ATU-CPAC External Quality Assurance Standards

Standards for External Oversight, Audit, Monitoring, Sampling, Verification, Corrective Action, and Continuous Improvement

Summary

The ATU-CPAC External Quality Assurance Standards provide a comprehensive framework for ensuring that approved providers, accredited institutes, authorized assessment centers, professional certification programs, assessed training programs, assessment systems, certificate requests, and registry activities are externally monitored and verified.

These standards ensure that provider operations and assessment decisions are not only internally checked, but also externally reviewed through independent oversight, risk-based sampling, audit, evidence review, and corrective action.

Through systematic external quality assurance, ATU-CPAC protects the credibility of ATU-issued professional certifications, assessed certificates, accreditation certificates, registries, and verification systems, while strengthening trust among learners, candidates, providers, employers, partners, and stakeholders

1. Purpose of the Standards

The ATU-CPAC External Quality Assurance Standards define the requirements for external monitoring, review, audit, sampling, verification, reporting, corrective action, and oversight of approved providers, accredited institutes, authorized assessment centers, professional certification programs, assessed training programs, assessment systems, internal quality assurance arrangements, certificate eligibility decisions, and registry-related activities.

These standards are intended to ensure that all ATU-CPAC-governed activities are implemented with integrity, consistency, impartiality, transparency, evidence-based decision-making, and continuous improvement.

External Quality Assurance, known as EQA, provides an independent oversight mechanism to confirm that approved providers and authorized centers continue to meet ATU-CPAC standards after accreditation or approval has been granted.

ATU-CPAC regulates and governs external quality assurance requirements, while all certificates, professional certifications, assessed certificates, and accreditation certificates remain issued in the name and under the authority of the Arab Trainers Union.

Standard 1: EQA Governance and Authority

1.1 EQA Requirement

All approved providers, accredited institutes, authorized assessment centers, approved professional certification programs, and assessed training programs are subject to external quality assurance by ATU-CPAC or by persons authorized by ATU-CPAC.

1.2 Purpose of EQA

External quality assurance is used to confirm that providers and centers:

Operate within their approved scope
Follow ATU-CPAC standards
Maintain effective internal quality assurance
Use approved program specifications
Apply approved assessment criteria
Maintain qualified trainers and assessors
Submit accurate results and certificate requests
Protect learners and candidates
Maintain secure records
Use ATU and ATU-CPAC marks correctly
Cooperate with monitoring and corrective action

1.3 EQA Authority

ATU-CPAC has authority to conduct external quality assurance through:

Document review
Remote review
Site visit
Audit
Sampling
Interview
Observation
Assessment review
Program review
Certificate request verification
Registry and verification review
Investigation where required

1.4 Provider Cooperation

Approved providers and authorized centers must cooperate fully with EQA activities and provide requested records, evidence, access, staff interviews, learner records, assessment records, and quality assurance documentation.

1.5 Final Oversight Role

EQA findings may inform accreditation decisions, program approval decisions, certification decisions, certificate issuance approval, renewal decisions, corrective action requirements, suspension, withdrawal, or revocation recommendations.

Compliance Evidence

The provider or center should maintain:

Accreditation approval record
Approved scope document
Provider agreement
EQA cooperation procedure
EQA correspondence
EQA access records
Requested evidence submissions
Management response records
Corrective action records
ATU-CPAC monitoring records

Standard 2: EQA Policy and Procedures

2.1 EQA Policy Requirement

ATU-CPAC must maintain an external quality assurance policy that defines how EQA activities are planned, conducted, reported, followed up, and used for continuous improvement.

2.2 Required EQA Procedure Areas

The EQA procedure should cover:

EQA planning
Provider risk classification
Audit scheduling
Document review
Site visits and remote reviews
Sampling methodology
Assessment review
IQA review
Trainer and assessor review
Provider interviews
Learner or candidate feedback
Reporting
Corrective action
Follow-up verification
Escalation of serious concerns
Suspension or withdrawal recommendations
Renewal recommendations
Records management

2.3 Communication of EQA Requirements

Providers and centers must be informed of the external quality assurance requirements that apply to their approved scope.

