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CMI Hub – Approvals Questions & Guidance Nov 2015 of 14

November 2015 This document provides details of what should be covered in your answers to each of the approval questions on the CMI Hub.

Approvals Questions & Guidance


Please note where a question appears to be presented twice in sections 4,6 and 7 the bold type indicates which version of the question is used for Registered Centre applications and which for Full Approved Centre applications. Please use the question relevant to the type of approval you are working towards. SECTION 3 3.1 Please provide details of the Centre staff induction programme This section needs to include details of content and information given to staff that relates specifically to the CMI programme. For example: How the Potential Centre will ensure that assessment strategies are operated. How new assessors will be supported. What the sampling strategy will be. What documentation is needed? Note a generic centre induction policy is not sufficient for this question, the induction relates specifically to the CMI programme. Compulsory Attachments -

Template and checklist used for CMI staff induction Time table of Assessment deadlines if known in advance I.V. sampling strategy for new assessors Note: c.v.’s for all staff should be uploaded to section 8

Example Attachments –

Staff Handbook Programme Handbook Induction programme for new staff Mentor process

3.2 Please provide details of the Centre’s staff development plan/policy, in practice, showing how staff are supported The Potential Centre needs to provide a detailed development plan/policy showing activities, achievements, reviews and amendments that supports all staff members in the roles they undertake. For example, staff training, aims and objectives, individual CPD, events to attend or that have been attended. This information needs to be related to each member of staff. Compulsory Attachments -

Staff Development plan for CMI staff members for next 12 months


Centre staff development plan/policy Individual CPD records Work experience to develop occupational competence

3.3 Please upload a document detailing which qualifications and units your staff will be involved in the delivery and assessment of The table below provides an example layout of how you may wish to present this information:


3.4 Your Staff – provide details of the staff that will be involved in administration, delivery, assessment and/or verification of CMI qualifications

SECTION 4 4.1 Please provide details of the Centre’s corporate and strategic objectives in relation to management and delivery of CMI qualifications The Potential Centre needs to give details of their organisational objectives and aims relating to management and leadership and the delivery of CMI qualifications. They should provide details of their business plan which demonstrates that there have adequate resources to meet their objectives. We would also expect information about how the organisation is governed. They also need to explain why they are looking at delivering CMI qualifications and how they would ‘champion’ management to meet their aims and objectives. Why are they applying to become a CMI Approved Centre? What is the USP of the organisation and how will the offering be different to competitors in the area? What geographic areas, modes of delivery, and target audiences will the centre be targeting? Compulsory Attachments – None

Example/Possible Attachments –

Business Plan Copy of Mission/Vision Statement Key organisational objectives relating to management delivery

Resource plans/budgets allocated to CMI programme 4.2 Please explain how the Centre will manage their quality assurance system and how this will be reviewed and improved (as needed) In this section the Potential Centre needs to explain how they will manage the quality assurance system including an annual cycle of the delivery and assessment of CMI qualifications, they should explain what meetings take place (e.g. standardisation, team meetings, annual review) and when. Provide details of how they assess and monitor risk and a copy of their risk register. How is data protection supported and confidentiality and document control maintained? How will this be reviewed and amended? What process/information will be used; for example, feedback, evaluations, QA reporting including relevant timeframes?


Compulsory Attachments –

Schedule of Quality Review Meetings Templates for Quality Review meeting Agendas Risk Register or risk added to Quality Review meeting agenda


Stakeholder feedback methods and templates used to gather feedback 4.3 Please provide details of how appropriate teams and people will be kept up to date with information, including policies, procedures and standards How is the Potential Centre going to ensure that all key team members (for example delivery, assessment, administration and management etc.) and learners are kept up to date with information? For example, team meetings, internet (with current versions of policies/procedures), sign off agreements that new information has been received, bulletin boards and newsletters. The Potential Centre needs to describe the various audiences and members. This will include how queries on qualifications, assessment etc. are resolved and recorded, ensuring all CMI’s Awarding Body communication is distributed. Compulsory Attachments - None Example Attachments –

Schedule of team meetings Process for policy reviews Centre communication methods related to CMI

