Guide for Centres to Achieve

and Maintain OPITO Approval –

Global Qualifications

November 2024
 Guide for Centres to Achieve and Maintain OPITO Approval – Global Qualifications

© OPITO
All rights reserved. No part of this publication may be reproduced, stored in a retrieval or information
storage system, or transmitted, in any form or by any means, mechanical, photocopying, recording or
otherwise, without the prior permission in writing of the publishers.

Amendments

Amendment and Date Pages Changes made by Checked by Approved by

Amend to text regarding Implementation Head of Quality

suspension Criteria, 22 & 30 OPITO Associate
15/06/2022
Manager Assurance

Any amendments made to this document by OPITO will be recorded above.

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 Guide for Centres to Achieve and Maintain OPITO Approval – Global Qualifications

CONTENTS

1.0 GLOSSARY OF TERMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03

2.0 APPROVAL INFORMATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 06

2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 06
2.2 Pre-Approval Screening Questionnaire . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 06
2.3 INITIAL APPROVAL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 06
2.3.1 Pre-Approval Workshop . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 06
2.3.2 STAGE 1: Desktop Submission & Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 07
2.3.3 STAGE 2: Initial Site Visit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 08
2.4 Recognition of Prior Approval . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 08
2.5 Costs Associated with The Initial Approval Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 09
2.6 Ongoing Quality Assurance and Risk-Based Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 09
2.6.1 Internal Self-Assessment (ISA) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
2.6.2 Ongoing Site Visits (In-Person) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
2.6.3 Ongoing Site Visits (Remote) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
2.7 SAMPLING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
2.8 Site Visit Outcomes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
2.9 Registering and Certificating Learners . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
2.9.1 SCQF Credit Rating . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

3.0 APPROVALS PROCESS PATHWAY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

3.1 New Centre Seeking Initial Product Approval . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
3.2 Existing Training and/or Assessment Centres seeking Additional Product Approval(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
3.3 Appeals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
3.4 Existing Centres and Ongoing Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
3.4.1 Internal Self-Assessment (ISA) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
3.4.2 Ongoing Quality Assurance: Visits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
3.4.3 Ongoing Quality Assurance: Sampling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

4.0 OPITO APPROVAL CRITERIA AND ASSESSMENT TOOL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

4.1 OPITO Approval Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
4.2 OPITO Approval Criteria Matrix – Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
4.3 OPITO Approval Criteria Matrix – Product . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

5.0 SUPPORTING DOCUMENTATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

5.1 Exemplars . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
5.2 Video Guides and Guidance Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
5.3 Clarification Documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

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CONTENTS

APPENDIX 1: RISK-BASED APPROACH TO CENTRE SCORING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39

Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
Initial Approval . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41

APPENDIX 2: RISK-BASED APPROACH TO INITIAL APPROVAL FOR CENTRES . . . . . . . . . . . . . . . . . . . . . . . . . . 42

1.0 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
2.0 Desktop Submission Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
3.0 Identifying the Scope of the Initial Site Visit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

APPENDIX 3: MAINTAINING CENTRE APPROVAL – SAMPLING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

1.0 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
1.1 Evidence Sampling of Portfolios . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
2.0 Low Risk Sampling Matrix. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
2.0 Medium / High Risk Sampling Matrix. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
2.1 Completed Portfolios. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
2.2 Completion of Evidence Sampling/External Verification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

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1.0 GLOSSARY OF TERMS

Approval Outright: All OPITO requirements have been met. No formal actions were identified,
and no action response is required.

Approval with Aspects of the OPITO requirements were not met. Formal action(s) were
Corrective Actions: identified, and action response(s) are required.

Centre: An OPITO approved organisation, or an organisation engaged in the OPITO

Approval Process.

Desktop Submission: A Desktop Submission occurs when a new or existing Centre seeks to gain
Approval for a Product for which it currently does not hold Approval. This occurs
via a submission of evidence within The HUB to demonstrate and support the
Centre’s ability to meet the minimum requirements of the OPITO Approval
Criteria and Product specification.

Existing Centre A Centre that currently holds OPITO Approval for another Product at the location
Seeking Additional in which the new Product is being sought.
Product Approval(s):

Findings/Actions: A finding is documented when OPITO identify there is a clear gap in meeting
the OPITO requirements.

An action is raised by OPITO to allow the Centre to address the gap identified
in a finding.

Internal Self- A document completed within The HUB by the Centre, prior to an OPITO
Assessment (ISA): Ongoing Site Visit. The ISA will allow the Centre to demonstrate how OPITO
requirements are being met or exceeded. If it is identified that OPITO
requirements are not being met, the ISA provides the opportunity for the
Centre to detail the steps to be taken to rectify these gaps.

Learners: For the purpose of this document and in relation to Approvals held for any
OPITO Products, those carrying out the training and/or assessment are
referred to as learners.

New Centre Seeking A Centre that does not currently hold OPITO Approval.
Initial Approval:

Non-Approval: Significant and/or safety critical aspects of the OPITO requirements were not
met resulting in a systematic breakdown of the Approvals held. When the
recommendation of Non-Approval status is confirmed by OPITO, no approved
training and/or assessment can take place. The Non-Approval status will be
reviewed when all the formal actions identified are closed. Additional site visits
may also be required.

OPITO Product: An OPITO Product is defined as OPITO Industry Standards, OPITO Global
Qualifications, Competence Management System (CMS) accreditation or any
other OPITO programmes requiring OPITO Approval.

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OPITO Standard: An OPITO Industry Standard is defined as being a programme of learning that
defines the knowledge and/or practical outcomes which successful learners
need to achieve to be certified. There are a number of OPITO Standard
types: Training Standard; Qualifications Standard; Competence Standard and
Workplace Competence Assessment Standard.

Pre-Approval A short workshop building on the information in the relevant video to allow
Workshop: those looking for their first OPITO Approval to gain a clear understanding of
the steps required. Centres that currently hold OPITO Approval are not required
to undertake this workshop.

Procedure: A document which identifies the steps to be taken to carry out a particular
process, the scope/limit of the process and the person(s) responsible. It would
be expected to be part of a controlled system. The document may take the form
of written instructions and/or a flowchart. A procedure should contain purpose,
scope, responsibilities, defined steps, and a control/revision status.

Product Criteria: Product Criteria includes all the OPITO requirements which differ based on the
relevant Product Approval(s). The information/evidence required to meet these
requirements is specific to the individual Product specification(s).

Sampling: Evidence Sampling of learner portfolios, to ensure OPITO Standards are being
practised and maintained.

Site Visits: A site visit will be conducted by OPITO prior to Initial Approval and on an
ongoing basis thereafter. These visits will be conducted in line with the
risk-based approach and may be carried out either in person or remotely.

SME: SME is an abbreviation for Subject Matter Expert. An SME is a person who
provides specific knowledge or expertise to OPITO in an area in which they
specialise and supports the OPITO Global Qualification Standards Process.

Suspended Approval: Significant and/or safety critical aspects of the OPITO requirements were
not met in relation to a single Product or a number of Products. When the
recommendation is confirmed by OPITO, delivery of these suspended Product(s)
as specified in the report are not possible. The Suspended Approval status will
be reviewed when all the formal actions identified are closed. Additional site
visits may also be required. Any Products not covered by the suspension may
be delivered as usual.

Systems Criteria: The term Systems Criteria covers all the OPITO requirements which oversee
the management of the OPITO Approval. The information/evidence
required to meet these requirements does not differ based on the different
Product Approval(s).

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The following terminology is specific to the use of OPITO’s system, The HUB.

Associated Centre: Another Centre operating within the same organisation.

Buttons: Users use buttons to confirm each stage of the process has been completed and
move to the next stage, including returning forms to OPITO for review.

Forms: Forms are used within The HUB to carry out and share processes with OPITO.
There are several different Forms available, one for each process.
These include:
– Appeals
– On-Location Training Requests
– Action Close-Outs
– Ongoing Site Visits
– Internal Self-Assessments
– Initial Centre Approval (available for OPITO Standards, CMS and
Global Qualifications)
– Additional Product Approval Application
– Additional Product Initial Approval(s)
– Product Feedback

Form Reference: The form reference is a unique number assigned to a particular process.
For example, each Ongoing Site Visit Form would have its own
identifiable number.

Form Title: The Form Title will tell the user which process any form relates to.

Latest Stage: Upon completion of all relevant sections, the user is required to move to the
next stage and, following confirmation of this using the relevant button,
the form’s latest stage will be updated. The latest stage reflects where in the
overall process the user is. For example, “further information requested”
tells the user that OPITO is waiting for the submission of further information.

OPITO Centre Score: A score which measures a Centre’s ability to meet the OPITO requirements.

Public/Private The comments feature within each section of the forms allows users to leave
Comments: messages for each other. Public comments are shared with OPITO, and private
comments are only shared internally. More information on these can be found
throughout the guidance videos.

Sections: These Forms contain sections, which combine to form the full process.
For example, for a new Approval this would cover all steps from the OPITO
pre-screening questionnaire through to the conduct of an Initial Site Visit
and close-out.

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2.0 APPROVAL INFORMATION

2.1 INTRODUCTION

The purpose of this document is to provide information and guidance on fulfilling the requirements
for the achievement of OPITO Approval. It is intended for use by Centres coming forward for Approval
for the first time as well as Centres currently in possession of OPITO Approval status. The guide to the
OPITO Approval Process has been specifically designed to focus on the details required for the
achievement and maintenance of OPITO Approval and to facilitate the Desktop Review Process.
This process is carried out, in full, within the OPITO online system referred to as The HUB.

2.2 PRE-APPROVAL SCREENING QUESTIONNAIRE

Prior to commencing the Approval Process, OPITO will request the completion of a pre-screening
questionnaire within The HUB. This questionnaire allows the Applicant to provide information for
pre-screening and evaluation purposes and to certify compliance with all applicable laws and regulations.

OPITO will review the information provided within the pre-screening questionnaire and advise the
next steps accordingly. OPITO may, under the Pre-Screening Approval Policy, decide not to proceed to
the Approval stage with any Centre completing this questionnaire.

2.3 INITIAL APPROVAL

OPITO uses a risk-based approach to granting Approval which covers new Applicants and existing
Centres. Sections 2.3.1 to 2.3.3 outline the process for obtaining Initial Approval. If a third party is
involved in the delivery of Training and/or Assessment, a joint application may need to be submitted.
For specific information on how this Risk-Based Process applies, please see Appendix 2.

2.3.1 Pre-Approval Workshop

Each new Applicant will be directed to the Pre-Approval workshop video and will then be invited to
attend a workshop facilitated by OPITO. This workshop is provided free of charge and covers the
OPITO Approval Process and how to meet the requirements of the Product specification(s).

There are a number of benefits to attending an OPITO Pre-Approval workshop. Alongside gaining
understanding of the Approval Process, the workshop will provide information on how to use
The HUB system and what is expected at each stage.

It is therefore important the most suitable personnel are selected to attend the workshop. This may
involve identifying who is responsible for collating the evidence for the Desktop Submission, who will
be predominantly involved in the site visit, who will manage the Applicant’s Management System(s)
and who is heavily involved with developing the Training and/or Assessment.

Prior to attending the workshop, it is important that the attendees review thoroughly the relevant
Product specification(s) in addition to this guide.

Following the workshop, the Approval Process is then conducted in two stages: Desktop Submission
and Review and the Initial Site Visit.

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2.3.2 STAGE 1: Desktop Submission & Review

Submission
The Desktop Submission takes place through The HUB and includes the main sections of Management
Systems, Equipment & Facilities, Staff Resources, Training and Assessment and Health and Safety to
support the OPITO Global Qualification(s) applied for.

Review
Following submission of the required information, OPITO will conduct a Desktop Review of the
Applicant’s Management System documentation and training materials.
The objectives of the Desktop Review are to:

– Verify that the Applicant has the resources in place to safely deliver training and/or
assessment to the requirement of the OPITO Product specification(s).

– Verify that the Applicant has Management Systems in place which comply with the OPITO
Approval Criteria. These Criteria are designed to assure quality delivery of the OPITO
Product(s) and are detailed in section 4 of this document.
Actions may be raised from the Desktop Review and are shared with the Applicant within The HUB.
The Action Response Process allows the Applicant to send evidence to OPITO and, upon verification
from OPITO, the Applicant will move to the next stage of the process. All documentation must be
in English.

