DAO sanctions policy
Updated 17 November 2022
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This publication is available at https://www.gov.uk/government/publications/dao-policies/dao-sanctions-policy--2
Sanctions Policy
Recognising Quality and Competence: supporting defence with accreditation and specialist bespoke qualification opportunities.
Scope
The Defence Awarding Organisation (DAO) provides an accreditation service by which individuals can gain formal recognition of their achievements. By gaining a qualification through a rigorous quality assurance process, employers will have confidence that their employees have reached an agreed level of skills and knowledge. This involves the development, delivery and awarding of qualifications iaw the General Conditions of Recognition issued by the Office of Qualifications and Examinations Regulation (Ofqual). This included setting assessments and quality assuring the assessment process to ensure that assessments are fair, valid and carried out in line with the defined processes.
Purpose
This policy covers eventualities where Approved Centres fail to meet the Centre Approval Criteria, and/or, when the Centre’s ability to assess and quality assure qualifications to the requirements of DAO is compromised. Hence, sanctions will be applied when an Approved Centre fails to continue to meet the Centre Approval Criteria and/or the Centre’s ability to assess qualifications is compromised. For example, where a centre fails to comply with the requirements for maintaining auditable records and cannot substantiate claims made on behalf of Learners.
Sanctions are usually applied or recommended by External Quality Assurer’s (EQA) to protect the:
- interests of the Learners
- integrity of the qualifications and/or the quality assurance process
- public confidence in qualifications
The type and level of sanctions that DAO may impose on its Centre will be dependent on numerous factors, such as:
- what the Centre has undertaken to contain adverse effect, correct it and prevent reoccurrence
- robustness of Centre Policies and processes
- centre historical maintenance of compliance
- centre willingness to co-operate with DAO and to resolve situation
Level of Sanctions
The following table summarises the sanction levels that will be determined by DAO, or its representatives, as to the level of transgression that has occurred:
| Levels of Transgression | Sanction | Rationale |
|---|---|---|
| 1 | Entry into action plan | Non-compliance with the Centre Approval Criteria but no threat to the integrity of assessment decisions. |
| 2 | Removal of Direct Claims Status, ie claims for certification must be authorised by the External Quality Assurer (EQA) | Close scrutiny of the integrity of assessment decisions required. |
| 3 | Suspension of qualification: (a) Suspension of registration (b) Suspension of certification of specific/group/all qualifications | (a) Threat to learners (b) Loss of the integrity of assessment decisions – risk of invalid claims for certification. |
| 4 | Withdrawal of Centre Approval for specific qualifications | Irretrievable breakdown in management and quality assurance of specific qualifications provided by a Centre. |
| 5 | Withdrawal of Centre Approval for all qualifications | Irretrievable breakdown in management and quality assurance of all qualifications provided by a Centre. |
Appeal
Enquiries on DAO decisions to issue a sanctions, or an appeal against a sanction, can be made under the DAO Enquiries and Appeals Policy but centres need to this within 14 days of the date of the sanction.
Review of the Policy
The policy will be reviewed annually and it will be revised as necessary in response to customer feedback, changes in legislation and guidance from Ofqual.