13 - btec - edexcel 13 - btec 234 edexcel information manual 2007—2008: september 2007 1.2...

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Edexcel Information Manual 2007—2008: September 2007230

1 Key dates 233

1.1 Registration deadlines 233

1.2 Certification deadlines 234

1.3 Key dates for each term 235

2 Administration of learners 236

2.1 BTEC qualifications: registration through Edexcel 236

2.2 Licence Agreement: BTEC qualifications through higher education institutions 237

3 Gaining approval 237

3.1 Entry Level to Level 3 NQF BTEC approval: Schools and FE only 237

3.2 Higher Level approval 244

3.3 Employers and training providers’ approvals 245

4 Important procedures checklist: registration and certification 245

4.1 Timing of registration 245

4.2 Registration: topping up 246

4.3 Registration: estimating completion dates 246

4.4 Registration: programme numbers 246

4.5 Transferring registration from non-NQF programmes 246

4.6 Reporting success to Edexcel 247

4.7 Certification 247

5 Registration policies and procedures 247

5.1 Responsibility for registration 247

5.2 Timing of registration 248

6 Validity of registrations 248

6.1 Non-NQF programmes 248

6.2 NQF programmes 249

7 Deletion of registrations 249

8 Registration fees 249

8.1 Registration fees 249

8.2 Other charges 249

8.3 Invoices 249

8.4 Payment of fees 250

9 Special registration fee 250

9.1 Re-registration to complete a non-NQF BTEC qualification or an NQF BTEC

Short Course 250

9.2 Re-registration to convert individual units to a full qualification (non-NQF) 251

9.3 BTEC NQF programmes 251

10 Methods of registration 251

10.1 Withdrawal of the SA1 (BTEC) form 251

10.2 Making registrations on Edexcel Online 251

10.3 Making registrations by EDI (Electronic Data Interchange) 251

11 How to make registrations using Edexcel Online 252

11.1 Choosing header details 253

11.2 Register online 254

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Edexcel Information Manual 2007—2008: September 2007 231

11.3 Register by spreadsheet 257

11.4 Registrations that cannot be made online 259

12 How to register by EDI 259

12.1 Downloading BTEC Basedata from Edexcel Online 259

12.2 Registration by EDIFACT EDI 262

12.3 Registration by JCQ EDI 264

13 Confirmation and outcomes of registration 265

13.1 Registration lists 265

13.2 Form SA24 265

13.3 EDI centres 265

14 Transfers and changes to registration details 266

14.1 Transfer of registration to a new centre or programme 266

14.2 Transfer of a learner from a centre operating under the Licence Agreement 266

14.3 Programmes which are not compatible 266

15 Electronic amendments and transfers 267

15.1 Changing learner's name, date of birth and other details on Edexcel Online 267

15.2 Transferring within the same centre 268

15.3 Transferring from a different centre 269

15.4 Procedures for topping up on BTEC NQF qualifications (excluding Short Courses) 270

15.5 EDI transfers and amendments 270

16 NQF BTEC Level 1—3 qualifications: quality assurance and external assessment 270

16.1 BTEC NQF Level2/3 and Level 1—3 Short Course qualifications 270

16.2 BTEC Diploma in Foundation Studies (Art and Design) 272

16.3 Entry Level BTEC Certificate in Skills for Working Life and Life Skills 272

16.4 BTEC Introductory Certificates and Diplomas (Level 1) 273

17 Higher Nationals and NQF 4—7 qualifications: quality assurance 273

17.1 Quality assurance process for Higher Nationals 273

17.2 Quality assurance process for NQF 4—7 Short Courses 274

18 BTEC Foundation Degrees 274

19 Special considerations and access arrangements 274

20 Equal opportunities 275

20.1 Equality of opportunity 275

21 Recognition of previous achievement 275

21.1 Accreditation of prior learning and/or experience (APL) 275

21.2 Claiming a qualification by APL 276

21.3 Movement of learners from non-NQF BTEC titles to NQF BTEC titles 276

22 Reporting learner achievement 276

22.1 Responsibility 276

22.2 Grades of achievement 277

22.3 Confirmation of learner achievement 277

22.4 Reporting success to UCAS 278

22.5 Submission of results to Edexcel 278

22.6 Methods of reporting 279

23 Claiming interim and full certification via Edexcel Online (EOL) or EDI 279

23.1 Claiming via Edexcel Online 279

23.2 Timing of success reporting 283

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23.3 EDI results reporting: EDIFACT format 283

23.4 Sending BTEC JCQ result entry files 285

23.5 Eligibility 285

23.6 External verification and external examining: certificate block 287

23.7 Certificate deferrals 287

23.8 Learners re-sitting units: BTEC Firsts, Nationals and Higher Nationals 287

24 Amendments to reported success 288

24.1 Decline grade 288

24.2 Certificate recalls on NQF programmes 288

24.3 To re-open a registration where a fallback Certificate of Unit Achievement has been

issued 288

24.4 Queries raised by Edexcel: form queries 289

25 Award documentation 289

25.1 Certificates 289

25.2 Course Assessment Report: all programmes 289

25.3 Evidence of achievement 289

25.4 Notification of Performance: BTEC Introductory, First, National, Higher National,

Entry Level Vocational, Professional Development, Diploma in Foundation Studies

(Art and Design), Customised Framework programmes 290

25.5 Certificate of unit achievement: BTEC First, National, Higher National, Short Course

programmes and BTEC individual units 290

25.6 Award date 290

25.7 Award lists 291

25.8 Acknowledgement of receipt of awards: form SA6 291

25.9 Retention of certificates 291

25.10 Outstanding financial obligations to the centre 291

25.11 Incorrect and invalid certificate claims 292

26 Replacement certification 292

27 Duplicate documents 292

27.1 Certificates or diplomas 292

27.2 Notification of Performance, Certificates of Achievement or Unit Credit 293

28 Letter of confirmation: for awards originally obtained prior to 1984 293

29 Centre and programme closures 293

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1 Key dates

1.1 Registration deadlines For programmes that follow the academic year, ie, enrolment in September/October and completion in June/July, the following deadlines for registration apply.

1 November 2007 BTEC Entry Level Vocational Certificates (Life Skills and Skills for Working Life) BTEC Introductory Certificates and Diplomas BTEC First Certificates and Diplomas BTEC National Awards, Certificates and Diplomas BTEC Short Courses (Foundation, Intermediate, Advanced and Professional) Awards, Certificates and Diplomas

15 November 2007 BTEC Higher National Certificates and Diplomas BTEC Diploma in Foundation Studies (Art and Design)

15 December 2007 For Higher Education Licence Agreement registrations.

For programmes that do not follow the academic year (ie, programmes where learners have enrolled between November and August), or for any programmes of less than one academic year in length, and for individual units, registration is due within one month of enrolment.

Note: Registrations received after the appropriate deadline will be subject to a late registration fee. (Please see the Fees information issued separately.)

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1.2 Certification deadlines Last date for SRFs to be received by Edexcel **

Last date for Edexcel Online certificate claims

Certificates will be in centres on

Wednesday 05 Sep 2007 Friday 14 Sep 2007 Friday 21 Sep 2007 Wednesday 12 Sep 2007 Friday 21 Sep 2007 Friday 28 Sep 2007 Wednesday 19 Sep 2007 Friday 28 Sep 2007 Friday 05 Oct 2007 Wednesday 26 Sep 2007 Friday 05 Oct 2007 Friday 12 Oct 2007 Wednesday 03 Oct 2007 Friday 12 Oct 2007 Friday 19 Oct 2007 Wednesday 10 Oct 2007 Friday 19 Oct 2007 Friday 26 Oct 2007 Wednesday 17 Oct 2007 Friday 26 Oct 2007 Friday 02 Nov 2007 Wednesday 24 Oct 2007 Friday 02 Nov 2007 Friday 09 Nov 2007 Wednesday 31 Oct 2007 Friday 09 Nov 2007 Friday 16 Nov 2007 Wednesday 07 Nov 2007 Friday 16 Nov 2007 Friday 23 Nov 2007 Wednesday 14 Nov 2007 Friday 23 Nov 2007 Friday 30 Nov 2007 Wednesday 21 Nov 2007 Friday 30 Nov 2007 Friday 07 Dec 2007 Wednesday 28 Nov 2007 Friday 07 Dec 2007 Friday 14 Dec 2007 Wednesday 05 Dec 2007 Friday 14 Dec 2007 Friday 21 Dec 2007 Wednesday 12 Dec 2007 Thursday 20 Dec 2007 Friday 28 Dec 2007 Wednesday 19 Dec 2007 Friday 28 Dec 2007 Friday 04 Jan 2008 Wednesday 26 Dec 2007 Friday 04 Jan 2008 Friday 11 Jan 2008 Wednesday 02 Jan 2008 Friday 11 Jan 2008 Friday 18 Jan 2008 Wednesday 09 Jan 2008 Friday 18 Jan 2008 Friday 25 Jan 2008 Wednesday 16 Jan 2008 Friday 25 Jan 2008 Friday 01 Feb 2008 Wednesday 23 Jan 2008 Friday 01 Feb 2008 Friday 08 Feb 2008 Wednesday 30 Jan 2008 Friday 08 Feb 2008 Friday 15 Feb 2008 Wednesday 06 Feb 2008 Friday 15 Feb 2008 Friday 22 Feb 2008 Wednesday 13 Feb 2008 Friday 22 Feb 2008 Friday 29 Feb 2008 Wednesday 20 Feb 2008 Friday 29 Feb 2008 Friday 07 Mar 2008 Wednesday 27 Feb 2008 Friday 07 Mar 2008 Friday 14 Mar 2008 Wednesday 05 Mar 2008 Friday 14 Mar 2008 Friday 21 Mar 2008 Wednesday 12 Mar 2008 Friday 21 Mar 2008 Friday 28 Mar 2008 Wednesday 19 Mar 2008 Friday 28 Mar 2008 Friday 04 Apr 2008 Wednesday 26 Mar 2008 Friday 04 Apr 2008 Friday 11 Apr 2008 Wednesday 02 Apr 2008 Friday 11 Apr 2008 Friday 18 Apr 2008 Wednesday 09 Apr 2008 Friday 18 Apr 2008 Friday 25 Apr 2008 Wednesday 16 Apr 2008 Friday 25 Apr 2008 Friday 02 May 2008 Wednesday 23 Apr 2008 Friday 02 May 2008 Friday 09 May 2008 Wednesday 30 Apr 2008 Friday 09 May 2008 Friday 16 May 2008 Wednesday 07 May 2008 Friday 16 May 2008 Friday 23 May 2008 Wednesday 14 May 2008 Friday 23 May 2008 Friday 30 May 2008 Wednesday 21 May 2008 Friday 30 May 2008 Friday 06 Jun 2008 Wednesday 28 May 2008 Friday 06 Jun 2008 Friday 13 Jun 2008 Wednesday 04 Jun 2008 Friday 13 Jun 2008 Friday 20 Jun 2008 Wednesday 11 Jun 2008 Friday 20 Jun 2008 Friday 27 Jun 2008 Wednesday 18 Jun 2008 Friday 27 Jun 2008 Friday 04 Jul 2008 Wednesday 25 Jun 2008 Friday 04 Jul 2008 Friday 11 Jul 2008 ♦Friday 04 Jul 2008 Friday 25 Jul 2008 Friday 08 Aug 2008 Wednesday 06 Aug 2008 Friday 15 Aug 2008 Friday 22 Aug 2008 Wednesday 13 Aug 2008 Friday 22 Aug 2008 Friday 29 Aug 2008 Wednesday 20 Aug 2008 Friday 29 Aug 2008 Friday 05 Sep 2008 ♦ End of academic year, peak results period ** Although Edexcel is no longer automatically issuing SRFs, claims via SRFs already held in centres will still be accepted during 2007/2008

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1.3 Key dates for each term

Autumn term 2007 _____________________________________________________________________________

1 October 2007 Deadline for all BTEC approvals for programmes with learners following the academic year

______________________________________________________________________________________

1 November 2007 Registration deadline for the following programmes beginning in September 2007: Entry Level Certificates (Life Skills and Skills for Working Life)

Introductory Certificates and Diplomas First Certificates and Diplomas National Awards, Certificates and Diplomas Professional Development Awards, Certificates and Diplomas

Short Courses (Foundation, Intermediate and Advanced) Awards, Certificates and Diplomas

______________________________________________________________________________________

15 November 2007 Registration deadline for the following programmes beginning in September/October 2007: Higher National Certificates and Diplomas

Diploma in Foundation Studies (Art and Design)______________________________________________________________________________________

1 December 2007 External verifier allocations notified to centre quality nominees by email for the following programmes: First Certificates and Diplomas

National Awards, Certificates and Diplomas______________________________________________________________________________________

15 December 2007 External verifier allocations notified to centre quality nominees by email for the following programmes: Entry Level Certificates (Life Skills and Skills for Working Life)

Introductory Certificates and Diplomas ______________________________________________________________________________________

15 December 2007 Appeal deadline for external verifier allocations for the following programmes: First Certificates and Diplomas National Awards, Certificates and Diplomas

______________________________________________________________________________________

15 December 2007 Registration deadline for higher education Licence Agreement registrations

Spring term 2008 _____________________________________________________________________________

15 January 2008 External examiner allocations notified to centre quality nominees by email for the following programmes: Higher National Certificates and Diplomas NQF 4—7 Short Courses

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Summer term 2008______________________________________________________________________________________

31 May 2008 Last date for National Standards Sampling (NSS) for the following programmes: First Certificates and Diplomas National Awards, Certificates and Diplomas Entry Level Certificates (Life Skills and Skills for Working Life)

Introductory Certificates and Diplomas ______________________________________________________________________________________

30 June 2008 Last date for external examiner reports for the following programmes: Higher National Certificates and Diplomas NQF 4—7 Short Courses

______________________________________________________________________________________

30 June 2008 Last date for return of IVA centre points sheet ______________________________________________________________________________________

5 July 2008 Certificate claim deadline for learners following the academic year (Especially important for UCAS applicants)

2 Administration of learners

2.1 BTEC qualifications: registration through Edexcel This part of the manual gives instructions and information on the administrative procedures for learners on programmes leading to Edexcel’s BTEC qualifications. These include:

BTEC Entry Level Certificates (Life Skills and Skills For Working Life) BTEC Introductory Certificates and Diplomas BTEC First Certificates and Diplomas BTEC National Awards, Certificates and Diplomas BTEC Higher National Certificates and Diplomas BTEC Diploma in Foundation Studies (Art and Design) BTEC Professional Development Awards, Certificates and Diplomas BTEC Short Courses (Foundation, Intermediate, Advanced) Awards, Certificates and Diplomas.

This section covers the requirements for both NQF and non-NQF BTEC qualifications.

Note: NQF refers to qualifications accredited by QCA under the National Qualifications Framework. Most qualifications that have been issued for first enrolment since September 2002 are NQF qualifications.

The following areas are covered:

approval registration quality assurance assessment reporting achievement claiming certification.

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It is important that copies of this information are made available to the examinations officer/ administrator, all coordinators and members of staff responsible for the preparation of documents for enrolment, registration and the internal assessment of BTEC qualifications.

Centres are required to notify Edexcel Customer Services by the end of September 2007 where a programme is delivered solely in the medium of Welsh. Edexcel will endeavour to provide external verification in Welsh for programmes notified by this date.

