OCR Level 3 Diploma In Management Centre Handbook 178094
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Page Count: 38
- 1 Introduction
- 2 Structure and content
- 3 Apprenticeship information
- 4 Centre assessor and quality assurance personnel requirements
- 5 Verified assessment
- 5.1 Overview of the assessment
- 5.2 Assessment and the Data Protection Act
- 5.3 Initial assessment of candidates
- 5.4 Planning assessment
- 5.5 Real work
- 5.6 Realistic working environment (RWE)
- 5.7 Simulation
- 5.8 Methods of assessment
- 5.9 Authentication
- 5.10 Making assessment decisions
- 5.11 Generation and collection of evidence
- 5.12 How much evidence is needed?
- 5.13 Assessment of the evidence
- 5.14 Observation
- 5.15 Questioning
- 5.16 Professional discussion
- 5.17 Work products
- 5.18 Witness statements
- 5.19 Personal or candidate statement
- 5.20 Assignments, tasks, projects or tests
- 5.21 Candidate cumulative assessment record (CAR)
- RD01 Candidate profile – mandatory
- RD02 Sample signatures of centre assessment team – mandatory
- RD03 Record of unit achievement – optional
- RD04 Index of evidence – optional
- RD05 Record of assessment planning – mandatory
- RD06 Record of assessment feedback – mandatory
- RD07 Record of internal quality assurance feedback – mandatory
- RD08 Record of witness/expert witness – optional
- RD09 Assessor record of observation/professional discussion/questioning – optional
- RD10 Evidence record sheet – mandatory
- RD11 Record of internal quality assurance – mandatory
- 5.22 Verification – how it works
- 5.23 Direct Claim Status (DCS)
- 5.24 Reporting suspected malpractice
- 6 Support
- 7 Certification
- 8 Administration and other information
- 8.1 Administration
- 8.2 National Occupational Standards (NOS)
- 8.3 Functional Skills
- 8.4 Avoidance of bias
- 8.5 Regulatory requirements
- 8.6 Mode of delivery
- 8.7 Recognition of Prior Learning (RPL)
- 8.8 Access arrangements and special consideration
- 8.9 Wider issues
- 9 Contacting us
- 10 Qualification summary
- 11 Key updates to this handbook
Management and Leadership
OCR Level 3 Diploma in Management
Entry code 10387
Version 2 Issued June 2017
© OCR 2017
OCR Level 3 Diploma in Management
1 Introduction 4
1.1 How is this qualifications assessed? 4
1.2 Why choose Level 3 Diploma in Management 4
1.3 Entry requirements 5
1.4 Delivery in Wales and Northern Ireland 5
1.5 Unique Learner Numbers (ULN) and the Personal Learning Record (PLR) 5
1.6 Funding 6
1.7 Guided learning hours (GLH) 6
1.8 Performance tables 6
2 Structure and content 7
2.1 Qualification structure and rule of combination 7
2.2 OCR Level 3 Diploma in Management 8
2.3 Barred combinations 10
3 Apprenticeship information 11
3.1 How do I get a certificate for the apprenticeship? 11
3.2 About the apprenticeships 11
3.3 What makes up an apprenticeship? 11
4 Centre assessor and quality assurance personnel requirements 12
4.1 Assessment centre requirements 12
4.2 Centre assessor responsibilities 12
4.3 Expert Witnesses 13
4.4 Internal Quality Assurance Personnel (IQA) 14
4.5 Continuing Professional Development (CPD) 14
5 Verified assessment 15
5.1 Overview of the assessment 15
5.2 Assessment and the Data Protection Act 15
5.3 Initial assessment of candidates 16
5.4 Planning assessment 16
5.5 Real work 16
5.6 Realistic working environment (RWE) 17
5.7 Simulation 17
5.8 Methods of assessment 17
5.9 Authentication 19
5.10 Making assessment decisions 20
5.11 Generation and collection of evidence 20
5.12 How much evidence is needed? 21
5.13 Assessment of the evidence 21
5.14 Observation 21
5.15 Questioning 22
5.16 Professional discussion 22
5.17 Work products 22
5.18 Witness statements 23
5.19 Personal or candidate statement 24
5.20 Assignments, tasks, projects or tests 24
5.21 Candidate cumulative assessment record (CAR) 24
5.22 Verification – how it works 26
5.23 Direct Claim Status (DCS) 28
5.24 Reporting suspected malpractice 29
6 Support 30
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OCR Level 3 Diploma in Management 2
6.1 Free resources 30
6.2 Our professional development programme (CPD) 30
6.3 Documents and links 31
7 Certification 32
7.1 Claiming certificates 32
7.2 Enquiries about results 32
7.3 Replacement certificates 32
8 Administration and other information 33
8.1 Administration 33
8.2 National Occupational Standards (NOS) 33
8.3 Functional Skills 33
8.4 Avoidance of bias 33
8.5 Regulatory requirements 33
8.6 Mode of delivery 34
8.7 Recognition of Prior Learning (RPL) 34
8.8 Access arrangements and special consideration 35
8.9 Wider issues 35
9 Contacting us 36
9.1 Feedback and enquiries 36
9.2 Complaints 36
10 Qualification summary 37
Level 3 Diploma in Management summary 37
11 Key updates to this handbook 38
© OCR 2017
This document can be reproduced for teaching purposes.
