Policy Statement on Equal Opportunities in Quality Assessment
Reference M 2/96
February 1996
Introduction
The Higher Education Funding Council for England (HEFCE) has developed practices in its quality assessment method that build on its equal opportunities policy. These practices are set out below for the information of institutions and individuals associated with the quality assessment process.
The policy is presented separately as it applies to the work of Divisional Staff, Reporting Assessors (Contract Assessors) and Subject Specialist Assessors. The general policy which applies to all assessors, and to Council staff working within the Quality Assessment Division, is presented first before the separate statements for each staff group.
General Policy Statement
1. In keeping with the Equal Opportunities policy of the HEFCE, the Council through its Quality Assessment Division (QAD) is committed to equal opportunities in the operation of its assessment method and in the contractual relationship with assessors.
2. The QAD values equally the contribution of all those associated with the assessment of educational provision. It aims, in any matter relating to its work, to ensure that no-one is treated less favourably than another on the grounds, for example, of ethnic origin, nationality, disability, gender, religion, marital status, age, family responsibility or sexual orientation. In these aims, the QAD's intention is to reflect not only the letter but the spirit of equal opportunities legislation.
3. The QAD is committed to the pursuit and maintenance of professional standards in the assessment of the quality of educational provision, including those standards necessary to avoid any impropriety.
4. The QAD is opposed to harassment in any form and is committed to providing a working environment that is free from harassment and in which the dignity of the individual is respected.
5. The Quality Assessment Method evaluates the student learning experience and student achievement against the aims and objectives set by the subject provider, including statements about equal opportunities.
6. The QAD will recognise and work where appropriate with the equal opportunities policies, procedures and objectives established within specific institutions. Statements for different categories of staff follow.
Divisional Staff Statement
1. The Division will provide training and continuing development for all its staff, in line with the Council's policy.
2. All staff will be encouraged and enabled to raise in confidence any incident or concern relating to harassment or equality of opportunity in employment.
3. Through its Senior Executive Group, QAD will consider annually equal opportunities monitoring data relating to staff within the Division.
Contract Assessor Statement
1. In the recruitment and selection of assessors, QAD will consider all applications on their merit against the published person specification.
2. QAD will provide training for contract assessors on recognising and enabling sensitive and professional behaviour commensurate with their management role.
3. QAD recognises a 'duty of care' in relation to contracted and seconded assessors who undertake work on its behalf. By 'duty of care' it recognises the entitlement of assessors to be treated professionally and in a manner consistent with the effective exercise of the specific tasks for which they are contracted. The terms and conditions of contracts and the expected working practices will be kept under review to ensure that they reflect the Council's commitment to equal opportunities and to the discharge of appropriate support to assessors whilst they are undertaking duties on behalf of the Council.
4. QAD will expect of all HEIs that assessors will be treated with respect and in accordance with the Council's equal opportunities policy and will take action appropriate to this expectation.
5. QAD will provide assessors with written advice summarising the QAD's policy and its associated procedures, and will implement the complaints and grievance procedures specified in the attached annex.
6. QAD will provide written advice on the appraisal of equal opportunities issues, against the aims and objectives set by subject providers, in relation to each of the six aspects of provision which underpin the assessment judgement.
7. QAD will provide briefings on subject-specific issues which include equal opportunities where and as appropriate to the subject.
8. QAD is committed to a policy of continuous improvement in order to deliver more effectively its commitment to equality of opportunity, and, accordingly, will review regularly the support and guidance that it gives to assessors to enable them to deliver their contracted duties.
Specialist Assessor Statement
1. In the recruitment and selection of assessors, QAD will consider all applications on their merit against the published person specification.
2. QAD will provide training for assessors on sensitive and professional behaviour commensurate with its equal opportunities policy as an embedded part of its Specialist Assessors' training programme.
3. QAD recognises a 'duty of care' in relation to contracted and seconded assessors who undertake work on its behalf. By 'duty of care' it recognises the entitlement of assessors to be treated professionally and in a manner consistent with the effective exercise of the specific tasks for which they are contracted. The terms and conditions of contracts and the expected working practices will be kept under review to ensure that they reflect the Council's commitment to equal opportunities and to the discharge of appropriate support to assessors whilst they are undertaking duties on behalf of the Council.
4. QAD will expect of all HEIs that assessors will be treated with respect and in accordance with the Council's equal opportunities policy and will take action appropriate to this expectation.
5. QAD will provide assessors with written advice summarising the QAD's policy and its associated procedures, and implement the complaints and grievance procedures specified in the attached annex.