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Closing Out the Desktop Review:

Actions will be raised where it could not be ascertained from the Desktop Submission that all
requirements are met. The Action Response Process is carried out simultaneously to the overall Initial
Approval Process.
Only one Action Response Form should be used, where possible, to submit all the requested evidence.
Upon submission of the Action Response Form to OPITO, users should also return the Initial
Approval Form.

2.3.2 STAGE 2: Initial Site Visit

After the Desktop Review, an Initial Site Visit is carried out. For on-site visits, this includes observation(s)
of Training and/or Assessment being delivered against the relevant OPITO Product(s) and the OPITO
Approval Criteria. For remote visits, aspects of Training and/or Assessment delivery will be submitted via
video footage.
The visit will be carried out by an OPITO Quality Assurance Specialist(s) or an OPITO Associate(s)
depending on the scope of the Approval. If a team is used, then one member of the team will be
nominated Team Leader and this person will be responsible for the conduct of the site visit and the
reporting of any actions/findings. OPITO may nominate SMEs from its industry partners to support
these activities.
The findings of the site visit will be recorded in a report which is available to both OPITO and the
Applicant within The HUB. Actions raised from the site visit will also be shared within The HUB and
reviewed by OPITO. The report will also contain a recommendation from the Specialist/Associate who
conducted the visit, which will be shared at the time of the visit.
This recommendation will then be subject to review by the relevant Quality Assurance Manager and
the final outcome will be shared with the Applicant, following this review, within The HUB.
Once corrective actions have been closed out (if any), an Executive Summary is created and goes
through an Internal QA Process before final Approval is given.
Training and/or Assessment must be delivered in English during the Initial Site Visit, without the use
of an interpreter or translator. Following formal confirmation of the Initial Approval, and in line with
OPITO’s requirements, course delivery in other languages may be permitted. Please contact your
regional office for more information.

2.4 RECOGNITION OF PRIOR APPROVAL

During the Application section of the Approval Process the Applicant will have the ability to evidence
any relevant Approvals/accreditations that they may hold. This can be both OPITO Approvals held at
other sites and/or relevant Approvals/accreditations from other awarding bodies.

Where a related Approval/accreditation is held with another applicable awarding body, evidence of
this can be submitted. Where OPITO Approval is held on another site, information can be provided on
what similarities this holds, for example where staff and/or a management system is used/shared across
these sites.

OPITO will review this information and may be able to reduce the Desktop requirements for review
and/or the duration of the site visit. Please contact your regional office for further information.

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2.5 COSTS ASSOCIATED WITH THE INITIAL APPROVAL PROCESS

The costs associated with OPITO Initial Approval include:

– A Centre Approval fee

– An Initial Approval fee for Desktop Review.

– An Initial Approval fee for conduct of the site visit.

– The costs incurred by the Specialist(s)/Associate for the conduct of the site visit, namely
travel expenses, accommodation, security, and subsistence (where applicable)

Further information regarding the fee structure for the various OPITO Products may be obtained from
the regional Quality Assurance Coordinator. Contact details can be found on the OPITO website.

2.6 ONGOING QUALITY ASSURANCE AND RISK-BASED APPROACH

Once Initial Approval has been awarded and the company has been recognised as an OPITO Approved
Centre, OPITO will carry out ongoing quality assurance. The Quality Assurance Process will be managed
using a risk-based approach. This system will score the Centre’s ability to comply with the OPITO
requirements. Ongoing Site Visits will be carried out at a frequency of between 3 and 24 months.
The following areas will be scored to ascertain each Centre’s individual ability to adhere to and manage
its Approval(s) (Ref. Appendix 1):

– Accuracy of the Internal Self-Assessment.

– Evidence of ability to meet or exceed the Management Systems and Health and Safety
sections 1 and 5 of the OPITO Criteria, against the relevant Product Approval(s).

– Evidence of ability to meet or exceed the Facilities & Equipment section 2 of the OPITO
Criteria, against the relevant Product Approval(s).

– Evidence of ability to meet or exceed the Staff Resources section 3 of the OPITO Criteria,
against the relevant Product Approval(s).

– Evidence of ability to meet or exceed the Training and Assessment section 4 of the OPITO
Criteria, against the relevant Product Approval(s).

Note: OPITO may also carry out unannounced visits where there are concerns about the ongoing
maintenance of the Approval.

This process is designed to ensure that Centres which may require additional support from OPITO are
provided with this.

Quality assurance is conducted in through Internal Self-Assessment (ISA) and both in-person and remote
Ongoing Site Visits.

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2.6.1 Internal Self-Assessment (ISA)

Approximately three months prior to an OPITO Ongoing Site Visit, an ISA Form will be issued to the
Centre through The HUB. The form will detail a deadline date and the Product(s) subject to review.
Completion of the ISA will allow the Centre to review its ability to meet the OPITO Criteria and the
Product specification(s) requirements prior to the external review by OPITO.

The completed ISA will be reviewed by the Specialist/Associate at the Ongoing Site Visit and the
accuracy of the review will contribute towards the overall OPITO Centre Score and therefore the required
frequency identified for future site visits. The OPITO Specialist/Associate will ascertain from the ISA the
Centre’s ability to meet the requirements. Where findings have been raised in the ISA the Specialist/
Associate will observe how these have been rectified, implemented and what lessons have been learned.

An accurate ISA identifies that a Centre has the knowledge and ability to successfully manage the OPITO
Approval and will contribute towards the overall score. Where a Centre has failed to complete an ISA or
where the ISA is not an accurate reflection of how the Approval is managed on-site, the Centre will score
lower, which will contribute towards the frequency of the next site visit. OPITO endeavours to work with
the Centre from the point of Initial Approval to provide it with the relevant knowledge and skills required
to best adhere to the OPITO Criteria and the requirements of the relevant Product specification(s).

2.6.2 Ongoing Site Visits (In-Person)

OPITO will carry out site visits to review the Centre’s ability to meet the OPITO Criteria and the Product
specification(s) requirements. OPITO will review the company’s Management System, course
documentation and outputs such as internal audit reports. Additionally, where any OPITO training
and/or assessment is ongoing, OPITO may observe its delivery and hold discussions with learners who
are currently on-site. Evidence may be sampled against any areas of the OPITO Criteria and the
approved Product specification(s).

Upon completion of the visit the reviewed information and any actions are shared with the Centres,
alongside a summary and the Specialist/Associates recommendation. OPITO may nominate SMEs
from its industry partners to support site visit activity.

All documentation including Management Systems and course records related to OPITO Approval
must be maintained in English.

For fees relating to the conduct of Ongoing Site Visits please contact your regional office.

2.6.3 Ongoing Site Visits (Remote)

OPITO may carry out an Ongoing Site Visit remotely. Where a remote visit is utilised, OPITO will
provide a detailed visit plan which will specify the documentation to be prepared and submitted.
This will also allow the Centre to ascertain which personnel are required to be available during the visit.

Documentation will also be provided to explain how this information should be referenced and shared
with OPITO. Where elements of course delivery are requested, this is to be submitted using video
footage. The video footage should allow the Specialist/Associate to clearly view the course delivery and
evidence the learners being presented with the opportunity to achieve the necessary outcomes. It is
important the communication is clear, and that training staff are introduced at the beginning of each
video. Where learners are required to participate verbally it is also important that their communication
can be heard clearly.

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Further information on remote visits will be provided by OPITO prior to them being held.
For fees relating to the conduct of Ongoing Site Visits please contact your regional office.

2.7 SAMPLING

OPITO’s risk-based approach to learner(s) portfolio sampling allows OPITO to determine the percentage
of learners and units required for sampling, based on the Centre Score, Assessor & Verifier Status and
the Portfolios Sampled during a previous site visit.

Where an Associate is present at an Ongoing Site Visit, additional time may be allocated to allow for
evidence sampling of any learner portfolios.

The outcomes of this review, alongside the completion level of the portfolios, will then be considered
when the final evidence sampling/external verification is required for the appropriate cohort of learners.

Once a cohort of learners have completed an OPITO Global Qualification(s), a request for evidence
sampling/external verification to be conducted will be submitted through the Learner Booking Form.

The Sampling Matrix is illustrated in Appendix 3.

2.8 SITE VISIT OUTCOMES

Following the completion of a Site Visit (Initial or Ongoing) the QA Specialist/Associate will make an
Approval recommendation. This recommendation is then reviewed by the Quality Assurance Manager
and a final decision is made on the outcome of the site visit.

The possible outcomes of a site visit are:

– Approval Outright: All evidence provided, was sufficient and met all requirements.
– Meets requirement: evidence has been reviewed to meet all the requirements.
– Exceeds requirement: evidence is available to reflect that the organisation has gone above
the needs of the requirement.

– Approval with Corrective Actions: Any actions to be taken from the site visit, regardless of visit type,
will be agreed with the Specialist/Associate at the time, and due dates for evidence submission will
be set.
– Minor Concern: where the Criteria is being met, however not in its entirety

– Suspension of Approval: In the event of a Suspension of Approval outcome, a further site visit may
be offered to continue to progress with the Approval.
– Major Concern: where no evidence is available to meet the Criteria or risk has been identified
that could affect learner wellbeing.

– Non-Approval: In the event of a Non-Approval outcome, a further site visit may be offered to
continue to progress with the Approval.
– Major Concern: where no evidence is available to meet the Criteria or risk has been identified
that could affect learner wellbeing.

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As part of the OPITO requirements for Approval, certain Criteria have been identified as being
safety critical and absolute requirements for continued OPITO Approval (highlighted with an asterisk*).
If certain aspects of these Criteria are identified as a major concern the site visit outcome may be
Suspension of Approval or Non-Approval.

This applies to the following:

– 2.1 Welfare Facilities

– 2.2 Facilities

– 2.3 Equipment

– 2.4 Maintenance and Inspection Regime

– 3.2 Organisation Chart, Staff Competency Matrix, and Qualifications

– 4.3 Achievement of Outcomes

– 5.4 Risk Assessment

Further information on these Criteria may be found in section 4 of this document.

2.9 REGISTERING AND CERTIFICATING LEARNERS

All learners attending OPITO Approved courses will be registered with OPITO prior to course
commencement and in line with the current requirements.

Learners who have successfully completed OPITO Approved courses and/or assessments are certified
by OPITO.

A registration fee is payable by the Centre to OPITO for each learner registered on the OPITO approved
qualification. Specific information on the current registration fees can be obtained from the relevant
regional Quality Assurance Coordinator. This contact information can be found on the OPITO website.

2.9.1. SCQF Credit Rating

As part of the Approval Process the Centre will need to provide evidence that the Centre is aware of
the Scottish Qualification Framework (SCQF) and the Credit Rating that has been undertaken regarding
the Standards/Qualifications that are to be delivered.
OPITO can provide further information on the SCQF awareness and arrange for an introduction to SCQF,
prior to Initial Approval being awarded.

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3.0 APPROVALS PROCESS PATHWAY

3.1 NEW CENTRE SEEKING INITIAL PRODUCT APPROVAL

New Centres seeking initial Product Approval or Centre Only Approval will start the process using
The HUB. The table below shows the stages to be followed to gain Initial Approval. Prior to this the
Centre will receive training in The HUB and ongoing support will be provided as and when required.
Further assistance with completing this process can be found within The HUB guidance document and
corresponding guidance video.

Table 1: Process for new Centre to gain Initial Approval

Actions by Centre Actions by OPITO

STAGE 1 – Complete Pre-Screening Questionnaire OPITO reviews Pre-Screening Questionnaire.

and submit to OPITO.

OPITO and Centre communicate to complete Pre-Approval workshop.

OPITO confirms completion of Pre-Approval workshop

and returns Form to Centre to complete an application.
STAGE 2 – Complete the Application section
and submit to OPITO.
OPITO reviews the application and details within the
section STAGE 3 – Desktop requirements which
Desktop Submission sections are required for completion.
STAGE 3 – Complete the requested Desktop
Submission sections and submit to OPITO for review. A Quality Assurance Specialist/Associate reviews the
submitted Desktop information and provides associated
feedback in STAGE 4 corresponding sections.

YES
Follow the Action Response Form guidelines until all Is further information requested?
actions have been closed out.

NO
STAGE 5 – Confirm receipt of all necessary
information, to date, and provide guidance on OPITO confirms completion and close-out of the Desktop.
potential visit dates (e.g. dates the Centre is
closed/not operating).