Centres cannot reproduce OCR materials if the purpose is to sell the materials (to learners or
Permission to make this document available on an internet site must be obtained in writing from
OCR's copyright Team at OCR, 1 Hills Road, Cambridge, CB1 2EU, Email:
firstname.lastname@example.org. For full details of OCR’s copyright policy please see our website.
© OCR 2017
OCR Level 3 Diploma in Management 3
OCR entry code Title Qualification
10387 OCR Level 3 Diploma in Management 601/3806/3
The information provided in this handbook is correct at the time of production. Occasionally we
may update it so please check the qualification webpage for the most up-to-date information.
This handbook contains what you need to know about the planning, delivery and assessment of
this qualification. Staff involved in the delivery of this qualification must have access to and
understand the requirements in this handbook.
To access information on how to administer this qualification please follow the link to the
Administration area http://www.ocr.org.uk/administration/.
You should ensure candidates are informed of the title and level of the qualification they have been
entered for and that Oxford Cambridge and RSA Examinations (OCR) is the awarding body for
their chosen qualification.
1.1 How is this qualifications assessed?
All units are internally assessed by centre staff and externally verified by us.
1.2 Why choose Level 3 Diploma in Management
The aim of this qualification is to:
• develop/expand candidates’ understanding of management
• develop candidates’ skills and competence in management.
This qualification will give candidates the opportunity to:
• achieve a nationally recognised qualification valued by employers
• prepare for employment in a management role
• develop skills and competence in the workplace
• continue professional development.
Candidates achieving this qualification can progress:
• to employment
• in employment
• to further study.
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OCR Level 3 Diploma in Management 4
• is part of the Advanced Apprenticeship in Management
• supports development of Transferable Skills
• consists of units based on the national occupational standards developed by Skills CfA, the
sector body for Team Leading and Management
• is supported by Skills CfA, the sector body for Management and Leadership.
1.3 Entry requirements
There are no formal entry requirements for this qualification.
There is no requirement for any specific prior learning. We recommend that an initial assessment
should take place to ensure the candidate is capable of reaching the required standards.
This qualification is regulated for learners aged 16 years and over.
All staff involved in the assessment or delivery of this qualification should understand the
requirements of the qualification and match them to the needs and capabilities of individual
candidates before entering them for this qualification.
This qualification has been developed so it is free from any barriers that restrict access or
progression and therefore, promote equal opportunities.
1.4 Delivery in Wales and Northern Ireland
Candidates in Wales or Northern Ireland should not be disadvantaged by terms, legislation or
aspects of government that are different from those in England. Where such situations may occur,
neutral terms have been used so that candidates may apply whatever is appropriate to their own
We will provide handbooks and supporting documentation in English. Only answers provided in
English will be assessed.
1.5 Unique Learner Numbers (ULN) and the Personal Learning
This is a personal ten-digit number, which is used to ensure learner achievement information can
be provided to their Personal Learning Record (PLR). ULNs are provided and administered by the
Learning Records Service (LRS).
Learners over the age of 14 in UK education or training can access the PLR using their ULN.
Learners keep the same ULN to access their PLR throughout their lives and whatever their level of
Candidates that claim certification for publically funded qualifications must have a valid ULN.