2.2 Licence Agreement: BTEC qualifications through higher education institutionsUniversities and HEIs operating under the Edexcel Licence Agreement are required to follow the administrative procedures detailed in this section. However, in the case of registration and reporting of achievement for the following qualifications:

BTEC Levels 1—8 NQF accredited qualifications BTEC Diploma in Foundation Studies (Art and Design),

the Edexcel Licence Agreement does not apply. HEIs and their collaborative partner colleges will need to register (see part 2.1 in this section) for these NQF qualifications. HEIs should refer to their Edexcel Licence Agreement Handbook (revised July 2007) for further details of the administrative procedures required for the programmes and units which are operated under the Licence Agreement.

It is important that procedures in the Licence Agreement handbook are followed correctly and that reporting of learner registration and achievement is carried out as requested.

It is important that licence centres identify the learners who are attending an approved collaborative partner (franchise) centre by entering the appropriate centre number via EOL (Edexcel Online).

In September 2007 it is intended to introduce electronic reporting arrangements for all licensed institutions; separate details of the protocols which apply will be issued to licence centres.

3 Gaining approval

Centres are advised that they must gain approval from Edexcel in order to offer BTEC qualifications. Schools and colleges of further education can gain approval for BTEC qualifications through Edexcel Online (www.edexcelonline.org.uk). You will be required to enter your centre’s user name and password before being permitted to seek approval for BTEC qualifications.

3.1 Entry Level to Level 3 NQF BTEC approval: Schools and FE only

3.1.1 Qualifications for which Online approval is available

BTEC National Diploma (NQF Level 3)BTEC National Certificate (NQF Level 3) BTEC National Award (NQF Level 3)BTEC First Diploma (NQF Level 2) BTEC First Certificate (NQF Level 2) BTEC Introductory Diploma (NQF Level 1) BTEC Introductory Certificate (NQF Level 1) BTEC Entry Level Certificates in Life Skills (Entry Level) BTEC Entry Level Certificates in Skills for Working Life (Entry Level) BTEC specialised Short Courses (NQF Levels 1—3)*.

* Please refer to exceptions in section 7.

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3.1.2 An overview of BTEC approvals via Edexcel Online

In conjunction with QCA and Edexcel’s promise to deliver enhancements in education, the BTEC approvals service for Entry Level to Level 3 provides a real-time, efficient and reliable service to gain all necessary approvals through an easy to use online system.

Online approval allows centres to gain Centre and Qualification Approval for BTEC Entry Level, Level 1, 2 and 3 qualifications. When approving BTEC National Diplomas, National Certificates and First Diplomas, there is also opportunity to add Meeting Local Needs units at the same level electronically.

The process is in two parts: namely, Centre Approval and Qualification Approval. For information on Centre Approval for private training providers, private colleges and employer centres, please contact the Work Based Learning Team. (See part 3.1.4 below.)

The online approvals process obviates the need to download forms and complete them, as the screens have been designed to guide centre users through each stage. There are links and drop-down boxes to assist with navigation.

There are, in essence, five component parts of the new online BTEC approval process. These are:

Centre approval stage — for new centres only

Declaration of Intent Approval Home Page Centre Approval.

Having completed the first stage (Declaration of Intent), centres will be able from then on to access Qualification Approvals for individual programmes at the levels appropriate to their initial centre approval status.

Qualification Approval stage — for centres already approved to offer BTEC qualifications

Qualification Approval Meeting Local Needs.

For help, centres can contact Edexcel Customer Services on 0870 240 9800.

3.1.3 Accessing EOL (Edexcel Online)

If you require access to the online system, please refer to the Edexcel Online section of this manual for further details.

3.1.4 Gaining Centre Approval

Private training providers, private colleges and employer centres must contact the Work Based Learning Team:

Telephone: 0207 190 4862/4868/4863 Fax: 0207 190 5636 Email: [email protected]: Work Based Learning Team 7th floor

Edexcel One90 High Holborn

London WC1V 7BH

FE colleges and schools will undertake the centre approval via Edexcel Online in the following stages.

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a) Declaration of Intent

For centres without BTEC Centre Approval, this is the first formal stage of their journey. Please note that centres may well have a Cambridge number and be approved to offer general (academic) qualifications but, because BTEC qualifications are assessed and quality assured internally, there is a requirement that centres have systems and procedures in place to maintain standards. These standards are checked through Edexcel external verifiers during the course of the programme.

The questions in this area also elicit details of key contacts in the centre and require the head of centre to agree to certain specific requirements.

Step 1 The centre must ensure that they are registered with Edexcel Online. If the centre is not registered, they should call the Edexcel Online Support Team on 0870 240 9819 to get started.

Step 2 The centre navigates to the BTEC section (see top left of centre box) and completes the online Declaration of Intent; this is available through the ‘Approvals — Schools and FE’ menu (see left-hand navigation). The centre confirms acceptance of the Declaration of Intent.

Step 3 The centre is now ready to explore online guides to gaining Centre and Qualification Approval to run BTEC qualifications at Entry Level, Levels 1, 2 and 3. This range of support materials will help the centre to make those most important decisions.

b) Approvals home page

There are links to BTEC Specifications and other material (eg, BOSCA).

By clicking on ‘Qualification Approval’, centres can access the individual qualifications they wish to gain approval for.

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c) Centre Approval

The centre user completes the Centre Approval by either selecting ‘Centre Approval’ from the ‘Approvals — Schools and FE’ menu or navigating from our Approvals homepage.

3.1.5 Gaining approval for specific qualifications

Qualification selection

The centre is now ready to gain Qualification Approval to run Entry Level, Levels 1, 2 and 3 BTEC qualifications.

Step 1: Qualification Level Using the drop-down box, select the Qualification type required; care is needed with the BTEC Short Courses and Levels. The system refreshes itself once a selection has been made from a drop-down box.

Step 2: Sector Use the drop-down box. This identifies all the broad Sectors which have accredited qualifications. These may not exactly reflect the title of the specific qualifications being applied

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for (eg, Food Science 1—3 is the sector for Nutrition Awareness), but they do give a good indication. Please note that the system refreshes itself once a selection has been made from a drop-down box.

Please note that for BTEC Introductory Certificate and Diploma in Vocational Studies the sector shown is identified as “MISC”.

Step 3: Specific programme Again, a drop-down box. This provides a choice of QCA accredited specific titles, relating to the level and type of qualification selected under steps 1 and 2. Again, please note that the system refreshes itself once a selection has been made from a drop-down box.

Step 4: Programme leader information This is self-explanatory, and refers to the person responsible for coordinating a particular programme.

Step 5: Predicted registrations The centre predicts potential registrations for this particular programme.

Step 6: Read the Qualification Approval Declaration Centres need to agree to adhere to the criteria by checking the appropriate box before accepting. If the application is successful, the centre will receive onscreen confirmation. A centre will also be able to access an online letter confirming the success of its application in its Edexcel Online mailbox (as indicated below). Centres can also order a programme definition by going to the ‘Qualifications’ menu and selecting ‘Reports’.

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Note: Qualifications with an accreditation period that begins in the future (e, from 1 September 2008) will not appear on the Approved Programme Listing screen. Centres can order definitions as above if they need to check structures.

3.1.6 Certain exceptions to the standard online processApproval to offer certain BTEC NQF ‘niche sector’ short courses and nationals

If there is no drop-down box, this will need to be currently applied for via a BTEC1 form. If in any doubt, please contact Customer Services on 0870 240 9800. The niche sector qualifications are as follows.

BTEC Nationals

Edexcel Level 3 BTEC National Certificate and Diploma in Media (Games Development) Edexcel Level 3 BTEC National Certificate in Pharmacy Services.

BTEC Level 3 short courses

Edexcel Level 3 BTEC Certificate in Children’s Care, Learning and Development Edexcel Level 3 BTEC Certificate in Close Protection Operations Edexcel Level 3 BTEC Certificate in Road Freight Logistics Edexcel Level 3 BTEC Award in Providing Financial Advice Edexcel Level 3 BTEC Award in Security Keyholding and Alarm Response Edexcel Level 3 BTEC Award in the Delivery of Conflict Management Training Edexcel Level 3 BTEC in Contact Centre Supervisory Skills.


Edexcel Level 2 BTEC Certificate in Ambulance Care Assistance Edexcel Level 2 BTEC Certificate in Children’s Care, Learning and Development Edexcel Level 2 BTEC Certificate in Early Years Care and Education Edexcel Level 2 BTEC Certificate in Transporting Passengers by Bus and Coach Edexcel Level 2 BTEC Award in CCTV Operations (Public Space Surveillance) Edexcel Level 2 BTEC Award in Contact Centre Skills Edexcel Level 2 BTEC Award in Door Supervision Edexcel Level 2 BTEC Award in Infection Control Edexcel Level 2 BTEC Award in Security Operations Edexcel Level 2 BTEC Award in Transporting Passengers by Taxi and Private Hire Edexcel Level 2 BTEC Award in Vehicle Immobilisation.

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Edexcel Level 1 BTEC Award in Introduction to Contact Centres.

Approval to offer BTEC Firsts and Nationals in Children’s Care, Learning and Development

Centres wishing to gain approval for these qualifications must complete a full application on Form BTEC1 and Form BTEC — EY Supp because licence to practice is conferred on learners who successfully achieve these qualifications:

At Level 2 (BTEC Firsts), learners are qualified to work in any childcare setting under supervision. At Level 3 (BTEC Nationals), qualified practitioner status enables holders of this qualification to work in a supervisory capacity in any childcare setting.

We work very closely with the Children’s Workforce Development Council (CWDC) when developing our qualifications and we must safeguard the integrity and credibility of these unique BTEC qualifications. Individuals who assess these programmes must have an appreciation of the dynamic nature of the sector; we believe this requires professional experience of the vocational area.

CWDC are currently reviewing the education and training of the early years workforce: see www.cwdc.org.uk .

3.1.7 Adding units to meet local needs

If seeking approval for

BTEC National Diplomas BTEC National Certificates BTEC National Award (September 2007 standards only) or BTEC First Diplomas,

there is the option to add Meeting Local Needs units upon completion of the approval of the qualification. (Please refer to the online guidance documents for further details.)

Step 1: Select from list of Approved Programmes This is the first of two drop-down boxes. This shows the list of Level 2 BTEC First Diploma programmes and Level 3 BTEC National Award, National Certificate and Diploma programmes approved for the centre.

Step 2: Select from list of Approved Units This lists those Level 2 BTEC First and Level 3 National units already available and approved at the centre, from which to make an electronic selection.

Rules for MLN at Levels 2 and 3

1 The centre must have the resources necessary to deliver any additional units that it wishes to import. Unit information can be found within the relevant qualification specification, which will state the resources required.

2 Units can only be added to Level 2 BTEC First Diplomas, Level 3 BTEC National Award (September 2007 standards only) National Certificates and Diplomas. Please note that it is not possible to add such units to Level 2 BTEC First Certificates or BTEC NQF Short Courses.

3 Core and Compulsory Specialist units must not be replaced in the qualification that is being imported into.

4 Where a centre has added its maximum allowance of units to a qualification, the programme cannot be amended any further. The maximum number of MLN units that may be added to qualifications (BTEC First Diploma, BTEC National Certificate and BTEC National Diploma) is ten. It must be stressed, however, that only the number of MLN units as specified above can be undertaken by the learner.

5 Centres should only add MLN units where there is evidence of the additional units being needed to meet a real and identifiable local need. This may be checked by your external verifier.

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6 The importation of MLN units must not lead to the dilution of the purpose/title of the overall qualification.

7 Units with externally set assessments attached cannot be imported and may not be replaced in the qualification that is being imported into.

8 Centres are permitted to add units which are not at the same level but an adjacent level. The unit(s) concerned do not have to be from within the same sector. The level of the MLN units must be immediately above or below the qualification chosen. So, for a Level 2 BTEC First Diploma, a centre could select a Level 1 unit and a Level 3 unit from those units already approved at the centre. To do this, the centre needs to complete an MLN1 form; this can be accessed by clicking on the ‘apply directly to Edexcel’ link on this screen. This requires a rationale and employer support as part of the application procedures.

9 Failure to comply with these rules will result in learners being ineligible for their certificates.

Using the drop-down option, select the qualification level, sector and specific programme you wish to gain approval for. After selecting the header fields, it is compulsory to state the predicted number of registrations.

After submitting the request, your centre will either be given approval for the qualification or advised that the approval criterion has not been met. You will then be given the contact details for your regional office. Where approval is granted, an approval letter is generated and sent to your Edexcel Online mailbox.

3.1.8 Consortium arrangements

Centres wishing to operate together as a consortium to run an approved qualification should make an application using the Consortium Arrangement Approval form, available on the Edexcel website. A separate form should be used for each qualification and level to be offered as a consortium. You should also refer to the Edexcel policy statement Consortium Arrangements for BTEC and Edexcel NVQ Qualifications, available on the Edexcel website.

Consortium applications must be received no later than 2 October 2007.

3.2 Higher Level approval This section covers centres wishing to gain approval for Higher National Certificate, Higher National Diploma and NQF Short Course Levels 1—8. Your centre must already have approval for a BTEC qualification at the same level or higher than that being requested.

Under the BTEC tab, choose ‘Approvals — other centres and Higher awards’ and then the sub-menu ‘Online Award Approval’. This will present you with a Declaration which must be agreed before you

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are able to proceed to the screen shown below. You will then be able to choose the qualification level, sector and specific programme you wish to apply for.

You will then be required to enter an estimate of the number of registrations you will be making in each of the first two years of the approval. After submitting the request, your centre will either be given approval for the qualification or advised that the approval criterion has not been met. Where approval is granted, an approval letter is generated and sent to your Edexcel Online mailbox. The letter will contain your programme number, which is to be used when making registrations.

3.3 Employers and training providers’ approvals Employer and training provider centres wishing to gain approval for BTEC or NVQ programmes should go to the Edexcel website and choose ‘Services for Centres’, ‘Employers and Training Providers’ and then ‘Centre Approval’ or ‘Programme Approval’ as appropriate. Here you will find the latest advice on how to proceed with your approval application. We hope to be able to accept all applications electronically in the future.

4 Important procedures checklist: registration and certification

Centres should note these important issues in relation to registration and certification. Full details are given in the appropriate parts of this section of the manual.

4.1 Timing of registration Programmes that do not follow the academic year

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This refers to all programmes that:

enrol learners at any time other than September/October (including roll-on roll-off programmes) are of less than one academic year duration.

Learners must be registered within one month of enrolment at the centre. Enrolment at the centre is defined as the day on which delivery of the learner’s programme/unit of learning commences.

Programmes that do follow the academic year For programmes that follow the academic year, i.e., enrolment in September/October and completion in June/July, the registration deadlines are detailed in part 1.1. Registrations received after the relevant deadline will be subject to late registration fees. (Please see the Fees information issued separately.)

Note: Any delay in registration may affect our capacity to provide centres with the assessment and verification opportunities that they require and, therefore, certification may be delayed. Centres should note that this could cause problems for learners going through UCAS in order to enter higher education.

4.2 Registration: topping up For NQF qualifications, learners may achieve a National Award or Certificate and then top-up to a Certificate or Diploma. A learner may also top-up from an Introductory, Higher National or First Certificate to an Introductory, Higher National or First Diploma respectively. For further details, see part 15.4.

