute’s Progamme Review Committee. The Programme Review Committee

will prepare its final report and recommendation for submission to the Academic Council

and Senior Management Team.

The Academic Council and Senior Management Team will consider the proposal

separately. Either entity can request additional information which will be supplied by the

Review Committee, but if both parties are satisfied and provide formal sign-off the

initiative can proceed.

Formal sign off by the Academic Council and Senior Management Team gives the go

ahead for the signing of a formal Collaborative Agreement and the Programme

Development and Validation can commence.

It will be the responsibility of the Training and Academic Affairs Manager to keep the

Academic Council informed of developments in respect of collaborative provision. It will

fall within the domain of that committee to ensure that The Cpl Institute’s quality

assurance processes are observed accordingly throughout the entire process.

Head of Operations as part of sign-off will be required to present regular updates to the

Governing Board.


10.1.11 Approval for Collaborative Arrangements

The formal Consortium Agreement will address the following matters:

• The members of the consortium and their role including specification on lead role.

• Day to day management of the consortium and the programme development

process.

• Programme design and validation.

• On-going monitoring of programme.

• Periodic review of programme

• Programme teaching and assessment strategies including modalities of

assessment, rechecks, reviews and appeals.

• Financial arrangements.

• Governance arrangements for the consortium.

• Mechanisms for appeal or complaint by learners or staff.

• Mechanisms to resolve any differences between consortium members.

• Staff recruitment and development.

• Numbers projections and recruitment.

• Marketing and media management.

• Liaison with QQI and any other relevant bodies (regulatory or government

departments).

The Consortium Agreement should also provide for a review process, which will

generally occur within five years of its signature. The Cpl Institute will draw on its

existing quality assurance processes to inform this process.

The Consortium Agreement will have Protection of Enrolled Learners policies and

procedures in place, showing how it can fulfil its obligations to learners, so that in the

event that the collaborative programme cannot be continued, alternative arrangements

are in place so that without undue delay, learners already registered on that programme

are enabled to transfer to a similar programme and gain a qualification equivalent to the

one that the first programmes had been leading towards.

The Consortium Agreement will reflect the principles outlined above, particularly

reflecting The Cpl Institute’s commitment in respect of learner welfare.

Prospective learners should be advised of the parties to the Collaborative Agreement

and other relevant details including:

• The awarding body.

• Programme validation status and associated information.


• Award type, name and its placement on the National Framework of

Qualifications.

• Admission requirements.

• Access information, including Recognition of Prior Learning processes.

• Recognition by regulatory, statutory and any professional bodies as appropriate.

• Programme structure and intended learning outcomes.

• Teaching and assessment strategy.

• Delivery mode.

The Head of Operations is the only person authorised by the Governing Board to sign off

the Consortium Agreement.

QQI validation of the collaborative programme is conditional on the commencement of

the Consortium Agreement.


10.1.12 Approval for Collaborative Arrangements

In proposing collaborative arrangements The Cpl Institute implements an approval

process to mitigate any reputational risk to The Cpl Institute, the sector and /or the

national qualifications system associated with particular prospective providers and

awarding bodies.

All collaborations regarding the delivery of academic programmes must be approved by

the Academic Council and Senior Management Team. In reaching its decision, the Senior

Management Team and Academic Council will be advised by Programme Review

Committee.

Collaborative arrangements will vary in nature from delivery of programmes developed

in partnership with an awarding body, to a study centre arrangement. All applications for

approval must be arranged to cover the following key headings:-

1. Legal, reputation and compliance requirements

2. Resource, governance and structural requirements

3. Programme development and provision requirements

The due diligence exercised must take account of the overall suite of education and

training provision offered by the proposed provider. The Training and Academic Affairs

Manager is responsible for academic due diligence. The Head of Operations is

responsible for undertaking financial and legal due diligence. All due diligence reports

and associated paperwork are submitted to the Academic Council with the final proposal

for approval.

Where a collaborative arrangement is agreed procedures must be put in place to

monitor and review the effectiveness of those arrangements. Any review agreed with a

collaborating provider, must be periodic, two-way and there should be a facility to

schedule a review where there is a doubt or concern regarding the quality of the

arrangement. The QA & Compliance Manager is responsible for maintaining all formal

agreements and QA arrangements and agreeing a schedule of review.


10.1.13 Policies on Transnational, Collaborative Provision and Joint

Awards

The Cpl Institute does not currently offer any formal collaborative, transnational

programmes, or joint awards validated or awarded by QQI. However, The Cpl Institute is

informed by these polices when considering collaborative provision.

