Risk Ratings & Sanctions
Certa will determine a risk rating for each Centre, updated on an annual basis. The rating will be based on the risk associated with the provision, together with the Centre’s record of compliance, quality assurance and the completion of quality improvement plans. The risk rating will be reviewed at each visit. Centres will be informed of their risk rating, and the basis on which it was determined. Risk ratings will remain confidential to each Centre.
1- Low Risk (LR) - green
Little or no risk to the integrity of assessment, Qualifications, Centre Agreement, regulatory conditions and/or the reputation of Certa. Centre performance is good.
2 - Marginal Risk (MR) - yellow
Any risk to the integrity of assessment, Qualifications, Centre Agreement, regulatory conditions and/or the reputation of Certa is marginal. Centre performance is satisfactory.
3 - Moderate Risk (MoR) - amber
There are concerns about a specific risk indicator or indicators, and specific action is required to ensure the integrity of assessment, Qualifications, Centre Agreement, regulatory conditions and/or the reputation of Certa. Sanctions may be imposed.
4 - High Risk (HR) - red
There are major concerns about one or more risk indicators which threaten the integrity of Qualifications, Centre Agreement, regulatory conditions and/or the reputation of Certa. Urgent action is required. Sanctions may be imposed.
Risk bands will be based on the following Risk Indicators:
- The Centre is using valid, reliable, fair and safe assessment methods and tasks. Clear and comprehensive assessment guidance is provided for assessors.
- Assessment decisions are made against unit Learning Outcomes and Assessment Criteria at the appropriate level, ensuring that evidence is valid, authentic, sufficient and current with clear and constructive feedback to learners that explains assessment decisions and helps them to improve their work.
- Robust internal verification activity is evident, including pre-issue verification of all assessment tasks, confirming validity and consistency of assessment tasks and decisions, constructive feedback to assessors, appropriate standardisation procedures and accurate record keeping.
- The Centre provides appropriate and timely response to action points, recommendations and conditions from internal verifiers and Certa.
- The Centre is compliant with the Centre Agreement, qualification requirements, Certa quality assurance criteria and all regulatory conditions.
Certa will impose sanctions where necessary to protect the security of the award of credit. The level of sanction imposed will depend on the nature of the Centre’s non-compliance. In serious cases Certa may withdraw Centre Recognition as per the Certa Centre Withdrawal Procedure . The Centre will be supported to address the areas for concern identified.
Level 1 Sanction: Written warning and action plan; Escalation to Centre Management. Rationale: Limited confidence in specific risk indicators
Level 2 Sanction:
Postponement of EV of the course or Qualification until Conditions are met; Additional development or quality intervention visit; Rationale: Non-compliance with Centre Recognition Criteria; Not responding to actions
Level 3 Sanction:
Suspension of certification for the course or Qualification until Conditions are met or the compliance issue(s) resolved; Rationale: Loss of integrity to assessment; Risk of invalid claims for certification
Level 4 Sanction:
Suspension of certification and registration for the course or Qualification until Conditions are met or the compliance issue(s) resolved. Rationale: Loss of integrity of assessment; Risk of invalid claims for certification; Non-compliance with Centre Recognition criteria; Non-payment of invoices; Certa has no confidence in remedies being implemented for future cohorts or course runs
Level 5 Sanction:
Withdrawal of Centre approval to run specific Qualifications, Units or Provision areas; Rationale: Irretrievable breakdown in the management and quality assurance of specific Qualifications
Level 6 Sanction:
Termination of Centre Agreement and Recognition; Rationale: Irretrievable breakdown in the management and Quality Assurance of the Centre
For further information please refer to the Certa Sanctions Policy and the Certa Centre Withdrawal Procedure.
The Centre Statuses document below provides guidance to Centres on the different 'options' available: active recognised centre; dormant centre or archived.