NQF BTEC First Certificate and Diploma programmes have been re-accredited by QCA for delivery from 1 September 2006 and NQF BTEC National Award, Certificate and Diploma programmes from 1 September 2007. Therefore, no new registrations will be accepted on the 2002 National specifications from 1 September 2007.

However, a learner registered before September 2006 on a 2002 specification First Certificate may top-up onto a 2002 specification First Diploma and a learner registered before September 2007 on a 2002 specification National Award or Certificate may top-up onto a 2002 National Certificate or Diploma.

4.3 Registration: estimating completion dates At the time of registration, centres are asked to give an estimated completion date. These dates are used in relation to the allocation of external verifiers and external examiners and the delivery of assessment and verification/external examining for NQF qualifications. It is important that centres give an accurate date (within two months) and that any changes are notified.

4.4 Registration: programme numbers Centres should check that the programme numbers being used for all programmes are those which match the programmes being delivered, particularly if registrations are submitted electronically.

Note: Whilst learners who are incorrectly registered may transfer, this could delay assessment, quality assurance and certification. Centres are advised that it could also affect funding for the programme.

4.5 Transferring registration from non-NQF programmes Centres are advised that it is not straightforward to transfer achievement of learners who are on pre-existing non-NQF qualifications to new NQF qualifications, and that there is no automatic credit or exemption. Please refer to part 14 in this section.

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4.6 Reporting success to Edexcel Due to the rapid uptake of electronic results reporting, from September 2007 Edexcel will not automatically issue SRFs for students following registration. In place of SRFs, results may be reported either by the submission of an EDI file (only available for centres using EIDFACT format EDI) or through Edexcel Online.

There will be a batch results reporting facility available on Edexcel Online, whereby a spreadsheet may be downloaded showing all students registered on a specified course and listing the units that the learners have undertaken. You will be then able to enter all learners’ unit achievements on the same spreadsheet and upload into Edexcel Online. For further details, please refer to part 23 in this section.

Centres who wish to continue to be issued with SRFs for 2007/8 should email the request [email protected] .

In order to issue certificates in August, results should be reported by 5 July for every learner completing at the end of an academic year. Results must be reported for every learner who has achieved unit success and also where the learner has withdrawn from the programme. No action is required where a learner has not completed any units in year one of a two-year programme.

UCAS SRFs will not be issued in May 2008 for learners following BTEC programmes at Level 3 and who are applying for higher education places. Instead, it is intended that we will supply each centre with a listing of those learners (see part 22.5 in this section of the manual).

It is particularly important that, for these learners, results are reported by 5 July, even where the learner is retaking assessments and/or tests, so that HEIs have information on each applicant. A member of staff should be available during July/August.

4.7 Certification Certificates are issued weekly. Please refer to part 1 in this section for the schedule of dates.

Results must be reported immediately following programme completion so that certificates can be issued as soon as possible.

Edexcel reserves the right to withhold certificates if fees are outstanding at the time of despatch. Certification can be deferred, pending an external verifier or external examiner reporting that national standards are being met and that certification can take place.

Note: With effect from 1 January 2006, the certification of the original NQF Level 4/5 BTEC qualifications is at the level determined by the revised NQF (National Qualifications Framework). A Higher National Diploma which was set at Level 4 in the original NQF is now certificated as an Edexcel Level 5 BTEC Higher National Diploma. This is to conform to QCA requirements and the revision of the QCA National Qualifications Framework.

5 Registration policies and procedures

5.1 Responsibility for registration When a centre has enrolled learners onto an approved Edexcel programme or individual units, the learners must then be formally registered with Edexcel so that achievement can be reported and awards issued. The exceptions are those institutions operating programmes under the Licence Agreement, which only need to report learner numbers.

Responsibility for the registration of learners and for the payment of fees lies with the approved centre. Centres operating under a collaborative arrangement are not able to register learners directly, and the responsibility lies with the franchising centre to register learners and identify the

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collaborative centre attended by each learner. (Please refer to the Collaborative Arrangements Vocational Qualifications Centre Guidance, available on the Edexcel website.)

Where two or more centres are operating as a consortium, the approved centre within the consortium is responsible for registering learners with Edexcel. (Please refer to Edexcel policy: Consortium Arrangements for BTEC and NVQ Edexcel Qualifications, available on the Edexcel website.)

5.2 Timing of registration For programmes which do not follow the academic year, learners must be registered within one month of enrolment at the centre. Enrolment is defined as the day on which delivery of the learner’s programme/unit commences. For roll-on roll-off and assessment-only programmes, such as BTEC Short Courses, it is acceptable for registrations to be submitted monthly if it assists the centre’s administration. All learners must still be registered within one month of enrolment.

Programmes that follow the academic year For programmes that follow the academic year, i.e., enrolment in September/October and completion in June/July, the following deadlines apply:

1 November 2007 BTEC Entry Level Certificates (Life Skills and Skills For Working Life) BTEC Introductory Certificates and Diplomas BTEC First Certificates and Diplomas BTEC National Awards, Certificates and Diplomas BTEC Professional Development Awards, Certificates and Diplomas BTEC Short Courses (Foundation, Intermediate, Advanced and Professional Awards, Certificates and Diplomas).

15 November 2007 BTEC Higher National Certificates and Diplomas BTEC Diploma in Foundation Studies (Art and Design).

15 December 2007 For Higher Education Licence Agreement registrations.

For Higher Education Institutions operating the Edexcel Licence Agreement, notification of Licence Agreement registrations should be returned to Edexcel by 15 December 2007. Please refer to the Licence Agreement Handbook (revised 2007) for further details.

Learners should be registered with Edexcel as soon as possible so that registration output can be produced at the earliest opportunity after enrolment but, in any event, before completion of the programme or unit.

A delay in registration may affect our capacity to provide centres with the assessment and verification/external examining opportunities that they require and, therefore, certification may be delayed. Centres should note that this could cause problems for learners applying through UCAS in order to enter higher education. If you are unclear about the correct time for registrations, please contact Customer Services. (See the Contact Information section of this manual.)

6 Validity of registrations

6.1 Non-NQF programmes Registrations are normally valid for a period of five years or until the issue of certificates, whichever is the earlier.

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Where registration lapses by the expiry of the period of registration, the learner must be re-registered on a currently approved programme: the special registration fee may then be payable. Previous achievement, already verified and certificated, may be credited towards the new registration through the process of accreditation of prior learning (APL).

6.2 NQF programmes Registrations are valid for a maximum of five years. However, certification may not be claimed after the certificate end-date of the NQF qualification, as specified by QCA. It will be specified when final dates for assessments will apply.

7 Deletion of registrations

Learner registrations will not normally be deleted or fees refunded once registrations have been accepted by Edexcel.

However, we are aware that there may be learners who drop out from academic year programmes over the Christmas period. Therefore, we will accept all requests for the deletion of learners registered from September 2007, provided we are notified by email to: [email protected] 31 January 2008 and the learners have not completed any units. The withdrawal of learners online can take place throughout the year and will not credit back any fees.

You must give the learner name and registration number in the email. This provision does not apply to any other learner intake. A new learner cannot replace an individual who has been registered and subsequently left the programme.

8 Registration fees

8.1 Registration fees The programme on which the learner registers and the type of registration determine the fee due. The registration fee covers learner registration, external verification and certification. (Please see the Fees information issued separately.)

Note: A learner cannot achieve more than one qualification per registration, unless he/she is registered on an Edexcel-approved Modern Apprenticeship Scheme made up of two or more qualifications.

8.2 Other charges In some cases, there is a charge for learners who complete additional units. Details of additional charges are identified in the current price list. (Please see the Fees information issued separately.) There may also be a charge for transferring between programmes, where the fee charged for the original registration is less than the price for the programme to which the learner is transferring.

A late registration fee will be charged where the learner’s registration is received by Edexcel after the registration deadline. (Please see the Fees information issued separately.)

8.3 Invoices Invoices are normally issued weekly by the Edexcel Finance Department.

Centres using Edexcel Online to register learners may enter an order number in the ‘Order Number’ box on the ‘Register Students’ screen. This will then be printed on the corresponding registration invoice.

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Centres submitting registrations by EDIFACT EDI and licensed centres are able to use their own numbers to identify learner groups, as appropriate. The reference number may be any alphanumeric reference of up to six characters.

Invoices for registrations submitted by JCQ EDI will show the form reference as 13 xxxx (i.e., board 13 Edexcel registrations, file extension .xxxx).

Edexcel reserves the right to:

refuse to accept new registrations from a centre if the centre has a debt outstanding to Edexcel at the due date of submission of new registrations withhold certificates if the centre has a debt outstanding to Edexcel at the due date of issue of certificates.

8.4 Payment of fees Fees are due within thirty (30) days of the date of the Edexcel invoice, and should be made payable to Edexcel Ltd and sent to the Edexcel Finance Department. (Please see the Contact Information section of this manual).

9 Special registration fee

9.1 Re-registration to complete a non-NQF BTEC qualification or an NQF BTEC Short Course Learners who have gained a qualification will be entitled to re-register to complete one further qualification of the same type/subject area and level, for half the normal fee applicable at the time of re-registration. For example, a student who has completed a Higher National Certificate in Business may re-register for a Higher National Diploma in Business at half the normal fee.

If a previous registration on a programme leading to a qualification has expired and no qualification has been issued, learners may be re-registered on a currently approved programme of the same type/subject area and level, for half the normal fee applicable at the time of re-registration.

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Special registrations are not available through Edexcel Online. As such, any requests for registrations should be put in writing to BTEC RACS and should include centre number, programme number, enrolment date, learner name, date of birth and completion date.

9.2 Re-registration to convert individual units to a full qualification (non-NQF) Where a learner has already registered for four or more individual units (three for the BTEC Short Course or Professional Development qualifications) and wishes to gain credit towards a full qualification, the fee is half the normal fee of the full qualification applicable at the time of re-registration. For example, this facility is for those learners who wish to work towards a qualification on a unit accumulation basis via a part-time mode of study.

Requests should be put in writing to BTEC RACS and should include centre number, programme number, enrolment date, learner name, date of birth and completion date.

9.3 BTEC NQF programmes Special registration is not applicable to BTEC NQF Introductory, First, National or Higher National programmes.

For BTEC NQF programmes, where learners are topping-up their qualification (eg, from a Certificate to a Diploma), the top-up should be submitted through Edexcel Online. In such cases, centres will be charged the appropriate top-up fee. (Please see the Fees information issued separately.)

10 Methods of registration

10.1 Withdrawal of the SA1 (BTEC) form SA1 forms have been withdrawn for all registrations from September 2006. Registrations on an SA1 (BTEC) will not normally be accepted. If you believe special circumstances prevent you from registering electronically, please contact us to discuss your requirements.

10.2 Making registrations on Edexcel Online Edexcel Online is a web-based service designed to make the administration and access of learner information easier and faster. It allows you to make registrations within a few minutes and receive confirmation of registration numbers immediately. Detailed instructions on how to make registrations online are given in part 11.

10.3 Making registrations by EDI (Electronic Data Interchange) There are two EDI formats, which will support BTEC registrations: EDIFACT and JCQ.

EDIFACT file formats may be found under the ‘Requirements for Centre Management Information System (Centre MIS) Providers’ on the Edexcel website (www.edexcel.org.uk) in ‘Services for Centres’, ‘EDI and Basedata’, ‘Centre Support’.

JCQ file formats may be obtained from the JCQ website: www.jcq.org.uk .

EDIFACT

EDIFACT supports the following activities:

provision of centre-specific basedata (Edexcel to centre) registration of learners for BTEC and NVQ qualifications/units (centre to Edexcel) email acknowledgement of file receipt and processing (Edexcel to centre) provision of registration numbers (Edexcel to centre)

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reporting of learner unit grades (centre to Edexcel) confirmation of learner unit and overall grades (Edexcel to centre).

JCQprovision of centre specific basedata (Edexcel to centre) registration for BTEC qualifications: not NVQ or individual units (centre to Edexcel) email acknowledgement of file receipt and processing (Edexcel to centre) amendments to learner registration data (centre to Edexcel) confirmation of learner overall grades (Edexcel to centre).

Software suppliers and CMIS packages supporting BTEC EDIFACT EDIPlease refer to the Edexcel website for a list of software packages that support BTEC EDI. Advice on the operation of a software package should be sought from the software provider. Edexcel is unable to provide technical support for specific software issues.

Becoming a BTEC EDI centre You don’t need specific approval to operate BTEC EDI with Edexcel. However, there are certain key details that we require to enable us to provide you with the full range of EDI services. Please let us know your:

file transmission method (AVCO, Redstone, RM or email) to allow us to send registration and results acknowledgement files back to you the centre EDI contact name, job title, telephone, fax and email address to enable us to email file receipt and processing acknowledgements to you: this should be a generic address where possible (eg, [email protected])

by email to [email protected]

TestingThere is no need to send a test file of data prior to starting to use EDI with us but we would ask that, when you send your first file, you contact us through our Customer Services or through ’Contact Us’ on the Edexcel website (www.edexcel.org.uk) to advise that you have sent a file. We will inspect the file and monitor its progress to ensure that there are no formatting or processing problems.

If you do wish to send a test file prior to starting to use EDI, please contact us through our Customer Services and we will advise you of how to proceed.

Sending filesFiles may be sent to Edexcel by Value Added Networks (VANs).

AVCO ExamService RM SecureNet Redstone webXchange.

Please contact the appropriate VAN for further details of how to send files. Alternatively, you may send and receive files via email. Simply attach a file to an email and send it to: <your centre number>@edidata.edexcel.org.uk .

Note: Please note that this is an automated file receipt address and any correspondence will not be replied to and non-EDI formatted files will not be processed.

11 How to make registrations using Edexcel Online

Please see the Edexcel Online section of this manual for details of how to register for the service if you have not already done so.

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11.1 Choosing header details The ‘Register Candidates’ option can be found in the ‘Candidates’ menu under the BTEC tab. If your centre has more than one sub-site, please ensure that the correct one has been chosen at the top of the page.

This screen allows you to enter information that will apply to a whole group of learners on a particular programme or unit. The individual learner information will be entered in the next stage.

Registration type: full award, individual units or apprenticeship The ‘Full Award’ option should be selected when the learner will be completing a BTEC programme.

The ‘Individual Units’ option should be selected when the learners are completing particular units from a BTEC programme. This should not be chosen if you intend the learners to meet the requirements of the full programme. See below for how to customise a list of units for individual unit registration.

For special registrations, please see part 9 of this section of the manual.

Select ‘Apprenticeship’ when registering learners for a Modern Apprenticeship Scheme. Modern Apprenticeship Schemes link two or more programmes together as a package and you will need to have approval for a Modern Apprenticeship Scheme before you can register learners.

Enrolment dateIt is important that the enrolment date accurately reflects the time in which the group commenced the Edexcel programme. The enrolment date defines the due date for registrations for roll-on roll-

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off programmes. The default enrolment date will be the start of the current academic year, eg, 01/09/2007. If learners are not following the academic year, it is important that this is amended.

By clicking on the ‘Next’ button you are confirming that the enrolment date accurately reflects the learner commencement date.

Order number The order number will be printed on the invoice arising from the registrations. It may be up to six characters (alphanumeric) and can be whatever you choose. The order number can be left blank but you should have some system in place to ensure that invoices can be reconciled to the registrations.