If The Cpl Institute is to make a strategic decision to pursue such a development, it will

necessitate a change of scope to any agreed procedures. To facilitate this change, The

Cpl Institute will submit to QQI, a supplementary document to describe the QA

processes.

Currently the delivery of transnational programmes is not part of the Cpl Institute

Strategy.

10.1.14 External Expertise, Examiners and Authenticators

The Cpl Institute has occasion to engage external, independent, experts from time to time

to provide external expertise in both an academic and an industry focused point of view.

It will ensure that The Cpl Institute vision, mission and goals and strategic actions are

independently informed.

These include:

• Membership of Committees or sub-committees

o The Academic Council

o Senior Management Team

o Programme Development Team

o Sub-Committees

• Advisory

o Educationalist (Act in the capacity of Academic External Adviser)

o Business Strategy (To provide a real-world context)

• Expert Panels

o Programme Reviews

o Internal Review

• External Examiners

o External Authenticator

When selecting and proposing external experts, independence and appropriate expertise

must be reviewed, ethical considerations and conflict of interest actual or perceived must

be considered.

Related Documents

Memorandum of Understanding

Collaborative Agreement


10.2 External Agents involved in QA

The Cpl Institute operates a Quality Assurance Programme which is intended to satisfy the

requirements of ISO 9001:2015, QQI Quality Assurance standards and others, where

applicable. External Quality reviews inclusive of ISO 9001:2015 audits are carried out twice

yearly. Internal audits are carried out across each operational area at least once a year but

may be carried out at a greater frequency depending on areas under change or process

improvement.

The QA & Compliance Manager is responsible for ensuring that audits are carried out,

following a planned audit schedule and that the findings are made known to the Senior

management, Quality Team. A summary internal audit report is completed by the auditor

outlining any strengths and gaps for improvement.

10.3 Expert Panellists, Assessors and Authenticators

The purpose of this procedure is to provide independent authoritative confirmation of fair and consistent assessment of learners in accordance with national standards. To establish the credibility of the provider’s assessment processes and ensure that assessment results have been marked in a valid and reliable way and are compliant with the requirement for the award. This procedure is to ensure that when third parties are employed by The Cpl Institute to deliver auditing and evaluation processes on our behalf, that the assessors are fully briefed and understand their role and responsibilities in assessing requirements of the role and confirm their compliance with The Cpl Institute standards of evaluation as laid down by all awarding bodies.

10.4 Monitoring & Review

The Senior Management Team are responsible for ensuring the adequate resources are in

place to maintain standards across all awarding bodies. Responsibility is delegated to the

relevant committees who will monitor and review activities.

The Training & Academic Affairs manager will be responsible for the monitoring of day to

day activities with responsibility delegated as appropriate.


Section 11 - Self-Evaluation, Monitoring and Review

11.1 Monitoring and Evaluation

Policy / Procedure Name Monitoring and Evaluation

Version No 1.0



Effective Date TBC




The Cpl Institute is committed to the ongoing monitoring and evaluation of its

programmes and services:

- Assessing the effectiveness of our policies and procedures in achieving a

consistent and high-quality

- Ensuring we are meeting the requirements of our learners, external

contractors, awarding bodies and staff.

- Identifying opportunities for improvements.

- Internal monitoring and self-evaluation will involve learners and other

various stakeholders involved in our services

- Engagement of external evaluators to contribute to the process of self-

evaluation to allow for objective and independent evaluation.

External evaluations will be carried out by individuals who are:

- Competent in the activity of self-evaluation.

- Independent of organisation or process under evaluation

- Professional and robust in their approach.

Evaluations will be scheduled and carried out annually and at an appropriate frequency.

The results of self-evaluation including quality improvement plans will be published and

submitted to the relevant awarding body.

Purpose

To provide the framework organisational monitoring and self-evaluation which meets

the requirements for our quality management systems.


Both good and bad practice will be identified to facilitate change in practice and adopt a

culture of continuous quality improvement.

Scope:

This policy applies to all activities associated with education and training

Responsibility:

The QA & Compliance Manager will have responsibility for reviewing self-evaluation

reports and approving the quality improvement plan. The Training & Academic Affairs

Manager will be responsible for the ongoing monitoring and review of all programmes

and associated services.


Quality Improvement Plan

11.2 Provider Self Evaluation and Monitoring

The Cpl Institute carries out a range of monitoring and review activities of its organisational

activities, resulting in the continuous quality improvement of its education and training

programmes.