STAGE 6 – Initial Site Visit is carried out. A Quality Assurance Specialist/Associate compiles a report and provides a
recommendation, sending this to the Regional Quality Assurance Manager for review.

STAGE 7 – Centre acknowledges the report content, The Quality Assurance Manager reviews the site visit
findings, outcome and provides feedback to OPITO. report and issues the final Approval outcome.

Approval with
Corrective Actions Proceed based on visit outcome. Approval Outright
or Non-Approval

OPITO compiles an Executive Summary for formal

Follow the Action Response Form guidelines until all issue of the Approval decision.
actions have been closed out.
Approval Outright or with
Non-Approval
Corrective Actions closed out

Request a further site visit. Decline Approval Approve Centre

At this point OPITO may decide not to progress.

Signifies where the form is transferred between OPITO and the Centre.

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3.2 EXISTING TRAINING AND/OR ASSESSMENT CENTRES SEEKING ADDITIONAL

PRODUCT APPROVAL(S)

Existing Centres seeking additional Product Approval(s) will do so through The HUB. Table 2 shows the
stages to be followed.

Further assistance with completing this process can be found within The HUB guidance document and
corresponding guidance video. If you have any questions regarding the Approval Process, or if you
require any assistance when using The HUB, please contact your regional office.

Table 2: Process for existing Centres seeking additional Product Approval(s)

Actions by Centre Actions by OPITO

STAGE 1 – Create and complete an additional Product OPITO reviews the application and any
Approval Application Form and submit to OPITO. required evidence(s).

Further information
Provide additional information and/or clarification required
based on OPITO feedback.

Application progressed Application not progressed

STAGE 2 – OPITO will issue the required Desktop Criteria

for submission.
STAGE 3 – Complete the requested Desktop
Submission sections and submit to OPITO for review.
A Quality Assurance Specialist/Associate reviews the
submitted Desktop information and provides associated
feedback in STAGE 4 corresponding sections.

Follow the Action Response Form guidelines until all YES

actions have been closed out. Is further information required?

NO
STAGE 5 – Confirm receipt of all necessary
information, to date, and provide guidance on OPITO confirms completion and close-out of the Desktop.
potential visit dates (e.g. dates the Centre is
closed/not operating).

STAGE 6 – Initial Site Visit is carried out. A Quality Assurance Specialist/Associate compiles a report and provides
a recommendation, sending this to the Quality Assurance Manager for review.

STAGE 7 – Centre acknowledges the report content, The Quality Assurance Manager reviews the site visit
findings and outcome and provides feedback to OPITO. report and issues the final Approval outcome.

Approval with
Corrective Actions Proceed based on visit outcome. Approval Outright
or Non-Approval

OPITO compiles an Executive Summary for formal

Follow the Action Response Form guidelines until all issue of the Approval decision.
actions have been closed out.
Approval Outright or with
Non-Approval
Corrective Actions closed out

Request a further site visit. Decline Approval Approve Centre

Signifies where the form is transferred between OPITO and the Centre.

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3.3 APPEALS

If at any point following the completion and review of a Desktop Submission or site visit, the Centre
wishes to raise an Appeal against any of OPITO’s comments and/or actions, this can be done by following
our Appeals Process. This is carried out within The HUB, as outlined in the table below. Further assistance
on this can be found within the Raising an Appeal guidance document, and the corresponding
guidance video.

Action by Applicant Actions by OPITO

Create the Appeals Form.

Complete the Appeal Details section and

OPITO reviews the Appeal.
submit to OPITO.

Complete the Appeal Details section and Does the review require a response
submit to OPITO. from the Centre?
YES
NO

Appeal is closed appropriately.

Signifies where the Form is transferred between OPITO and the Centre.

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3.4 EXISTING CENTRES AND ONGOING REVIEW

3.4.1 Internal Self-Assessment (ISA)

Three months prior to a site visit an ISA Form will be issued to the Centre through The HUB.
The table below highlights the stages to be followed to complete the process.

Action by Centre Actions by OPITO

STAGE 1 – Review the request sent from OPITO, OPITO will issue an Internal Self-Assessment
including the Products subject to internal review and the Form detailing the requirement for this to
deadline date. be carried out.

STAGE 2 – Conduct Internal Self-Assessment of the

OPITO Systems Criteria and Product Criteria, relevant
to the requested Product specification(s).

STAGE 3 – Provide a summary of the OPITO will review the Self-Assessment Form and
Internal Self-Assessment and action taken close-out accordingly. This will now be used for
following this. reference at the upcoming site visit.

Signifies where the Form is transferred between OPITO and the Centre.

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3.4.2 Ongoing Quality Assurance: Visits

Once an Ongoing Quality Assurance (QA) Visit has taken place the report will be generated through
The HUB. The table below shows the stages to be followed to review and acknowledge the report.

Actions by Centre Actions by OPITO

OPITO liaises with the Centre to confirm the dates of the Ongoing Site Visit.

OPITO compiles an Ongoing Site Visit plan, outlining

the structure of the visit and sends to the Centre.

OPITO Quality Assurance Specialist/Associate conducts

the site visit, which may include sampling of portfolios, and
compiles all relevant evidence and findings.

STAGE 1 – The Centre will review all information OPITO Quality Assurance Manager reviews the information
within the sections of the Form which are marked and issues the visit outcome to the Centre.
as STAGE 1.

STAGE 2 – The Centre completes the Centre

Acknowledgement section detailing whether it accepts
the content or wishes to raise an Appeal.

Does the Centre accept the outcome and

comments raised within the report? Outcome

NO YES

Follow the
No further action
Appeals Process Ongoing Ongoing
Approval with Approval
Corrective Suspend
Actions Approval
Follow the Actions Process until all
actions are successfully closed out.

The Form is closed with Ongoing

Approval granted.

The Form is closed with Suspended Approval and

Further Site Visit Process is followed.

Signifies where the Form is transferred between OPITO and the Centre.

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3.4.3 Ongoing Quality Assurance: Sampling

As part of the Ongoing Quality Assurance (QA) Visit(s), sampling of evidence in the form of learner
portfolios, to assure compliance, will take place (see Sampling Matrix in Appendix 3). The Sampling
Process is outlined below:

Learner Registrations:

The Approved Centre will submit all OPITO Global Qualification learner registrations to OPITO.
Notification of this will be received by the Quality Assurance Coordinator, who will activate the OPITO
Invoicing Process accordingly.

Ongoing Site Visits:

Conducted by an OPITO Associate or Specialist and will include a review of the OPITO Criteria and
Product specification(s) requirements and any evidence sampling/external verification.

Evidence Sampling of Portfolios:

Where an Associate is present at an Ongoing Site Visit, additional time may be allocated to allow for
evidence sampling of any learner portfolios which are currently in progress.

The outcomes of this review, alongside the completion level of the portfolios, will then be considered
when the final evidence sampling/external verification is required for the appropriate cohort of learners.

Completed Portfolios:

Once a cohort of learners have completed an OPITO Global Qualification(s), a request for evidence
sampling/external verification to be conducted will be submitted through the Learner Booking Form.

All learners in the booking should have completed the course/portfolio to 100% prior to placing this
request. In instances where a learner has been issued additional time, for example due to illness, this is to
be detailed within the request. The Learner Booking Form will need to be re-submitted for award, at the
later date, upon completion of the learner’s portfolio.

Obtaining Portfolios for Evidence Sampling:

The Quality Assurance Manager will use the Sampling Matrix, to distinguish the percentage of learners
and units required for evidence sampling/external verification.

A Quality Assurance Coordinator will then create an Evidence Sampling/External Verification Request
Form, which will be sent to the Approved Centre, for them to upload the required portfolios. The form
will specify which learners’ portfolios are to be sampled.

Allocation of Portfolios to OPITO Associates:

Quality Assurance Coordinator(s) will be notified when the required portfolios have been submitted.
This information is then distributed to the relevant OPITO Associate(s) in the form of the Evidence
Sampling Request Form.

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Completion of Evidence Sampling/External Verification:

The OPITO Associate will carry out the evidence sampling/external verification and reflect this in the
outcomes, with the appropriate feedback in the Sampling Request Form.

Note: On occasion it may be identified that action is to be taken prior to allowing the learner(s) to be
being certified. If this is the case, the action is to be raised in the feedback section of the Sampling
Request Form.

Upon completion of this process, the OPITO Associate will send the completed form(s) to the relevant
Quality Assurance Manager for review and Approval, or close-out of any action(s), where applicable.

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4.0 OPITO APPROVAL CRITERIA AND ASSESSMENT TOOL

4.1 OPITO APPROVAL CRITERIA

The Criteria consist of five sections:

– Section 1 – Management Systems

– Section 2 – Equipment and Facilities

– Section 3 – Staff Resources

– Section 4 – Training and Assessment

– Section 5 – Health and Safety

The criteria are then further split into two categories:

– Systems Criteria – this is the Criteria in which evidence does not differ from Product to Product.

– Product Criteria – this is the Criteria in which evidence is required to reflect requirements of
the individual Product(s).

The aim of this categorisation is to reduce the timeframe for both Desktop Submissions and site
visits for already approved Centres, as we can minimise the evidence required for review, using a
risk-based approach.

1. Management Systems

1.1 OPITO Policy, Scope, Roles, and Responsibilities – A policy demonstrating senior management
commitment to the safe implementation and maintenance of OPITO Approval. (Systems).

1.2 Malpractice, Grievances & Complaints – A Malpractice, Grievances & Complaints procedure which
details all steps of a Procedure/Process. This is to include initially informing Learners of its availability,
through to who is responsible for dealing with Malpractice, Grievances & Complaints and how the
final decision on any action taken is made and recorded. (Systems).

1.3 Document & Record, Control Data Protection, Data Cleansing and Retention – A procedure
that ensures all relevant documents and records required for OPITO Approval are part of a controlled
system, including Data Protection, Data Cleansing and Retention. (Systems).

1.4 Satellite Site Management – A procedure which outlines how training and/or assessment being
conducted on satellite Sites is managed and evidence is available which demonstrates this is being
followed satisfactorily and is being communicated to all relevant staff. (Systems).

1.5 Management Review – A Management Review procedure which ensures that review of the effective
and safe delivery of OPITO Qualifications and OPITO Approval requirements is conducted every
12 months, as a minimum. (Systems).

1.6 Learner Assessment Requirements – A procedure that ensures all training and/or assessment
considerations for supporting Learners have been implemented. (Systems).

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1.7 Internal Audit – A procedure that covers 12-monthly internal auditing of all OPITO Criteria –
Systems and Product – and including all related activities. Additionally, this includes an appropriate
sample of actual qualification delivery of the Products held. The procedure is supported by an
indicative Audit Plan. (Product).

2. Facilities and Equipment

2.1 Welfare Facilities – The Centre can demonstrate suitable Learner welfare facilities are in place
that are appropriate to the delivery of the OPITO Product(s) and relevant national/state legislation.
(Systems).

2.2 Facilities – The Centre can demonstrate that all facilities as outlined within the “Facilities”
section of the relevant Product specification are available, operational and allow Learner welfare
to be maintained. Facilities available must also allow for Learners to achieve all the outcomes and
associated Criteria in a safe manner. (Product).

2.3 Equipment – The Centre can demonstrate that all equipment as outlined within the “Equipment”
section of the Product specification is available, operational, and allows Learner welfare to be
maintained. The available equipment must also allow Learners to achieve all the outcomes and
associated Criteria in a safe manner. (Product).

2.4 Maintenance and Inspection Regime – The Centre has a suitable Maintenance and Inspection
Regime which evidences how safe operations are assured, equipment is kept available and how
records are maintained. (Product).

3. Staff Resources

3.1 Staff Training and Competence – A Staff Training and Development procedure(s) which details
how staff are initially trained and deemed competent to fulfil their role(s) and how ongoing
confirmation of this competence is assured and conducted regularly. (Systems).

3.2 Organisation Chart, Staff Competency Matrix, and Qualifications – Staff qualifications and
supporting evidence, as outlined within the relevant OPITO Product specification, are available and
reflect the information detailed within the competence matrix, which identifies all roles and
responsibilities required for the safe delivery of the OPITO Product, including instructors/assessors
support staff/sub-contractors/internal verifiers and maintenance staff. (Product).