6. QAD will provide written advice on the appraisal of equal opportunities issues, against the aims and objectives set by subject providers, in relation to each of the six aspects of provision which underpin the assessment judgement.
7. QAD will provide briefings on subject-specific issues which include equal opportunities where and as appropriate to the subject.
8. QAD is committed to a policy of continuous improvement in order to deliver more effectively its commitment to equality of opportunity for assessors, and, accordingly, will review regularly the support and guidance that it gives to assessors to enable them to deliver their contracted duties.
Annex
Grievance and Complaints Procedures for Assessors
1. The QAD will take seriously every incident and complaint brought to its attention. All reported incidents will be treated in confidence and will be investigated promptly and fairly.
2. The QAD will have a nominated officer responsible as a first point of contact for all complainants, additional to the normal reporting structure. This designated person is referred to below as the QAD EO officer.
3. Reporting Assessors (RAs) and Subject Leaders (Council officers) who as part of their professional responsibilities routinely monitor and support the assessment process will be required to be alert to potential and actual breaches of appropriate professional conduct.
4. The QAD will maintain a confidential log of all incidents and complaints including those which are not subsequently confirmed in writing. The confidential log will record the nature of the alleged incident and the identity of the parties involved. The contents of the log will be subject to periodic review by the EO officer and the Director of Quality Assessment with a view to eliminating any entries that are no longer current. The results of these reviews will be communicated to any named parties.
5. The procedures for dealing with a reported incident or complaint will comprise the following steps:
- establish who is involved
- establish what is alleged to have taken place
- assess the integrity of the assessment process in the light of the alleged complaint
- record in the confidential log the nature and circumstances of the complaint, the result of the investigation, and action taken.
6. The QAD will initiate its formal investigative procedures, as defined in paragraph 12 below, only in relation to those incidents and complaints which are reported in writing.
7. The QAD will advise all the appropriate parties, normally those directly affected and whoever has reported the incident, of the outcome of the investigation of a formal complaint.
8. The QAD will request all assessors to record on the assessment evaluation form any incident which may have compromised processes or caused harassment, whether or not it has been subject to complaint.
9. Where a reported incident involves a higher education institution (HEI), the QAD will wish to co-operate fully with the HEI and have regard where appropriate for the HEI's equal opportunities policy and procedures.
10. Where a reported incident involves a HEI, QAD will inform the appropriate officer of the HEI of the outcome of any investigation.
11. In the first referral of an incident or complaint, the reporting structure will be as follows:
Subject Specialist Assessor (SA) on a visit: first contact would normally be the Reporting Assessor but, where this would not be appropriate, may be the Subject Leader, the Duty Officer (Associate Director) or the QAD EO Officer.
Reporting Assessor (RA) on a visit: first contact would normally be the Subject Leader or Duty Officer but, where this would not be appropriate, may be through the QAD EO Officer to the Director of Quality Assessment.
In the case of a complaint being initiated by a member of staff, a student or a client of a HEI, the HEI's liaison with the QAD will normally be through the Reporting Assessor, the Subject Leader or the Duty Officer, as appropriate, to the Director of Quality Assessment.
12. The procedures for dealing with a formally reported incident or complaint in writing will comprise:
Stage 1:
Define the problem
- establish who is involved
- establish what is alleged to have taken place
- assess the integrity of the assessment process in the light of the alleged complaint
- record the nature and circumstances of the complaint and action taken
- refer to the officer responsible for the complaints procedure.
Stage 2:
Investigate and record the complaint
- seek written statements from the persons involved
- advise parties to the complaint on the procedures for proceeding with the investigation, confirming in writing the steps being taken
- invoke the formal investigatory procedures as defined in the relevant contract and this procedure.
Stage 3:
Managing the complaints process
- monitor compliance with the agreed procedures
- discuss the evidence, advise on action and endorse the final outcomes
- implement the outcome of the investigative procedure in accordance with the terms and conditions of the contracts involved
- report final outcome and close file
- consider any necessary changes in procedures in the light of the individual complaint and other accumulated complaints.
13. Responsibility for each stage of the process resides with the Director of Quality Assessment who may delegate all stages as appropriate within the terms of the contracts for assessors.
14. The QAD expects of all HEIs that assessors and other staff employed within the Division will be treated with respect and in accordance with the Division's equal opportunities policy. In this context, the QAD will undertake a similarly staged approach to any complaints raised by assessors, in the course of their duties on behalf of the Funding Council, against HEI staff, students or clients.
15. The QAD EO officer is:
Trish Archer
Human Resources Team
Northavon House
Coldharbour Lane
Bristol BS16 1QD
telephone 01179 317364.