Where a candidate has a ULN, you must enter their ten digit number in the ULN field when making
entries via Interchange. For candidates who do not have a ULN, a claim will still be accepted if you
leave this field blank, but OCR will not be able to send the achievements to the PLR.
Further information about this can be found in the Administration area and at the Learner Records
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OCR Level 3 Diploma in Management 5
Funding arrangements can be subject to change. For the latest details about approval and funding
eligibility, we recommend you visit the following websites:
For further details regarding approval and funding eligibility you should refer to the following
Register of Regulated Qualifications – Ofqual’s register of regulated qualifications
Department for Education (DfE) Section 96 – for confirmation of the approval of qualifications to be
delivered to specific age ranges.
Education and Skills Funding Agency for funding education and training for children, young people
and adults in England
Department for the Economy for public funding in Northern Ireland
Qualifications in Wales database (QiW) for public funding in Wales.
Use the Ofqual Qualification Number (QN) when you’re looking for information on qualification
eligibility for public funding.
If you have any queries about funding for this qualification email us at email@example.com.
1.7 Guided learning hours (GLH)
Guided learning hours indicate the approximate time (in hours) the tutor will spend supervising or
directing study time and assessment.
OCR Level 3 Diploma in Management – minimum 284 GLH.
1.8 Performance tables
You will find information on:
• performance tables for England on the Department for Education website
• performance points for Northern Ireland on the Department of Education website
• performance measures for Wales on Qualifications in Wales database (QiW). If you have any
queries about the performance information then please email firstname.lastname@example.org.
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OCR Level 3 Diploma in Management 6
2 Structure and content
2.1 Qualification structure and rule of combination
Each qualification has a rule of combination (ROC).
The ROC specifies how units can be combined and the overall number of credits to be achieved
for the qualification to be awarded.
Candidates do not have to achieve units in any particular order and learning programmes should
be tailored to meet individual needs. It is recommended that, wherever possible, you deliver this
qualification holistically by identifying opportunities to link the units and levels.
If a candidate is not able to complete the full qualification, we will issue unit certificates listing the
unit(s) and credit achieved.
When combining units for this qualification, it is your responsibility to ensure the rule of
combination is followed.
The units are available to download from our qualification webpage.
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OCR Level 3 Diploma in Management 7
2.2 OCR Level 3 Diploma in Management
Rule of combination
To achieve this qualification a candidate must achieve the following:
minimum credit of 55
credit from mandatory Group A 31
minimum credit from optional Group B 17
maximum credit from optional Group C 7
minimum credit at Level 3 or above 48
For details of barred combinations please see section 2.3.
for Level 3 Diploma in Management
No Unit title Unit
value Level GLH
Group A: Mandatory units
1 Manage personal and professional development T/506/2952 3 3 12
2 Manage team performance A/506/1821 4 3 21
3 Principles of leadership and management F/506/2596 8 3 50
4 Principles of people management R/506/1937 6 3 34
5 Principles of business D/506/1942 10 3 74
Group B : Optional units
Promote equality, diversity and inclusion in the
T/506/1820 3 3 15
7 Manage individuals’ performance J/506/1921 4 3 20
Manage individuals’ development in the
L/506/1922 3 3 10
9 Chair and lead meetings Y/506/1924 3 3 10
10 Encourage innovation J/506/2292 4 3 14
11 Manage conflict within a team K/506/1927 5 3 25
12 Procure products and/or services M/506/1928 5 3 35
13 Implement change T/506/1929 5 3 28
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OCR Level 3 Diploma in Management 8
Implement and maintain business continuity
plans and processes
K/506/1930 4 3 25
15 Collaborate with other departments M/506/1931 3 3 14
16 Support remote or virtual teams A/506/1933 4 3 18
17 Participate in a project F/506/1934 3 3 19
18 Develop and maintain professional networks J/506/1949 3 4 15
19 Develop and implement an operational plan Y/506/1955 5 4 24
20 Encourage learning and development M/506/1962 3 4 16
21 Discipline and grievance management A/506/1981 3 4 26
22 Develop working relationships with stakeholders F/506/1982 4 4 20
23 Manage physical resources K/506/1989 4 4 26