4. Training and Assessment

4.1 Internal Verification and Standardisation – A Internal Verification and Standardisation procedure
that ensures consistent and objective assessment decisions are made. The procedure references
a sampling plan, used to ensure that correct methods and levels for sampling are adhered to, and
details a process for the conduct of standardisation of meetings between assessors and internal
verifiers. (Systems).

4.2 Training and Assessment Procedures – Training and/or Assessment procedures that clearly detail
how the outcomes/performance Criteria/knowledge and understanding Criteria, as per the OPITO
Product, will be evaluated in a consistent manner. (Product).

4.3 Achievement of Outcomes – Assessment checklists available that accurately reference all the
outcomes from the relevant OPITO Product specification. The Centre can also demonstrate how the
outcomes are consistently achieved. (Product).

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4.4 Validation Procedure – A validation procedure is in place which ensures authenticity of candidates
own work and details the requirement for a staff declaration of conflict of interest. (Product).

5. Health and Safety

5.1 Accident/Incident/Near Miss – An Accident/Incident and Near-Miss procedure that details all steps
of the process followed to include: reporting arrangements, investigation steps, lessons learned, root
cause analysis, the need to communicate findings throughout the Centre and steps to be taken in
the event of a Lost Time Incident. (Systems).

5.2 Health & Safety – A Health and Safety Policy which is on display in relevant areas and ensure that
there is safe and healthy environment for the implementation of relevant Qualifications. (Product).

5.3 Safety Briefings – A Procedure to establish the purpose, scope, and benefits of holding regular
safety briefings to maintain communication and in turn, improve workshop safety. (Product).

5.4 Risk Assessment – A Risk Assessment procedure that covers all steps of the process followed for
Risk Assessment and ensures that they are suitable and sufficient. Additionally, the Centre must have
suitable and sufficient risk assessments in place for all activities related to the delivery of OPITO
Product(s. (Product).

4.2 OPITO APPROVAL CRITERIA MATRIX – SYSTEMS

As noted in section 4.1 of this document, the OPITO Approval Criteria are split into two categories:
Systems Criteria and Product Criteria.

The Systems Criteria detail the OPITO requirements for which the necessary evidence does not differ
based on the individual Product specification(s).

The Product Criteria explain the requirements for which the necessary evidence differs between each
individual Product specification.

The following matrix provides further detail on each of the Systems Criteria. It sets out what is needed to
meet the requirement, what constitutes a minor and/or major concern to meet this requirement and
examples of how a Centre can exceed the requirement. Similar information on each Product Criteria can
be found in section 4.3 of this document.

Certain criteria within the Systems Criteria have been marked with an asterisk(s)*. In some instances, a
major concern rasied against these criteria, can result in all Product Approvals automatically being
suspended, until a time when these have been rectified and closed out.

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Table 1: OPITO Systems Criteria

OPITO Systems Criteria

Systems Criteria covers all the OPITO requirements which oversee the management of the OPITO Approval. The information/evidence required to meet these requirements
does not differ based on the different Product Approval(s).

Example of Example of
Criteria Requirement Example of exceeding
minor concern major concern

Section 1 – 1.1 There is a policy available demonstrating senior The Centre clearly demonstrates The policy has been formally No policy demonstrating senior
Management OPITO Policy, management commitment to safe implementation that the policy is implemented accepted and is being adhered management commitment
Systems Scope, and maintenance of OPITO Approval. and understood at all levels of to, however it does not reflect to safe implementation
Roles, and the Centre. the most up-to-date senior and maintenance of OPITO
This policy is effectively communicated throughout
Responsibilities management situation on-site. Product(s) is available.
the Centre and to learners. The Centre has a structured
approach to periodic review There are defined roles and The policy is not implemented
There is evidence that the policy is being implemented
of the policy, ensuring that it is responsibilities, however, not and/or not being adhered to.
and adhered to. The roles, responsibilities, and
authorities for those involved in the operation of the kept continually up to date. all are current and up to date. There are no defined roles
Centre are clearly defined. Roles and responsibilities are The scope is mostly accurate and responsibilities for anyone
The Centre can demonstrate that the Approval reflected in an accurate and but does not reflect all current involved in the operation of
is clearly defined in terms of scope of Approval, Approvals, sites, and contractors. the Qualifications Centre.
up-to-date organisation chart.
including but not limited to – training & assessment
The scope of the Approval is There is no defined scope
sites, satellite sites (where applicable) and
understood by everyone with of Approval.
sub-contractor utilisation (where applicable).
responsibilities within the Centre.

1.2 A Malpractice, Grievances and Complaints Procedure In the event of a Malpractice, Although a procedure is in No Malpractice, Grievance,
Malpractice, and/or Process is clearly defined and evident, Grievance or Complaint the place, this is not effectively & Complaints Procedure and/or
Grievances detailing the following: organisation ensures the communicated to learner(s). Process is in place.
& Complaints prompt investigation of the
(a) Clear guidelines on how it is communicated to The process being followed No evidence is available to
circumstances, following the
both learners and staff. on-site does not accurately support the Malpractice,
decision-making authorisation
reflect that of the corresponding Grievance & Complaints
(b) How circumstances are investigated and pursued, steps, and ensures that any
procedure or lacks detail in Procedure and it is not
in a timely manner, to ensure closure (including the lesson learned are implemented
some aspects of its operation. communicated to learner(s).
decision-making authorisation steps) and all and communicated at all levels
lessons learned are implemented and of the organisation. While evidence of Malpractices,
communicated at all levels of the organisation. Grievances & Complaints
Evidence of feedback/resolution
raised are documented, these
(c) Evidence of feedback/resolution can be tracked can be tracked through the
are not being enacted upon or
through the Malpractice, Grievances and grievances lifecycle and is fed
closed out adequately.
Complaints lifecycle and is fed into management into management meetings and
meetings and quality assured. quality assured.
(d) If any issues are not resolved the learner has the
right to appeal to OPITO.

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 Guide for Centres to Achieve and Maintain OPITO Approval – Global Qualifications

OPITO Systems Criteria

Systems Criteria covers all the OPITO requirements which oversee the management of the OPITO Approval. The information/evidence required to meet these requirements
does not differ based on the different Product Approval(s).

Example of Example of
Criteria Requirement Example of exceeding
minor concern major concern

Section 1 – 1.2 (e) All associated documentation to be clearly

Management Malpractice, referenced and indexed to ensure traceability and
Systems Grievances efficient functionality of Templates, Forms,
& Complaints Checklists, Agreements, where applicable.
(continued)

1.3 A Document & Record Control Procedure is available The organisation demonstrates Although processes and There is no procedure and/or
Document which includes the following: and ensures a high degree procedures are in place for process in place which covers
& Record of control for all documents document and record control, how all relevant documents
(a) Approval of documents for adequacy prior to issue.
Control, Data and records required for they fail to meet at least one and records required for the
Protection, (b) The review, update as necessary, and Re-Approval OPITO Approval. of the elements outlined in OPITO Approval(s) are controlled
Data Cleansing of documents. the requirement. and securely stored. These
There are proactive measures
and Retention. include assessment records and
(c) Identification of changes and current document taken to ensure only current Lack of confirmation of learners’
verification records.
revision status. documentation is utilised and it agreement to use and store
was clearly demonstrable that personal information. There is no procedure evidenced
(d) Relevant documents being made available at
assessment records were highly for gaining agreement from
points of use. There are deviations between
organised and retrievable. learners that their details can be
actual practice carried out
(e) Ensuring documents remain legible and retained by OPITO.
The organisation demonstrates on-site and those detailed within
readily identifiable.
that only required data is the corresponding procedure. There is no process being
(f) Identifying external documents and controlling collected and robust data followed on-site for the secure
Data Protection Policy that
their distribution. security provisions are in place storage, appropriate backup and
deviates in minor aspects from
with strict access control. suitable retention periods
(g) Preventing obsolete documents from current legislation.
of records or the process
unintended use. Due to lack of national
Although document control being followed significantly
legislations/guidelines relating
(h) Applying suitable identification if obsolete procedures exist, their operation deviates from the
to retention periods of learner(s)
documents are retained. is inconsistent. corresponding procedure.
records, the organisation follows
The Control of Records Procedure should define and a recognised international There is no Data Protection
establish the following: guideline and learner(s) records Policy or Procedure that
are retained (for example complies with current
(a) A secure, backed up system that all documents
20 years after completion of legislation that requires the
and records are stored in for a recommended
the OPITO Qualification. Centre to maintain accurate
retention period in line with national/local
learner(s) details.
regulatory requirements. A schedule is in place and
(b) Data Protection and Cleansing Policy that adhered to for reviewing all No Data Cleansing Policy that
complies with current legislation and maintains associated Quality Management maintains accurate learner(s)
learner details for a specified period. Systems documentation. details for a pre-specified period.

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 Guide for Centres to Achieve and Maintain OPITO Approval – Global Qualifications

OPITO Systems Criteria

Systems Criteria covers all the OPITO requirements which oversee the management of the OPITO Approval. The information/evidence required to meet these requirements
does not differ based on the different Product Approval(s).

Example of Example of
Criteria Requirement Example of exceeding
minor concern major concern

Section 1 – 1.3 (c) Process for gaining learner agreement for their No Document Control
Management Document details to be retained by OPITO. Procedures in place to
Systems & Record identify any relevant quality
(d) Procedure for submitting learner details to OPITO
Control, Data management system documents.
through a designated point of contact.
Protection,
Data Cleansing (e) All associated documentation to be clearly
and Retention. referenced and indexed to ensure traceability
(continued) and efficient functionality of Templates, Forms,
Checklists, Agreements, where applicable.

1.4 There is a procedure which outlines how training The procedure being followed There are minor deviations There is no procedure and/
Satellite Site and/or assessment being conducted on satellite is proactive and ensures between the actual process or process in place for training/
Management sites is managed and evidence is available which satellite sites are thoroughly being followed on-site and assessment delivered across
demonstrates this is being followed satisfactorily and checked so they are sufficient those detailed within the multiple sites.
is being communicated to all relevant staff. Where and OPITO is made aware in a corresponding procedure.
appropriate this includes: There are significant deviations
timely manner. Procedures and policies being between the procedure in
(a) Training/assessment on multiple sites where Satellite assessment sites and implemented at satellite sites place and the actual process
training is conducted off-site (i.e., a separate sub-contractors are subject to are not fully compliant with the being followed on-site
practical training/assessment site) including regular internal audits/reviews quality management system and/or it falls far below the
appropriate and effective liaison and ensuring they comply with policies and procedures. OPITO requirement.
communication. Considering suitable and quality management system
sufficient risk assessments, emergency response policies and procedures.
arrangements, communication and administration
of all courses, records, and documents.
(b) Training/assessment at satellite sites including an
appropriate process to ensure the suitability of
the satellite site and, where appropriate,
communication with OPITO.

1.5 There is a Management Review Procedure in place Management Review meetings Although Management Review No Management Review
Management which ensures that review of the effective and covering all agenda items is being conducted and a Procedure and/or Process
Review safe delivery of OPITO Qualifications and OPITO are used as a proactive way procedure is in place, it does is in place.
Approval requirements are conducted every of managing the OPITO not meet all the areas outlined
No evidence of Management
12 months, as a minimum. Approval(s) held. within the requirements.
Review being conducted
is available.

November 2024 25
 OPITO Systems Criteria
Systems Criteria covers all the OPITO requirements which oversee the management of the OPITO Approval. The information/evidence required to meet these requirements
does not differ based on the different Product Approval(s).

Example of Example of
Criteria Requirement Example of exceeding
minor concern major concern

Section 1 – 1.5 The procedure details who should attend the The meetings are a core part of Minutes are missing from
Management Management Management Review meetings, highlighting how the Centre’s strategy to ensure meetings which have been
Systems Review minutes are distributed and securely stored. ongoing compliance and there conducted or have not been
(continued) The minimum requirement is that the following
is evidence that decisions appropriately distributed.
made at these meetings are
topics are covered: Results of Internal Audits/ While meetings have been
actioned and lessons learned
External Visits, Training and/or Assessment Results, taking place and there is
are communicated effectively
Near-Miss/Accident/Incident Reports, Customer corresponding documentation,
throughout the Centre.
Satisfaction (Malpractice, Complaints and Appeals), actions are not being enacted
Resources (Staff and Physical), OPITO visits and or closed.
Internal Self-Assessments.
Evidence is available which demonstrates the
procedure is being followed.

