National College of Ireland

Diploma in Personal Financial Planning

Special Purpose Award

Level 8(60 ECTS CREDITS)

Transnational Delivery in the UK

APRIL 2014

PAEC/A6/6.2.1

1 Proposed Programme Schedule .................................................................................. 3 2 Introduction .................................................................................................................. 5

3 Outline of the Proposed Programme .......................................................................... 6 4 Programme Proposal ................................................................................................... 7

4.1 Educational Objectives and their Assessment ................................................... 7 4.2 Rationale for Delivering the programme in the UK ........................................... 7

4.2.1 Profile of the Proposed Programme’s Target Learners ............................. 7 4.2.2 Protection for Learners ................................................................................ 7

4.3 Access ................................................................................................................... 8 4.3.1 Access Criteria ............................................................................................. 8

4.3.2 Access Processes Including Recognition of Prior Learning ...................... 8

4.4 Programme Organisation & Quality Assurance ................................................. 8 4.4.1 Programme Delivery .................................................................................... 9

4.4.2 Registration and Certification of Learners ................................................. 9 4.4.3 Location Selection ........................................................................................ 9

4.4.4 Teaching & Learning Strategy .................................................................. 10 4.4.5 Teaching and Learning Strategies for this programme ......................... 10

4.4.6 Learning Environment .............................................................................. 11 4.4.7 Induction Process ...................................................................................... 11

4.4.8 Programme Assessment Strategy ............................................................ 11 4.4.9 Faculty........................................................................................................ 12

5 APPENDICES ............................................................................................................... 13 5.1 Appendix 1 Glossary of Terms Used in Financial Services ............................ 13

5.2 Appendix 2: Off-campus location Audit Form ............................................... 14 5.3 Risk assessment of new collaborative provision ............................................ 19

PAEC/A6/6.2.1

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PAEC/A6/6.2.1

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PAEC/A6/6.2.1

2 Introduction The Minimum Competency Code (MCC)1 for financial institutions as set down in legislation in 2007 and revised in 2011, has been one of the greatest compliance challenges to face the financial services community in Ireland. In essence the regulation requires that all individuals in “advice based roles” must be accredited, i.e. hold an appropriate qualification for that role, or have qualified for “Grandfathered status”. (Grandfathered status is awarded to experienced staff who have served a minimum length of time in a given role). The legislation also requires that all accredited individuals undertake continuous professional development (CPD) each year.

NCI first entered this market in 2010 with the Diploma in Pensions Management and Practice and its associated Certificate in Insurance Investment and Retirement Planning which attracts MCC recognition for retirement and pensions planning.

NCI’s provision in the general retail financial services area was extended in 2013 with the addition of the Certificate in Personal Financial Planning and Diploma in Personal Financial Planning. Graduates of these programmes can apply for Personal Financial Planner (PFP) designation from the Canadian Securities Institute and this designation is recognised by the Central Bank of Ireland as the designation that meets the MCC.

In addition, learners who study the programme on a modular basis and gain single subject certification can apply for the Accredited Product Professional (APP) designation which is owned by NCI and recognised by the Central Bank as meeting the MCC for specific products e.g. loans, life assurance, savings & investments, general insurance etc.

See http://www.centralbank.ie/regulation/processes/minimum-competency/Pages/qualifications.aspx for an outline of how this is mapped.

This proposal is to seek QQI approval to extend delivery of the approved programmes to selected locations within the UK. Although specific sites are unknown at this time with the exception of Sterling Insurance2, West Maling, Kent, future locations will be based within companies in the financial sector using their training facilities and will be selected using NCI’s off-campus location selection process (see 4.4.3). Faculty delivering the programme are selected from those currently delivering the programme in Ireland. All programme organisation and management will be run from the College’s IFSC base.

This delivery has been assessed using NCI’s agreed procedures on Collaborative and Transnational Provision (approved July 2011). The risk assessment for this venture has been scored at 23 which is in the low-risk category. (see Appendix 5.3).

1 http://www.centralbank.ie/regulation/processes/minimum-competency/documents/minimum%20competency%20code%202011.pdf. (accessed 14/3/13)2 See http://www.sterlinginsurancegroup.com/

PAEC/A6/6.2.1

3 Outline of the Proposed Programme Programme Title Diploma in Personal Financial Planning Commencement Date May 2014

Locations for Provision Address Locations in the United Kingdom as approved by NCI using agreed

procedure (see section 4.4.2)

Modes of Delivery Full time Blended Yes Part-time Yes Off-Campus Yes Block Yes

Work placement for which credit is allocated No Credits Duration Not applicable

Access Arrangements

Min Academic Requirements Applicants will normally hold a degree at level 7 or equivalent qualification in finance, business or other cognate field (e.g. accounting, HR etc.). Candidates who do not have the minimum academic requirements may be admitted using the College’s recognition of prior learning policy.