Manage the impact of work activities on the
J/506/2907 4 4 30
25 Prepare for and support quality audits K/506/1992 3 4 17
26 Conduct quality audits T/506/1994 3 4 21
27 Manage a budget A/506/1995 4 4 26
28 Manage a project R/506/1999 7 4 38
29 Manage business risk L/506/2004 6 4 27
30 Manage knowledge in an organisation A/506/2032 5 4 34
31 Recruitment, selection and induction practice R/506/2909 6 4 33
32 Manage redundancy and redeployment M/506/2044 6 4 39
Group C: Optional units
33 Buddy a colleague to develop their skills M/506/1895 3 2 19
Contribute to the improvement of business
D/506/1911 6 3 33
35 Negotiate in a business environment H/506/1912 4 3 18
36 Develop a presentation K/506/1913 3 3 11
37 Deliver a presentation M/506/1914 3 3 17
Contribute to the development and
implementation of an information system
A/506/1916 6 3 21
39 Resolve customers’ problems K/506/2169 4 3 19
40 Resolve customers’ complaints R/506/2151 4 3 22
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OCR Level 3 Diploma in Management 9
41 Gather, analyse and interpret customer feedback D/506/2170 5 3 24
42 Employee rights and responsibilities L/506/1905 2 2 16
43 Health and safety procedures in the workplace T/505/4673 2 2 16
44 Manage events M/506/1959 6 4 49
45 Review the quality of customer service F/506/2176 4 4 20
2.3 Barred combinations
These are units that cannot be counted together as part of the rule of combination for this
The following table lists the units in this qualification that are barred with other units.
Unit No. Unit title Unit
No (URN) Barred with
17 ML23 Participate in a project F/506/1934 OCR Unit 28
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OCR Level 3 Diploma in Management 10
3 Apprenticeship information
3.1 How do I get a certificate for the apprenticeship?
The Advanced Apprenticeship in Management is certificated by Apprenticeship Certificates
England (ACE) on behalf of Skills CfA. For full details of frameworks please see Apprenticeship
Certificates England (http://www.acecerts.co.uk/web/) or Apprenticeship Frameworks Online
3.2 About the apprenticeships
This apprenticeship consists of learning and qualifications necessary to provide management
apprentices with the skills and knowledge they need to become competent in their chosen job and
improve their employment prospects. The programmes aim to develop an individual’s confidence in
their abilities by developing work-related knowledge, skills and understanding.
The framework is suitable for those in a range of roles and industries, for example, to support
those working as first-line managers, section managers, assistant managers, trainee managers,
senior supervisors, junior non-commissioned officers (armed forces) and those working in a range
of other management positions.
Candidates who achieve the Advanced Apprenticeship in Management will gain management skills
they need, tailored to the sector of their choice. They will be familiar with management 'best
practice' as well as an organisation's business procedures and objectives. They will be prepared
for progression opportunities in employment or further study.
3.3 What makes up an apprenticeship?
There is no maximum time frame for the achievement of the Management Advanced
However, it is a requirement that candidates should be on programmes for a minimum of 12
months. Individual circumstances (such as significant prior learning or the requirement to deliver
some basic skills training first) may result in a shorter or longer period of learning. The amount of
time the apprenticeship takes will also be influenced by the opportunities available in the workplace
and the level of support given by employers and learning providers.
Each apprenticeship is made up of:
• A combined knowledge and competence qualification, i.e. the Level 3 Diploma in
• Employee Rights and Responsibilities (ERR) – assessed by completing either the Skills CfA
ERR workbook or a dedicated ERR unit such as that contained in Optional Group C (Unit 42
Employee rights and responsibilities)
• Personal Learning and Thinking Skills (PLTS) – embedded in the mandatory units of the
Level 3 Diploma in Management
• Transferable skills – apprentices must complete the appropriate Transferable skills
qualifications in English, Mathematics and ICT – please refer to the Skills CfA’s
Apprenticeship Framework Guidance (http://www.afo.sscalliance.org/frameworkslibrary)
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4 Centre assessor and quality assurance
This section provides information on centre assessor and quality assurance personnel
requirements for verified qualifications.
4.1 Assessment centre requirements
The occupational knowledge of those undertaking the roles of assessment and internal quality
assurance is one of the key factors underpinning valid, fair and reliable assessment. The integrity
of assessments and quality assurance is of paramount importance.