1.6 There is a procedure which ensures that all training The Centre proactively The procedure and/or actual There is no procedure and/
Learner and/or assessment considerations for learners have learner training/ process being followed is or process in place that
Assessment been considered. This includes, as a minimum: assessment requirements and not aligned with the OPITO ensures all training/assessment
Requirements
(a) Facilitates the identification and suitable measures ensures they are met in a requirement in at least one area. considerations have been
for individual training/assessment requirements highly manner. taken into account.
There are minor deviations
for learners, an equal opportunities policy which
Detailed inductions occur between the actual process There are deviations
ensures a fair access to, and assessment of,
OPITO Qualifications, appropriate to the site. which capture the entire being followed on-site and between the procedure in
This could include some or more of the following: learning and assessment that detailed within the place and the actual process
experience to be followed. being followed on-site
corresponding procedure.
(i) English not language
End of debriefs and/or these fall far below the
There is no record of NYC and
(ii) Literacy are well detailed and they OPITO requirement.
Appeal cases including follow
outline future training and
(iii) Religious considerations up of these situations. The Centre does not conduct
development requirements.
An induction and end of any induction or end of
(iv) Disability
debrief is de-brief for the
b) The decision in the event of a Not Yet Competent OPITO undertaken
conducted however they are not
(NYC) outcome: by the learner.
appropriately documented.
(i) Records completed
(ii) How training requirements are decided
and communicated
(iii) Process for reassessment.

November 2024 26
 OPITO Systems Criteria
Systems Criteria covers all the OPITO requirements which oversee the management of the OPITO Approval. The information/evidence required to meet these requirements
does not differ based on the different Product Approval(s).

Example of Example of
Criteria Requirement Example of exceeding
minor concern major concern

Section 1 – 1.6 (c) Assessment Appeal Process including:

Management Learner (i) How this is communicated to learners
Systems Assessment (ii) Ultimate decision-making responsibility within
Requirements the Centre
(continued) (iii) How different Appeal outcomes are actioned,
communicated and recorded.
There is a process for ensuring that all learners
receive an induction to each OPITO Qualification
they undertake, and this is supported with records
of induction. The induction should include, but not
limited to the following:
i. Content and structure of the qualification
they are undertaking.
ii. Roles and responsibilities of the learner,
Assessor, Internal Verifier and External Verifier.
iii. Guidance and support.
iv. Assessment/re-assessment, including the
modes and format of assessment (both internal
and external assessment) and opportunities for
re-assessment (including charging policy for
re-assessment, if relevant).
v. How feedback on assessments
will be provided.
vi. Equal opportunities and
assessment arrangements.
vii. Malpractice and declarations of authenticity.
viii. Complaint/grievance procedures.
ix. Internal assessment Appeals.
x. Data protection (consent to share
information, open mail).
xi. Safety Briefings.
There is a process for ensuring that all learners
receive an end of Qualification de-brief for each
OPITO Qualification they undertake, and this is
supported with records of the event.’

November 2024 27
 OPITO Systems Criteria
Systems Criteria covers all the OPITO requirements which oversee the management of the OPITO Approval. The information/evidence required to meet these requirements
does not differ based on the different Product Approval(s).

Example of Example of
Criteria Requirement Example of exceeding
minor concern major concern

Section 2 – 2.1 The Centre demonstrates suitable learner welfare The Centre clearly focuses on The Centre fails to meet the The Centre cannot and/or fails
Facilities and Welfare facilities that are appropriate to the delivery the welfare of its learners as OPITO requirement in at least to demonstrate suitable learner
Equipment Facilities* of the OPITO Product(s) and relevant national/ demonstrated by the facilities one area, however this is easily welfare facilities appropriate to
state legislation. provided which consistently resolvable and can be the delivery of OPITO Standard.
exceed expectations. within an appropriate timescale.
This could include:
Continuous improvement
(i) means of hydration
system, robust cleaning and
(ii) Restrooms/showers/changing areas sanitisation regimes.
(iii) Catering Training/Assessments
adopts the most up-to-date
(iv) General operating environment (temperature,
technology to improve hygiene.
noise and lighting)
For example, automated
(v) Hygiene sanitisation taps, door, toilets
and caters for a wide range of
(vi) Housekeeping
dietary requirements.

Section 3 – 3.1 There are Staff Training and Development Procedures The Centre uses the staff The procedure and/or actual There are no staff training
Staff Staff which detail both: training procedure to ensure process being followed is procedures which detail how
Resources Training and proactive management of staff not aligned with the OPITO staff are initially trained and
(a) How staff are initially trained and deemed
Competence competent to their role; and
training both initially and on requirement in at least one area. deemed competent to
an ongoing basis. their role and how ongoing
There are minor deviations
(b) How ongoing of this competence is of this competence
It is clearly demonstrable how between the actual process
assured and that this is conducted regularly. is assured.
any development gaps being followed on-site and
The above includes all staff roles and responsibilities are actioned and closed out. that detailed within the There are no satisfactory records
for the safe delivery of the OPITO Product(s) and corresponding procedure. to support that staff
The procedure clearly
includes instructors/assessors/support staff/ have been deemed competent.
different processes for instructors
sub-contractors and maintenance staff.
and assessors and uses a There are deviations
Evidence is available that the above is being followed risk-based approach to ensure between the process being
adequately and records are available to evidence that staff can demonstrate followed for staff training and
both initial of competence and ongoing competence at all times. the corresponding procedure
of competence for all relevant staff. and/or the OPITO requirement.
There is a proactive plan in place
that incorporates skills decay Staff providing OPITO training
for individual competencies and and assessment activities have
future developments. no supporting competency
records or relevant

November 2024 28
 OPITO Systems Criteria
Systems Criteria covers all the OPITO requirements which oversee the management of the OPITO Approval. The information/evidence required to meet these requirements
does not differ based on the different Product Approval(s).

Example of Example of
Criteria Requirement Example of exceeding
minor concern major concern

Section 4 – 4.1 The Centre has a process that quality assures the The Centre proactively uses The procedure and/or actual There is no procedure and/
Training and Internal assessment process through Internal Internal to ensure process being followed are or process being followed for
Assessment assessments are consistent not aligned with the OPITO Internal
There is a process which details as a minimum:
Standardisation and objective. requirement in at least one area.
No records are available to
(a) Roles and responsibilities
A full range of Internal Evidence of Internal evidence Internal
(b) How is planned methods were and Standardisation Procedure having been carried out.
employed, and the necessary but lacking in breadth of
(c) What documents are used during the
resources were made coverage such as consistency
(d) How is carried out and what the available to allow this plan to of assessment approach,
sampling rate is be highly effective. sampling, and recording.
(e) How decisions are recorded within The Centre demonstrates that
the system an effective Internal
(f) How decisions are communicated sampling strategy is available for
to Assessors and actions closed out. the assessment process from
planning to actual conduct of
It uses a sampling plan to ensure that correct learner assessment and feedback
methods and levels for sampling are adhered to and by a competent internal
details a process for the conduct of standardisation In the event any are
meetings between assessors and internal the Centre ensures
Records are available to evidence the above the prompt investigation of
procedure is being adhered to. the circumstances and that any
lessons learned are implemented
and communicated, i.e., via
standardisation meetings between
the internal and assessors.

Section 5 – 5.1 An Accident/Incident and Near-Miss Procedure The Accident/Incident and The procedure and/or actual There is no Accident/Incident
Health Accident/ is available that details all steps of the process Near-Miss Procedure is process being followed on-site and Near-Miss Procedure
and Safety Incident and followed, including): highly effective and ensures do not align with the OPITO and/or Process being followed
Near-Miss continuous improvement. requirement in at least one area. for this.
(a) Reporting
Observations of unsafe acts Evidence of minor accidents No documentation is available
(b) Investigation
and unsafe conditions are and near-misses not being fully to record potential accident/
(c) Lessons learned actively encouraged to be recorded – lacking in detail. incidents and near-misses.
reported and documented with
(d) Root cause analysis There are minor deviations No records of historical
a “no blame culture.”
between actual practice on-site accidents and near-miss
(e) Communication of throughout the Centre
incidents evidenced.

November 2024 29
 OPITO Systems Criteria
Systems Criteria covers all the OPITO requirements which oversee the management of the OPITO Approval. The information/evidence required to meet these requirements
does not differ based on the different Product Approval(s).

Example of Example of
Criteria Requirement Example of exceeding
minor concern major concern

Section 5 – 5.1 (f) In the event of an LTI, an incident summary Accident/Incident/Near-Miss and that detailed within the
Health Accident/ covering the event, type of injury, initial actions and observation data is analysed corresponding procedure.
and Safety Incident and and initial incident are reported to the with results and trends being
Near-Miss relevant OPITO Regional Manager within 48 hours. shared throughout the Centre.
(continued)
Documentation is available to support the An open and transparent
procedure and ensures that all required data is approach throughout the
captured and recorded. Centre and the wider Approved
Centre community, within the
limits of

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 Guide for Centres to Achieve and Maintain OPITO Approval – Global Qualifications

4.3 OPITO APPROVAL CRITERIA MATRIX – PRODUCT

As noted in section 4.1 of this document, the OPITO Approved Criteria areas are split into two
categories: Systems Criteria and Product Criteria.

The Systems Criteria detail the OPITO requirements for which the necessary evidence does not differ
based on the individual Product specification(s).

The Product Criteria explain the requirements for which the necessary evidence differs between each
individual Product specification.

The following matrix provides further details on each of the Product Criteria. It sets out what is needed
to meet the requirement, what constitutes a minor and/or major concern to meet this requirement and
examples of how a Centre can exceed the requirement. Similar information on each of the Systems
Criteria can be found in section 4.2 of this document.

Certain criteria within the Product Criteria have been marked with an asterisk(s)*. In some instances, a
major concern raised against these criteria, can result in the relevant Product Approval(s) effected being
suspended, until a time when these have been rectified and closed out.

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 Guide for Centres to Achieve and Maintain OPITO Approval – Global Qualifications

Table 2: OPITO Product Criteria

OPITO Product Criteria

Product Criteria includes all the OPITO requirements which differ based on the relevant Product Approval(s). The information/evidence needed to meet these requirements
is specific to the individual Product specification(s).

Example of Example of
Criteria Requirement Example of exceeding
minor concern major concern

Section 1 – 1.7 There is a procedure in place which covers A proactive approach to Internal A procedure is available No Internal Audit procedure is
Management Internal Audits 12 monthly Internal Auditing of all OPITO Criteria; Audit of the OPTIO Criteria however fails to meet the OPITO available.
Systems Systems and Product, including all related activities. is evident and supersedes the requirement in at least one area.
No Audit schedule is available.
OPITO requirement.
Additionally, this includes an Internal Audit of An Audit Plan is available
No supporting evidence of the
actual Product delivery. Where a number of Product The Internal Audits form a however fails to meet the OPITO
conduct of Internal Audits is
Approvals are held, an appropriate risk-based fundamental part of the Centre’s requirement in at least one area.
available (where appropriate).
approach to sampling is required. The procedure continuous improvement,
A procedure is available for
specifies that Internal Audits will be conducted corrective actions are closed out No OPITO Internal Self-
the completion of OPITO
by appropriately trained personnel with no conflict with a quick turnaround Assessment procedure is
Internal Self-Assessment Forms,
of interest in the area being Audited. and regularly add value to the available and/or no Internal Self-
however, fails to meet the OPITO
Centre’s operations. Assessment has been completed
The procedure is supported by an indicative Audit requirement in at least one area.
upon request from OPITO.
Plan which includes all existing OPITO System and
OPITO Internal Self-Assessment
Product Criteria, and all Products held (including any
are carried out however, are
new Product applications).
not a true reflection of current
Evidence is available to support that the circumstances found on-site and/
above procedure and plan are being adhered or are not submitted prior to the
to satisfactorily. deadline date.
There is a procedure in place which ensures the
completion of an OPITO Internal Self -Assessment,
upon request from OPITO. The procedure details
the requirement for this to be returned prior to the
deadline date and to be carried out as a true
reflection of the current circumstances on-site.