Work Experience Must be working or have worked in the financial services sector

Progression Arrangements Programme Name Provider

Learners may progress on a case by case basis to related level 9 academic or professional progammes

PAEC/A6/6.2.1

4 Programme Proposal

4.1 Educational Objectives and their Assessment The programme learning outcomes remain unchanged from those approved.

4.2 Rationale for Delivering the programme in the UK As a proportion of the activities of the retail banking sector are being outsourced to companies outside of Ireland, there is a requirement to ensure that employees dealing with customers based in Ireland are appropriately equipped and have sufficient knowledge of the Irish regulatory framework and financial codes. The retail financial services market is changing rapidly as more financial services companies enter the market from the UK. Many of the new UK entrants wish to service the Irish market from their existing UK offices before establishing a physical presence in Ireland. The relevant Irish government departments have expressed a strong preference for these companies to comply with the Minimum Competency Code. The Consumer Protection team in the Central Bank welcome the proposed delivery of the programme in the UK to assist them in their enforcement of the Code to the benefit of the Irish consumers.

The initial cohort for which approval is sought is for delivery is two groups of 8-10 learners at Sterling Insurance which is based in Kent. This cohort will initially study Law and Regulation and the Personal, General and Private Medical Insurance modules. There are further opportunities to deliver the APP award in Personal, General and Private Medical Insurance to a number of UK companies based on a number of enquiries received via Compliance Ireland. Enquiries have also been received from Business Process Outsourcing (BPO) companies operating in the UK for NCI to deliver an APP in Loans which would entail delivery of the Law & Regulation and Loans modules from the Diploma in Personal Financial Planning/Certificate in Personal Financial Planning

4.2.1 Profile of the Proposed Programme’s Target Learners The target market for delivery outside of Ireland will be employees of Banks, Credit Unions and Life companies who are based in the UK but dealing with customers based in the Republic of Ireland.

4.2.2 Protection for Learners NCI’s policy is that once a programme has commenced, the programme will be completed for all learners enrolled. NCI is currently in the process of arranging learner protection to allow learners to transfer to other institutions for all of its programmes as it was not previously subject to this legislation as a not-for-profit organisation. Until these arrangements are in place, NCI will place sufficient funds in a blocked or Escrow bank account to allow refund of all fees as required as required by the Qualifications & Quality Assurance Act 2012, 65(4b), for each cohort of this programme submitted for validation until the cohort has completed its study programme and assessment or until such time as an agreement is made with two alternative providers to allow learners to transfer to a similar programme.

PAEC/A6/6.2.1

4.3 Access

4.3.1 Access Criteria Applicants will normally hold a degree at level 7 or equivalent qualification in finance, business or other cognate field (e.g. accounting, HR etc.).

Applicants who hold a minimum level 7 or equivalent qualification in a non-cognate field but are working (or have prior experience) in the financial services sector will also be eligible for entry onto the programme. Applicants who are not working in the financial services area will be assessed for entry on the basis of their qualification and prior learning.

Applicants, who already hold MCC certification will be assessed for entry onto this programme on the basis of the minimum academic requirements or prior learning

Applicants who do not hold a level 7 or equivalent qualification will be assessed for entry on the basis of prior learning.

Applicants must demonstrate a minimum competency in the English Language of 6.0 in the IELTS test (or equivalent)

The ability to produce written summaries, participate in discussions and projects on academic and applied matters will be important. Participants must also have numeracy skills and the ability to engage in financial computation.

The ability to engage in a significant amount of self-directed learning will also be essential.

4.3.2 Access Processes Including Recognition of Prior Learning All applicants will be assessed for entry based on work experience along with a commitment towards the academic requirements for the programme. This may be assessed using a written application from the candidate and/or by interview. Normally learners will be employed and/or have access to organisations for learning and assessment purposes.

Applicants who do not have the minimum academic entry requirements will be required to complete a portfolio which addresses how the applicant has met the learning outcomes using QQI’s business standards at Level 7.

NCI may also engage in advanced standing recognition at an institutional level of the work based experience and training of individual organisations in the sector. Applicants certified by their employer as having completed this programme may also be considered for entry.