Your centre must:
• ensure there are sufficient trained and qualified personnel to assess the expected number of
• ensure there are sufficient trained and qualified personnel to internally quality assure for the
number of candidates and assessors, i.e. you must have at least one assessor and one
Internal Quality Assurer (IQA) to run this qualification
• put systems and internal quality assurance personnel in place to ensure that all assessments
are valid, reliable, safe and manageable and suitable to the needs of the candidate
• ensure evidence is authentic and sufficient
• ensure there is a standardisation process in place to ensure that all assessments are
consistent and fair
• ensure those undertaking the roles of quality assurance and assessment maintain their skills,
knowledge and understanding regarding assessment and quality assurance and the
• ensure there is sufficient time to conduct effective assessment and internal quality assurance
• ensure any corrective measures identified by OCR external verifiers and OCR, are
4.2 Centre assessor responsibilities
Assessment is an activity carried out by an individual either as a specific role or as part of a wider
role, e.g. teacher, tutor, supervisor, manager.
All centre assessors must:
• have the role of assessor identified in their role profile
• be occupationally competent, according to current sector practice, in the functions covered
by the units they are assessing
• be familiar with the units that relate to the qualification
• be able to interpret and make judgements on current working practices and technologies in
the area of work
OCR Level 3 Diploma in Management 12
• actively engage in continuous professional development activities to keep up to date with
developments in the sector
• judge candidates’ work against the assessment criteria identified in the units
• identify valid and sufficient evidence
• ensure authentication of candidates’ work (see section 5.9 )
• identify gaps in evidence and ensure these are resolved before the unit is claimed
• give feedback to candidates
• liaise with other assessors in the centre to ensure assessment decisions are consistent and
to the required standard
• confirm candidate achievement by completing and signing the required OCR documentation
• maintain records of candidates’ achievements needed in the event of any submission or
Assessors must have the necessary expertise, which must include assessors holding, or be
working towards, appropriate qualifications such as:
• Award in Assessing Competence in the Work Environment
• Certificate in Assessing Vocational Achievement
• Assess candidates using a range of methods (A1)
• Assess candidate performance (D32)
• Assess candidate using differing sources of evidence (D33)
You must provide evidence of the training being undertaken or proof of relevant qualifications.
4.3 Expert Witnesses
Expert witnesses can be drawn from a wide range of people who can confirm performance in the
workplace including line managers and experienced colleagues from inside the candidate’s
organisation. Expert witnesses must have proven practical experience and knowledge relating to
the content of the unit being assessed. The assessor will make the final judgement.
The expert witness is not consulted as a professional assessor, but as someone who is expert in
the occupation to be assessed.
It is unlikely that someone could become an expert in their entire job role in less than six to twelve
months of being employed in this field. They could, however, very quickly become an expert in the
content of a single unit if this was the focus of their job role. The assessor should make a
judgement as to the level of expertise held by a potential expert witness and, where necessary,
confirm this with a management team.
OCR Level 3 Diploma in Management 13
4.4 Internal Quality Assurance Personnel (IQA)
Internal quality assurance is an activity carried out by an individual either as a specific role or as
part of an individual’s wider role.
The IQA should have sufficient level of understanding to allow them to judge whether the assessor
has fully assessed candidates against all the assessment criteria in the unit.
• be occupationally knowledgeable and competent across the range of units for which they are
responsible prior to commencing the role
• sample the assessment process to ensure accurate and consistent decisions between centre
assessors against the qualification standards
• provide feedback to assessors to resolve differences on assessment decisions
• ensure assessment has been carried out by assessors who are occupationally competent in
the area they are assessing
• actively engage in continuous professional development activities in order to keep up to date
with developments in the sector
• respond appropriately to corrective measures identified by OCR external verifiers and OCR.
Those making quality assurance decisions must have the necessary expertise to do so, which
must include holding, or be working towards, appropriate qualifications, such as:
• Award in Internal Quality Assurance of the Assessment Processes and Practices
• Award in Conducting Internal Quality Assurance of the Assessment Process (V1)
• Internally verify the assessment process (D34).
You must provide evidence of the training being undertaken or proof of relevant qualifications.
4.5 Continuing Professional Development (CPD)
All centre assessors and internal quality assurance personnel need to prove they have current
working knowledge of the sector. This can be demonstrated by keeping records of evidence from
occupational activities such as:
• internal or external work experience
• internal or external work shadowing
• other relevant CPD activities.