Section 2 – 2.2 All facilities as outlined within the Facilities section The facilities available allow The facilities available on-site Facilities on-site do not meet
Facilities and Facilities* of the relevant Product specification are available for the course to be conducted do not meet all the individual the requirements outlined
Equipment and operational and allow learner welfare to in a highly efficient and requirements outlined within within the Product specification
be maintained. effective manner. the corresponding Product and/or are not in operational
specification, however the working order and could result
Appropriate pro-forma checklists are utilised to track The facilities available go
learners are still able to achieve in learners not being able to
and account for facilities and equipment status. beyond the requirements of the
the outcomes, in a safe manner meet the training programme
Product specification, without
An appropriate procedure is in place that details all which does not place any and/or achieve all the
implementing any undue
maintenance requirements and responsibilities. undue physical and/or mental outcomes or pose a threat to
physical and/or mental stress
stress on the learners or effect learner welfare.
on the learners.
their welfare.

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 Guide for Centres to Achieve and Maintain OPITO Approval – Global Qualifications

OPITO Product Criteria

Product Criteria includes all the OPITO requirements which differ based on the relevant Product Approval(s). The information/evidence needed to meet these requirements
is specific to the individual Product specification(s).

Example of Example of
Criteria Requirement Example of exceeding
minor concern major concern

Section 2 – 2.2 The requirements currently The facilities on-site do not

Facilities and Facilities* not being met are resolvable accurately reflect that in the
Equipment (continued) and can be rectified in a Product specification and
timely manner. could place undue physical
and/or mental stress on the
Lack of clarity within the
learner(s) and pose a threat to
procedure for maintenance
learner welfare.
activities where Facilities that
requires periodic certification No procedure evidenced
is employed in the delivery of for maintaining safety and
the OPITO Qualification. certification of Facilities.

2.3 All equipment outlined within the Equipment The equipment available on-site Although the equipment Equipment outlined within the
Equipment* section of the Product specification is available goes above the requirements available on-site does not meet Product specification is not
and operational and allows learner welfare to of the Product specification, all of the requirements detailed available and/or operational
be maintained. without placing any undue within the equipment section and results in learners not
physical and/or mental stress on of the Product specification being able to meet the training
Sufficient equipment quantities required by the
the learners. This allows for the learners are still able to achieve programme and/or achieve all
Centre are available and this information is captured
optimum learning experience. the outcomes in a safe manner the outcomes or pose a threat
within an equipment inventory.
which does not place any to learner welfare.
The equipment they have reflects
Appropriate pro-forma checklists are utilised to track undue physical and/or mental
multiple regional requirements Equipment available on-site
and account for facilities and equipment status. stress on the learners or affect
that they cater to. does not accurately reflect the
their welfare.
An appropriate procedure is in place that details all equipment section of the
maintenance requirements and responsibilities. Equipment which is not currently Product specification and/or
available can be easily obtained is not operational and could
and the failure to meet the result in the potential for
requirement rectified within a learners to be placed under
timely manner. undue physical and/or mental
stress and/ or poses a threat to
Lack of clarity within the
learner/staff welfare.
procedure for maintenance
activities where equipment that No procedure evidenced
requires periodic certification for maintaining safety and
is employed in the delivery of certification of equipment in
the OPITO Qualification. classrooms and workshops.

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 Guide for Centres to Achieve and Maintain OPITO Approval – Global Qualifications

OPITO Product Criteria

Product Criteria includes all the OPITO requirements which differ based on the relevant Product Approval(s). The information/evidence needed to meet these requirements
is specific to the individual Product specification(s).

Example of Example of
Criteria Requirement Example of exceeding
minor concern major concern

Section 2 – 2.4 A Maintenance and Inspection Regime is available The Centre goes The Maintenance and Inspection No Maintenance and Inspection
Facilities and Maintenance which evidence how the following objectives are met: above and beyond the Regime is being followed, in the Regime is available, or it is not
Equipment and minimum manufacturer’s main, however there are minor aligned with OPITO requirement.
(a) Assure safe operations, care for health and respect recommendations. omissions or deviations that do
Inspection of the environment No Safety Policy is available
not lead to unsafe conditions.
Regime* The Centre has realistic, which details commitment to the
(b) Economically maintain the availability of immediate contingency plans in adherence of the Maintenance
the equipment. place which eliminate disruption and Inspection Policy.
(c) Records management. to training delivery.
The Maintenance and
The Maintenance and Inspection Regime identifies The Centre has a preventative Inspection Regime is not
high-risk equipment and details the use of a Maintenance and Inspection adhered to and reflected in
Risk-Based Management system (RBM) or equivalent, Regime for all equipment which actual practice on-site, leading
adheres to the following: to unsafe conditions.
and evidence that compliance shall adhere to one
or more of the following: (a) The Centre uses safety alerts
generated from any
(a) Local legal and regulatory requirements equipment failures to inform
(b) Industry standards/good practice other industry stakeholders
to lessons learnt.
(c) OEM practice or equivalent.
(b) A fully digitised management
regime that schedules, plans,
alerts and tracks all aspects
of maintenance, is in place.

Section 3 – 3.2 The organisation chart is current and up-to-date, The organisation chart is part Roles and responsibilities There is no organisation
Staff Organisation accurately reflecting the management of the OPITO of a system whereby it is relevant to the delivery of the chart available.
Resources Chart, Staff Approval on-site. subject to regular review and OPITO Approval (including
Competency There is currently no
The organisation chart shows all roles, responsibilities revised to ensure it consistently support staff) are omitted and/ Competence Matrix outlining
Matrix, and
and lines of reporting authority required for the safe and accurately reflects the or reporting authority for the staff available to deliver the
Qualifications*
delivery of the OPITO Approval. current staff situation on-site management of the Approval(s) OPITO Product(s) and their
at all times. is not evident. competency levels.
There is a Competence Matrix for all roles and
responsibilities required for the safe delivery of the Documented job roles are The organisation chart is not The Competence Matrix
OPITO Product(s), including instructors/assessors/ available for all staff on the accurately reflective of the available shows significant
support staff/sub-contractors/internal verifiers and deviations from actual staff
organisation chart. current situation on-site.
maintenance staff. available on-site and their levels
of competence.

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 Guide for Centres to Achieve and Maintain OPITO Approval – Global Qualifications

OPITO Product Criteria

Product Criteria includes all the OPITO requirements which differ based on the relevant Product Approval(s). The information/evidence needed to meet these requirements
is specific to the individual Product specification(s).

Example of Example of
Criteria Requirement Example of exceeding
minor concern major concern

Section 3 – 3.2 The Competence Matrix clearly indicates the number An interactive system whereby There is a Competence Matrix Staff Qualifications and
Staff Organisation of staff available, their competence status in relation competency records for staff available which, in the main, supporting evidence are not
Resources Chart, Staff to the OPITO Product and relevant Qualifications held and job description are linked. meets the requirements of the available to evidence that safe
Competency (where applicable). OPITO Product specification. delivery of the OPITO Product
The Competence Matrix is
Matrix, and However, certain roles, as can be delivered as per the
The Competence Matrix accurately reflects the current available to all members of
Qualifications* Product specification.
competency levels of staff on-site and is up to date. staff and is maintained outlined within the OPITO
(continued)
and controlled as part of requirement and/or Product Staff Qualifications and
Staff Qualifications and supporting evidence
their documented management specification, are omitted. supporting evidence do not
as outlined within the relevant OPITO Product
system and subject to align with the actual staff on-site
specification are available and reflect the information Although some staff
revision control. being used to deliver the OPITO
detailed within the Competence Matrix. Qualifications and supporting Product(s).
It clearly indicates the evidence is not available, this
Initial/ongoing confirmation of competence records
competency status of the does not affect the safe delivery No competence records are
is available for all staff deemed as competent against
individual and indicates when of the OPITO Product(s). available for staff deemed as
the delivery of the OPITO Product(s).
the next confirmation of competent against the delivery
Suitably qualified and occupationally knowledgeable competency is due. The staff Qualifications and of the OPITO Product(s).
internal verifiers and assessors are available. supporting evidence does not
The Centre clearly demonstrates reflect those detailed within the
that the required staff Staff Competency Matrix.
Qualifications, as per the
OPITO Product(s), are Up-to-date competence
regularly exceeded. records are not available for
staff deemed as competent
The Centre places great against the delivery of the
emphasis on personal OPITO Product(s).
development and ongoing
professional development.

Section 4 – 4.2 There are Training and/or Assessment Procedures Evidence of a proactive robust The Training and/or Assessment There is no Training and/or
Training and Training & which clearly detail how the outcomes, performance plan to ensure procedures Procedures are available, Assessment Procedure for each
Assessment Assessment Criteria and knowledge and understanding Criteria, are being satisfactorily followed however do not completely align OPITO Product that clearly
Procedures as per the OPITO Product(s), will be evaluated in a for the relevant OPITO with actual practice. details how the outcomes as
consistent method. Product(s) that is communicated per the OPITO Product will be
throughout the organisation and achieved in a consistent method.
The procedure covers all the details of the evidence of regular training and
performance assessment, as per the relevant OPITO assessment meetings. There are Training and/or
Product(s) specification. Assessment Procedures for all
relevant OPITO Product(s),

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OPITO Product Criteria

Product Criteria includes all the OPITO requirements which differ based on the relevant Product Approval(s). The information/evidence needed to meet these requirements
is specific to the individual Product specification(s).

Example of Example of
Criteria Requirement Example of exceeding
minor concern major concern

Section 4 – 4.2 There is evidence that these procedures are being however, there are significant
Training and Training & satisfactorily followed for the relevant OPITO deviations from these procedures.
Assessment Assessment Product(s).
Procedures
(continued)

4.3 Assessors clearly communicate and understand the The organisation clearly The assessment checklists in There are no assessment
Achievement assessment Criteria ensuring impartiality. demonstrated an excellent use do not accurately reflect checklists available to track
of Outcomes* ability to allow learners to achieve the outcomes of the relevant learners’ achievements against
The Centre can demonstrate how the outcomes are
the required outcomes using a Product specification, although the outcomes in the
consistently achieved. The required knowledge and
variety of instructional methods the course content clearly allows Product(s) specification.
skills in order to meet the outcomes are imparted in
for the outcomes to be achieved.
an engaging manner, ensuring participation by the Learners are fully engaged in The Centre cannot demonstrate
learners using a range of teaching methods. teaching sessions that allowed how the outcomes of the OPITO
participation by all. Product(s) are achieved.
There are assessment checklists which accurately
reference all the outcomes from the relevant Assessors clearly communicate Minimum/maximum ratios are
Product specification. with learners ensuring that clear not being adhered to.
succinct and relevant feedback
A defined system for managing Assessment Planning The required knowledge and
is provided.
and Feedback and for scheduling contact between skills are not imparted in an
learners and assessors is in place. engaging manner ensuring
participation by the learners using
a range of teaching methods.
Assessors do not clearly
communicate and do not
understand the assessment
Criteria ensuring impartiality.

4.4 A Validation Procedure is in place which ensures The organisation demonstrates Weak application of procedures No evidence of a Validation
Validation authenticity of learners’ own work and details the that robust processes are in to ensure authentication of Procedure which allows learners
Procedure requirement for a staff declaration of no conflict place and are regularly learners’ own work. to confirm evidence is their
of interest. reviewed, always ensuring own work
Minor lacking in information
learner evidence is their own
Templates for a disclaimer form for learners to confirm recorded in templates related to No evidence of procedure which
work and there is no conflict of
that the Assessment evidence is their own work. the assessment process. requires staff declaration of no
interest during the assessment
conflict of interest.
and verification processes.

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OPITO Product Criteria

Product Criteria includes all the OPITO requirements which differ based on the relevant Product Approval(s). The information/evidence needed to meet these requirements
is specific to the individual Product specification(s).

Example of Example of
Criteria Requirement Example of exceeding
minor concern major concern

Section 4 – 4.4 Templates for staff declarations to confirm there have Previous recorded/verified Ambiguity related to the No evidence of learner
Training and Validation been no conflicts of interest during the Assessment/ compliance over a period of referencing process for specific portfolios (paper based or
Assessment Procedure Verification processes. time in a number of occasions course evidence requirements. electronic) which are clearly
(continued) is available to review. indexed and referenced to the
Templates for learner portfolios (both paper-based
relevant OPITO Standard.
or electronic) which include a grid to reference
evidence to OPITO Global Standards (both Training
Standards and Occupational Standards) and a Learner
Disclaimer Form to confirm that assessment evidence
is their own work.
Consistent use of documentation to record
assessment planning and feedback, including how
outcomes are achieved.

