This policy details the moderation of paperwork escalation processes and the possible sanctions that apply.
The moderation of paperwork is carried out by STA as part of its external quality assurance, through deskbased monitoring activities. Awarding organisations use this approach to ensure that regulated qualification standards are consistently being met, thereby mitigating risks to learners regardless of where assessments take place.
Once STA is satisfied that qualification standards are continually being met and that the ATC has effective internal quality assurance (IQA) processes in place, Direct Claim Status (DCS) may be awarded.
As outlined in the ATC Manual, all ATCs must:
- Maintain sufficient internal quality assurance processes,
- Submit course results within 10 working days of the final assessment date, and
- Consistently meet STA’s expected quality standards.
As part of the 2025 ATC Declaration of Compliance, ATCs were asked to confirm that they understood and have the policies and procedures in place to enforce and comply with the following conditions:
- Timely submission of result
- Submission of assessment evidence of moderation
- Internal quality assurance arrangements
- External quality assurance (EQA) by STA.
Therefore, where an ATC fails to meet these requirements, STA will take steps to support compliance. If improvements are not made, the following escalation process and sanctions will apply.
Process and Sanctions
1. Lack of Sufficient Quality Assurance
Including lack of sufficient Internal Quality Assurance activities, lack of sampling plan or policy and also lack of External Quality Assurance; complying with visits or engaging with the EQA.
Stage 1:
- Email notification to the ATC Co-ordinator confirming eligibility for DCS but explaining that it cannot be granted due to insufficient quality assurance activity
- STA will work with the ATC to support IQA development
- Review after 3 months or following sufficient course delivery.
Stage 2:
- If no improvement, a notification will be issued advising that a £50 charge per moderation will apply until adequate quality assurance activity is in place and approved
- Review after 6 months or following sufficient IQA activity.
Stage 3:
- Continued non-compliance may result in removal of ATC status for ongoing maladministration.
2. Failure to Follow Stated Procedures or Timescales
Including the submission of results and submission of paperwork for moderation.
Stage 1:
- Email notification to the ATC Co-ordinator requesting a review of internal procedures due to missed timescales
- STA will work with the ATC to support process improvements
- Review after 3 months or following sufficient course delivery.
Stage 2:
- If no improvement, notification to the ATC Co-ordinator of a course registration sanction
- No new courses may be registered until the sanction is lifted
- A 3-month review will follow or earlier if sufficient course delivery is demonstrated.
Stage 3:
Continued non-compliance may result in removal of ATC status for ongoing maladministration.
3. Continuous Quality of Work Not Meeting STA Standards
Including work products not being marked, work products being marked as competent when not competent and lack of tutor feedback on work products.
Stage 1:
- Email notification to the ATC Co-ordinator and course tutor outlining serious and ongoing concerns about the quality of work
- STA will work collaboratively with both the ATC and tutor to provide support
- Review after 3 months or following sufficient course delivery.
Stage 2:
- If no improvement, a notification will be issued requiring mandatory tutor upskilling
- Tutors must complete the required upskilling programmes before delivering further courses
- Review after 3 months or following sufficient course delivery.
Stage 3:
- If standards remain unmet, STA will issue a qualification sanction and remove tutor status for the specific qualification
- ATC: No longer permitted to offer the affected qualification.
- Tutor: Tutor status removed for the affected qualification.
STA remains committed to supporting and working collaboratively with ATCs to uphold the highest standards of quality and compliance. However, maintaining qualification integrity and ensuring learners receive their certificates in a timely manner are essential priorities.
Last Updated: 1st November 2025