The quality improvement plan is continuously updated and monitored by the QA &

Compliance Manager, Training & Academic Affairs Manager and the Academic Council.

11.3 Internal Monitoring

Policy / Procedure Name Internal Monitoring

Version No 1.0



Effective Date TBC




Purpose Identification of the methodologies for conducting internal monitoring

of programmes and services within the organisation

Responsibility The Training & Academic Affairs Manager


Key Steps Internal monitoring plays a key role in making meaningful and

beneficial improvements to our education and training provision

- Ongoing reviews of programme content, teaching

practices and assessment of learning achievements are

carried out by the Training & Academic Affairs Manager

through informal discussion with Tutors and learners.

Any relevant observations or comments are recorded

and presented to the Programme Review Team.

- Regular Meetings – Staff will meet formally/ informally

to discuss ongoing practice and arising issues when

required.

- All staff participate in an annual cycle of prospective

and retrospective appraisal activities – Performance

management which will assist them to identify their

own development goals and any needs for

improvement in performance.

- Training standards are evaluated, and any changes to

programmes documented and communicated to all

relevant staff

- Programme Evaluation will assist in measurement of

performance and identify areas for development.

- Learner opinion and evaluation at mid-point and

summation of progrmme through informal

conversation, formal meetings and evaluation forms

etc.

- Staff are encouraged to provide feedback on policies

and procedures, and any other area of practice where it

observed that changes could be made.

- Programme Reviews at the end of each programme will

be discussed between Training & Learning Coordinator

and the relevant Tutor.

- Internal Audits – The QA & Compliance Manager will

plan and schedule audits with the Quality Team and

carry out a range of internal audits on different aspects

of activities throughout the year.

Documentation Record of Meetings, Internal and External Audit Reports, Learner

Evaluation Forms, Tutor Reports, Annual Survey.



Instructor Course Report Training Evaluation Form Programme Review Template Internal Audits


11.3.1 Internal Audits / Evaluations

Policy / Procedure Name Internal Audits / Evaluations

Version No 1.0

Approval Quality Team


Effective Date TBC




Purpose Outline of the process for internal quality evaluations/audits and the

impact on all programmes and services.


Key Steps Internal audits are carried out across each operational area at least once

a year but may be carried out at a greater frequency depending on

requirements and our ISO auditing processes.

- Frequency of audits can be adjusted depending on

reports and possible gaps identified. Where gaps are

noted in the audit, improvement plans will be

constructed and circulated to the relevant staff.

- The internal audit schedule specifies the areas and or

processes to be audited, the auditor, the audit criteria

and scope of the audit. Areas specified in the schedule

are audited against relevant documentation and

standards (audit criteria).

All Evaluation tools will be utilised during audits, these will include but

not limited to:

- Learner evaluation forms and other communications.

- Tutor evaluations


- End of programme reports

- Programme reviews

- IV/ EA/RAP reports

- Previous audit results.

- Improvement plans

- Awarding body criteria and correspondence

A set date for completion of the process with be agreed with the QA &

Compliance Manager and the Quality Team who will ensure that all

those involved in the audit are independent of the area/process being

audited.

Where a gap or issue is identified it will be noted on the corrective

action/ non-conformance logs. Information gathered will include:

- Details of the gap/ issue,

- All queries around the gap including the programme it

occurred in,

- The associated quality procedure for guidance on

effective practice,

- All corrective actions and improvements

- Denote a person responsible for the corrective action.

- Communication with Head of Operations and QA &

Compliance Manager where appropriate.

- A completion date is assigned to the corrective action

and the person responsible signs the report to indicate

acceptance of the corrective action.

A summary internal audit report is completed by the internal auditor

outlining any strengths and gaps for improvement.

- Copies of internal audit reports together with any

checklists or notes used by the auditor during the audit

will be uploaded to our quality folder and used for

reference in next audits.

- Where no issues are found in a particular area, a record is

retained to signify that an audit has been carried out, i.e.

an audit report must still be completed.

- Internal audit reports are to be maintained for a period

of three years.


Records Audit Schedule, Audit Reports, Corrective Action Log, Quality

Improvement Plan


11.4 Self- Evaluation, Improvement and Progress

Policy / Procedure Name Self-Evaluation, Improvement and Progress

Version No 1.0



Effective Date TBC




Purpose To review, evaluate and report on all learning and training activities

and the effectiveness of our quality management system.

Responsibility QA & Compliance Manager, Training & Academic Affairs Manager

Key Steps Scope and Frequency

- Self-evaluation of all programmes will take place

annually, or as directed by the awarding body.