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5 Verified assessment
This section provides guidance on verified assessment: how to plan and manage assessment and
what controls must be applied throughout the process. Your centre must comply with the OCR
Criteria for Verified Qualifications.
5.1 Overview of the assessment
This qualification is internally assessed by centre assessors and quality assured by internal quality
assurance personnel and externally verified by OCR.
Teaching and Learning
Tutors must make sure the teaching content for each criterion is fully addressed so that candidates
can effectively meet the requirements.
Where teaching content is contained in the unit, it is not exhaustive and may be expanded or
tailored to particular contexts in which the unit is being taught and the assessment criteria applied.
We recommend that teaching and development of subject content and associated skills be
referenced to real-life situations, using appropriate work-based contact and vocationally
experienced delivery personnel.
The Management sector’s competence-based qualification recognises competence in the
workplace. Therefore evidence of competence should come from workplace activity and reflect
attainment in an organisational context.
When you are satisfied that your candidate has met all of the requirements for a unit, you must
sign an evidence record sheet to confirm the assessment process is complete.
5.2 Assessment and the Data Protection Act
Centre assessors, who are responsible for assessing candidates' evidence for internally assessed
units, must make sure that candidates know they must comply with the Data Protection Act when
they are producing work for assessment. Candidates must not reference another individual’s
personal details in any evidence produced for assessment. It is the candidate’s responsibility to
make sure evidence that includes another individual’s personal details is anonymised.
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5.3 Initial assessment of candidates
It is important that you carry out an initial assessment to identify candidates’ level of competence,
knowledge and understanding and any potential gaps that need to be addressed.
This will also:
• help you and the candidates identify the most appropriate optional units
• allow you to plan the assessment
• enable candidates to understand the best place to start generating evidence.
See section 1.3 for information about entry requirements and prior learning and section 8.8 for
Recognition of Prior Learning.
5.4 Planning assessment
Centre assessors must take responsibility for planning assessment with candidates. This will
involve discussing details with candidates including:
• agreeing the best source of evidence to use for particular units
• determining the best way of assessing the candidate
• confirming the best times, dates and places for the assessments to take place
• agreeing a flexible timetable for unit completion and assessment.
Centre assessors must make a note of their assessment planning and regularly give feedback to
5.5 Real work
Real work is where the candidate is engaged in activities that contribute to the aims of the
organisation by whom they are employed. For example, in paid employment or working in a
voluntary capacity or work placement.
Where the candidate’s performance is assessed in the workplace, this evidence should naturally
occur in the candidate’s work role. This will include the candidate’s application of knowledge. This
principle will apply to competence units, except where simulation is acceptable (see section 5.7
Workplace evidence may be gathered in full-time, part-time, casual or voluntary employment or a
'work placement', e.g. full-time candidates placed in a working environment for one day per week.
Supporting evidence for any work experience from a supervisor or manager must add to the
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5.6 Realistic working environment (RWE)
Evidence can be produced at work or in a RWE for Unit 11 Manage conflict within a team in this
A realistic working environment is regarded as one that replicates what is likely to happen when an
individual is carrying out their normal duties and activities in a real working environment.
In RWE, candidates produce evidence of their performance subject to all of the following
• time pressures
• work problems
• tools to do the job
• realistic behaviour patterns from third parties.
Simulation is a practical and effective tool for establishing skill and understanding, where naturally
occurring evidence of competence is unavailable or infrequent. Simulation should only be used
where the candidate is unable to complete the unit(s) because of the lack of opportunity in their
practice/workplace. Simulation can only be applied to the following competence unit:
Unit 11: Manage conflict within a team
Where simulations are used they must replicate working activities in a realistic working
A realistic working environment (for the purpose of simulated work activities) is regarded as one
that replicates what is likely to happen when an individual is carrying out their normal duties and
activities in a real working environment.
Internal quality assurance personnel must agree the use of simulated activities before they take
place and must sample all evidence produced through simulated activities (see section Internal
5.8 Methods of assessment
We have identified the main assessment methods suitable for this qualification:
• Observation of practice by the assessor or expert witness for occupational specific units
• Questioning the candidate or witness by the assessor
• Professional discussion
• Examining work products – e.g. business letters, spreadsheets, diagrams
• Examining written evidence – e.g. assignments, tasks, projects or tests
• Examining evidence from others
• Simulation (if allowed).