2.4 Review of EQA Policy

The EQA policy must be reviewed periodically to ensure continued relevance and alignment with ATU-CPAC standards, provider operations, assessment practices, digital delivery, and certification requirements.

Compliance Evidence

ATU-CPAC and relevant providers should maintain:

EQA policy
EQA procedure manual
Provider guidance documents
EQA process flowchart
EQA review records
Updated policy versions
Provider communication records
Version control records

Standard 3: EQA Planning and Scheduling

3.1 EQA Plan Requirement

ATU-CPAC must prepare an external quality assurance plan for approved providers, accredited institutes, assessment centers, approved programs, and certification activities.

3.2 EQA Plan Components

The EQA plan should define:

Providers or centers to be reviewed
Programs to be sampled
Assessment activities to be reviewed
IQA records to be reviewed
Candidate or learner evidence to be sampled
Trainers and assessors to be reviewed
Certificate requests to be verified
Registry records to be checked
EQA review dates
Review method
Assigned external quality assurer
Reporting timeline
Follow-up arrangements

3.3 Risk-Based Planning

EQA planning should be risk-based and may consider:

New provider approval
New program approval
New assessment center
High learner or candidate numbers
New trainer or assessor team
Online or remote delivery
Practical or high-stakes assessment
Previous non-compliance
Complaints or appeals
Malpractice concerns
Unusual pass or fail rates
Late certificate requests
Rapid expansion of delivery
Use of branches, partners, or subcontractors

3.4 Frequency of EQA

EQA frequency may vary according to risk level, provider performance, accreditation category, approved scope, program volume, assessment complexity, and previous compliance history.

Compliance Evidence

ATU-CPAC should maintain:

Annual EQA plan
Provider risk rating records
EQA schedule
Program sampling plan
Provider monitoring plan
Assessment center monitoring plan
EQA assignment records
EQA calendar
Follow-up schedule

Standard 4: External Quality Assurer Requirements

4.1 EQA Competence

External quality assurers must have appropriate knowledge, experience, independence, and competence to review provider compliance, assessment quality, internal quality assurance, program delivery, and certificate eligibility evidence.

4.2 EQA Knowledge Areas

External quality assurers should understand:

ATU-CPAC standards
Provider accreditation requirements
Professional certification standards
Assessment standards
Assessed training program standards
Internal quality assurance standards
External audit methods
Sampling methodology
Corrective action review
Data protection and confidentiality
Complaints and appeals
Malpractice and maladministration
Registry and verification controls

4.3 EQA Approval

External quality assurers must be approved by ATU-CPAC before conducting EQA activities.

4.4 Independence and Impartiality

External quality assurers must act independently and impartially. They must declare conflicts of interest before conducting any review.

4.5 EQA Continuing Professional Development

External quality assurers must maintain competence through continuing professional development, standardization, calibration, policy updates, and review of ATU-CPAC requirements.

Compliance Evidence

ATU-CPAC should maintain:

EQA CVs
EQA approval records
Qualification records
Professional experience records
EQA training records
EQA CPD records
Conflict of interest declarations
EQA standardization records
EQA performance review records

Standard 5: EQA Scope of Review

5.1 Provider-Level Review

EQA may review the provider’s institutional systems, governance, staff, resources, policies, records, learner support, marketing, and approved scope compliance.

5.2 Program-Level Review

EQA may review approved program specifications, curriculum, learning outcomes, assessment criteria, delivery records, learner evidence, and program review reports.

5.3 Assessment-Level Review

EQA may review assessment design, assessment tools, candidate instructions, rubrics, marking decisions, assessor feedback, result records, and assessment security.

5.4 IQA-Level Review

EQA must review whether the provider’s internal quality assurance system is effective, documented, risk-based, and properly implemented.

5.5 Certificate and Registry Review

EQA may review certificate request records, certificate eligibility decisions, issued certificate records, verification status, and registry data accuracy.

Compliance Evidence

The provider or center should maintain:

Provider compliance records
Program files
Assessment files
IQA records
Certificate request records
Registry submission records
Learner and candidate records
Staff records
Policy manuals
Quality assurance reports

Standard 6: Document Review

6.1 Document Review Requirement

EQA may include review of provider, program, assessment, IQA, learner, candidate, staff, certificate, and governance documents.