4.4 Please provide relevant details of the contact arrangements between the Centre, assessment sites, clients and learners Where a Centre arranges for a third party to undertake on its behalf any part of the delivery or assessment of CMI qualifications the Centre must monitor, and where appropriate, enforce such arrangements so as to ensure the delivery and assessment of the CMI qualification to CMI standards. This section needs to include details of any subcontracted partnership, and roles and responsibilities in place, and the communication arrangements between the Potential Centre and its sites (if there are others), learners and clients. For example, distance learning, employers that the Potential Centre is representing or for whom the Potential Centre is operating a contract. If no other arrangements exist, this section needs to indicate ‘no other arrangements’. Compulsory Attachments where applicable –

Copy of Partnership Agreements between centre and any third party organisations or sites Roles and responsibilities of staff at third party organisation or site – in a clear matrix Example Attachments –

Monitoring arrangements between sites, e.g., QA Processes Communication arrangements

4.5 Please describe the Centre’s registration, certification and recording mechanisms for qualifications and learner achievement Once approved, Centres are required to register learners within 6 weeks of the start of the programme. If a Centre does not comply with this requirement it could be suspected of maladministration. The Centre should provide details of their registration policy and procedures, including their recording and maintenance of information relating to individual learner details, learner progress, achievements, qualification details and the overall tracking across the organisation and the achievement of these. How will the Potential Centre sign up learners, when and what fees will be collected and what systems are in place to record these activities? How are details kept secure and in line with relevant legislation.



Learner Registration forms Example tracking document for tracking learner achievement and checking of certification Process for checking learner identity at registration Guidance to learners on collection of fees, i.e. what fees will be collected and when


Recruitment process Registration Procedure and Policy Data Protection in relation to Learner data Process to check accuracy of Learner data on CMI system

4.6 Approved Centre Applications: Please detail the roles, responsibilities and personnel associated with the management, QA, delivery and assessment of CMI qualifications Please list clearly the individuals involved in the Potential Centre’s operation, delivery, assessment and verification including senior management and administrative staff responsibilities and tasks. For staff directly involved in delivery, assessment and internal verification please provide a matrix for each level of qualification and unit. This matrix will identify roles and responsibilities and also mitigate against any potential conflicts of interest. Please note, for applications via the HUB you will be asked to provide CVs in a later section so it is not necessary to upload them at this stage. Compulsory Attachments –

Staff Matrix which outlines roles of each member of staff by CMI unit, e.g. delivery, assessor, internal verifier, administrator, programme director as a minimum

Conflict of Interest Form Confidentiality Statement for staff


A completed matrix for each level of qualification and unit (roles and responsibilities of staff) Overview of IV role to show Quality Assurance process

Conflict of interest policy 4.6 Registered Centre Applications: Please detail the roles, responsibilities and personnel associated with the management, QA, and delivery of CMI qualifications Please list clearly the individuals involved in the Potential Centre’s operation and delivery including senior management and administrative staff responsibilities and tasks. For staff directly involved in delivery please provide a matrix for each level of qualification and unit. This matrix will identify roles and responsibilities and also mitigate against any potential conflicts of interest. Please note, for applications via the HUB you will be asked to provide CVs in a later section so it is not necessary to upload them at this stage. Compulsory Attachments -

Staff Matrix which outlines roles of each member of staff by CMI unit, e.g. delivery, assessor, internal verifier, administrator, programme director as a minimum

Conflict of Interest Form Confidentiality Statement for staff


A completed matrix for each level of qualification and unit (roles and responsibilities of staff) Overview of IV role to show Quality Assurance process Conflict of interest policy


4.7 Please provide details of the organisations procedures (where applicable) to obtain a Unique Learner Number (ULN), so as to maximise opportunities for credit transfer and exemption If the Potential Centre is engaged in the delivery of QCF qualifications (specifically nationally funded qualifications) and the learners are based in England, Wales and Northern Ireland then the Potential Centre will need to be able to have mechanisms in place to request and manage ULNs. If the Potential Centre is not then they will need to provide a statement why they will not be engaging with ULNs at the time. Potential Centres need to identify their processes and arrangements for this and how they will communicate this with CMI. How the learners are identified and how they will ensure that the ULN being provided is solely that of the learner being registered. Compulsory Attachment –