4.4 Programme Organisation & Quality Assurance The programme is managed by a programme team with a dedicated programme director and programme co-ordinator to provide administrative support. The programme team is responsible for the programme’s quality assurance and meets at least 3 times per year to review programme progress. An annual report is provided

PAEC/A6/6.2.1

to the Dean of School which is used to manage programme development and monitor quality assurance.

4.4.1 Programme Delivery A part-time learner will typically complete the programme over 2 academic years in duration, (approx. 10 -15 credits per semester) however, learners may choose to take a more modular approach.

4.4.2 Registration and Certification of Learners Learners will be registered on QuercusPlus (NCI’s student record system ) as students of NCI. Learners will be registered with QQI using QBS. As these learners will be resident outside of Ireland, they will not have a PPS number. However, NCI will collect the learner’s National Insurance (NI) number as an equivalent identified (subject to data protection legislation)

4.4.3 Location Selection Locations for delivery will be proposed and selected using NCI’s process for the approval of off-campus locations. Locations may be proposed by the Registrar’s Office, Student Recruitment & Marketing, Professional Education & Training, International Office, or a School.

1. Locations are chosen based on their appropriateness for the programme being delivered. All locations must have access to

electronic presentation facilities, internet, refreshments for students

2. Locations delivering programmes in the area of computing must have teaching spaces that can accommodate the minimum specified machine required for delivery of the programme. This is determined on a case by case basis.

3. The location must be visited by a member of NCI staff prior to the programme commencing to ensure that facilities are as expected and agreed.

4. Locations should be visited at least annually 5. Outcomes of student feedback mechanisms should be made known to off-

campus centre providers 6. The Health & Safety statement of the centre should be examined and included

in the centre profile 7. The Centre Profile should be maintained and hold all documentation relating

to that centre including contact details, contracts, health & saftety statements, outcomes of visits and student feedback mechanisms, audit forms. See Appendix 2 - off-campus Audit Form.

PAEC/A6/6.2.1

4.4.4 Teaching & Learning Strategy Critical to supporting the off-campus delivery of this instance is that this programme is largely delivered in Blended Learning mode. NCI’s E-Learning Strategy defines, “Blended Learning” as: the integrated combination of a number of pedagogic approaches – usually traditional learning with e-learning approaches. In this definition the important words are integrated combination - this means that blended learning is not a collection or mixture of pedagogic approaches - it is the planned and complimentary use of different media, learning environments and teaching scenarios to deliver a more engaging and useful learning.

The rationale for incorporating blended learning includes:

Flexible and adaptive learning to suit student’s needs

Expanded collaboration and goal-oriented activities

Promoting self-directed and autonomous learners

Catering for individual learners through engagement and multiple modes of learning (e.g. visualization, animation, simulation, narrative and interactivity).

Supporting effective teaching strategies such as problem based learning, meaningful contexts and case studies, learner collaboration, open and continuous assessments, simulations, learning by doing and many others.

Programmes that are delivered in Blended Learning Mode utilise the College’s Learning Management System (Moodle) and virtual classroom technology platforms (e.g. Captivate, Adobe Connect) to manage student learning activities and communication.

4.4.5 Teaching and Learning Strategies for this programme The philosophy behind the Teaching, Learning & Assessment strategy for this programme is to ensure that learners have both the knowledge required and the application skills necessary to provide a holistic approach to financial planning. Due to the nature of the sector, the learner must be equipped with the tools to be able to continually learn and update his/her knowledge. During this programme, the student will acquire the technical knowledge necessary to advise in the various need areas within the financial services sector, they will learn how to provide this advice, and extremely importantly, will actually have provided this advice in a controlled environment in the same way that they will do in the real world.

Each module has been reviewed and the delivery plan constructed to optimise use of traditional and digital classrooms, self-directed and online activities and learner collaboration. Once the delivery plan is finalised, each module descriptor is provided to a content author who develops the material required for the online delivery. All activities are developed according to NCI’s blended learning standards outlined above and emphasis has been placed on ensuring that learners can engage and be engaged in the learning with their lecturers and peers.

Self-directed learning is incorporated into teaching plans and learners will are required to review specific cases or material as indicated by the lecturer prior to class, which may then be incorporated into the discussion in class, where relevant.

PAEC/A6/6.2.1

Teaching will be applied and practical in nature by incorporating the application of knowledge & concepts to contemporary case studies, real life experiences building upon learner’s workplace experience and reviewing relevant studies. Where a learner is not currently working, they will be able to draw on previous experience and/or NCI will use its networks to facilitate access to host companies.

For the purposes of clarity, contact hours outlined in the Approved Schedule in section1 included Standard Tutorials, Workshop Tutorials, Online Classes and recorded seminars.