Customising individual units Before selecting the individual unit to be registered for a learner, that unit must be customised. This involves selecting which individual units you will be registering for so that you are not required to choose from all your approved units each time you register.

In order to do this, you will need to select ‘Customised Units’ from the ‘Qualifications’ menu on the left-hand side. You will then be presented with a list of all currently approved BTEC units in alphabetical unit title order. By selecting the units required and clicking the ‘Save’ button you will update your profile of customised units to be used later.

Selecting programme or apprenticeship After clicking the ‘Next’ button you will be given the chance to choose which programme or apprenticeship you wish to register the learners on.

You will now be given a drop-down box listing all of your currently approved programmes or apprenticeships. Simply select the required programme or apprenticeship and click ‘Next’ to proceed. If the programme that you wish to register for is not listed, please check your currently approved programmes in the ‘Qualifications’ menu.

11.2 Register online After selecting all of the header records that apply to all learners in a group, you can now enter the individual learner details.

The register online option allows you to enter all the learner details individually. For large groups of registrations, the register by spreadsheet option may be easier (see part 11.3 in this section of the manual). The information required for each is the same.

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Centre reference This field allows you to enter a reference for your own administrative convenience. It should be alphanumeric, up to a maximum 10 digits in length.

First names The forename must be no more than 20 characters including spaces.

Last name The surname should be no more than 30 characters including spaces.

SexSelect either M for male, or F for female.

Date of birth This is a required field and should be in the format: dd/mm/yy (eg, 24/11/88).

Planned completion This date must be in the future and should be in the format: dd/mm/yy (eg, 01/07/09).

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It is important that a planned completion date is entered as it is used to allocate an external verifier/external examiner and arrange verification/review of the programme’s assessment. For BTEC NQF Level 2/3 programmes in particular, certificates are released for cohorts of learners with the cohort defined by the completion date. The completion dates can be amended online (see part 14) or, for programmes containing an IVA, on form SA24.

LSC (Learning and Skills Council) code This should only be used in cases where the learner is funded by an LSC and you would like us to confirm the learner’s achievement directly to the LSC.

The code entered should be for your local LSC and should be three-digit numeric. Where an LSC code is entered, learners’ results will be confirmed directly to the LSC on a monthly basis. An award list will be produced listing the successful learners for each specific LSC, which can also be submitted as confirmation of learner completion.

LSC code LSC Description

000 National LSC (Cheylesmore House)

001 National LSC (Lockhurst Lane)

002 National LSC (NECS)

010 Derbyshire

020 Nottinghamshire

030 Lincolnshire and Rutland

040 Leicestershire

050 Northamptonshire

060 Norfolk

070 Cambridgeshire

080 Suffolk

090 Bedfordshire and Luton

100 Hertfordshire

110 Essex

120 London North

130 London West

140 London Central

150 London East

160 London South

170 Northumberland

180 Tyne and Wear

190 County Durham

200 Tees Valley

210 Cumbria

220 Lancashire

230 Greater Merseyside

240 Greater Manchester

250 Cheshire and Warrington

260 Milton Keynes, Oxfordshire, Buckinghamshire

270 Berkshire

280 Hampshire and Isle of Wight

290 Surrey

300 Sussex

310 Kent and Medway

320 Devon and Cornwall

330 Somerset

340 Bournemouth, Dorset & Poole

350 West of England

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360 Wiltshire and Swindon

370 Gloucestershire

380 Shropshire

390 Staffordshire

400 Black Country

410 Birmingham and Solihull

420 Herefordshire and Worcestershire

430 Coventry and Warwickshire

440 North Yorkshire

450 West Yorkshire

460 South Yorkshire

470 Humberside

Study mode Choose the main mode of study from the drop-down list.

Franchise number This should be left blank unless the learner is attending a franchisee institution approved to offer the programme. This will enable us to ensure that the appropriate external verification/external examination processes are complete.

CombinationThis is required for BTEC programme registrations only. The drop-down box allows you to choose from the valid combinations and this will usually be A. The programme definition should be used to check different combinations; this can be found in the ‘Qualifications’ menu under the ‘Reports’ option.

Completing the registrations Once you have entered all of the required information for a particular learner you need to click the ‘Add’ button. This will then start a list of learners to be registered at the bottom of the screen. You need to keep adding learner details until you have everyone for that particular course. At this point, you have the option to delete learners from the list using the ‘Del’ button, or to amend any details incorrectly entered using ‘Edit’ next to each learner’s name.

Once you are happy that all information is correct, proceed by clicking the ‘Register’ button. The data will then be checked and, if no problems are found, registration numbers will be displayed on screen. A confirmation report will be available at this point for you to print or save electronically for your records.

Possible errors Any errors relating to the data entered will be displayed, with instructions in red advising you of the problem — for instance, invalid characters in the name field or a completion date in the past. You will have an opportunity to correct the data before uploading once more.

The registration will also be rejected if it is found that a registration already exists for that learner and programme. If this is the case, the learner will be highlighted in green and their existing registration number will be displayed. You will need to remove this learner from the list to be registered before continuing. Where a record is highlighted in green you can view the specific error message by ‘hovering’ the mouse pointer over the highlighted record.

11.3 Register by spreadsheet This option allows you to use a standard format of an Excel spreadsheet template which can be downloaded in order to provide learner details. The spreadsheet, once downloaded, can be completed offline either by the person who intends to make the registrations, or sent to another

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member of staff for the updating of learner details to be uploaded at a later date. This might be a more convenient way of registering large numbers of learners on different programmes. The information required for these fields — centre reference, first name, last name, date of birth, completion date, franchise number and LSC code — is the same and in the same format as required above in part 11.2. It is essential that no amendment is made to the column headings in Row 1, that the correct order of the column is maintained and that no columns are deleted.

SexType either M for male, or F for female.

Study mode It is important that a letter is entered for the study mode column for all learners. This should be one of the letters shown below and must be in this format.

A Full timeB Short full timeC SandwichD Block release E Part-time dayF Part-time day/evening G Evening only H Open learning J Distance learning K Open and/or distance learning L Flexible Z Assessment only (APL). This is only available in cases where a learner has approached you on

the basis of a complete portfolio of previous qualifications or experience.

CombinationEvery BTEC programme should include a combination which will be a single letter and must be entered in this column. For most programmes, there is only one combination which will be A. If you are unsure, please check the programme definition for combinations. This is not required for apprenticeship registrations or individual units.

Individual unit registration by spreadsheet This spreadsheet has the addition of unit code columns. At least one valid BTEC unit code must be entered for each learner in the unit code column.

Uploading the completed spreadsheet When your spreadsheet has been completed and saved, you are ready to upload it to us. Click on the ‘Browse’ button to locate the file on your computer and, once selected, click ‘Upload’.

Once registered, the registration numbers of the learners will be listed in the right-hand column and you will be able to access the confirmation report for your records if you wish.

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Possible errors Any errors relating to the data entered will be displayed with instructions in red advising you of the problem. Examples might be invalid characters in the name field or a completion date in the past. You will have an opportunity to correct the data before uploading once more. The registration will also be rejected if it is found that a registration already exists for that learner and programme. If this is the case, the learner will be highlighted in green and their existing registration number will be displayed. You will need to remove this learner from the list to be registered before continuing. Where a record is highlighted in green, you can view the specific error message by ‘hovering’ the mouse pointer over the highlighted record.

Possible reasons for errors are:

column added or deleted from spreadsheet column headings deleted or amended (must be in bold font) required field not completed DOB or Completion Date not in DD/MM/YYYYY format

sex entered as Male or Female, rather then a single letter M or F study mode not entered as a single letter (eg, FT for full time) LSC code entered when course is not LSC funded.

11.4 Registrations that cannot be made online If you are unable to make a registration electronically, due to special circumstances, you will need to submit the request in writing to BTEC RACS, giving all of the required information. Registrations that you will not be able to make online include:

special registration (S type)learners with enrolment date prior to September 2007. Please submit your request for registration by email to: [email protected] .

12 How to register by EDI

12.1 Downloading BTEC Basedata from Edexcel Online Note: if you are a school using SIMS and wish to send BTEC registrations in the same way that you send other Edexcel entries, you will need JCQ EDI basedata.

There are two EDI formats that support BTEC basedata:

EDIFACT JCQ.

EDIFACT file formats were developed by Edexcel to support the electronic administration of our vocational learners. The formats may be used for BTEC, NVQ, programmes and individual units. They support the provision of centre specific basedata from Edexcel to centres, learner registration and results reporting from centres to Edexcel as well as the provision of registration number and results confirmation from Edexcel to centres.

JCQ formats support the following Edexcel’s qualification types:

BTEC programmes GCEGCSEKey Skills DIDA.

The formats do not support:

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NVQ programmes BTEC and NVQ individual units.

The formats support learner registration and registration amendments from centres and the provision of overall results from Edexcel.

Ordering EDIFACT BTEC Basedata

Click on ‘BTEC’.

Click on ‘EDI Basedata’ on the left-hand menu.

Select Basedata Format as ‘EDIFACT’.

Select Approval Year required (basedata will be available for two years approvals. From 1 July, the next two academic years will appear. After this date, you will have to contact Edexcel should you require basedata for old approvals).

Select either ‘All Programmes’ or a single programme number from the drop-down list (you cannot request more than one single programme at a time).

Select either ‘Include Units’ or ‘Exclude Units’ (If you exclude units you will still receive all units attached to each programme. This is a list of all units approved at your centre that you will only need if you are offering stand alone individual units).

Press ‘Submit’.

If there is a problem with producing basedata for you, an error message will appear asking you to contact Customer Services. They will log your call with the BRACS Operations and EDI team who will investigate the matter and get back to you.

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If the request accepts, the basedata will be emailed as zipped file to your user name email address. If you right click on the file you will be able to view the basedata or to save to file.

Ordering JCQ BTEC Basedata

Click on ‘BTEC’.

Click on ‘EDI Basedata’ on the left-hand menu.

Select Basedata Format as ‘JCQ’.

Select Basedata Subtype as ‘Registrations 9B’ or ‘Results Entry 7B’ (9B should be used for initial registrations in October/November under board 13 (Edexcel Registrations). 7B should be used for requesting a file of your candidates’ overall grades in August under board 15 (Edexcel Key Skills Assessments).

Select Approval Year required (basedata will be available for two years approvals. From 1 July the next two academic years will appear for registration 9B basedata and the previous and current years for result entry 7B. After this date, you will have to contact Edexcel should you require basedata for old approvals).

Select either ‘All Programmes’ or a single programme number from the drop-down list (you cannot request more than one single programme at a time).

Press ‘Submit’.

If there is a problem with producing basedata for you, an error message will appear asking you to contact Customer Services. They will log your call with the BRACS Operations and EDI team who will investigate the matter and get back to you.

If the request accepts, the basedata will be sent to you as a zipped file to your user email address. If you right click on the file you will be able to view the basedata or to save to file.

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12.2 Registration by EDIFACT EDI

EDIFACT basedata

EDIFACT basedata contains details of all programmes and their unit structures and all units approved at your centre. This can be downloaded into your software package to enable you to register learners onto BTEC, ESOL, Entry, ALAN and NVQ programmes and individual units and to report unit grades.

BTEC operates a centre and programme approval process through which centres are allocated their own programme number for each approved course. Therefore, BTEC basedata, unlike that relating to General Qualifications, is unique to each individual centre.

You can download your centre’s basedata from Edexcel Online (see part 12.1 of this section of the manual). You can request all BTEC or NVQ programmes or a single BTEC or NVQ programme. When you order all programmes, you will automatically receive all programmes and a list of all units of that qualification type (BTEC or NVQ) approved for your centre.

We are unable to provide basedata for programmes for which you do not have approval. If you are still awaiting approval for one or more programmes, we would suggest that you request basedata for the centre as a whole and, when you receive confirmation of approvals, request a refresh of your basedata. Please do not delay registration of your main registrations whilst you are awaiting approval. Send an amendment file of registrations for those programmes once approval is received.

EDIFACT file content

It is essential that EDI registration files contain all the required centre, programme and learner details. Programme registrations should include the appropriate header and footer lines, one registration header line per programme and one registration detail line per learner. The registration header must include registration type (R or S), your centre number, programme number, date of learner enrolment and form/order number.

Note: Please note that, if the date of learner enrolment is omitted, the registrations will be initially rejected. We will then set a default date of 1 September for the current academic year and reprocess the registrations.

The form/order number will be quoted in the corresponding registration fees invoice and help to identify learners.

UNB+UNOA:2+99999+EDEX+20070111:1609+1182++++++0 UNG+REGIST+99999+EDEXCEL+20070111:1609+1182+BT+4:2++ UNH+1182+REGIST:5:1++1:F REG1+R+59999+Y1234+20050904+00002++++ REG2+143850+ELIZABETH +BURTON+F+19810623+++N++ REG2+65596+JANE +CRIGHTON+F+19581027+++N++ REG1+R+99999+Y1235+20050904+00001++++ REG2+108145+WENDY +MCADAMS+F+19660709+++N++ REG2+147734+JOHN+CAFFERTY+M+19541021+++N++ UNT+6+1182 UNE+1+1182 UNZ+1+1182

Individual unit registrations should include the appropriate header and footer lines, one registration header line per programme, one registration detail line per learner and one or more registration module detail lines per learner. The registration header must include registration type (I), your centre number, the date of learner enrolment and form/order number. The programme number field must be blank.

The form/order number will be quoted in the corresponding registration fees invoice and will help to identify learners.

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UNB+UNOA:2+99999+EDEX+20070111:1609+1182++++++0 UNG+REGIST+99999+EDEXCEL +20070111:1609+1182+BT+4:2++ UNH+1182+REGIST:4:2++1:F REG1+I+99999++20050904+00003++++BUS.DEV REG2+147735+PETER +BROWN+M+19570928+20060701+A+N++ REG3+20656V REG3+20657V REG2+143851+FRAN ANN+DEELEY+F+19700811+20060701+A+N++ REG3+20656V REG3+20657V REG2+88634+LESLEY +GOLDING+F+19700112+20060701+A+N++ REG3+20656V REG3+20657V UNT+10+1182 UNE+1+1182 UNZ+1+1182

Sending EDIFACT registration files (.erd)Upon receipt of a file at Edexcel, your centre number will first be validated to ensure that the file can be allocated to your EDI account. Once this has happened, the format of the content of the file will be validated to ensure that the content may be processed. Then, when this has taken place, an automated email receipt acknowledgement will be sent to the email address we hold on record for your centre (see ‘Becoming a BTEC EDI centre’ in part 10.3).

After successful validation of a file, the learner details will then be processed through our learner registration process. Once this has happened, an automated email processing acknowledgement will be sent as described above.

The processing acknowledgements contain details of any processing rejections generated by our system. This is for information only and does not require you to take any immediate action. Edexcel will review all rejected learner registration data and will contact you if we require you to take any further action but, where possible, we will resolve the error ourselves.

Note: Please note that remedial action taken by Edexcel may include reprocessing all or part of a file. This will generate a new processing acknowledgement email to the centre.

Receiving EDIFACT registration number files (.ern)

Edexcel will send files of BTEC registration numbers to centres weekly (.ern files) for all learners registered by EDI during the previous week. These files may be downloaded into your system to record the BTEC registration numbers of your learners.