6.2 Documents Subject to Review

Documents may include:

Legal registration records
Accreditation approval records
Approved scope
Policies and procedures
Program specifications
Curriculum documents
Learning materials
Assessment tools
Rubrics and marking guides
Learner registration records
Attendance records
Candidate evidence
Assessment decision records
IQA records
Complaints and appeals records
Malpractice records
Certificate request records
Marketing materials
Trainer, assessor, and IQA files

6.3 Document Accuracy

Documents submitted for EQA must be accurate, complete, current, and authentic.

6.4 Document Availability

Providers must make required documents available within the timeline requested by ATU-CPAC.

Compliance Evidence

The provider or center should maintain:

Document submission checklist
Document control log
Version control records
EQA evidence folder
Requested document records
EQA submission confirmation
Corrected document records
Missing evidence explanation where applicable

Standard 7: Site Visits and Remote Reviews

7.1 Site Visit Requirement

ATU-CPAC may conduct site visits to review provider premises, training facilities, assessment environments, staff, learner support, resources, records, and compliance with approved scope.

7.2 Remote Review

Remote EQA reviews may be conducted using digital document review, online meetings, platform access, screen sharing, video interviews, and electronic evidence submission.

7.3 Site Visit Areas

Site visits may review:

Training rooms
Assessment rooms
Administrative offices
Learner support facilities
Record storage
IT systems
Learning resources
Accessibility arrangements
Security controls
Examination arrangements
Identity verification arrangements

7.4 Access to Staff and Learners

During EQA, the provider must support access to relevant staff, trainers, assessors, internal quality assurers, learners, candidates, and managers where required.

7.5 Site Visit Report

The external quality assurer must produce a report summarizing findings, evidence reviewed, compliance status, risks, required actions, and recommendations.

Compliance Evidence

The provider or center should maintain:

Site visit schedule
Attendance records
Facility evidence
Remote review meeting records
Platform access evidence
Interview records
EQA site visit report
Provider response
Corrective action records
Follow-up evidence

Standard 8: EQA Sampling Strategy

8.1 Sampling Requirement

EQA must use sampling to review the quality and reliability of provider implementation, assessment decisions, IQA records, learner evidence, and certificate eligibility.

8.2 Sampling Coverage

EQA sampling may cover:

Different programs
Different learner groups
Different candidates
Different trainers
Different assessors
Different IQA personnel
Different locations or branches
Different delivery modes
Different assessment methods
Different certificate requests
Different result categories

8.3 Risk-Based Sampling

Higher sampling may be applied where there is higher risk, including:

New provider or center
New program
New assessor
New assessment method
High-stakes certification
Online assessment
Practical assessment
Portfolio assessment
Previous non-compliance
Complaints or appeals
Malpractice concerns
Very high pass rates
Very low pass rates
Borderline results
Late or incomplete records

8.4 Sampling Rationale

External quality assurers must record the rationale for the sample selected and explain how the sample supports the EQA conclusion.

Compliance Evidence

ATU-CPAC and the provider should maintain:

EQA sampling plan
Sampling rationale
Sampled learner evidence
Sampled assessment decisions
Sampled IQA records
Sampled certificate requests
Assessor sample records
Program sample records
Sampling outcome report

Standard 9: Review of Assessment Quality

9.1 Assessment Review Requirement

EQA must review whether assessment is valid, reliable, fair, transparent, secure, and aligned with approved ATU-CPAC standards.

9.2 Assessment Review Areas

EQA may review whether:

Assessment tools match approved learning outcomes or competencies
Instructions are clear
Rubrics are appropriate
Marking criteria are applied correctly
Candidate evidence is sufficient
Assessment decisions are consistent
Feedback is useful and criteria-based
Assessment security is maintained
Retake and resubmission rules are followed
Reasonable adjustments are documented
Malpractice is properly handled

9.3 Assessment Tool Approval

EQA may recommend approval, revision, suspension, or replacement of assessment tools where required.

9.4 Result Reliability

EQA may withhold acceptance of results where assessment quality is not sufficient or where evidence does not support the assessment decisions.