4.4.6 Learning Environment This programme will be delivered using the College’s virtual learning environment which is currently Moodle. Using the content developed as outlined in the learning, teaching & assessment strategy, the learning objects and tools used will either be Moodle based (e.g. online fora) or embedded objects using 3rd party expertise from an elearning house. A critical part of the environment will be scheduled discussion fora or interactive sessions which will allow learners to engage with faculty and their peers.

Face to face lectures, workshops and tutorials will be delivered in a classroom environment with appropriate access to IT services. (see 4.4.3) Location selection)

Learning Support workshops which are a feature of NCI’s part-time support services, will also be offered on a virtual basis as required.

Learners will continue to have access to NCI’s support services and library & information services.

4.4.7 Induction Process The role of the Personal Financial Planner, professional formation and ethical practice will be addressed in each of the modules and through the teaching & learning strategy. However, as part of the induction process, a session will be provided on these areas.

4.4.8 Programme Assessment Strategy The programme assessment strategy has been designed to ensure that both the learners knowledge and ability to apply learning has been assessed. As a result for all modules except Law & Regulation and Applied Financial Planning, both the coursework element and terminal examination must be passed. A combination of project, examination, case study, presentation and role play is used. In keeping with the sector, the pass mark for each component, each module and the overall award is 50%.

Due to the potential enrolment volume on the programme, the College will appoint where necessary, a team of assessors who will assess modules. In such cases, the College’s policy on moderation will apply. Moderation in this instance means that all assessment scripts whose primary purpose is summative are marked by an internal examiner. A second examiner who will have access to the grades and comments of

PAEC/A6/6.2.1

the 1st marker will moderate a sample of assessment to assure the quality of marking standards across multiple locations. Sampling options

A minimum of 5 assessments from each classification band and all fails or n+ 1 where n is the number of students. Minimum sample 12 or

The sample to be second marked must include written assessments and examinations scripts from the top, middle and bottom of the range of work

4.4.8.1 Repeat Assessment Repeat Assessments will be conducted in accordance with current college Assessment Regulations which are available on the Learner portal, in the Learner handbook and through the College internet site. Where a learner has failed a module where both components are required to be passed, the learner must repeat the component that has been failed.

4.4.8.2 Award Classification Under Assessment & Standards (2009), Sectoral Convention 7 which allows for exceptions, it is proposed that the pass mark for this award is set at 50%. Whilst there is no professional body involvement in this particular programme, the programme is benchmarked against an existing programme Diploma in Pensions Management & Policy which has this special regulation and against another programme in the financial services sector which requires this regulation. Under Assessment & Standards (2009), Sectoral Convention 1 which allows for Special Purpose Awards to be classified, it is proposed that this award is classified as follows: 1st Class Honours: 70%+ 2nd Class Honours: 60%-69% Pass 50%-60%

4.4.8.3 Continuous Assessment & Examinations Where feasible examinations will be held simultaneously at all centres and will be invigilated by NCI staff. Where this is not possible due to timing, examination papers will be set for each instance in agreement with the external examiner. The external examiner appointed is the examiner for all instances of the programme.

4.4.8.4 Examination Board Results from all instances of the programme will be considered at NCI’s scheduled examination boards

4.4.9 Faculty Faculty teaching the programme are employees of National College of Ireland and are subject to the quality assurance procedures and grievance procedures of National College of Ireland.

PAEC/A6/6.2.1

5 APPENDICES 5.1 Appendix 1 Glossary of Terms Used in Financial Services

APA Accredited Product Advisor MCC accreditation for single product advice

CPC Consumer Protection Cod Issued by Central Bank

CPD Continuing Professional Development… MCC requirement on accredited persons

III Insurance Institute of Ireland…... Professional Body (mainly general insurances)

IMD Insurance Mediation Directive (EU)… Directive aimed at Regulation of Intermediaries

IOB Institute of Bankers Provider of current MCC qualification

LIA Life Insurance Association……….. Professional body, joint MCC provider with IOB

MCC Minimum Competency Code….. Issued by Central Bank

PFP Personal Financial Planner………. Proposed qualification by NCI

QFA Qualified Financial Adviser………. Current MCC qualification

Accredited Person – Person who can provide advice on financial services products. Must be either qualified or grandfathered as per Minimum Competency Code.

Grandfathered – Must have a minimum of four years experience carrying out a specific function in the relevant field in the period 1st January 1999 – 1st January 2007.