Learner Registration form showing capture of ULN 4.8 Please provide details of any other management qualifications offered by the Centre and other Awarding Body partnerships (if applicable) Potential Centres will need to list any other management qualifications and other awarding bodies with whom they have existing relationships. If no other qualifications or Awarding Bodies then ‘no other’ should be stated. Compulsory Attachments - None Example Attachments –

Details of CMI Regional Board contact details and schedule of meetings 4.9 Please provide information about the Centre’s links with employers/sectors and the local region of CMI (if applicable) This section is asking for any ‘market’ information and any existing branch relationships. If not available the Potential Centre needs to indicate ‘no information available’. This section, as with all information provided, will be treated confidentially. Compulsory Attachments – None Example Attachments –

Regional Board member contact details (available through LinkedIn) 4.10 Please outline the Centre’s promotional plans, indicating how particular geographic and commercial/industrial sectors will or are going to be targeted The Potential Centre needs to give a brief description/outline of how they plan to promote CMI qualifications to include areas/sectors as appropriate. Some indication of long term plans would also be beneficial. This may include relevant sections of your business plan.

SECTION 5 5.1 Please attach the Centre’s policies and procedures in respect to equality, diversity, equal opportunities and health and safety, conflicts of interest, malpractice and maladministration, and reasonable adjustments and special consideration. Please explain how these policies are operated and monitored Potential Centres need to provide the relevant policies related to the delivery, assessment and operation of CMI qualifications. Some Centres may have a generic policy, this can be used, but they will need to explain how it would be applied. Potential Centres need to provide the relevant policy and procedures and give an explanation of how the Potential Centre will apply and monitor this when dealing with clients, learners and staff.



Equal Opportunities/Equality & Diversity Policy Health and Safety Policy Reasonable adjustment and Special Consideration Policy


Details of how these policies will be applied & monitored Annual quality reviews

Evidence of statistical analysis 5.2 Please provide details of the how the Centre ensures that its premises meet the relevant Health and Safety legislative requirements (UK Centres Only) Potential Centres must include relevant policies, audits, risk management checks, reports etc. Potential Centres can include a description of how these are included as part of the staff and learner experience. If the Potential Centre uses other premises than their own, it should provide confirmation of the relevant checks that are carried out to ensure the premises meet the relevant Health and Safety legislative requirements Compulsory Attachments: None Example Attachments –

Policies on Audits, Risk Management Checks, etc. 5.3 Please explain how the Centre ensures that its premises, facilities, equipment, materials, delivery and assessment are suitable for the range and number of learners, staff and visitors and how it ensures appropriate access to premises and facilities The Potential Centre needs to explain how they ensure that the premises, facilities, equipment, materials, delivery and assessment are suitable and do not present a barrier to access, for example mobility access, suitable equipment and premises to support the learning experience (as appropriate). This could be different for work based access or distance learning. Compulsory Attachment: None Example Attachments –

Risk Assessment for Centre site plus any delivery sites such as employer premises Health & Safety Audits PAT Testing

SECTION 6 6.1 Full Approved Centre Applications: Please demonstrate how the Centre provides learners with the opportunity to be included in the planning of their learning and assessment opportunities, including Recognition of Prior Learning (RPL) or credit transfer Potential Centres need to have processes in place that support initial assessment, which is individual to the learner and focuses on their needs and appropriate Level of qualification. This must include opportunities to consider Recognition of Prior Learning (RPL), credit transfer and, where applicable, exemption. The Potential Centre needs to provide their RPL policy and examples of action plans or personal training plans for learners, this could be generic and across a cohort or group of learners. Compulsory Attachment:

Learner Individual Learning Plan or tracking document of achievement Recognition of Prior Learning and Exemption Policy Documents used to record tutorial support



Initial Assessment material/skill scans Entry policy Learner Handbook with reference to relevant page

6.1 Registered Centre Applications: Please demonstrate how you provide learners with the opportunity to be included in the planning of their learning and external assessment opportunities, including Recognition of Prior Learning (RPL) or credit transfer Potential Centres need to have processes in place that support initial assessment, which is individual to the learner and focuses on their needs and appropriate Level of qualification. This must include opportunities to consider Recognition of Prior Learning (RPL), credit transfer and, where applicable, exemption. The Potential Centre needs to provide their RPL policy and examples of action plans or personal training plans for learners, this could be generic and across a cohort or group of learners. Compulsory Attachment -

Learner Individual Learning Plan or tracking document of achievement Recognition of Prior Learning and Exemption Policy Documents used to record tutorial support


Initial Assessment material/skill scans Entry policy Learner Handbook with reference to relevant page.