Compliance Evidence

The provider or center should maintain:

Assessment instruments
Candidate assessment briefs
Rubrics
Marking schemes
Candidate submissions
Assessment decision records
Feedback records
IQA sampling records
Reassessment records
EQA assessment review report

Standard 10: Review of Internal Quality Assurance

10.1 IQA Effectiveness Review

EQA must review whether the provider’s internal quality assurance system is effective, objective, evidence-based, and properly implemented.

10.2 IQA Review Areas

EQA may review:

IQA policy
IQA plan
Sampling strategy
Sampling rationale
Assessment tool review records
Learner evidence sampling
Assessor decision review
Assessor monitoring
Standardization records
Corrective action records
Result approval records
Certificate eligibility sign-off
Management review records

10.3 IQA Adequacy

EQA must determine whether IQA is sufficient for the size, complexity, risk, and scope of the provider’s activities.

10.4 Ineffective IQA

Where IQA is ineffective or absent, EQA may require corrective action, increased sampling, result withholding, reassessment, or suspension of assessment activity.

Compliance Evidence

The provider or center should maintain:

IQA policy
IQA plans
IQA reports
Sampling records
Assessor monitoring records
Standardization records
Corrective action logs
Result approval records
Certificate eligibility records
Management review records

Standard 11: Review of Trainers, Assessors, and IQA Personnel

11.1 Staff Competence Review

EQA may review whether trainers, assessors, internal quality assurers, invigilators, and program coordinators are appropriately qualified, experienced, approved, and monitored.

11.2 Trainer Review

Trainer review may consider:

Subject knowledge
Practical experience
Training competence
Program familiarity
Learner feedback
Delivery observation
CPD records
Professional conduct

11.3 Assessor Review

Assessor review may consider:

Subject competence
Assessment competence
Understanding of criteria
Marking consistency
Feedback quality
Conflict of interest declarations
Standardization participation
Assessment records

11.4 IQA Personnel Review

IQA personnel review may consider:

IQA competence
Sampling quality
Objectivity
Feedback to assessors
Corrective action follow-up
Reporting quality
CPD records

Compliance Evidence

The provider or center should maintain:

Staff CVs
Qualification records
Approval records
CPD records
Trainer observation records
Assessor monitoring records
IQA personnel records
Standardization records
Conflict of interest declarations
Staff performance review records

Standard 12: Review of Program Delivery

12.1 Delivery Compliance Review

EQA may review whether approved programs are delivered according to the approved program specification, scope, duration, learning outcomes, delivery mode, and assessment requirements.

12.2 Delivery Review Areas

EQA may review:

Program schedule
Session plans
Learning materials
Trainer delivery
Learner engagement
Attendance records
Participation records
Learning outcome coverage
Learner support
LMS activity where applicable
Practical activity records
Program evaluation feedback

12.3 Observation of Delivery

EQA may include direct observation of face-to-face, online, blended, or practical delivery.

12.4 Delivery Deviation

Where delivery deviates from the approved specification, EQA may require corrective action, additional delivery evidence, learner support measures, or program revision.

Compliance Evidence

The provider or center should maintain:

Program delivery plan
Session plans
Training materials
Attendance records
LMS records
Learner participation records
Trainer observation records
Learner feedback
Delivery monitoring reports
Program evaluation records

Standard 13: Review of Online, Blended, and Digital Systems

13.1 Digital Delivery Review

Where providers use online or blended delivery, EQA must confirm that digital systems support quality learning, secure assessment, learner engagement, data protection, and evidence retention.

13.2 Digital System Review Areas

EQA may review:

LMS structure
Learner access records
Digital learning materials
Attendance or participation tracking
Assessment submission controls
Feedback records
Online assessment security
Identity verification
Technical support
Data protection
Backup and record retention
Digital certificate or badge controls where applicable

13.3 Online Assessment Security

EQA may require evidence of online assessment security, including secure login, identity checks, proctoring where applicable, submission logs, plagiarism checks, AI-use declarations, and audit trails.

13.4 Digital Evidence Availability

Digital records must be available for EQA review and must be securely stored for the required retention period.