Section 5 – 5.2 A Health and Safety Policy which is on display in All Health and Safety and The Health and Safety No evidence of a Health and
Health Health relevant areas and ensures that there is a safe and Emergency Procedures are and/or Environmental and/or Safety Policy.
and Safety and Safety healthy environment for the implementation of evident, accessible and being Emergency Response
Health and Safety Procedures
relevant Qualifications. adhered to satisfactorily. Procedures differ from the
are inadequate and do not
actual practices carried out ensure all training/assessment
Emergency Response Procedures are available A behavioural based Health and
on-site. This, however, does is conducted safely and learner
which cover a range of appropriate and applicable Safety Policy is employed that
not have an adverse effect on wellbeing is maintained at
situations, this should include medical emergency requires employees and learners
learners’ safety and wellbeing. all times.
response arrangements. to identify incidents, near-misses,
and potential hazards. Ineffectively located Environmental Procedures are
Induction/briefing checklists for staff and learners warning notices. inadequate and do not ensure
Health and Safety Procedures
which include the policy. all environmental impacts of
are accredited by a relevant
accreditation body. relevant aspects of training/
Health and Safety Procedures exist that ensure all
assessment delivery are
training/assessment is conducted safely and learner The organisation demonstrates understood and controlled
wellbeing is maintained at all times. that all staff and learners are (where applicable).
Environmental Procedures exist that ensure introduced to the safety and
Health and Safety, Environmental
environmental impact of relevant aspects of training/ warning notices on display and and Emergency Procedures
assessment delivery are understood and controlled that they understand the key are not evident, not accessible,
(where applicable) messages of these notices. and/or not being adhered
to satisfactorily.
A range of suitable safety information and warning
notices displayed at strategic areas of workshops and Insufficient or no suitable safety
training/assessment areas. information and warning notices
on display in all training areas.

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OPITO Product Criteria

Product Criteria includes all the OPITO requirements which differ based on the relevant Product Approval(s). The information/evidence needed to meet these requirements
is specific to the individual Product specification(s).

Example of Example of
Criteria Requirement Example of exceeding
minor concern major concern

5.3 A Procedure to establish the purpose, scope, and The approach to conducting Incomplete Safety Brief Forms. There is no procedure that
Safety Briefs benefits of holding regular safety briefings to maintain appropriate safety briefs is details when appropriate safety
Incomplete information as to
communication and in turn, improve workshop safety. embedded in all aspects briefings take place.
work activities related to
of training.
The procedure ensures that a record of the learners specific safety briefs. Appropriate Safety Briefs are
present is maintained and that the safety briefs are A safe system of work is in not conducted. No record of
conducted at a suitable time and location. place, and it clearly empowers the learners present is
both staff and learners to maintained, and it is not
The procedure is being adhered to and
stop training in the event of a demonstrated that safety briefs
corresponding documentation is available.
safety concern. are conducted at a suitable
time and location. The
There is a well-managed
procedure is not being adhered
observation card system in
to satisfactorily.
place. The results of these
observations are regularly
reviewed, and appropriate
action taken as required.

5.4 A Risk Assessment Procedure is available that covers A Risk Assessment Procedure Risk Assessments are available A Risk Assessment Procedure
Risk all steps of the process followed for Risk Assessment is available that covers all steps which, in the main, comply with is not available which covers
Assessment* and ensures they are suitable and sufficient. of the process followed for Risk the OPITO requirements but all steps of the process followed
Assessment and ensures that for Risk Assessment and does
Suitable and sufficient Risk Assessments are there are some minor omissions. not ensure Risk Assessments
available for all activities related to the delivery of they are suitable and sufficient.
These omissions are, however, are suitable and sufficient.
the OPITO Product(s). This procedure is robust,
highly efficient and drives reflected in actual practice There are significant deviations
These Risk Assessments cover, as a minimum, continuous improvement. on-site and need to be reflected between the Risk Assessment
learner welfare, emergency and medical response within the risk assessment(s). and/or Risk Assessment
and training activities. The Risk Assessments are
Procedure against actual
regularly reviewed and updated There are minor deviations
practice on-site.
based on the results of accident/ between the Risk Assessment
incident/ near-miss data, learner and/or Risk Assessment Suitable and sufficient Risk
and instructor feedback and Assessments are not available
industry lessons learned. Procedure against actual
practice on-site. for all activities related to the
All Risk Assessments are easily delivery of the OPITO Product(s).
accessible, current, and well
understood by all relevant Centre Current Risk Assessments
staff and cover, as a minimum, are not communicated and
learner welfare, emergency complied with satisfactorily.
response and training activities.

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 Guide for Centres to Achieve and Maintain OPITO Approval – Global Qualifications

5.0 SUPPORTING DOCUMENTATION

5.1 EXEMPLARS

Exemplar documents have been created to give examples of ways in which Centres could meet the
OPITO requirements. These documents do not evidence how the requirements must be met; however,
they act as a guide for those seeking clarity on the requirement(s). These documents can be found within
the documents section of The HUB.

5.2 VIDEO GUIDES AND GUIDANCE NOTES

Flow charts are available alongside step-by-step guidance notes on how to carry out each of the OPITO
processes. Accompanying these guidance notes are videos for the processes involved in achieving and
maintaining OPITO Approval. These guidance notes should allow you to successfully navigate The HUB
and can also be found within the Documents section of The HUB.

5.3 CLARIFICATION DOCUMENTS

Additional documents are available to offer additional clarity to the OPITO Criteria and the process
of achieving/maintaining Approval:

– Individual Product specifications located within the Products section of The HUB.

– Terms and Conditions and Underpinning Policies.

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APPENDIX 1: RISK-BASED APPROACH TO CENTRE SCORING

The Risk-Based Approach provides clarity and demonstrates the system used by OPITO to determine
the frequency of a Centre’s site visit(s). The system assigns value to several key areas, at which point an
average is taken to arrive at a single-digit number. This number, when rounded to the nearest whole,
then determines the visit frequency.

This system is designed to provide a standardised and transparent means to gauge how frequently
all new and approved Centres need to be visited. It also highlights the incentives available to Centres
who routinely demonstrate they are capable of exceeding the various requirements as per the OPITO
Approval Criteria. A Centre’s score is private and can be found by that Centre in The HUB.

PROCESS

Table 1 shows an example scenario to illustrate the scoring matrix used by OPITO to determine site visit
frequency. In this scenario, the boxes highlighted show the scores achieved by one Centre in each area.
The scores shown in the highlighted boxes (4+4+5+3+4) are added together for a total of 20. This total is
divided by the total number of fields available, in this case five, giving a Centre Score of four.

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Table 1: OPITO Centre score example

Management
Equipment Training and
System and Staff Resources
and Facilities Assessment
Health and Safety [Section 3 – Self-Assessment
[Section 2 – [Section 4 –
[Sections 1 & 5 – OPITO Criteria]
OPITO Criteria] OPITO Criteria]
OPITO Criteria]

1 or more 1 or more 1 or more 1 or more Failure to complete,

safety critical safety critical safety critical safety critical or new Centre.
1 concern(s) showing concern(s) showing concern(s) showing concern(s) showing
a systematic a systematic a systematic a systematic
breakdown. breakdown. breakdown. breakdown.

The majority of the The majority of the The majority of the The majority of the Completed after
Criteria reviewed Criteria reviewed Criteria reviewed Criteria reviewed the deadline and
failed to meet failed to meet failed to meet failed to meet has been completed
2 the requirements. the requirements. the requirements. the requirements. poorly, omitting
areas of the Criteria
and failing to close
out concerns.

The majority of The majority of The majority of The majority of Completed,

the Criteria the Criteria the Criteria the Criteria however no
reviewed meet reviewed meet reviewed meet reviewed meet concerns had been
the requirements the requirements the requirements the requirements closed out prior to
3 with minor with minor with minor with minor OPITO’s visit. Some
concerns identified. concerns identified. concerns identified. concerns identified. concerns had been
omitted from the
Self-Assessment.

Meets all Meets all Meets all Meets all Completed and all
of the OPITO of the OPITO of the OPITO of the OPITO concerns had been
requirements, requirements, requirements, requirements, resolved prior to the
4 potentially potentially potentially potentially OPITO visit. Some
exceeding in exceeding in exceeding in exceeding in concerns had been
some areas. some areas. some areas. some areas. omitted from the
Self-Assessment.

The majority of The majority of The majority of The majority of Completed and all
the Criteria the Criteria the Criteria the Criteria concerns had been
reviewed exceed reviewed exceed reviewed exceed reviewed exceed resolved prior to
5 the requirements. the requirements. the requirements. the requirements. the OPITO visit. No
areas of the OPITO
requirements missed.

Individual
4 4 5 3 4
Scores

Total 20

Total: Divided by No. Fields 4

Rounded off 4 Centre Score

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Table 2: Visit frequency

The Centre Score calculated as shown in Table 1 is then used to determine the visit frequency as shown
in Table 2. Please note that if a Centre scores a 1 in any field excluding Self-Assessment, then their
total score will be considered as 1 as these are ‘safety critical concern(s) or findings showing a systematic
breakdown’, and they will be assigned the corresponding visit frequency for a Centre Score of 1.

Score Visit Frequency

1 3 – 6 months

2 7 – 10 months

3 11 – 14 months

4 15 – 24 months (emphasis on lower-end of scale)

5 15 – 24 months (emphasis on higher-end of scale)

Utilising this approach, OPITO hopes to ensure a consistent, global approach to the conduct of site
visits. This also allows for Centres regularly exceeding the requirements to be recognised with fewer
site visits. Additionally, this allows Centres who require more regular quality assurance and support,
this opportunity.

INITIAL APPROVAL

In instances where an Initial Site Visit is carried out, for an additional Approval, the Centre will be scored
again using the same scoring matrix detailed above. This therefore could have an effect on the visit
frequency previously identified at the latest site visit.

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APPENDIX 2: RISK-BASED APPROACH TO INITIAL APPROVAL FOR CENTRES

1.0 INTRODUCTION

The Risk-Based Approach to Initial Approval for Centres (Global Qualifications) provides information and
guidance on OPITO’s approach to determining the minimum Desktop Submission and site visit
requirements, when a new or existing Centre seeks Initial Approval.

The information has been split into two sections, defining the requirements at the Desktop Submission
stage and the Initial Site Visit stage. These sections outline both the requirements for those seeking first
initial OPITO Approval and those seeking additional Product Approval(s).

2.0 DESKTOP SUBMISSION REQUIREMENTS

The following table outlines how the OPITO Criteria required for submission at the desktop stage of the
process are selected.

The risk of the Qualification being applied for does not affect the evidence required at the desktop stage
of the process. The first consideration is that of the existing OPITO Centre Score. For those who are
seeking their first initial OPITO Approval, this is shown as Not Yet Scored.

The second consideration is whether the Centre holds any applicable Industry Recognised Approvals.
Evidence of these is to be submitted with the application.

The above considerations dictate which OPITO Criteria require evidence to be submitted as a part of the
Desktop phase of the process.

Risk Indicator

LOW MEDIUM HIGH

Table 1 – Desktop Submission requirements

Desktop Requirements

Qualification Risk OPITO Centre Score Recognition Desktop Requirements

Approved with a Product Criteria only and omitting the

3–5
recognised Qualification. recognised Criteria.

Not currently approved with

3–5 a recognised Qualification.
All Product Criteria only.

N/A/A Approved with a

1 – 2 or Product Criteria and Systems Criteria,
Not Yet Scored recognised Qualification. omitting the recognised Criteria*.

1 – 2 or Not currently approved with

All Systems and Product Criteria*.
Not Yet Scored a recognised Qualification.

* Where a new Centre is seeking Centre Only Approval, the Product Criteria will not be required for
submission at this stage.

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The following Criteria outlines the recognised Criteria identified in Table 1:

– 1.2 Malpractice, Grievances and Complaints (Systems Criteria)

– 1.6 Learner Assessment, Feedback and Appeals (Systems Criteria)

– 5.1 Accident/Incident and Near-Miss (Systems Criteria)

– 5.2 Health and Safety (Product Criteria)

3.0 IDENTIFYING THE SCOPE OF THE INITIAL SITE VISIT

Tables 2 – 5 outline the considerations when identifying the scope for an Initial Site Visit.