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It is your responsibility to agree the best method of assessing a candidate in relation to their
The methods agreed must be:
• safe and manageable
• suitable to the needs of the candidate.
A valid assessment method is capable of measuring the knowledge or skills in question. For
example, a written test cannot measure a candidate’s practical skills or their ability to work well
Validity can be compromised if a candidate does not understand what is required of them. For
example, a valid method of assessing a candidate’s knowledge and understanding is to question
them. If the questions are not relevant to the qualification or how they are phrased makes it difficult
for the candidate to understand, the validity of the assessment method is threatened.
Evidence must also be valid.
For example, it would not be appropriate to simply present an organisation’s policy on “Health and
Safety” as evidence towards Unit 43 Health and safety procedures in the workplace, as it is not the
candidate’s own work and does not evidence their understanding. It may be more appropriate for
the candidate and centre assessor to have a discussion about health and safety and how the
policy relates to the Learning Outcome. This could include examples from the candidate’s own
experience which could be used as evidence for specific learning outcomes. This discussion could
then be assessed and recorded as evidence.
A reliable method of assessment produces consistent results across different centre assessors on
each assessment occasion. Internal quality assurance personnel (IQA) must make sure that all
centre assessors’ decisions are consistent.
Safe and manageable
Centre assessors and IQA must make sure that assessment methods used are safe and
manageable and do not put unnecessary demands on the candidate and/or the organisation for
which they work.
Suitable to the needs of the candidate
We have designed this qualification so that achievement is accessible to all candidates, in the
context of the units.
For candidates who have access requirements, see section 9.10 Access arrangements including
If you think that any aspect of this qualification unfairly restricts access and progression, please
contact our Customer Contact Centre.
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Tutors must be confident that the work they mark is the candidate’s own. This does not mean that
a candidate must be supervised throughout the completion of all work but the tutors must exercise
sufficient supervision, or introduce sufficient checks, to be in a position to judge the authenticity of
the candidate’s work.
Wherever possible, the tutors should discuss work-in-progress with candidates. This will not only
ensure that work is underway in a planned and timely manner but will also provide opportunities for
tutors to check authenticity of the work and provide general feedback.
Where permitted by the specification, the work of individual candidates may be informed by
working with others, for example, in undertaking research, but candidates must provide an
individual response as part of any task outcome.
Please note: Your centre must confirm to us that the evidence produced by candidates is
authentic. The Evidence Record Sheet includes a declaration for candidates to sign and is
available from the webpage.
Candidates must not plagiarise. Plagiarism is the submission of another’s work as one’s own
and/or failure to acknowledge the source correctly. Plagiarism is considered to be malpractice and
could lead to the candidate being disqualified. Plagiarism sometimes occurs innocently when
candidates are unaware of the need to reference or acknowledge their sources. It is therefore
important that centres ensure that candidates understand that work they submit must be their own
and that they understand the meaning of plagiarism and what penalties may be applied.
Candidates may refer to research, quotations or evidence but they must list their sources.
Resubmitting work for assessment
If the tutor/assessor and the candidate feel they have not performed at their best during the
assessment, the candidate can, at the tutor/assessor’s discretion, improve their work and resubmit
it for assessment. The tutor/assessor must ensure it is in the candidate’s interests to reattempt the
Whilst there are no restrictions on the number of times that a candidate can resubmit evidence, it is
the responsibility of the tutor/assessor to ensure that the details of any feedback and guidance are
clearly recorded. Any advice to individual candidates over and above that given to the class as a
whole should be recorded.
Centres must not encourage multiple resubmissions of work. Resubmission at the centre
assessment stage is intended to allow the candidate to reflect on feedback and improve, but not to
be an iterative process where they make small modifications through ongoing feedback to
eventually achieve the desired level.
OCR Level 3 Diploma in Management 19
5.10 Making assessment decisions
Candidates are not required to meet all the criteria every time they carry out an activity, but it is
necessary that all candidates produce evidence to demonstrate they have met all
assessment criteria in the unit.
They must consistently provide sufficient evidence for you to be able to confirm that your candidate
is competent in their working environment.