Compliance Evidence

The provider or center should maintain:

LMS access records
Screenshots or platform access
Learner activity logs
Online attendance records
Digital assessment submissions
Proctoring records where applicable
Technical support logs
Digital evidence archive
Data protection records
System incident records

Standard 14: Review of Certificate Requests and Eligibility

14.1 Certificate Request Review

EQA may review certificate requests before approval to confirm that learners or candidates meet all required conditions.

14.2 Certificate Eligibility Checks

EQA may check:

Learner or candidate registration
Identity verification
Attendance or participation requirement
Assessment completion
Assessment achievement
Assessor decision
IQA approval
EQA requirement where applicable
No unresolved malpractice
Correct certificate title
Correct candidate data
Correct certificate category
Approved provider scope

14.3 Holding Certificate Requests

ATU-CPAC may hold certificate requests where evidence is missing, results are not verified, IQA is incomplete, records are inconsistent, or malpractice concerns are unresolved.

14.4 Certificate Issuance Protection

EQA helps ensure that ATU-issued certificates are supported by sufficient evidence and are not issued based on attendance alone where assessment is required.

Compliance Evidence

The provider or center should maintain:

Certificate request forms
Candidate eligibility checklists
Attendance records
Assessment records
IQA sign-off
EQA approval records where applicable
Result sheets
Candidate data verification records
Certificate issuance records
Registry submission records

Standard 15: Registry and Verification Review

15.1 Registry Accuracy

EQA may review registry records and verification data to ensure that issued credentials are accurately recorded and properly verified.

15.2 Registry Review Areas

EQA may check:

Candidate name accuracy
Certificate number
Certification or certificate title
Issue date
Expiry date where applicable
Status
Scope or specialization
Provider or program link
Renewal status
Suspension, withdrawal, or revocation status where applicable

15.3 Status Control

The registry must distinguish clearly between active, expired, suspended, withdrawn, revoked, or invalid credentials where applicable.

15.4 Data Protection

Registry publication and verification processes must comply with applicable data protection requirements and approved consent procedures.

Compliance Evidence

ATU-CPAC and relevant providers should maintain:

Registry submission records
Verification records
Candidate consent records
Certificate issuance logs
Registry update logs
Status change records
Data correction records
Access control records
Verification audit records

Standard 16: Review of Marketing and Public Information

16.1 Public Information Review

EQA may review provider websites, brochures, social media, advertisements, learner handbooks, and public claims to confirm accuracy and compliance.

16.2 Marketing Review Areas

EQA may review whether public information accurately states:

Provider accreditation status
Approved scope
Program approval status
Certificate or certification title
Assessment requirements
Certificate issuance authority
Registry and verification information
Fees where applicable
Recognition statements
Limitations and disclaimers
Relationship with ATU and ATU-CPAC

16.3 Prohibited Claims

Providers must not claim:

Approval outside their scope
Guaranteed certification
Certificate issuance authority without authorization
Government licensing unless officially granted
Professional authority beyond the credential scope
International equivalence without formal agreement
Recognition not approved by ATU-CPAC

16.4 Corrective Action

Misleading or non-compliant marketing must be corrected immediately and evidence of correction must be provided.

Compliance Evidence

The provider or center should maintain:

Website screenshots
Brochures
Social media posts
Public information review records
Marketing approval records
Logo use approval records
Correction evidence
EQA marketing review report

Standard 17: Complaints, Appeals, and Stakeholder Feedback Review

17.1 Complaints Review

EQA may review provider complaints to identify quality risks, recurring issues, learner protection concerns, or procedural weaknesses.

17.2 Appeals Review

EQA may review appeals to determine whether assessment decisions, certificate eligibility decisions, or provider procedures are fair, consistent, and evidence-based.

17.3 Stakeholder Feedback

EQA may consider feedback from:

Learners
Candidates
Trainers
Assessors
Employers
Partners
Internal quality assurers
Program coordinators
Provider management

17.4 Improvement from Feedback

EQA findings from complaints, appeals, and feedback must be used to improve provider systems, assessment practices, learner communication, and quality assurance arrangements.