6.2 Please describe the arrangements that the Centre has for supporting learners with particular assessment requirements A Potential Centre needs to describe how it will support learners with particular assessment requirements to aid the completion of the qualification whilst ensuring authenticity and validity. For example the use of audio equipment, or presentations, as opposed to written reports as required. CMI need to be aware of any reasonable adjustments or special considerations as these may need to be communicated to the relevant regulator. Compulsory Attachment –

Reasonable adjustment and Special Consideration Policy, including forms used to capture information and support reasonable adjustment and special consideration decisions.


Additional support resources available Access to specialist equipment/staff

6.3 Full Approved Centre Applications: Please provide details of the Centre’s induction programme for learners, which include details of the qualification programme, assessment and the links with CMI support. Details also need to be provided on practices undertaken by the Centre when the learner completes their programme This section requires details of the learner induction programme that CMI supports and ensures that each learner is engaged with the qualification and assessment that they are undertaking. Potential Centres also need to include the support and guidance available to learners throughout their programme. The Potential Centre should describe the learner experience from induction through to certification. The Potential Centre needs to describe how they will give exit guidance and support to learners prior to them completing their qualification.



Learner or Course Handbook Template and checklist for learner induction


The learner journey from Induction to certification Progression/Exit guidance 6.3 Registered Centre Applications: Please provide details of your induction programme for learners, which include details of the qualification programme, delivery methods and the links with CMI support including external assessment. Details also need to be provided on practices undertaken by you when the learner completes their programme This section requires details of the learner induction programme that CMI supports and ensures that each learner is engaged with the qualification and assessment that they are undertaking. Potential Centres also need to include the support and guidance available to learners throughout their programme. The Potential Centre should describe the learner experience from induction through to certification. The Potential Centre needs to describe how they will give exit guidance and support to learners prior to them completing their qualification. Compulsory Attachments -

Learner or Course Handbook Template and checklist for learner induction


The learner journey from Induction to certification Progression/Exit guidance 6.4 Please provide details of how the Centre supports all learners with feedback on progress and achievement and gives regular opportunities to re-plan where necessary Evidence of this can be records, tracking of progress and achievement, planned feedback sessions, amended training plans and support to learners whose work has been referred. Potential Centres need to demonstrate that this is an ongoing and an integrated part of the qualification programme. Compulsory Attachments –

Assessment Feedback Forms/templates Forms/templates used to record tutorial support Learner achievement tracking documentation Outline of Programme delivery identifying tutorial support offered to learner/Learner handbook

with reference to relevant page


Formative & Summative records Referral Process Outline of Programme

6.5 Please provide details of Centre processes for ensuring learners receive support and guidance should Centre approval cease or the organisation have a change of control Potential Centres need to confirm what arrangements they will ensure are in place if they stop operation or the organisation changes control. How will registered learners be supported through to completion of the qualification with CMI? They should also provide details of their contingency plans.


Programme withdrawal policy



Contingency plan if Centres cease to operate

SECTION 7 7.1 Full Approved Centre Applications: Please detail the assessment methods and practices to be used for the CMI qualification(s)/ unit(s) Potential Centres should provide detail of the CMI programme they wish to offer, which should include an outline of the programme structure, mode of delivery, schedule of delivery, assessment methods will be used for all CMI qualifications/units, information on assessment distribution and submission deadlines for learners. The Potential Centre must ensure that the assessment is valid and sufficient to meet the learning outcomes and assessment criteria. Any centre who wishes to use their own assessment briefs should ensure these are internally verified and submitted for approval. Potential Centres should include a matrix which shows each unit and the assessment methods used and also examples of all assignment assessment document(s) given to the learner). In setting an assessment for a qualification/unit the Centre must ensure that the content of the assessment is fit for purpose, the appropriate method of assessment is chosen and it is consistent with the qualification specification. Please refer to CMI’s policy on Assessment Language. Potential Centres can also use CMI External Assessment, this is optional. Compulsory Attachments –