These files will be in version 5 of the EDIFACT file format regardless of the format version of the registration file received at Edexcel. (Version 5 contains the programme number for the learner. This is essential where learners have multiple registrations.)

Edexcel is only able to send automated .ern files for learners registered by EDIFACT EDI.

The .ern files will be sent to centres via the transmission record we hold on record for your centre. This does not need to be the same method by which registration (.erd) files were sent to us. For example, if a file is sent via a carrier we are able to send the .ern file back by email. If you require this, it is important that we have up-to-date EDI contact details for your centre (see above, ‘Sending EDIFACT registration files (.erd)’).

Should you require a file of registration numbers in .ern format for learners not registered by EDI, this may be obtained from Edexcel Online.

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12.3 Registration by JCQ EDI

Obtaining basedata

JCQ basedata contains details of all programmes approved at your centre. This can be downloaded into your software package to enable you to create entries to allow you to register learners onto BTEC, Entry, ALAN and ESOL programmes.

BTEC operates a centre and programme approval process through which centres are allocated their own programme number for each approved course. Therefore, BTEC basedata, unlike that relating to General Qualifications, is unique to each individual centre.

We are unable to provide basedata for programmes for which you do not have approval. If you are still awaiting approval for one or more programmes, we would suggest that you request basedata for the centre as a whole and, when you receive confirmation of approvals, request a refresh of your basedata. Please do not delay registration of your main registrations whilst you are awaiting approval. Send an amendment file of registrations for those programmes once approval is received.

You will be able to download your centre’s basedata from Edexcel Online. You can request all BTEC programmes or a single BTEC programme.

Basedata is only issued for programmes that have current year approval. In June each year, the default is changed to the forthcoming academic year.

JCQ file content

It is essential that EDI registration files contain all the required centre, programme and learner details.

Programme registrations should include the appropriate header and footer lines and one detail line per learner. The detail line must include the learner number and UCI.

E199999139B05SECLIPSEV0510 E399999139B05091SK8 5HA E5C999990001TESTER:SIMON NEIL M010687999990001061L X3271A E5C999990002HANDILAND:SAMANTHA ANNE F240788334370000198T W1750A E5C999990003BROON:LOUISA RUTH F061288999990040060X X3757A E5C999990004JACKSON:DEAN ANTHONY M170789999990037071F X3274A E7999990000006261005 E99999900000080000001

The JCQ format does not permit you to report enrolment and completion dates. Therefore, we will default the date of learner enrolment to 1 September 2007 and the completion dates to 31 July 2009 for National and Higher National programmes and 31 July 2009 for all other qualifications. When you receive the registration listing, please check the completion date and notify us of any changes required.

Sending JCQ entry and amendment filesBTEC registration and amendment files should be created under Board 13 (Edexcel Registrations and series 9B (September).

Upon receipt of a file at Edexcel, your centre number will first be validated to ensure that the file can be allocated to your EDI account. Once this has happened, the format of the file will be validated to ensure that the content may be processed. Then, when this has taken place, an automated email receipt acknowledgement will be sent to the email address we hold on record for your centre (see ‘Becoming a BTEC EDI centre’ in part 10.3 of this section of the manual).

After successful validation of a file the learner details will then be processed through our internal learner registration programme. Once this has happened, an automated email processing acknowledgement will be sent as described above.

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13 Confirmation and outcomes of registration

The outcome of registration is the creation of an individual record for each learner on an approved programme at a specified centre. A unique learner registration number is allocated and the award will be identified by this number, together with the centre and programme number allocated by us on approval. The code numbers listed below are essential components of registration and subsequent award issue, and are represented as:

Field Code required

Learner registration number One letter indicating year of registration + six digits

Centre number Five digits (National Centre Number register) Note: Additional suffixes to the centre number can be allocated on request to ensure that learner documentation is sent to a specific centre site.

BTEC programme number One letter + up to four digits

BTEC individual module number Up to five digits + one letter

Modern Apprenticeship Scheme number MAS + five digits

If incorrect, or insufficient, registration information has been submitted, we will issue a query through Edexcel Online requesting additional information. The query will specify the problem and request additional data in order that the registration may be completed. We will send an email to your designated examinations officer registered for Edexcel Online, to advise that a query has been issued and requires a response. To check if you are registered as the examinations officer for your centre, click on the ‘Edit my Account’ link in the Edexcel Online homepage.

We would ask that you keep track of the queries outstanding with your centre by checking the ‘Form Queries’ option in the BTEC section of Edexcel Online. When you have the answer to a query, please reply to the query online to ensure the speediest possible resolution to the query.

Registration leads to the production of a list of learners with the registration numbers allocated. Listings will normally be produced weekly and will include all registrations processed that week.

13.1 Registration lists Registration lists report back all registration details, with the registration number, and the centre reference number where submitted. Learners are listed by registration number within a programme in the order in which they were entered.

Centres are requested to verify details, especially the learner names, and report any necessary changes to BTEC RACS as soon as possible. Learners not listed will normally have already been queried by us or will appear in a subsequent listing.

13.2 Form SA24 For BTEC NQF programmes that contain IVA units, form SA24 will be issued to confirm the learners’ expected completion dates and the session in which we would expect to carry out National Standards Sampling (NSS) on the IVA. Any amendments to these dates should be reported on form SA24 as soon as they are known.

13.3 EDI centres For centres registering by EDIFACT EDI, registration numbers will be transmitted to the centre electronically in order to update the appropriate systems.

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14 Transfers and changes to registration details

Developments to Edexcel Online and JCQ EDI mean that we will no longer be issuing form SA2 (BTEC) for amendments to or transfers of BTEC registrations. Instructions on submitting amendments electronically are detailed in part 15.

14.1 Transfer of registration to a new centre or programme If, for any reason, the amendment cannot be made electronically then the request should be put in writing to BTEC RACS with all details including centre number, registration number, name and details of the required amendment.

A learner registration may be transferred between programmes and centres, with no extra fee payable, provided that the fee due for the new programme at the time of transfer is the same as, or less than, what was invoiced for the original registration. Where the fee for the programme the learner is transferring to is higher than that invoiced for on the original registration, an invoice will be issued for the difference between the two fees.

A transfer may only take place within the period of validity for the programme to which the learner is transferring, and you must first determine whether programmes within the same level are compatible. For some non-NQF programmes, it may be necessary to consult the external verifier (or external examiner) about this decision.

On programme completion, it is necessary that the learner has completed all the units required for the programme at the final centre. Prior to transfer, it is therefore essential that a comparison of units previously undertaken is made against the requirement of the new programme. The learner must be advised of any additional work that may be needed to meet in full the requirements of the receiving centre. The initial centre must ensure that all the relevant assessment records are passed to the receiving centre. No request for transfer may be submitted for Edexcel programmes until evidence is obtained that the initial centre has submitted all success achieved to date.

A learner may not be transferred from an individual unit registration to a full programme (qualification). In such cases, the learner must be re-registered for a full programme. The special registration fee may be applicable.

Learners may not be transferred from or to a Modern Apprenticeship Scheme and should be re-registered if they change to a new programme or scheme.

14.2 Transfer of a learner from a centre operating under the Licence Agreement If a learner who was previously enrolled at an institution operating under the Edexcel Licence Agreement transfers to your centre, he/she will not hold a registration number. The learner must be registered by you in the normal way. We will issue a credit note for the fees charged for this registration, providing you email [email protected] with learner name, registration number, date of birth, centre number, programme number and enrolment date.

14.3 Programmes which are not compatible All success reported under one registration number will appear on the final, cumulative Notification of Performance or Certificate of Unit Credit.

If a learner, having completed some units of the programme for which he/she was initially registered, wishes to commence an entirely new and different programme where units already completed may not be compatible with the new programme, then the transfer of the original registration may not be applicable.

If the learner does not wish the earlier unit success to appear on final award documentation, then it will be necessary for him/her to re-register.

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15 Electronic amendments and transfers

You are able to amend stored learner data through Edexcel Online or JCQ EDI.

Edexcel Online and JCQ EDI support amendments to:

learner forenames, surname, date of birth and gender programme transfer within your centre.

Edexcel Online only supports amendments to:

planned completion dates transfers from other centres top-up on NQF Introductory, First, National and HN programmes

15.1 Changing learner’s name, date of birth and other details on Edexcel Online

It is important that any errors made at the time of registration are corrected as soon as possible and before claiming certification. The learner details screen can be found through the ‘Candidates’ menu, using either the ‘Search by Candidate’ option, or ‘Search by Course’.

By clicking the ‘Edit’ button at the bottom of the screen you are able to amend all of the fields shown above, as well as being able to claim certification (see part 23).

In order to prevent the substitution of one learner for another, you are able to change only one of the forename, surname or date of birth fields and only once. Any further amendments should be emailed to: btecracs:edexcel.org.uk . Once saved, any certificates issued will reflect the details on our database.

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15.2 Transferring within the same centre Changes to the registered programme for a learner should be made on the screen shown below, found in the ‘Candidates’ menu of the BTEC section. Transfers of registration between programmes of the same qualification type and level are made at no extra charge.

This screen allows you to transfer groups of learners or individual learners to any of your currently approved BTEC programmes. A new completion date is mandatory when transferring. Groups of 20 or more learners will be transferred overnight; all other transfers should take place almost immediately.

If you are unable to transfer a particular learner, please contact us and we will advise if the transfer needs to be submitted in writing.

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15.3 Transferring from a different centre Edexcel Online should be used to transfer learners from other centres to your own. The screen can be found in the ‘Candidates’ menu.

In order that we may validate the identity of a learner transferring into your centre, you will need to provide their date of birth along with their registration number. If these details match, you will be able to choose which currently approved BTEC programme you wish the learner to be transferred to.

It is important to ensure that any units completed by the previous centre are reported prior to the transfer. The receiving centre should confirm the units completed by the learner by viewing the unit certificate gained at the previous centre.

When you have selected the programme to be transferred to, click on ‘Transfer’ to process the transaction.

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15.4 Procedures for topping up on BTEC NQF qualifications (excluding Short Courses) A learner who has been awarded an NQF qualification and who wants to extend the qualification to a larger qualification in the same subject at the same level, needs to top-up the registration to the new qualification. Learners may be topped up as follows:

Learner’s original registered qualification: Learner may top-up to: Introductory Certificate Introductory Diploma First Certificate First Diploma National Award National Certificate or Diploma National Certificate National Diploma Higher National Certificate Higher National Diploma

All top-up registrations should be made on Edexcel Online by 1 November 2007 for learners enrolling in September, or within one month of the enrolment date for learners enrolling in November or later. The learner will retain the registration number allocated to the original programme registration.

Do not re-register the learner for the new programme. Re-registering will create a new registration number for the learner which, in turn, will cause problems on programme completion and delays in certification.

15.5 EDI transfers and amendments EDIFACT formats EDIFACT EDI formats do not currently support amendments to learner registration details. Amendments to registrations may be made through Edexcel Online, as detailed above.

JCQ formats Amendments may be submitted to learner registration details through JCQ EDI. EDI amendments may be made to:

Forename and surname Date of birth Programme code (transfer) within your centre Deletion of learners (up to 31 January) Withdrawal of learners (after 31 January).

Amendments to learner numbers and UCIs should be submitted by email to [email protected] .

Transfers from other centres should be made via Edexcel Online.

For details on submitting JCQ EDI amendment files, please see part 12.2 of this section.

16 NQF BTEC Level 1—3 qualifications: quality assurance and external assessment

16.1 BTEC NQF Level 2/3 and Level 1—3 Short Course qualifications

The current quality model which operates for all NQF BTEC Level 2 and 3 and NQF BTEC Level 1 3Short Course programmes comprises three phases:

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Phase 1: Centre and Qualification Approval

Approvals for this range of BTEC qualifications are usually gained through an online process. Appropriate programme approval must be sought prior to a centre operating a programme.

Phase 2: Centre Risk Assessment

The ways that approved centres manage NVQ BTEC 1 3 qualifications carry with them inherent risks, both to programme delivery quality and to Edexcel. Such risks have the potential to compromise quality in any centre. The purpose of either form of assessment is to judge how a centre manages identified risk areas by effective controls to address any compromise of standards. In 2007/2008, all BTEC centres will be risk assessed, and Edexcel will inform centres which format will apply by the end of June 2007.

Phase 3: National Standards Sampling (NSS)

The external verification of assessment decisions is to ensure that samples are consistent with the requirement of national standards. It is a process that has been used for many years, and for NQF BTEC 1 3 qualifications the process has proved to be a simple and effective method of ensuring that national standards are being met and maintained.

Centre Risk Assessment (CRA)

All BTEC centres are required to undertake CRA from September 2007. Edexcel risk assessments are carried out either by an Edexcel risk assessor visiting the centre (a Visit Assessment) or by a centre conducting the risk assessment (an online Self Assessment). Periodically, all centres will have a visit assessment but, other than this, CRA will be by centre self assessment. Edexcel will inform all centres by July 2007 of the type of risk assessment they will have to complete in June 2007/2008.

By defining risk area and risk controls, CRA enable centres to assure effective and enforced controls over the management of BTEC programmes. CRA also has a developmental dimension. Where shortfalls are identified, the risk assessor will assist a centre to address quality improvement issues.

The identified risk areas are grouped into three graduated risk assessment sections, as below:

Managing assessment risks The compromise to national standards is such that these risks require immediate corrective action. Actions must be addressed within three months. Failure to resolve these actions could impact on a centre’s approval.

Managing learning risks These risks do not present an immediate compromise to national standards, but could do so if not immediately addressed. Resolution may be through actions or recommendations.

Managing resource risks These risks do not of themselves present a compromise to national standards but could affect programme delivery if left unresolved. Poor risk controls will require attention and are recorded.

Process

Full details of the Centre Risk Assessment process are provided in the Centre Handbook: NQF Quality Assurance 2007 2008 and Centre Briefing: Centre Risk Assessment 2007 2008. Further details on risk controls are provided in BTEC Centre Risk Assessment: Risk Controls Guide 2007 2008. These documents are posted on the Edexcel website from September 2007.

National Standards Sampling

NSS is the method by which Edexcel monitors the maintenance of national standards for all units on all NQF BTEC 2/3 programmes and Short Courses in every centre. The information gathered at the NSS activity is available to Edexcel and to regulatory bodies for audit.

ProcessCentres will be asked to present different units year on year for the accredited period of each Programme Area Title (PAT). A PAT is made up of qualifications which are in a set cluster (eg, FD, NA, NC and ND in Hospitality, the higher level qualification will sign off the lower). If a National Diploma is not running, then the next highest qualification will be looked at. Sampling will in the main be postal, with the exception of a few PAT areas.

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Sample: NSS of selected units

The scope of NSS will cover the selected units and approved assignments. The NSS sample is usually one assignment brief and four associated pieces of learner work for each unit selected from the PAT, the sample size being:

4 units (and thus 16 learners’ work) from across the range of programmes in the PAT where the centre is delivering National Diplomas or Certificates 1 unit (and thus four learners’ work) from across the range of programmes in the PAT where the centre is delivering National Awards or First Diplomas or Certificates.

Where there are large numbers of learners on the same programme, the sample size may be increased.

Note: There is no requirement for centres to provide learners’ work that demonstrates total achievement of a unit.

Samples should be supplied from assignments and assessed work that demonstrates how specific assessment and grading criteria have been assessed. Centres should be encouraged, however, to provide a sample containing Pass, Merit and Distinction grading criteria across the range of learner achievement.