Compliance Evidence

The provider or center should maintain:

Complaints records
Appeals records
Feedback records
Investigation reports
Decision letters
Corrective action records
Trend analysis
Improvement plans
Final outcome records

Standard 18: Malpractice and Maladministration Oversight

18.1 Malpractice Oversight

EQA may review suspected or confirmed malpractice and maladministration cases involving learners, candidates, trainers, assessors, internal quality assurers, staff, providers, partners, or centers.

18.2 Malpractice Areas

EQA may review matters such as:

Cheating
Plagiarism
Impersonation
Falsified evidence
Assessment manipulation
Unauthorized certificate requests
Misleading marketing
Insecure assessment handling
Poor recordkeeping
Conflict of interest
Result alteration
Misuse of ATU or ATU-CPAC marks
Misuse of AI tools where prohibited
Data misuse or breach

18.3 Investigation Support

Providers must cooperate with EQA investigations and provide records, evidence, staff access, candidate information, and corrective action reports.

18.4 Protective Action

Where serious malpractice is suspected, ATU-CPAC may place results, certificate requests, assessment activity, or provider approval on hold pending investigation.

Compliance Evidence

The provider or center should maintain:

Malpractice policy
Malpractice reports
Investigation records
Evidence files
Candidate declarations
Conflict of interest records
Incident reports
Corrective action records
Sanction records
Escalation records

Standard 19: Corrective Action and Follow-Up

19.1 Corrective Action Requirement

Where EQA identifies non-compliance, weakness, risk, or evidence gaps, the provider must prepare and implement a corrective action plan.

19.2 Corrective Action Plan

The corrective action plan must define:

Finding or non-compliance
Required action
Responsible person
Deadline
Evidence required
Follow-up method
Completion status
Management approval
EQA verification outcome

19.3 Follow-Up Verification

ATU-CPAC or the external quality assurer must verify whether corrective actions have been completed and whether they effectively address the finding.

19.4 Failure to Implement Corrective Action

Failure to complete corrective action may lead to increased monitoring, limitation of scope, suspension, withdrawal of approval, certificate hold, or refusal of renewal.

Compliance Evidence

The provider or center should maintain:

EQA findings report
Corrective action plan
Corrective action log
Evidence of completion
Management sign-off
EQA follow-up report
Closure confirmation
Escalation records where applicable

Standard 20: EQA Reporting

20.1 EQA Report Requirement

Every EQA review must result in a documented report.

20.2 EQA Report Content

The EQA report should include:

Provider or center reviewed
Date of review
Type of review
EQA personnel
Scope reviewed
Evidence reviewed
Sampling rationale
Findings
Strengths
Areas for improvement
Non-compliance findings
Risk level
Corrective actions required
Recommended decision
Follow-up requirements
Final conclusion

20.3 Provider Response

The provider should be given an opportunity to respond to EQA findings and submit corrective action evidence within the required timeline.

20.4 Report Use

EQA reports may be used for accreditation maintenance, renewal, certificate approval, program review, provider monitoring, risk rating, and ATU-CPAC governance reporting.

Compliance Evidence

ATU-CPAC and the provider should maintain:

EQA report
Provider response
Corrective action plan
Evidence submission records
Follow-up report
Management review records
Decision records
Renewal review records

Standard 21: EQA Outcomes and Decisions

21.1 EQA Outcome Categories

EQA findings may result in one or more quality assurance outcomes depending on evidence and risk.

21.2 Possible EQA Outcomes

Possible EQA outcomes include:

Fully compliant
Compliant with recommendations
Minor non-compliance
Major non-compliance
Critical non-compliance
Corrective action required
Additional evidence required
Increased monitoring required
Program revision required
Assessment tool revision required
Result release approved
Result release withheld
Certificate request approved
Certificate request withheld
Provider scope limited
Provider approval suspended
Provider approval withdrawn
Referral for investigation

21.3 Decision Evidence

EQA decisions and recommendations must be based on documented evidence, approved criteria, professional judgment, and ATU-CPAC procedures.

21.4 Communication of Outcome

EQA outcomes must be communicated clearly to the provider, including required actions, deadlines, consequences, and appeal or review options where applicable.