- The frequency of evaluation may also take into account

any changes in legislation or educational standards

reviews

- An evaluation may be carried out on an individual

programme, should a concern or identified gap arise.

- There may be a combined evaluation of all programmes

by our external auditing systems

Gathering Data, Planning and Reports.

- Accumulation of data from multiple evaluation

resources including monitoring processes

- Engaging with all stakeholders for feedback and

suggestions.

- Learner interactions and gradings.

- Review of evaluation tools and recommendations.


- Aligning recommendations for programme

improvement.

- Ensuring that programmes are relevant to learner

needs and mapped to industry requirements.

Internal Evaluations require that we:

- Plan and Prepare

- Complete Self-Evaluation Checklist

- Document all Evidence

- Complete Self-Evaluation Reviews

- Prioritise Areas of concern

- Identify recommendations for improvement

- Complete Improvement Plans

- Finalise all reports

- Implement Action plans

The Training & Academic Affairs Manager will have responsibility for

appointing staff for self-evaluation purposes.

Ensuring the process is completed and all results circulated to relevant

staff.

Self-evaluation process and core responsibilities include:

- Effective Planning and Preparation

- Setting appropriate schedules and timelines.

- Communicating processes to panel members

- Construction of self-evaluation checklist.

- Gather all other relevant evidence for review.

- Collate all information from the panel

- Ensure that the self-evaluation report is complete and

signed off.

- Ensure that the Improvement Plan is complete

Documentation for completion

- Self-Evaluation Report.

- Quality Improvement Plan.

- Completed self-evaluation checklist.

- Quality Policy/ Procedures updates


- Formal communication of new actions to all relevant

Staff, Sub-Committees, Academic Council.

Documentation Self-evaluation report, Quality Improvement Plan, update Quality

Policies/ Procedures.


Quality Improvement Plan

11.4.1 Selection of External Evaluators & Consultants

Purpose Outline the process for appointment of External Evaluators /

Consultants to our panels and ensure that they hold professional

standards/ expertise in evaluation procedures, methodologies and

evaluation tools. To provide guidance on the development and

enhancement of the company’s education and learning activities.


Key Steps - Create roles and responsibilities

- Retain list of professional qualifications and relevant

experiences of evaluators of various programmes.

- Assign role dependent on the descriptor and most

suitable candidate.

Evaluator Criteria:

- Not involved with programme delivery.

- Relevant subject expertise, external to the organisation.

- Broad understanding of the awarding body criteria.

- Experienced in training and development processes.

- Experienced in quality assurance systems.

Documentation Stored on TMA inclusive of all relevant evaluator details &

qualifications


11.4.2 Learner Involvement in Evaluation

Purpose Collection of feedback information from learners, review, evaluation

and to inform improvements in all aspects of educational activities.


Responsibility Training & Learning Co Ordinators

Key Steps When appropriate the following evaluation tools may be considered:

- Learner Representatives.

- Representation on Sub-Committees

- Focus groups/ Evaluation Sessions

- Informal Conversations (Individual and Group).

- Questionnaires/on line Surveys.

- Tutor Evaluation & Feedback Forms.

- Mid- programme /Summative Evaluation forms will be

utilised to gather information on the value and quality

of each programme of learning.

- Communication streams will be in place for learners to

make recommendations or highlight areas of concern

on their personal experiences

- Learner Evaluation forms will be reviewed following

each programme.

- Sub-Committees meetings will discuss and analyse

evaluations, identifying &informing areas for

improvement.

- Improvements identified will be included in the quality

improvement plan.

Documentation Emails, Mid-Programme Evaluation Form, Summative Evaluation Form,

Minutes of Meetings, Tutor Course Reports


Mid-Programme Evaluation Form Instructor Course Report

Appendix 7.2

11.4.3 Management & Staff Involved in Self Evaluation

Purpose To identify the roles / responsibilities of all management and staff

(including contract) involved in the self-evaluation process, reporting,

& improvement procedures.


Key Steps - Quality Team to lead the self-evaluation process and

report to QA & Compliance Manager.


- Advise Sub-Committees of any processes required and

report on programmes issues, changes or

enhancements

- Liaise with an external evaluator e.g. ISO Auditor,

Quality Consultant for feedback and improvement plans

- To ensure for the provision of meetings for Staff,

Tutor(s) & Quality team

- To provide access to Evaluation, Learner & Tutor

feedback and client reviews

- Identify all gaps, identify possible actions, and

improvement plans, report back to Quality team

- Review of Internal verification, External Authentication

reports to assist in guidance to tutors, assessors and for

feedback on best practice.