Risk Indicator

LOW HIGH

Qualification risk considers the risk status which has been awarded to the specific Qualification being
applied for. Table 2 shows how these have been identified.

Table 2 – Qualification risk – risk bands – Initial Site Visit

Consideration
Risk Band
Qualification Risk

LOW The Product contains only theory elements.

HIGH The Product contains a combination of both theory and practical elements.

Product Delivery Experience considers whether or not the Centre holds any existing OPITO Approvals
as outlined in Table 3.

Table 3 – Product delivery experience – risk bands – Initial Site Visit

Consideration
Risk Band
Product Delivery Experience

The Centre is approved for a different OPITO Qualification or holds OPITO Centre
LOW
only Approval.

HIGH The Centre currently holds no other OPITO Approvals.

OPITO Centre Score considers the current score, as identified at the last site visit, where applicable,
as shown in Table 4.

Table 4 – OPITO Centre score – risk bands – Initial Site Visit

Consideration
Risk Band
OPITO Centre Score

LOW 3–5

HIGH 1 – 2 or Not Yet Scored.

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Recognition considers whether the Centre holds any applicable recognised Qualifications from another
Industry recognised awarding body, as outlined in Table 5.

Table 5 – Recognition – risk bands – Initial Site Visit

Consideration
Risk Band
Recognition

LOW The Centre is approved by an appropriate awarding body for a similar recognised Qualification.

HIGH The Centre does not hold Approval with another body for a similar recognised qualification.

Once the risk bands have been established for the Centre, OPITO will provide the precise scope
of the Initial Site Visit in terms of observation of Product delivery and guidance on the minimum Criteria
OPITO will review during the visit. Table 6 outlines how this scope is identified, taking into consideration
the aforementioned risk bands. Further evidence may be requested by the Quality Assurance Manager.

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Table 6 – Minimum Criteria assessed, and observation of Product delivery required for the Initial
Site Visit

Risk Bands from Tables 2, 3, 4 and 5 Minimum requirements to be assessed

Table 3. Observation Observation

Table 2. Table 4.
Product Table 5. of Product of Product
Qualification OPITO OPITO Criteria
Delivery Recognition Delivery Delivery
Risk Centre Score
Experience (Theory) (Practical)

Core System and

LOW LOW LOW LOW Core Product None N/A
Criteria (minimum)

Outcomes sampled
Core System and
from 1 – 2 units
LOW LOW LOW HIGH Core Product N/A
(as outlined in the
Criteria (minimum)
Site Visit Plan)

Outcomes sampled
Core System and
from 2 – 3 units
LOW LOW HIGH LOW Core Product N/A
(as outlined in the
Criteria (minimum)
Site Visit Plan)

Outcomes sampled
Core System and
from 2 – 3 units
LOW LOW HIGH HIGH Core Product N/A
(as outlined in the
Criteria (minimum)
Site Visit Plan)

Outcomes sampled
All Systems and all from 3 – 5 units
LOW HIGH HIGH LOW N/A
Product Criteria (as outlined in the
Site Visit Plan)

Outcomes sampled
All Systems and all from 2 – 3 units
LOW HIGH HIGH HIGH N/A
Product Criteria (as outlined in the
Site Visit Plan)

Core System and

HIGH LOW LOW LOW Core Product None None
Criteria (minimum)

Outcomes sampled Outcomes sampled

Core System and
from 1 – 2 units from 1 – 2 units
HIGH LOW LOW HIGH Core Product
(as outlined in the (as outlined in the
Criteria (minimum)
Site Visit Plan) Site Visit Plan)

Outcomes sampled Outcomes sampled

Core System and
from 2 – 3 units from 2 – 3 units
HIGH LOW HIGH LOW Core Product
(as outlined in the (as outlined in the
Criteria (minimum)
Site Visit Plan) Site Visit Plan)

Outcomes sampled Outcomes sampled

Core System and
from 2 – 3 units from 3 – 5 units
HIGH LOW HIGH HIGH Core Product
(as outlined in the (as outlined in the
Criteria (minimum)
Site Visit Plan) Site Visit Plan)

Outcomes sampled Outcomes sampled

All Systems and all from 3 – 5 units from 2 – 3 units
HIGH HIGH HIGH LOW
Product Criteria (as outlined in the (as outlined in the
Site Visit Plan) Site Visit Plan)

Outcomes sampled Outcomes sampled

All Systems and all from 3 – 5 units from 3 – 5 units
HIGH HIGH HIGH HIGH
Product Criteria (as outlined in the (as outlined in the
Site Visit Plan) Site Visit Plan)

* These are the minimum evidence requirements. Further evidence may be required for submission at the
discretion of the Quality Assurance Manager.

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The following Criteria are core Criteria identified in table 6:

Core Systems Criteria

– 1.1 OPITO Policy, Scope, Roles, and Responsibilities

– 1.5 Management Review

– 1.6 Learner Assessment Requirements

– 2.1 Welfare Facilities

– 5.1 Accident/Incident and Near-Miss

Core Product Criteria

– 1.7 Internal Audit

– 2.2 Facilities

– 2.3 Equipment

– 2.4 Maintenance and Inspection Regime

– 3.2 Organisation Chart, Staff Competency Matrix, and Qualifications

– 4.2 Training and Assessment Procedures

– 4.3 Achievement of Outcomes

– 4.4 Validation Procedure

– 5.4 Health and Safety

– 5.5 Safety Briefings

– 5.4 Risk Assessment

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APPENDIX 3: MAINTAINING CENTRE APPROVAL – SAMPLING

1.0 INTRODUCTION

Approved Centres will be required to maintain a high level of quality and part of the QA process will be to produce evidence in the form of learner portfolios.

Evidence Sampling of Portfolios

Where an Associate is present at an Ongoing Site Visit, additional time may be allocated to allow for evidence sampling of any learner portfolios which are
currently in progress.

The outcomes of this review, alongside the completion level of the portfolios, will then be considered when the final evidence sampling/external
verification is required for the appropriate cohort of learners.

The Risk-Based Approach Sampling Matrix shown below uses the completion rate of learner portfolios and assessor/verifier status to determine the
required level of sampling of learners and units based on Centre Score.

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2.0 LOW RISK SAMPLING MATRIX
Risk Indicator

LOW MEDIUM HIGH

Sampling Required Sampling Required Sampling Required

Portfolios Sampled % of Learners % of Units % of Learners % of Units % of Learners % of Units

Product % Completion (within the
Risk completed course cohort) OPITO Score of 3 to 5 OPITO Score of 1 to 2 New Centre with no OSV to Date

No sampling available
N/A N/A N/A N/A 15% 75%
as new Centre sampled by OPITO

Assessor(s) and/or verifier(s)

not previously sampled 10%* 25% 15% 75%

None of the portfolios Assessor(s) and/or verifiers previously

within the submitted sampled by OPITO however Centre has 5% 30% 15% 75%
cohort sampled oustanding major concerns.

Assessor(s) and/or verifiers previously

sampled by OPITO and there are NO None None 15% 75%
oustanding major concerns.
Assessor(s) and/or verifier(s)
not previously sampled 10%* 25% 10% 75%

Assessor(s) and/or verifiers previously

Portfolios were previously 5% 25% 10% 75%
sampled by OPITO however Centre has
sampled at less than
oustanding major concerns.
50% completion
LOW Assessor(s) and/or verifiers previously
10% 75%
sampled by OPITO and there are NO None None
oustanding major concerns.

Assessor(s) and/or verifier(s)

not previously sampled 10%* 25% 10% 50% Note: For Support Quals
Assessor(s) and/or verifiers previously the % of Units will be 100%
Portfolios sampled at sampled by OPITO however Centre has 5% 25% 10% 50%
50% - 75% oustanding major concerns. *Option to submit evidence for new
assessor/verifier via staff approval process
Assessor(s) and/or verifiers previously
sampled by OPITO and there are NO None None 10% 50%
oustanding major concerns. To use the Sampling Matrix for an
Assessor(s) and/or verifier(s) Approved Centre with an OPITO Centre
not previously sampled 5% 25% 15% 30%
Score, cross reference the relevant
Assessor(s) and/or verifiers previously column for their Centre Score with the
Portfolios sampled at sampled by OPITO however Centre has 5% 25% 5% 30%
100% oustanding major concerns. level of completion of previous sampling
of portfolios. If a Centre has no Centre
Assessor(s) and/or verifiers previously
sampled by OPITO and there are NO None None 5% 30% score, then they are considered a new
oustanding major concerns. Centre for sampling requirements.

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 2.0 MEDIUM / HIGH RISK SAMPLING MATRIX

Risk Indicator

LOW MEDIUM HIGH

Sampling Required Sampling Required Sampling Required

Portfolios Sampled % of Learners % of Units % of Learners % of Units % of Learners % of Units

No. % Completion (within the
New Centre with no ongoing
completed course cohort) OPITO Score of 3 to 5 OPITO Score of 1 to 2
quality assurance visits to date

No sampling available
1 N/A N N/A/A N/A N/A 25% 100%
as new Centre sampled by OPITO

None of the portfolios sampled by OPITO or previously sampled 10% 75% 25% 100%
2 within the submitted however with concerns raised
cohort sampled
10% 50% 20% 100%
by OPITO with NO concerns raised

Portfolios were sampled by OPITO or previously sampled 10% 50% 15% 100%
previously sampled however with concerns raised
3
at less than
50% completion 10% 25% 15% 50%
by OPITO with NO concerns raised

Portfolios were sampled by OPITO or previously sampled 10% 30% 15% 75%
4 previously sampled however with concerns raised
at 50 to 75% completion
5% 15% 10% 30%
by OPITO with NO concerns raised

Portfolios were sampled by OPITO or previously sampled 5% 10% 10% 50%

previously sampled however with concerns raised
5
at greater than
75% completion 5% 5% 10% 30%
by OPITO with NO concerns raised

To use the Sampling Matrix for an Approved Centre with an OPITO Centre Score, cross reference the relevant column for their Centre Score with the level
of completion of previous sampling of portfolios. If a Centre has no Centre score, then they are considered a new Centre for sampling requirements.

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Sampling Required

Portfolios Sampled % of Learners % of Units

No. % Completion (within the Assessor & Verifier Status
New Centre with no ongoing
completed course cohort)
quality assurance visits to date

No sampling available Assessor(s) and/or verifier(s) not previously

1 25% 100%
as new Centre sampled by OPITO

In the example above, a new Centre with no OPITO Centre Score, no previous portfolios sampled for evidence and the status ‘Assessor(s) and Verifier(s)
not previosusly sampled by OPITO’ is assigned a required sampling level of 25% of learners and 100% of units.

Sampling Required

Portfolios Sampled % of Learners % of Units

No. % Completion (within the Assessor & Verifier Status
completed course cohort) OPITO Score of 3 to 5

Portfolios were previously

Assessor(s) and verifier(s) previously sampled
5 sampled at greater than 5% 5%
by OPITO with NO concerns raised
75% completion

In the example above, an OPITO Approved Centre with a Centre Score between three and five where portfolios were previously sampled at greater than
75% completion and a status of ‘Assessor(s) and Verifier(s) previously sampled by OPITO with NO concerns’ is assigned a required sampling level of 5% of
learners and 5% of units.

2.1 Completed Portfolios

Once a cohort of learners has completed an OPITO Global Qualification(s), a request for evidence sampling/external verification to be conducted will be
submitted through the Learner Booking Form.

All learners in the booking should have completed the course/portfolio to 100%, prior to placing this request. In instances where a learner has been issued
additional time, for example due to illness, this is to be detailed within the request. The Booking Form will need to be re-submitted for award, at the later
date, upon completion of the learner’s portfolio.

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2.2 Completion of Evidence Sampling/External Verification

The OPITO Associate will carry out the evidence sampling/external verification and reflect the outcomes, with the appropriate feedback in the Sampling
Request Form.

Note: on occasion it may be identified that action is to be taken prior to allowing the learner(s) to be certified. If this is the case, the action is to be raised
in the feedback section of the Sampling Request Form.

Upon completion of the evidence sampling/external verification, the OPITO Associate will send the completed form(s) to the relevant Quality Assurance
Manager (cc Quality Assurance Coordinator) for review and Approval, or close-out of any action(s), where applicable.

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