Compliance Evidence

ATU-CPAC and the provider should maintain:

EQA outcome letter
EQA decision record
Corrective action requirements
Provider response
Evidence of communication
Follow-up records
Appeal or review records where applicable

Standard 22: EQA and Accreditation Maintenance

22.1 Accreditation Maintenance

EQA is a key mechanism for maintaining accreditation status. Approved providers and centers must demonstrate continued compliance throughout the accreditation period.

22.2 Ongoing Monitoring

ATU-CPAC may conduct ongoing monitoring through:

Annual review
Periodic audit
Document request
Random sampling
Certificate request review
Complaint-triggered review
Risk-based review
Renewal review
Special investigation

22.3 Renewal Evidence

EQA findings may be used to support or challenge renewal of provider accreditation, assessment center authorization, program approval, or partner approval.

22.4 Change Monitoring

Providers must notify ATU-CPAC of significant changes, and EQA may review the impact of those changes on compliance.

Significant changes may include:

Ownership change
Legal status change
Management change
Location change
New branch
New partner
New trainer or assessor team
Program changes
Assessment changes
Digital platform changes
Quality assurance system changes

Compliance Evidence

The provider or center should maintain:

Accreditation maintenance records
Annual reports
EQA reports
Change notification records
Renewal application records
Monitoring correspondence
Updated staff records
Updated program records
Corrective action records

Standard 23: EQA Records and Confidentiality

23.1 EQA Recordkeeping

All EQA activities must be documented accurately, securely, and in a retrievable format.

23.2 Required EQA Records

EQA records may include:

EQA plans
EQA schedules
Provider risk ratings
Document review records
Sampling records
Site visit reports
Remote review records
Interview notes
Evidence reviewed
Findings reports
Corrective action plans
Follow-up records
Decision records
Renewal recommendations
Suspension or withdrawal recommendations

23.3 Confidentiality

EQA records must be handled confidentially, especially where they include learner data, candidate results, staff performance, complaints, appeals, malpractice, commercial information, or provider risk findings.

23.4 Data Protection

EQA records must be processed and stored in accordance with applicable data protection requirements and ATU-CPAC policies.

23.5 Retention Period

EQA records must be retained for the period required by ATU-CPAC policy, legal requirements, or provider agreement.

Compliance Evidence

ATU-CPAC should maintain:

EQA records archive
Secure storage records
Access control records
Data protection records
Retention schedule
EQA document index
Version control records
Record disposal records where applicable

Standard 24: Continuous Improvement of EQA

24.1 EQA System Review

ATU-CPAC must review the effectiveness of its external quality assurance system periodically.

24.2 Review Inputs

EQA system review may consider:

EQA report findings
Provider performance trends
Repeated non-compliance areas
Assessment outcome data
Complaints and appeals trends
Malpractice trends
Certificate request issues
Registry and verification issues
Provider feedback
External quality assurer feedback
Renewal outcomes
Suspension or withdrawal cases
Changes in professional practice
Digital delivery developments

24.3 Improvement Actions

Findings from EQA system review must be used to improve ATU-CPAC standards, provider guidance, audit tools, sampling methodology, reporting templates, training, and monitoring procedures.

24.4 EQA Standardization

ATU-CPAC should conduct standardization and calibration activities for external quality assurers to ensure consistent judgments and reporting.

Compliance Evidence

ATU-CPAC should maintain:

EQA system review reports
EQA performance analysis
Provider trend reports
EQA standardization records
EQA training records
Updated EQA tools
Updated guidance documents
Improvement plans
Management review records

External Quality Assurance Methodology Framework

ATU-CPAC external quality assurance may use a combination of the following methodologies according to provider risk, program type, assessment method, accreditation category, and approved scope.

1. Document-Based Review

EQA reviews provider policies, program files, assessment records, IQA records, staff records, certificate requests, complaints, appeals, and compliance evidence.

2. Site Visit Review

EQA visits the provider or center to inspect facilities, observe delivery or assessment, interview staff, review records, and verify operational compliance.

3. Remote Review

EQA conducts review through online meetings, secure document sharing, LMS access, virtual observation, digital records, and remote interviews.