Please refer to the centre handbook: NQF BTEC Level 2—3 (including Short Courses at Level 1—3) Handbook 2007—2008, posted on the Edexcel website in September 2007, for full details of the NSS process.

16.2 BTEC Diploma in Foundation Studies (Art and Design) Please refer to the Handbook for the BTEC Diploma in Foundation Studies (Art and Design) 2007—2008, posted on the Edexcel website from September 2007. The main processes are as follows:

Centres must forward a statement of intent (SOI) for each learner to the examiner, six to eight weeks before the examination visit. The SOI’s are accompanied by the centre’s projected grades. The examiner completes FAD 3 SOI Feedback Report and sends it to the centre.Any special assessment arrangements or reasonable adjustments must be notified to Edexcel in advance of the external visit. On the day of the examination visit, the centre presents the examiner with the centre’s proposed grades for each learner eligible for the external examination. Only learners who have achieved a Pass for units 1 to 7 are eligible. Learners who have a referral grade, or have been identified as requiring special assessment arrangements or reasonable adjustments, must have their work available for the examiner’s scrutiny if they wish to achieve certification in the current academic year. Internal standardisation evidence and assessment paperwork must be available. The external examination takes place and the examiner records the final grade against each learner sampled. The examiner is able to adjust grades to meet national standards. The cohort grades are agreed, signed and dated by the examiner and the course leader or other person in authority at the centre. At the end of the visit, the examiner gives feedback to the programme team or course leader. The content of this feedback forms the basis of the FAD 5 External Assessment Report form.

16.3 Entry Level BTEC Certificate in Skills for Working Life and Life Skills For entry qualifications, learners must be registered with Edexcel using the programme number for the appropriate Entry Level Certificate specialist pathway. From academic year 2005—2006, the registration deadline has been changed to align with that for all other BTEC 1—3 Qualifications. Registration deadlines are:

by 1 November of the year of completion for learners studying over a normal academic year within four weeks of starting the programme for learners undertaking a programme in less than an academic year.

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Core units are assessed using Edexcel-devised core assignments. These were first issued in October 2004 on CD-ROM, are valid for the duration of accreditation and are available on the Edexcel website.

Assessments for core units may be undertaken at any time, and no overprinted paperwork is issued related to recording assessment. Where the learner does not meet the evidence requirements of a core assignment, the assessment may be retaken. Edexcel places no limit on the number of times a learner may retake assessments.

All other units are assessed using internally set assessments. The external verifier will verify a sample of assessed work either through postal sampling or by making a centre visit. Details of the sampling framework can be found in the centre handbook External Verification of Entry Level Vocational Certificates in Skills for Working Life and Life Skills Guidance 2007-2008, published on the Edexcel website from September 2007.

After the external verifier has confirmed that national standards have been met, the centre may claim certification. The learner will be issued with a certificate at Entry Level 1, 2 or 3, depending on the unit achievement reported.

16.4 BTEC Introductory Certificates and Diplomas (Level 1) BTEC Introductory Certificates and Diplomas (Level 1) follow the standard registration and certification arrangements for all BTEC NQF qualifications.

For each Introductory Certificate or Diploma (except Art, Design and Media), there is an externally set Project Brief to be used for the assessment of a defined unit(s). The Project Briefs and exemplar assignments are available on the Edexcel website.

All other units are assessed by internally set assessments. An external verifier will verify a sample of assessed work to ensure that national standards are being met. The full requirements are set out in the centre handbook External Verification of NQF BTEC Level 1 Introductory Certificates and Diplomas 2007—2008, posted on the Edexcel website from September 2007.

There are no overprinted forms issued in relation to the sampling of the programme by the external verifier or the use of the externally set Project Brief(s). After the external verifier has confirmed that national standards have been met, the centre may claim certification.

The learner will be issued with a certificate at a grade level based on the unit achievement reported.

17 Higher Nationals and NQF 4—7 qualifications: quality assurance

17.1 Quality assurance process for Higher Nationals The quality assurance process briefly outlined below applies in the case of all Higher Nationals, whether customised, ‘legacy’ or NQF versions, which are run in Further Education colleges under direct funding arrangements from one of the Higher Education funding bodies (HEFCE in England, HEFCW in Wales, DEL in Northern Ireland). The process also applies in the case of private colleges and employer centres which are not recipients of public funding.

Note: Please note that there are separate quality assurance arrangements in the case of Higher Nationals run as institutional awards by Licensed HEIs; please refer to the Licence Agreement page on the Edexcel website.

In the case of Higher Nationals in directly funded FE colleges, private colleges and employer centres, it is a requirement that an external examiner will review all programmes with current

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registrations. The external examiner process is described in detail in the relevant handbook: BTEC Higher National and NQF 4/7 Short Course Handbook 2007—2008, posted on the Edexcel website from September 2007.

The external examiner will normally visit a programme twice per cohort, ie, once per year, and the visit will usually take place towards the end of the annual cycle/academic year. He/she will not only sample assessment but also comment upon academic quality, resources and the Assessment Board process. Examiners are expected to engage with learners and staff and the report form used by external examiners has been designed to articulate with the relevant sections of the QAA Code of Practice for the Assurance of Academic Quality and Standards in Higher Education.

In the case of programmes where special circumstances apply (eg, a very large number of learners), it may be possible for the external examiner to visit more than once per year.

The external examiner’s report not only provides detailed feedback to the programme team in the centre about programme quality and assessment but also allows him/her to recommend the release of certificates. Therefore, if a centre has an external examiner report which includes a ‘Yes’ to certification, certificates can be claimed.

17.2 Quality assurance process for NQF 4—7 Short Courses The external examiner process as outlined above also applies in the case of centres running NQF Short Courses at Levels 4—7. The same reporting protocols apply and the handbook noted in part 17.1 above also applies. The only difference is that there may be more flexibility in terms of contract allocation and visit arrangements, since many Short Courses are not run on an academic year basis.

18 BTEC Foundation Degrees

These qualifications are administered in a completely different way from all other BTEC qualifications, since they are not awarded by Edexcel but validated by the National Validation Council (NVC), comprising HE Institutions with degree-awarding powers. Details of BTEC Foundation Degree protocols are not included in this manual; separate guidance is available from the NVC, in accordance with their validation, quality assurance and awarding arrangements.

The validation model is largely aimed at FE colleges with direct funding, and centres wishing to offer BTEC Foundation Degrees should submit their proposals to offer pre-validated BTEC Foundation Degrees to NVC. Edexcel has been working with NVC to undertake the initial approval of BTEC Foundation Degree titles, frameworks and modules. The protocols and procedures are determined by NVC.

19 Special considerations and access arrangements

Edexcel’s policy on access arrangements and special considerations for BTEC and Edexcel NVQ qualifications aims to enhance access to the qualifications for learners with disabilities and other difficulties (as defined by the Disability and Discrimination Act 1995 and the Amendments to the Act), without compromising the assessment of skills, knowledge, understanding or competence being measured.

Further details are given in the policy document: AA & SC 04-011 Access Arrangements and Special Considerations for BTEC and Edexcel NVQ Qualifications, which is on the Edexcel website. This policy replaces the previous Edexcel policy concerning learners with particular requirements: Assessment of Vocationally Related Qualification: Regulations and Guidance Relating to Learners with Special Requirements (2002).

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20 Equal opportunities

20.1 Equality of opportunity Equality of opportunity is a tenet of our provision and is embedded in Edexcel’s policies. There should be no artificial barriers to Edexcel BTEC programmes and awards, which must:

be available to everyone who can achieve the required standard be free from barriers which restrict access to progression be free from overt or covert discriminatory practices with regard to age, colour, creed, ethnic origin, gender, nationality, marital status, race or sexual orientation pay due regard to the particular requirements of individuals, including those who may require support to undertake learning and assessment be free from any restrictions that are not legally required.

Every approved centre must have an equal opportunities policy and a strategy for monitoring and reviewing, to encompass:

access to assessment and learning prevention of discrimination provision for learners with particular requirements a mechanism for dealing with learner appeals.

It is essential that centres recruit with integrity and fully explore with applicants any issues which may prevent them from achieving areas of their proposed qualification. Centres should assess each applicant’s potential and make a judgement about his/her ability to achieve the qualification or individual units successfully. Centres should refer to the full BTEC Guidelines and Unit Specifications for the particular BTEC title when giving advice to prospective learners. As part of this process, centres should advise learners if there is a more appropriate qualification or if they would only be likely to achieve unit certification.

Note: For full information on equal opportunities, visit the Disability Rights Commission website: www.drc-gb.org and refer to the latest Draft Code of Practice: The Disability Discrimination Act1995.

21 Recognition of previous achievement

21.1 Accreditation of prior learning and/or experience (APL) Please refer to the document APL 03/01 Policy on Accreditation of Prior Learning which is to be found on the Edexcel website.

APL is an assessment process which enables recognition of achievement from a range of activities using any valid assessment methodology. Provided that the assessment requirements of a given unit or qualification have been met, the use of APL is acceptable for accrediting part of a unit, unit(s) or a qualification.

Evidence submitted for APL must be:authenticcurrentrelevantsufficient.

The centre assessor has the responsibility for ensuring that all the requirements of a unit have been met, and for keeping appropriate records.

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Centres are expected to establish their own policy with regard to APL, in line with Edexcel policy. Centres should refer to the Policy on Accreditation of Prior Learning on the Edexcel website.

21.2 Claiming a qualification by APL After assessment of a learner’s previous achievements, registration should be effected in the usual way and APL achievement may then be reported as normal achievement, graded where appropriate, using form SRF or by EDI or online.

21.3 Movement of learners from non-NQF BTEC titles to NQF BTEC titles NQF qualifications have different specifications, assessment, grading and quality assurance arrangements. Therefore, there is no automatic credit or exemption applicable and centres are advised that it is not straightforward to transfer learners from an existing non-NQF qualification, where some units have been assessed, to a new NQF qualification to complete their studies.

If centres wish to transfer learners, the following must be noted:full APL must be carried out for every learner and every internally assessed unit. centres must show that all the assessment criteria within the new NQF title have been met by each learner. where a learner’s evidence does not meet the assessment criteria within the NQF title, centres must set additional assignments aligned to the missing criteria. when transferring learners from non-NQF to NQF BTEC titles, centres must follow the normal transfer arrangements through BTEC RACS.

22 Reporting learner achievement

22.1 Responsibility Centres are responsible for reporting on the achievement for each learner, in respect of all internal assessment requirements for the programme for which he/she is registered, and for reporting success to Edexcel for interim or final certification.

For non-NQF BTEC programmes, the external verifier (external examiner in the case of Higher Nationals) should be given access to learner work in order to check that assessment is being carried out to the appropriate standards. For a newly approved programme/unit which has not yet been subject to verification/examination, learners’ assessment results should not be submitted to Edexcel until external verification/external examining has taken place and the external verifier/examiner has submitted form QRF/external examiner report to Edexcel confirming a ‘Yes’ to certification. Thereafter, it is not necessary for the external verifier/ examiner to verify each individual learner’s achievement, and results may be reported without a final visit from the external verifier/examiner.

For BTEC Diploma in Foundation Studies in Art and Design, unit success should be reported, following the examiner’s final assessment of the confirmatory stage and the overall qualification grades awarded.

For NQF Level 1—3 programmes, external verifiers will undertake National Standards Sampling of specified units. From the work reviewed as part of the NSS exercise, the external verifier will indicate whether national standards are being met. Where a centre has been given a ‘No’ by the external verifier, learners’ assessment results should not be submitted until the centre has addressed the issues, the learners have produced work which meets national standards and the external verifier has given a ‘Yes’ to certification.

For Higher Nationals and NQF Level 4—7 programmes, external examiners will review programme quality and carry out sampling. The external examiner’s report will specify whether or not certification has been agreed for the programme.

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Centres should ensure, when reporting assessment outcomes for a learner, that the programme has been cleared as having a ‘Yes’ to NSS.

22.2 Grades of achievement NQF BTEC qualifications

Overall grade For BTEC Diploma in Foundation Studies (Art and Design), there is an overall grade of Pass, Merit or Distinction, related to performance in the FMP units. For BTEC Introductory, First and National programmes, which were approved as part of the National Qualifications Framework (NQF) from September 2002, Edexcel will calculate overall grades on the basis of the unit results achieved. For BTEC Introductory Certificate and Diploma, there is one overall grade for each learner (ie, Pass). For BTEC First Certificates and Diplomas, for new programmes first approved for September 2006, there will be a single overall grade for each learner including a new grade of Distinction* (ie, Pass, Merit, Distinction and Distinction*). For BTEC National Award and BTEC First Certificate or Diploma programmes that started prior to September 2006, there is one overall grade for each learner (ie, Pass). For BTEC National Certificates, there are two overall grades for each learner (ie, Merit, Merit).For BTEC National Diplomas, there are three overall grades for each learner (ie, Merit, Merit, Distinction). For BTEC Entry Level Vocational Certificates, the overall level of attainment is shown as Entry 1, Entry 2 or Entry 3. For BTEC Higher National Diplomas and Certificates, there is no overall grade but each unit is graded Pass, Merit or Distinction.

Note: BTEC Short Courses do not have overall qualification grades.

Unit grades Achievement should be reported using the grades below:

P — Pass M — Merit D — Distinction.

In the revised NQF BTEC qualifications where there is an overall grade (eg, National Diploma), units completed but not achieved should be reported as U, ie, Unclassified.

Non-NQF BTEC programmes For non-NQF programmes, there is normally no overall grade, unless detailed in the specification. For non-NQF First, National and Higher National units, achievement should be reported using the grades below:


Non-NQF Professional Development/BTEC Award/Certificate/Diploma units do not have an overall grade requirement. Therefore, units for these qualifications are graded as Pass and not as Merit or Distinction.

22.3 Confirmation of learner achievementIt is essential that all centres issue to learners annual reports of success.

Centre reporting grades by EDI should issue their own centre report for learners, and centres using Edexcel Online should issue the learners with the Edexcel Online report provided. It is most

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important that centres accept the responsibility to provide learners with evidence of portfolio achievement in order that they have early official evidence of their success.

22.4 Reporting success to UCAS In March/April each year, we undertake a matching exercise with UCAS to identify those BTEC learners who have applied to UCAS for entry to higher education courses. During July/August, we will provide UCAS with confirmation of these matched learners’ achievements so that HEIs have the latest information on each applicant.

Due to the move to electronic results reporting in 2007/8, we will not be producing red individualised SRF reporting forms for UCAS applicants. In May, we will issue centres with a listing of those learners for whom there has been a successful match. We would ask that this listing is circulated to the appropriate staff members for checking and to ensure that steps are taken to ensure the timely reporting of results to Edexcel.

Where a match cannot be found, because of incorrect spellings or incorrect centre details, UCAS will write to the learners to ask them to send evidence directly to HEIs. We will still be able to inform UCAS of these learners’ achievements if you notify us of the learner’s UCAS applicant number by email to [email protected] . This number must be in the following format: 08–123–345–6.

It is important that results are reported for these learners to Edexcel by 5 July. Where we receive results after 5 July and before 31 July, we make every effort to confirm the results to UCAS.

If you are reporting results to Edexcel by EDIFACT EDI, we would ask that you send a file earlier in July for your UCAS learners only, rather than include these learners in a larger file later in July.