Outline Programme of Study which identifies mode of delivery, structure of programme, GLH and tutorial support

Assessment briefs (if not using CMI external Assessments), i.v. checklist and marking sheets Matrix that shows assessment method for each CMI unit. The matrix must show the actual

assessment method that will be used to assess that unit Mapping documents if you have mapped your training programme to the CMI units and

assessment – i.e. if applicable. Example Attachments –

IV report that provides feedback to assessment writer, to show assessments have been IV’d before submission to CMI

7.1 Registered Centre Applications: Please detail the responsibilities and records used when submitting learners assignments for external assessment for the CMI qualification(s)/ unit(s) The Potential Centre should detail the records to be used including the CMI combined Statement of Authenticity/ Control Sheet and the checks carried out to ensure that all learner details are correct and complete and that assignments cover all the learning outcomes.

Compulsory Attachments -

Outline Programme of Study which identifies mode of delivery, structure of programme, GLH and tutorial support

Mapping documents if you have mapped your training programme to the CMI units and assessment – i.e. if applicable


IV report that provides feedback to assessment writer, to show assessments have been IV’d before submission to CMI

7.2 Full Approved Centre Applications: Please explain how the Centre will ensure the authenticity of learner evidence and work Centres are required to make available evidence generated by a learner to show an assessment is generated by that learner, and where an assessment is required to be completed under specific conditions,


learners complete the assessment under those conditions. Evidence of this could include statements of authenticity, signed learner work, policies, electronic screening, professional discussion, tutorial records and also details of ULN registration, where appropriate. Compulsory Attachments –

Example of Statement of Authenticity that will be signed by each learner and centre Details of methods used to monitor learner work in progress, e.g. tutorial support, draft

submission dates and related feedback forms Example Attachments –

Policies for plagiarism Electronic Screening Process Other appropriate checks for authenticity

7.2 Registered Centre Applications: Please explain how you will ensure the authenticity of the work of learners Evidence of this could include the statement of authenticity, signed learner work, policies, electronic screening, professional discussion and also details of ULN registration, where appropriate. Compulsory Attachments -

Example of Statement of Authenticity that will be signed by each learner and centre Details of methods used to monitor learner work in progress, e.g. tutorial support, draft

submission dates and related feedback forms Example Attachments –

Policies for plagiarism Electronic Screening Process

Other appropriate checks for authenticity 7.3 Full Approved Centre Applications: Please describe how the Centre will ensure that assessment decisions and judgements are valid and consistent over a period of time The Potential Centre needs to explain what training will be carried out for the assessors and internal verifiers to ensure they understand CMI units and qualifications. Although CMI units are not graded, where Centres use a grading or other marking options then details must be provided. Centres should also detail the process of assessment including feedback mechanisms and standardisation activities that they will operate. How will this be reviewed over time, to ensure consistency, for example, action plans from standardisation activities? Compulsory Attachments –

Assessment marking and feedback sheet to learner I.V. assessment sheet and feedback to marker Template used for standardisation meetings agenda and minutes. Schedule of standardisation meetings


Standardisation policy Action plan for standardisation Any learner appeals/External Moderator feedback

7.3 Registered Centre Applications: Please describe how you will ensure that assessment decisions are feedback to learners and the operation of your referrals policy The Potential Centre needs to detail feedback mechanisms. How will referrals be processed and how learners are guided for resubmissions?



Assessment marking and feedback sheet to learner Template used for standardisation meeting’s agenda and minutes. Schedule of standardisation meetings


Standardisation policy Action plan for standardisation

Any learner appeals/External Moderator feedback 7.4 Full Approved Centre Applications: Please detail how the evidence of learners’ work, records of assessors’ judgement, and records of internal verification will be retained in accordance with CMI requirements This needs to be linked to the CMI policy on record retention and included in the Potential Centre’s own recording systems. For example, this could include tracking systems, information relating to security and access, portfolios and registration details. Any breach of confidentiality should be reported to CMI. Compulsory Evidence –