4. Risk-Based Sampling

EQA selects samples based on risk factors such as new programs, new providers, new assessors, previous findings, complaints, high-stakes assessments, or unusual results.

5. Assessment Sampling

EQA samples assessment tools, learner evidence, marking decisions, rubrics, feedback, IQA records, and result approval records.

6. Provider Monitoring

EQA reviews provider performance, approved scope compliance, program delivery quality, public information, staff competence, and learner support.

7. Certificate Request Verification

EQA verifies whether learners or candidates meet certificate eligibility requirements before certificate requests are approved.

8. Corrective Action Follow-Up

EQA verifies that required corrective actions have been completed and are effective.

9. Continuous Improvement Review

EQA uses findings, trends, feedback, data, and monitoring results to improve ATU-CPAC standards and provider guidance.

Compliance Rating System

ATU-CPAC may classify external quality assurance findings as follows:

Compliant

The provider, center, program, assessment activity, or certification process meets the standard and maintains sufficient evidence.

Minor Non-Compliance

The requirement is generally met, but documentation, consistency, implementation, reporting, sampling, or recordkeeping requires improvement.

Major Non-Compliance

A key requirement is not met, creating risk to learner protection, assessment validity, certification integrity, certificate eligibility, registry accuracy, or ATU credential credibility.

Critical Non-Compliance

There is serious failure, malpractice, unauthorized certificate activity, misleading claims, result manipulation, data misuse, absence of IQA, assessment security breach, or conduct that threatens the credibility of ATU-issued credentials.

EQA Decisions and Recommendations

Based on external quality assurance findings, ATU-CPAC may issue or recommend one or more of the following decisions:

Provider remains approved
Provider remains approved with recommendations
Provider approved with conditions
Corrective action required
Additional evidence required
Increased monitoring required
Assessment tool revision required
Program revision required
Result release approved
Result release withheld
Certificate request approved
Certificate request withheld
Reassessment required
Re-marking required
Program delivery suspended
Assessment activity suspended
Provider scope limited
Accreditation renewal approved
Accreditation renewal deferred
Accreditation suspended
Accreditation withdrawn
Matter referred for investigation
Registry status updated

Obligations of ATU-CPAC

ATU-CPAC must:

Maintain EQA standards and procedures
Appoint competent external quality assurers
Plan EQA activities according to risk and scope
Conduct fair and evidence-based reviews
Apply standards consistently
Maintain impartiality and confidentiality
Issue clear EQA reports
Require corrective action where needed
Follow up on non-compliance
Protect the credibility of ATU-issued credentials
Maintain EQA records securely
Use EQA findings for continuous improvement

Obligations of External Quality Assurers

External quality assurers must:

Apply ATU-CPAC standards objectively
Declare conflicts of interest
Review evidence carefully
Use approved EQA tools and templates
Select appropriate samples
Conduct interviews professionally
Respect confidentiality
Identify risks and non-compliance
Provide clear findings
Make evidence-based recommendations
Avoid bias or inappropriate influence
Maintain accurate records
Complete reports within required timelines
Participate in EQA standardization and CPD

Obligations of Approved Providers and Centers

Approved providers and authorized centers must:

Cooperate with EQA reviews
Provide requested documents and evidence
Allow access to records, systems, staff, and learners where required
Operate within approved scope
Maintain effective IQA
Keep accurate assessment and certificate records
Correct non-compliance within required timelines
Report significant changes
Report malpractice or serious incidents
Use ATU and ATU-CPAC marks correctly
Protect learner and candidate data
Avoid misleading claims
Implement EQA recommendations and corrective actions

Minimum EQA File Requirements

Each external quality assurance file should include:

Provider approval record
Approved scope document
EQA plan
Provider risk rating
EQA schedule
EQA notification record
Document request checklist
Submitted evidence records
Sampling plan
Sampling rationale
Sampled learner or candidate evidence
Assessment review records
IQA review records
Staff review records
Site visit or remote review notes
Interview records
Marketing review records
Certificate request review records
Registry review records where applicable
Complaints and appeals review records
Malpractice review records
EQA report
Provider response
Corrective action plan
Corrective action evidence
Follow-up report
Final EQA decision record
Renewal recommendation where applicable
Version control records