Note: We are concerned by the number of problems which arise where centres do not have staff available in August to resolve queries from universities concerning results. Centres should ensure that staff are available to respond to university queries during this period and that results are sent to us as soon as possible.

22.5 Submission of results to Edexcel Interim reporting Results must be returned or results reported via EDI or Edexcel Online for every learner registered who has achieved unit success, and also where he/she has withdrawn from the programme. If he/she has already been deleted, then you do not need to report. Success on units should only be reported where all requirements have been met. All units other than IVA units are reported on the SRF, by EDI or through Edexcel Online. IVA points scores are reported on the IVA Centre Points Sheet, issued in February each year.

Note: In all cases of interim reporting, a Notification of Performance will be produced automatically.

Dates for grade reporting In order to ensure that certification is received as soon as possible, please refer to part 1.2 in this section for the required dates.

It is essential that each form is signed by the individual designated to sign the declaration of achievement. For learners completing programmes at the end of the academic year, if results reach us by 5 July, awards will be issued by 15 August unless there is an external verification certificate block or a query over the result. Certificates and results for success reported after 5 July may be issued after 15 August.

Note: Results should be submitted immediately at the end of each summer term, as the results submitted to us are used, in some instances, to create the performance and league tables. If you have not reported early enough to enable us to process the results by the end of July, you may find your outcomes are incorrect in these tables.

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22.6 Methods of reporting There are two methods of reporting success:

EDIFACT EDI transmission Edexcel Online.

Note: JCQ format EDI does not currently support the reporting of unit outcomes and award claims for centres to Edexcel. Centres using this format should use Edexcel Online to report success to us. (For example, SIMS uses JCQ format EDI.)

For information on how to receive a file of electronic results in an EDI format in August, see part 23.10 of this section of this manual.

EDI transmission Learners’ unit results, certificate claims and withdrawals may be transmitted electronically by EDI. (See part 23.10 of this section.)

Edexcel Online Centres may report results, claim certification and notify withdrawals through Edexcel Online. (See the Edexcel Online section of this manual for how to gain access to Edexcel Online.)

23 Claiming interim and full certification via Edexcel Online (EOL) or EDI

23.1 Claiming via Edexcel Online Edexcel Online is a web-based service designed to make the administration of learner information easier, faster and more accessible. It allows you to report unit grades and claim certification within a few minutes. Once changes have been saved, our in-house system updates instantly.

The information that we require you to submit when reporting unit grades and/or making award claims online is the same as that which used to be required when completing SRFs.

Choosing header details If your centre has sub-sites, please ensure that the correct site has been chosen at the top of the screen. You will need to select the ‘BTEC’ tab from the qualification bar, followed by the ‘Candidates’ menu and ‘Search by Course’ option.

You then need to use the drop-down menus to determine the qualification type and the session before clicking on the ‘Next’ box.

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This will result in a new window appearing, listing the programme numbers and number of learners registered for the qualification type and session selected. By clicking on the ‘Candidates’ link on the right for the programme the learners are currently registered on, a list will appear showing all candidates for the specified criteria in numerical order of registration number.

To change registration details, please refer to part 15 of this section of this manual. Locate the student for whom you want to claim and then click the ‘Details’ link on the right. This will show the individual learner’s details. Scroll down and click on the ‘Edit’ button, which then allows you to indicate the ‘Claim Type’.

Claim type

Full Award If the learner has completed the qualification appearing in the ‘Programme/Unit Details’ field, click the ‘Full Award’ button.

For learners registered on individual units, only click the ‘Full Award’ button if the learner has completed all the units. It is important that a full award claim is made or a final qualification will

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not be issued. Please ensure that all the requirements for the programme have been satisfactorily completed and all units are showing onscreen, as this entry closes the registration. You should only click the ‘Full Award’ button where the learner has completed all required units and is eligible for the qualification.

Interim If the learner has not completed all the requirements for the qualification appearing in the ‘Programme/Unit Details’ field, click the ‘Interim’ button.

Note: A Notification of Performance will be issued even where an interim claim is made, but this does not close the registration.

For learners registered on individual units, click the ‘Interim’ button if the learner has not completed all the units registered for and you wish to keep the registration open so that the remaining units may be completed at a future date.

A Certificate of Unit Achievement will be issued automatically for all learners registered for individual units.

FallbackClicking this button closes the learner’s registration, so you should only do so where you are sure that the learner will not be returning to continue the qualification at a later date.

For BTEC Firsts, Nationals and Higher Nationals, click ‘Fallback’ where the learner does not qualify for the final award for which he/she was registered, and chooses to receive a Certificate of Unit Achievement instead of the Notification of Performance for individual unit achievement.

Note: A Notification of Performance will be issued even where no final award is claimed, but this does not close the registration. In most cases, the Notification of Performance will be sufficient and it allows the learner to upgrade or to retake units on the original registration with no additional fee.

The Certificate of Unit Achievement does not state the title of the original programme of registration but merely lists units that have been successfully achieved. If a Certificate of Unit Achievement is claimed, the registration is terminated.

For NQF versions of BTEC qualifications, there may be alternative fallback qualifications. However, these will only be awarded when a transfer has taken place prior to certification being claimed.

Non-NQF BTEC (First, National, Higher National) registration only BTEC units approved for the centre, but outside the registered combination, may be added and will be certified on the Notification of Performance. Enter the unit code (up to five digits followed by a letter) into the ’Add Unit’ field.

Additional units undertaken on an individual unit registration (I type) may be added and a fee will be charged and an invoice issued.

Unit grade Units that have already been achieved at your centre will appear onscreen. These units may be upgraded where the final award or fallback has not been issued. To delete or downgrade a unit grade, see part 24 in this section, ‘Amendments to reported success’.

P — Pass (completed/achieved where units are not graded; for example, Professional Development, Entry Level, etc) M — Merit D — Distinction U — Unclassified, for BTEC programmes in the National Qualifications Framework (NQF) only, where the unit was attempted but the minimum requirement for a Pass was not met T — Transferred credit.

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Units from the following qualifications may only be graded as Pass. Merit and Distinction grades are not available.

BTEC Professional Development BTEC Entry Level Vocational Certificates BTEC Credit Framework (pre-2004 BTEC Awards, Certificates and Diplomas) BTEC Diploma in Foundation Studies (Art and Design).

We no longer collect failed or referred grades and therefore these cannot be reported to Edexcel.

Grades should not be reported until all the assessment necessary for individual units has been completed.

The T (transferred credit) is for use only where a learner has transferred registration to a new programme at the same or another centre, previous success on these units has already been reported, and you have received a transfer performance report confirming the grades. In all other instances, credit for previous learner achievement must be assessed by APL.

No request for transfer may be submitted to Edexcel until the initial centre has notified us of all success achieved to date (normally the learner(s) will be able to produce the Notification of Performance). Unless success has been reported, achievement at the initial centre will not be included in the final award.

When evidence of achievement at the initial centre has been obtained in the form of interim certification, and where the receiving centre agrees that programmes are educationally compatible, then a transfer request may be made through Edexcel Online.

Success reported by the initial centre will remain in the learner’s record and be reported on a transfer performance report when the transfer of the learner is requested. This success will show on the final Notification of Performance, together with the units achieved at the receiving centre. The whole document will therefore show units completed at each centre, which together have led to a recommendation for an award against an approved programme.

When recommending a final award for a learner who has transferred, it is necessary to review performance at the previous centre and credit equivalent units at your centre. Indicate with a T against your approved units to show which equivalent units have already been completed.

The use of this transferred credit will allow learner eligibility to be checked against your approved programme and the correct units achieved by the learner to be printed on the certificate.

Problem transfers

For non-NQF programmes, exceptionally, if there are problems with a transfer, but both you and the external verifier/external examiner are certain that the learner has met the general requirements for your approved programme, then an award may be claimed.

However, in order to prevent administration problems, centres are required to identify all necessary units of your programme either by a grade, ie, Pass, Merit or Distinction, or T (transferred credit), to ensure that the recommendation shows that all essential units of your programme have been completed and that the total unit requirements have been met.

This T facility allows you to deal with exceptions at your discretion and prevents undue delay to final certification. For example, if a learner has completed optional units at a previous centre that are not approved on your programme, T can be entered against any one of your optional units to indicate that the learner has met the required total unit value of your approved programme.

The optional unit, as already reported by the previous centre, will show correctly on the Notification of Performance. Modules credited as T will not be printed on the Notification of Performance as being completed at your centre and, thus, final certification will be correct. The T grade can also be used to indicate eligibility if there is a problem with the compatibility of units for learners transferring between programmes at the same centre.

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For BTEC NQF programmes, the T grade may be used to indicate that the same, standard unit was completed at a previous centre prior to transfer. We will then check that the unit was reported to Edexcel by the previous centre.

Award date box

Enter MM/YY (eg, 07/08), to indicate the month that the programme was fully completed.

The date entered, which may be any month/year within the last six months, will appear on the final award document. For advice on submitting claims where the award date is more than six months in the past, email the details to [email protected] .

Awards may not be post-dated. We will print the award issue date as well as the award date on the final certificate.

Overall result

For NQF First and National qualifications, the overall grade is calculated by Edexcel, based on internally and externally assessed units, and nothing should be entered in this box.

For the BTEC Diploma in Foundation Studies (Art and Design), the overall grade for the confirmatory stage should be entered as one of the following:


Withdraw/Reinstate Candidate

Click on this box where the learner has withdrawn from the programme, or where he/she is transferring to another centre and an updated SRF is not required. This puts the registration on hold, but does not permanently close the registration. A Notification of Performance will be issued for any units reported.

Declaration (for centre)

When claiming certification online, the user is declaring that he/she attests to the authenticity of the information and claims submitted and confirms that he/she is authorised to make the statement on behalf of the centre.

23.2 Timing of success reportingData should be submitted for all learners via EDI or through Edexcel Online on these occasions:

at the end of each year/stage of the programme: by 5 July for programmes following a normal academic year, or as soon as possible thereafter, even where learners are retaking assessments or tests (especially important for UCAS applicants) immediately after completion for non-academic year programmes on transfer of the learner to another programme/centre for all learners who have withdrawn from the programme, even where no success has been achieved (especially important for UCAS applicants).

23.3 EDI results reporting: EDIFACT format Sending EDIFACT results files (.era)

EDIFACT file formats may be found in the ‘Requirements for Centre Management Information System (Centre MIS) Providers’ on the Edexcel website (www.edexcel.org.uk) in ‘Services for Centres’, ‘EDI and Basedata’, ‘Centre Support’.

It is essential that EDI results files contain all the required centre, programme and learner details. Results files should include the appropriate header and footer lines, one results header per learner and multiple module/unit grade lines for each learner. The learner results header must include

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registration number, centre number and programme number, together with the appropriate award application, award date, fallback claim, overall grade (Diploma in Foundation Studies in Art and Design only) and withdrawal indicator.

Note: An overall grade of P, M or D must be reported by the centre to Edexcel for learners successfully completing the Diploma in Foundation Studies in Art and Design.

UNB+UNOA+2+12345+EDEX+20080705:1548+45++++++0UNG+RESULTS+12345+EDEXCEL+20080705:1548+45+BT+5:1++UNH+45+RESULTS: 5:1++1:F RES1+ X220151+12345A+Y1234++Y+200807++++ RES2+12345Y+PRES2+12346Y+MUNZ+3+45UNE+1+45UNT+71+45

Sending EDIFACT results files (.era)Upon receipt of a file at Edexcel, your centre number will first be validated to ensure that the file can be allocated to your EDI account. Once this has happened, the format of the content of the file will be validated to ensure that the content may be processed. When this has taken place, an automated email receipt acknowledgement will be sent to the email address we hold on record for your centre (see ‘Becoming a BTEC EDI centre’ in part 10.3).

After successful validation of a file, the learner details will then be processed through our internal learner results programme. Once this has happened, an automated email processing acknowledgement will be sent as above. This email will give details of how many learners were processed and how many rejected.

Note: Please note that remedial action taken by Edexcel may include reprocessing all or part of a file. This will generate a new processing acknowledgement email to the centre.

Receiving EDIFACT results acknowledgements (.ere)Edexcel will send files of BTEC results acknowledgements to centres weekly (.ere files) for all learners for whom results were reported by EDI during the previous week.

EDIFACT .ere files contain confirmation of all unit outcomes reported and the overall grade achieved (only applicable to BTEC NQF and Entry Level Certificate programmes). These files may be downloaded into your system to record the overall result achieved for learners completing BTEC NQF programmes and Entry Level Certificates.

Note: BTEC National Diploma programmes carry a three character over grade (Pass Merit Distinction) but EDIFACT EDI only supports a two character code. To this end, our .ere file carries the following code:

DDD = D1 DDM = D2 DMM = D3 MMM = M1 MMP = M2 MPP = M3 PPP = P1 U = U (UUU is not a code used for describing overall grades)

Edexcel is only able to send automated .ere files for learners for whom results were reported by EDIFACT EDI. Should you require a file of results acknowledgements for learners for whom results were not reported by EDI, please email [email protected] .

.ere files will be sent to centres via the transmission record we hold on record for your centre. This does not need to be the same method with which results (.era) files were sent to us. For example,

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if a file is sent via a carrier we are able to send the .ere file back by email. If you require this, it is important that we have up to date EDI contact details for your centre (see ‘Becoming a BTEC EDI centre’ in part 10.3 of this section).

UNB+UNOA+2+12345+EDEX+20080705:1548+45++++++0UNG+RESULTS+12345+EDEXCEL+20080705:1548+45+BT+5:1++UNH+45+RESULTS: 5:1++1:F RAC1+12345+Y1234+1+X220151++1263+FRED+BLOGGS+20080701+20080810+M+00002314+20080810+RAC2+12345Y+P++15RAC2+12346Y+M++13RAC2+12347Y+D++14UNZ+4+45UNE+1+45UNT+71+45

23.4 Sending BTEC JCQ result entry files

Note: The JCQ EDI formats does not support the submission of unit results and award claims from centres to Edexcel. These should be submitted through Edexcel Online.

To be able to download an EDI file of your learners’ overall qualification grades into your system during August, you will need to set up a summer examinations series. This should be:

Board 15 (your system may say Edexcel Key Skills Assessments) and series 7B (July).

You then submit a file of your summer entries to Edexcel through your usual transmission method.

Upon receipt of a file at Edexcel, your centre number will first be validated to ensure that the file can be allocated to your EDI account. Once this has happened, the format of the content of the file will be validated to ensure that the content may be processed. When this has taken place, an automated email receipt acknowledgement will be sent to the email address we hold on record for your centre (see ‘Becoming a BTEC EDI centre’ in part 10.3 of this section).

Receiving JCQ overall results files

Edexcel will send JCQ results files on the Monday of A level results week for all centres that have sent a results entry file to us for the current series. These files will allow you to download the overall grades achieved by your learners into your system. JCQ formats do not support the transmission of learners’ unit outcomes.

We are unable to provide a results file for learners for whom no results entries have been received (see the opening of this section, ‘Sending BTEC JCQ results entry files’).

Results files will be sent to centres via the transmission record we hold on record for your centre. This does not need to be the same method with which results entry files were sent to us. For example, if a file is sent via a carrier we are able to send the results file back by email. If you require this, it is important that we have up-to-date EDI contact details for your centre (see ‘Becoming a BTEC EDI centre’ in part 10.3 of this section).

