Policies procedures and record keeping

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There are certain legal requirements, policies and procedures and awarding organisations rules that you must follow. Some of these will be internal and others you have to follow from outside organisations. You should make sure you know where to find all relevant documents and ensure you understand them. If in doubt, ask at your workplace or contact the organisation.

You must also be aware of and comply with the Health and Safety at Work Act (1974). The health and safety act is the umbrella act that covers a number of regulations that you need to fully understand and comply with. This act places a legal responsibility on you as well as your organisation and learners. If a potential hazard is seen something must be done about it before an accident occurs.

The management of health and safety at work regulations means that you must ensure the health and safety of the workplace. This includes carrying out a risk assessment prior to your assessments to make sure the area is safe for all learners taking part. This can take the form of a walk through the area and a conversation with all involved in the assessment process. You must report any immediate danger to health and safety or any shortcomings in health and safety arrangements and keep a formal record of any incidents.

Confidentiality of all documentation is extremely important, the Data Protection Act must be complied with at all times including

  • Information about a person must be obtained lawfully and fairly
  • The information must only be used for the correct purpose
  • Information must be relevant, adequate and not excessive
  • Information must be accurate and kept up to date
  • Information must be kept no longer than necessary and for the purpose specified
  • Organisations must have measures in place to ensure personal information is not unlawfully processed, lost or destroyed.

All the information must be kept in a secure location in accordance with the data protection act. You must have a current knowledge of all your organisational policies and procedures.

With regards to record keeping, some organisations require that you keep learner’s records, for at least 3 years. Some examples of records are those containing information like:

  • List of learners registered for each qualification offered
  • Learners assessment records
  • Records of internal verification activity
  • Records of certificates claimed

Learner records must be made available to the regulatory authorities on request. This is usually part of the external quality assurance inspections. Sometimes records may be shown in the event of complaints, appeals or at the request of the Police or other organisations.