Learner achievement tracking records. Statement that all learner assessment work and related materials will be kept for a minimum of

three years

Example Attachments – Retention of Records Policy: Details of how records are retained to meet data protection legislation and Awarding Organisation requirements 7.4 Registered Centre Applications: Please detail how the evidence of learners’ work and records of external assessment feedback will be retained in accordance with CMI requirements This needs to be linked to the CMI policy on record retention and included in the Centres own recording systems. For example, this could include tracking systems, information relating to security and access, portfolios and registration details. Any breach of confidentiality should be reported to CMI. Compulsory Evidence:

Learner achievement tracking records Statement that all learner assessment work and related materials will be kept for a minimum of

three years Example Attachments –

Retention of Records Policy: Details of how records are retained to meet data protection legislation and Awarding Organisation requirements

7.5 Full Approved Centre Applications: Please submit the Centre’s system for internal verification (including sampling strategy) which ensures that national standards/qualifications/units are consistently interpreted over time Evidence for this area must include the IV sampling strategy, related records, plans of standardisation and records. A procedure is required that reviews and monitors this strategy against the qualification standards. Compulsory Evidence –

Sampling plan for internal and external verification/Sampling strategy Guidance on sampling provided to markers and internal verifiers IV. assessment sheet for recording i.v. decisions and feedback to marker



IV sampling strategy (differentiate between new & existing assessors on sampling size) Assessment Policy

7.5 Registered Centre Applications: Please submit your system and records for standardisation review Evidence for this area must include plans of delivery standardisation and records. A procedure that reviews and monitors this strategy against the qualification standards. What standardisation activities will the Potential Centre operate? How will they be reviewed over time, to ensure consistency, for example, action plans from standardisation activities? Example Attachments –

Procedure for reviewing and monitoring your strategy against qualification standards Standardisation activities action plans from standardisation activities

7.6 Please explain how the Centre gathers information and feedback from employers, learners and others (as appropriate) to monitor and evaluate the quality and effectiveness of qualification provision against the Centre objectives, and how their findings are communicated to CMI. Evidence of this should include processes for learners to feedback on their experiences. For example, using feedback sheets at different stages of the programme, evaluations from employers on the return on investment of staff having completed the programme. Compulsory Attachments –

Course Evaluation Forms/templates used for learners/employers Agenda for Team meeting which includes review of feedback and risk identification


Team meeting minutes SAR (Self-Assessment Report) Annual course reviews Action plans for QA process

7.7 Please attach the Centre’s appeals & complaints policy The Potential Centre should attach relevant policies and explain how they link with CMI’s policies, i.e. in the first instance learners are required to follow a centres internal complaints and/or appeals processes so this section should identify what the internal processes are and then how the link/feed into CMI complaints and appeals. How they will communicate and process complaints from learners. Policies are to be time bound. Centres need to be able to provide evidence that their policies and procedures are being complied with, and are been reviewed on an ongoing basis. Compulsory Attachments –

Complaints policy and procedure Appeals Policy and Procedure Details of how complaints and appeals are reviewed and monitored e.g. minutes of team

meetings where complaints and appeals are recorded and any risk identified

Example Attachments

How learners access the appeals process, e.g., Learner handbook


7.8 Please attach the Centres policies and procedures for reporting suspected or alleged malpractice and maladministration to CMI Potential Centres need to attach the relevant policies and procedures and explain how they will communicate this to learners and staff. The policies should define malpractice and maladministration and explain the process that will take place within the centre if there is a suspected case of malpractice and how this links to CMI’s malpractice policy and the requirement to report all suspected or alleged malpractice or maladministration incidents to CMI. Centres need to give details of how they will take reasonable steps to prevent the occurrence of any malpractice or maladministration in the delivery and assessment of CMI qualifications and avoid breaches of learner confidentiality. Compulsory Attachments –

Maladministration and Malpractice Policy


Details of how they communicate this to learners and staff e.g. Staff Handbook, Learner Handbook, Course Handbook – please refer to relevant page

Process for reporting suspected Maladministration & Malpractice to CMI within appropriate timescales and who is responsible for reporting – e.g. templates used to report Malpractice to CMI

Procedures for preventing and investigating incidents of maladministration and Malpractice are up to date and communicated across the approved Centre, it’s Satellites and third parties e.g. plagiarism policies, administration guidance, rules relating to CMI programme, course books as indicated above

Action plan for any malpractice or maladministration that has occurred previously to prevent reoccurrence in the future