23.5 EligibilityThis only applies where a full award application has been made for learners on BTEC programmes. For full certification to be issued, the eligibility requirements must be met for that particular programme. Eligibility requirements are available to view on Edexcel Online for all BTEC programmes that have been/currently are approved at your centre.

For BTEC NQF programmes, you can check eligibility requirements according to the formula on the programme definition.

To order a programme definition from Edexcel Online, select the ‘Qualifications’ option from the menu on the left of the screen, then select ‘Reports’. You are then able to order a programme definition for either an individual programme or for all programmes approved. You can then access

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the programme definition by clicking on your Edexcel Online ‘Mailbox’ at the top of the screen above your centre number.

For this particular programme, the requirements are: 36(36A) and 72(36B and 0C). This means units to a value of 36 are required from group ‘A’ and units to a value of 72 are required from groups ‘B’ and ‘C’, of which at least 36 must be from group ‘B’. As all six units from group ‘A’ have a value of 6, it means all group ‘A’ units are required to reach the value of 36. All units from groups ‘B’ and ‘C’ also have a value of 6, which means six units are required from group ‘B’, and a further six units are required from either ‘B’ or ‘C’ or a mixture of the two.

For non-NQF BTEC programmes, we check the eligibility according to the required total unit value (TUV) and the completion of all Essential units (E* and E status).

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For this particular programme, a TUV of 10 is required. As all units have a value of ‘1’, it means 10 units are required to meet this criterion. Included in these 10 units must be all Core and Essential status units. Additionally, the Common Skills units must be completed, as they are core units.

Where eligibility requirements have not been met for learners’ full award claims, centres will be notified via a query form. Eligibility does not apply to unit registrations as there are no eligibility criteria for individual units.

23.6 External verification and external examining: certificate block Where problems have been encountered with the assessment of the programme or individual learners, the external verifier or external examiner will report this to Edexcel.

If a certificate block is put in place because national standards are not being met, then certification for learners on these programmes will be blocked until the issues of standards are resolved.

23.7 Certificate deferrals Certificate deferrals occur where no external verifier or external examiner report has been received by us or where a centre or learners at the centre have been blocked for certification.

A weekly report is produced and forwarded to centres identifying the learners affected and the appropriate action required to remove the deferral.

23.8 Learners re-sitting units: BTEC Firsts, Nationals and Higher NationalsLearners may upgrade performance prior to award issue at any time within the validity of registration. Revised recommendations should be reported via Edexcel Online, or transmitted via EDI where appropriate, quoting:

learner registration number learner name unit code

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unit grade award claimed (where appropriate).

An amended Notification of Performance will be issued in all cases. Re-sit grades may be reported at Pass, Merit or Distinction levels.

For units within NQF BTEC qualifications, a learner who does not achieve a Pass may take the subsequent assessment. In such cases, the centre must amend the learner’s estimated completion date and assessment window to ensure that overprinted forms for the subsequent assessment are received.

A learner who has achieved a BTEC NQF qualification, and who wishes to upgrade the result, must first decline the grade awarded before units can be retaken.

24 Amendments to reported success

Prior to final qualification issue, unit upgrades may be made through Edexcel Online or by EDI. Unit downgrades and the deletion of unit grades should be actioned as described below.

Amendments to unit grades reported after the qualification has been issued must be accompanied by a written explanation. Where award documentation has already been issued, the original Notification of Performance should be returned so that a revised document may be issued. Where the amendment leads to a change in the overall qualification result, the original qualification certificate and Notification of Performance should be returned, with form SA16(BTEC).

Any request for amended certificates received by Edexcel more than one month after the certificates were issued will be subject to the Edexcel duplicate certificate fee which is applicable at the time the request is received.

24.1 Decline grade A learner who wants to reject the grade(s) achieved on an NQF qualification must make a request to decline the grade(s) through his/her centre. Requests to decline grades should be made on form SA9(BTEC) and should reach Edexcel within five weeks of the receipt of certification by the centre. All certification must be returned with the request. A request received within five weeks of the receipt of certification will be processed free of charge.

Once the grade(s) has been declined, an interim Notification of Performance and a new SRF will be issued for the learner.

Late requests will only be accepted within the validity of the learner registration and the programme approval. Any late request accepted will be subject to a duplicate certificate fee.

24.2 Certificate recalls on NQF programmes Where there has been a change to the overall grade(s) for a learner on an NQF programme after certification has been issued, the original certificate and Notification of Performance must be returned to BTEC Registration and Certificate Services at Edexcel, with form SA16(BTEC) or SA6, before amended documents will be issued.

24.3 To re-open a registration where a fallback Certificate of Unit Achievement has been issued When a fallback Certificate of Unit Achievement is claimed and issued, the learner’s registration is closed. If the learner then resumes his or her programme of study, we will re-open the registration on request from the centre. This request will be subject to the standard duplicate certificate fee at the time of the request.

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24.4 Queries raised by Edexcel: form queries If learners’ reported success cannot be satisfactorily processed because of insufficient or incorrect information, or if an award has been withheld due to ineligibility on the basis of the information submitted, we will issue a query to the centre through Edexcel Online.

An email is sent to the designated examinations officer registered on Edexcel Online, to advise that a query has been issued. Centres should then reply to the query online by clicking on the ‘Reply’ button.

The query will specify the problem and request additional information or documentation in order that processing and award issue may be finalised. The query should be dealt with by the centre immediately and replied to online in order to avoid unnecessary delay in the issue of a final award.

It is important that there is a designated examinations officer registered for Edexcel Online at each centre. To check whether you are registered as the examinations officer, click on the ‘Edit my Account’ link from the Edexcel Online homepage.

A progress check is kept on queries to ensure that a response is received and that outstanding problems are resolved.

25 Award documentation

25.1 Certificates Certificates are issued to the centre weekly as necessary. They are normally sent by recorded delivery or by courier service.

Where certificates are normally distributed by the centre at an award ceremony, sympathetic consideration should be given to learners who require awards earlier for employment purposes. Centres are requested to issue awards to learners as soon as possible after receipt from us.

Exceptionally, certificates for specific issue can be sent to a home address, provided an application is made by the principal or head of centre.

Note: Edexcel reserves the right to withhold certification if fees are outstanding at the time of despatch.

25.2 Course Assessment Report: all programmes A listing of grades reported for all learners, the Course Assessment Report (CAR), will be produced showing the current status of the learner. This listing is for reference purposes only and no action needs to be taken by the centre. Any problems will be queried separately by us.

25.3 Evidence of achievement Successful completion of all programme requirements will be recognised by the issuing of an Award, Certificate or Diploma, as appropriate, together with a unit certificate, the Notification of Performance, Certificate of Unit Credit, or credit transcript, which lists all units successfully completed.

Where the learner does not complete all programme elements satisfactorily, and you do not claim the final Award, Certificate or Diploma, the unit certificate appropriate to the programme will automatically be issued. It will list all units successfully completed.

This document gives evidence of completion in order that all units successfully achieved may be used as credits in the future, and it allows learners to retake or add units under the same registration free of charge throughout registration validity.

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Successful completion of individual units is recognised by the award of a Certificate of Unit Achievement, which lists all units satisfactorily completed.

25.4 Notification of Performance: BTEC Introductory, First, National,Higher National, Entry Level Vocational, Professional Development, Diploma in Foundation Studies (Art and Design), Customised Framework programmesIndividual notifications of performance will be issued in respect of all learners registered for the above programmes for which interim or final results have been received.

The Notification of Performance will list all units achieved on the registration to date, at all centres attended. The title and details of each unit studied at each centre and the grade achieved will be shown, together with an indication of the current status of the learner.

This Notification of Performance should be forwarded promptly to the learner, so that he/she has evidence of achievement to offer for entry to a further programme, for employment purposes or for transfer to another centre.

A learner may collect a number of notifications of performance during completion of a programme of study and each document will be a cumulative record of success up to the date of issue.

25.5 Certificate of Unit Achievement: BTEC First, National, Higher National, Short Course programmes and BTEC individual units

Learners registered on a programme of study which does not lead to a full award or who do not obtain the qualification for which they were registered, and who claim a Certificate of Unit Achievement, will receive details of graded success, where appropriate. This document will be a cumulative record of success to the date of issue and does not state the title of the programme for which the learner was originally entered.

The issue of a Certificate of Unit Achievement, where learners fail to achieve the Award, Certificate or Diploma for which they were registered, closes the learner’s registration. It should be noted that a Notification of Performance will automatically be issued for all units reported, so a request for a Certificate of Unit Achievement should not be necessary unless specifically requested by the learner.

25.6 Award date The award documentation will show the month and year in which a programme was completed. Unless otherwise requested, one of five standard months (depending on the date of receipt of the recommendation) will be printed by us on all award documents, as follows:

Results received Award date December—February DecemberMarch—April MarchMay—June MayJuly—September JulyOctober—November September

If, for any reason, results were submitted late to us, or the programme was of unusual duration, the centre can backdate the month to be entered on the final award by up to six months when reporting through Edexcel Online or EDI.

The termination of the programme and the appropriate month for inclusion on the final award must be taken as the month in which the total learning process (including the final assessment) was completed, and not the date on which any formal teaching finished.

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Award claims may not be backdated by more than one year without a written explanation for the lateness of the claim.

Note: In order to ensure that the award date is correct, centres are advised to report this date for all learners who do not complete the programme at the end of the normal academic year.

25.7 Award lists An awards list will be issued for each programme. Where Learning and Skills Council (LSC) codes have been reported, a separate list will be produced for each LSC. These lists should be retained for information and for LSC funding purposes if required.

Note: In order to provide a list for a specific LSC, you must enter the LSC code against the learner on registration. (See part 11.2 of this section of the manual).

If certification is, exceptionally, issued outside our normal award date, we are unable to produce the award list automatically and you will need to contact BTEC RACS.

The award lists for full qualifications have been agreed by QCA and DfES as providing the appropriate evidence of learner achievement and they are acceptable as official documentary evidence for output-related payment purposes.

We also confirm all qualifications, issued by a centre, to each LSC monthly, where you have notified us at the time of registration that a learner is LSC funded.

25.8 Acknowledgement of receipt of awards: form SA6 All awards received should be checked for accuracy. The personalised form SA6 ‘Awards Receipt Acknowledgement’ issued with the awards should be completed and returned to BTEC RACS as soon as possible to confirm receipt. Any amendments necessary will be actioned and the corrected documents sent to you.

Any request for amended certificates received by Edexcel more than one month after certificates were issued will be subject to the Edexcel duplicate certificate fee which is applicable at the time the request is received.

We will not accept responsibility for missing award documents, unless we are informed of the omission within one month of award issue.

25.9 Retention of certificates If learners do not collect certificates, it is the responsibility of centres to retain this documentation for a minimum of 12 months. They may then be destroyed (in a confidential manner). However, a duplicate award fee will be due if a replacement is then required. Uncollected certificates should not be returned to Edexcel.

25.10 Outstanding financial obligations to the centre Centres are reminded that certificates are and remain at all times the property of Edexcel. Where a learner has been registered and an award has been claimed but he/she has an outstanding financial obligation to the centre, and the centre is considering withholding the learner’s certificate until settlement of the financial obligation is made, the centre must always seek the prior consent of Edexcel to withholding the certificate. Edexcel reserves the right not to permit the centre to withhold the certificate.

The additional charge of a late registration fee can be levied by a centre on a learner who does not pay the initial registration fee when required.

In order to avoid problems, centres are advised to ensure that they receive all necessary payments from learners prior to registration.

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25.11 Incorrect and invalid certificate claims Where a certificate has been claimed in error for a unit or qualification that the learner did not actually complete, the certificate(s) must be returned to BTEC RACS with an explanatory letter. The letter should explain how the error occurred, describe the nature of the error and detail any steps taken to prevent a recurrence of the error.

26 Replacement certification

Lost between Edexcel and centre We will take every care to ensure the correct preparation of the award and the receipt by the centre of a satisfactory document. All award documents are issued to centres by recorded delivery, or by a similar service that provides evidence of delivery.

If a centre has to return documents to us, either recorded delivery should be used or proof of posting obtained from the post office. Either will be accepted as satisfactory evidence of posting.

Lost by centre We ask that you take due care in receipt and distribution of award documents. However, if you misplace award documents in the centre, you may apply in writing to Edexcel giving full details of the loss. In such cases, a duplicate certificate fee per learner will be charged for replacement. Applications should be sent in writing to BTEC RACS.

Learner name The centre is asked to ensure that the learner’s name reported on registration is the name that he/she wishes to see on the final award document. We will issue amended award documents where the learner’s name is incorrect because of a spelling mistake. Where a change of name is required, the original document must be returned to Edexcel.

A replacement certificate fee will be charged if the request is received by Edexcel more than one month after the certificate was issued. No change of name that has taken place later than the award date can normally be taken into account. Learners should be made aware of this policy.

Damaged documents If any damaged award documents are received by the centre, they should immediately be returned to Edexcel for replacement.

Lost or damaged between centre and learner We cannot accept responsibility for the loss or damage of documents between the centre and the learner. It is suggested that centres either arrange for personal collection or use recorded delivery for despatch of original documents. We make every effort to pack documents securely and advise centres to ensure that any awards mailed to learners are likewise securely packaged.

If award documents are lost between the centre and the learner, you may apply in writing to BTEC RACS for duplicates, enclosing details of any information you have from the post office regarding the loss. A duplicate certificate fee per learner will be charged for replacements.

27 Duplicate documents

27.1 Certificates or diplomas Where the original was issued after 1983, the learner may apply for duplicate award documents on form SA5 (Vocational), available from Edexcel Operations (Past Records).

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If an award document is damaged after receipt, a duplicate will be issued on payment of the appropriate fee, provided that the original is returned to us. Duplicates, whilst of precisely the same standing as the original they replace, are produced in the layout currently in use and they may not be facsimiles of the original.

Duplicates may be issued to replace award documents which are lost, stolen or completely destroyed, provided that the application is witnessed and a copy of a birth certificate or passport is produced.

There is a fee for such a replacement, which covers the award and, where appropriate, the Notification of Performance or Certificate of Unit Credit. The fee must accompany the application.

Note: In cases where documents are lost in transit, a period of at least four weeks must elapse before application for the issue of a duplicate document is made.

27.2 Notification of Performance, Certificates of Achievement or Unit CreditDuplicate copies of these documents will be produced on payment of the appropriate fee and completion of the application form.

28 Letter of confirmation: for awards originally obtained prior to 1984

A letter confirming success will be produced on payment of the appropriate fee where award documentation was issued prior to 1984, as the original certification is no longer available.

29 Centre and programme closures

Centres are reminded that where there is a planned closure of a centre or programmes, it is a requirement that Edexcel is informed in writing. This communication should include information as to the proposed plan for learners who are registered and active as well as those who are enrolled but not yet withdrawn. A progression plan would need to be proposed and agreed with BTEC Quality Standards.

Records should be kept for three years and, where this is not possible, a plan made of where they will be stored. Records which should be kept are those which allow for an audit trail of the process from registration to certification, including records of assessors and internal verification activities. Retaining records is an obligation for all centres that are approved to offer Edexcel qualifications.

Where there is an unexpected closure, it is important that BTEC Quality Standards is informed in writing as soon as the remedial actions are identified.

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