- Review of External Authentication reports to increase

quality of design and delivery and map against national

industry standards.

Documentation Minutes of Meetings, Tutor Reports, IV Report, EA Report


Instructor Course Report External Authentication Report Template Internal Verification Report

Appendix 7.2 Appendix 7.10 Appendix 7.11a


11.5 Provider Quality Assurance engages with External Quality Assurance

The Cpl Institute is ISO 9001 certified and is independently assessed and audited by SGS twice

yearly. Our Quality Management Function is an essential component of The Cpl Institute’s

delivery of training and is the key driver in identifying and improving the level of service

provided to our clients. We maintain clear and rigorous performance and quality standards

that encourage continuous improvement and service excellence. Our QA & Compliance

Manager is responsible for maintaining and promoting Operational Service Excellence.

See Appendix 2.1 for the ISO 9001:2015 Certificate.

Our continuous improvement process is outlined below:

11.5.1 Quality Process Model

Figure 11.5 – TCI Quality Process Model


Appendix Section 1 - Application

1.0a Application Letter for QQI Re-Engagement

1.0b Completed Application for QQI Re-Engagement

1.1 Cpl Learning and Development TA The Cpl Institute

1.2 The Cpl Institute Org Chart

1.3 The Cpl Institute - Provider Agreement Template - v1.1

1.4 Cpl L&D Turnover Letter – March 2019

1.5 Cpl Learning and Development Ltd - Insurance Cert 2018-2019

1.6 CPL Learning Tax Clearance Cert

1.7 Statutory Declaration

1.8 KPMG Letter of Support - L&D Ltd

1.9 TCI - Memorandum of Understanding


Appendix Section 2 - Governance

2.1 ISO 9001 2015 Certificate

2.2 Copy of Master List of Cpl Institute Courses

2.4 Cpl Learning and Development PEL Arrangements


Appendix Section 3 - Management

3.1 Cpl Institute Privacy Policy

3.2 Cpl Group Data Protection Policy

3.3 QQI Quality Process Model

3.10 Internal Key Dates - QQI Certification Periods Schedule - 2019


Appendix Section 4 – Programme Development & Delivery

4.1 Tutor Handbook

4.2 Tutor Contract for Services

4.5 Work Placement - Site Visit form

4.10 Tutors Evaluation Checklist

4.11 Tutor Competence Observation Sheet

4.12 Programme Review Template

4.16 Tutor & Learner Issues

4.17 Tutor Declaration


Appendix Section 5 – Staff Recruitment & Development

5.8 Further Education Policy

5.10 End of Year Discussion Guide for Managers and Employees

5.11 Equal Opportunities Policy


Appendix Section 6 – Health and Safety

6.1 Training Facilities Checklist

6.2 Safety Statement


Appendix Section 7 – Assessment and Evaluation

7.1 Certificate Request & Daily Training Record

7.2 Instructor Course Report

7.3 Training Evaluation Form

7.10 CPL Institute - External Authentication Report Template

7.11a Internal Verification Report

7.11b Internal Verification Checklist

7.12 RAP Meeting Agenda

7.15 Learner Request for Assessment Support Form

7.17 Learner Feedback Form

7.18 Tutor Assessment Process

7.19 Tutor Guidelines for Marking

7.20 Letter - Final Statement of Results

7.21 Letter - Learner Appeal

7.25 – Sample - QQI L6 Manual Handling Instruction Exam Paper

7.26 – Sample - QQI L5 Safety and Health at Work Exam Paper

7.27 – Sample - QQI L6 Training Needs ID and Design - Assignment Brief

7.28 – Sample - QQI L5 Care Support Assignment Brief


Appendix Section 8 – Learner Access and Administration

8.1 Learner Handbook

8.2 In-Company Confirmation Template

8.3 Public Confirmation Template

8.4 QQI Consent Form

8.5 Learner Contract Agreement

8.6 Pre-Course Questionnaire

8.7 Sample Pre-Entry to Programme - Interview Questions-Notes

8.8 Sample Learner Registration Form - Healthcare Courses only

8.15 Receipt of Submission from Learner

8.20 Hardcopy - QQI L6 Train Deliver & Eval - Learner Handbook

8.21 Hardcopy – QQI L5 Safety Representation - Learner Handbook

8.22 Hardcopy – QQI L6 Manual Handling Instruction Learner Handbook

8.23 Hardcopy – QQI L5 Infection Prevention & Control Learner Handbook

8.24 Hardcopy - Workplace Competency Log