PAEC/A6/6.2.1

5.2 Appendix 2: Off-campus location Audit Form

National College of Ireland Off-Campus CentresCentre Name:

Address:

Centre Co-Ordinator Name :

_________________________

& Contact telephone no.:

_________________________

Contact no. after 5pm:

_________________________

Services / Facilities at centre: or Details

Suitable learning environment ____________________________________________

Suitable room, seating, heating & lighting and maintained toilet facilities

Tea & Coffee facilities _____________________________________________

At what cost to the student?

Photocopier __________________________________________

For student & faculty use? At what cost per page?

Blackboard/whiteboard __________________________________________

Do you provide pens/chalk for faculty?

Digital Projector __________________________________________

If yes, what are the booking arrangements?

Flipchart __________________________________________

If yes, what are the booking arrangements? Do you provide pens?

TV & VCR/DVD player __________________________________________

If yes, what are the booking arrangements?

Use of Library __________________________________________

__

___

_

_

PAEC/A6/6.2.1

Can students borrow books with NCI student card?

Internet availability in classroom ___________________________________________

How are lecturers provided with logins and passwords?

Class are aware of Fire Exits ___________________________________________

Are students made aware of all Health & safety regulations?

Member of staff on premises

during hours of classes __________________________________________

For Health & Safety reasons

Any other services and facilities provided

__________________________________________________________________________

__________________________________________________________________________

__________________________________________________________________________

Costing

Room hire rate per hour/ per year €__________/ €__________

Any additional costs for the use of facilities mentioned above:

_______________________________________________________________________

PAEC/A6/6.2.1

Centre Information

Please confirm opening hours for students:

Please confirm nights for Adult Education courses:

Can we run courses/workshops outside Adult Education course nights?

*Term dates for Adult Education courses for the next academic year:

*Information evening/ enrolment night details:

*Please forward your academic calendar, details of information evenings and a copy of your brochure when available.

Internal Marketing information

Brochure / Booklet – circulation details:

PAEC/A6/6.2.1

Other publicity or media events:

Who are the major employers in the area?

Any new developments or specific courses on demand in the area?

Signed Centre Staff Member:

___________________________________ Date:____________________

NCI wishes to ensure the highest quality & standard of accommodation and physical resources used by our Off-Campus Programmes. Thank you for your assistance with this questionnaire.

PAEC/A6/6.2.1

PAEC/A6/6.2.1

5.3 Risk assessment of new collaborative provision

This document is intended to be a tool to help facilitate a quick and straightforward assessment of the potential risk involved in pursuing a proposal for the establishment of collaborative provision. It has been designed to cover areas of potential risk which are common to many forms of collaborative provision. The assessment results in an overall score, and rating:

12 - 24 = Low 25 - 34 = Medium 35 - 44 = High

Name of partner UK In-Company Provision

Proposed programme Certificate in Personal Financial Planning/Diploma in Personal Financial Planning

Risk area Level Score

Student language Irish/UK or international; English as first language

0

UK based; English as second language

1

International; English as second language

3

Cultural and educational context

ROI/UK 0

European 2

USA, Canada, Australia, New Zealand etc.

2

Other 3

Partner’s status

College (Taught & Research degrees)

1

Polytechnic etc. (Taught degrees only)

2

PAEC/A6/6.2.1

Publicly funded FE college

2

Private college/organisation

3

Partner’s strength

Large, generally well-resourced

1

Small, generally well-resourced*

2

Any size, with generally limited resources*

3

Resources in this context include financial, estate, staff and learning related.

Risk area Level Score

Role of partner

Administrative support centre only

1

Learner support centre (i.e. distance learning)

2

Teaching centre (partial delivery)

2

Teaching centre (100% delivery)

3

Partner’s expertise in this subject area

Has programmes at this level 1

Has programmes at a lower level

2

Has no experience in this field

3

Partners previous collaboration with ROI/UK HEIs

At this qualification level 1

At a lower qualification level 2

None 3

Host unit’s experience Experience of same type of 1

PAEC/A6/6.2.1

collaboration

None 3

Sending school/dept’s experience Experience of same type of collaboration

1

None 3

Programme Established collaborative programme

1

Established on campus only 2

New programme 3

Qualification level

No formal recognition 1

Undergraduate 3

Masters or Phd 2

Professional body recognition Not applicable 0

Programme leading to a recognised award

2

Host country political climate Very stable 1

Stable 2

Unstable 3

Host country social climate (equal opportunities, human rights etc.)

Equivalent to Ireland 1

Satisfactory 2

Unsatisfactory 3

PAEC/A6/6.2.1

Locality health and safety

Very safe 1

Safe 2

Unsafe 3

Total 23

PAEC/A6/6.2.1

PAEC/A6/6.2.1