In line with the National Occupational Standards (NOS) for assessors, you should:
• plan with the candidate
• assess candidate performance, knowledge and understanding
• look at the evidence
• question and give feedback to the candidate working towards the qualifications being
All criteria in the unit must be completed before you as centre assessor can sign the unit off as
5.11 Generation and collection of evidence
Candidates’ evidence should be in an appropriate format to demonstrate the skills, competency, or
application of knowledge and understanding, as specified in each assessment criteria in the unit in
Candidates must not reference another individual’s personal details in any evidence produced for
summative assessment. It is the candidate’s responsibility to ensure that any evidence which
includes another individual’s personal details is anonymised to comply with the Data Protection
Evidence can take many forms, for example, written work, audio/visual recordings, digitally
formatted documents, a product or photographs (of a product). It is not permitted to use
photographs of children without parental permission.
If group work is used as evidence, the candidate’s contribution must be clearly identified.
Evidence can come from a number of sources. A list of the main sources of evidence is provided
• Professional discussion
• Work products – the outcome or product of a candidate’s work activity
• Witness statements
• Personal statement
• Assignments, tasks, projects or tests – centre-devised projects, e.g. a case study.
• Simulation (if allowed)
OCR Level 3 Diploma in Management 20
Candidates should take responsibility for the development of their own portfolios, with appropriate
support from tutors, employers and peers, and should be aware of the need for clear presentation
and ordering as an aid to assessment and referencing once the work is submitted.
Where evidence is relevant to more than one assessment criterion in one or more units, the
candidate should cross-reference the evidence within their unit portfolio so that it can be
considered by you as centre assessor and by the OCR external verifier if required.
An Evidence Record Sheet is available to download from our website. Candidates can use this
sheet to record their evidence and link it to the assessment criteria in one unit. You must use this
sheet or your own suitable alternative to allow the OCR external verifier to see which assessment
criterion each piece of evidence refers to.
5.12 How much evidence is needed?
It is difficult to give detailed guidance regarding the amount of evidence needed, as it depends on
the type of evidence collected and the judgement of centre assessors.
It is not the quantity of the evidence produced; it is the quality and breadth of evidence, that they
have produced themselves, ensuring it meets all of the assessment requirements and assessment
Centre assessors should discuss with candidates the most suitable sources of evidence and
ensure candidates are aware of the importance of quality rather than quantity when presenting
evidence for assessment. The quality and breadth of evidence presented should determine
whether a centre assessor is confident that a candidate has met the requirements of the unit.
Assessors must be convinced, from the evidence presented, that candidates working on their own
can work independently to the required standard.
5.13 Assessment of the evidence
It is the assessor’s responsibility to:
• assess the evidence presented by the candidate
• provide feedback to the candidate
• make an assessment decision, which will be confirmed through internal and external quality
Assessors will judge candidates’ evidence against the assessment criteria specified in the unit.
Centre assessors may carry out observations of a candidate undertaking activities or tasks and
make an assessment decision based on the candidate’s performance, i.e. what they can do or the
process they have gone through.
Sometimes, the observation can also provide inferred evidence of what a candidate knows.
The observation should be of naturally occurring practice in the candidate’s work role.
OCR Level 3 Diploma in Management 21
Centre assessors and candidates should plan observations together but it is the centre assessor’s
responsibility to record the observation. After the observation has taken place, you must record an
assessment decision and the justification for the decision. This should include sufficient information
about what was observed to ensure the assessment criteria has been met and enable the
assessment to be quality assured. Centre assessors should also give feedback to the candidate.
Centre assessors may question a candidate for the assessment of this qualification.
Questioning the candidate is usually an ongoing part of the assessment process, and it is
• test a candidate’s knowledge of facts and procedures
• check if a candidate understands principles and theories, and
• collect information on the type and purpose of the activities a candidate has been involved.
For the most part, you should use open-ended questions; i.e. questions that cannot be answered
by the candidate with one word responses, e.g. ‘yes’ or ‘no’. Open-ended questions require
thought and detail in order to answer the question. You should be careful to avoid complicated
questions which may confuse the candidate.
It is important that you record assessment decisions after you have questioned the candidate. You
must record enough information to justify your decisions. This does not mean that you must record
the questions and answers word for word, but you must record enough detail to allow the
assessment to be quality assured.
5.16 Professional discussion
Professional discussion is a structured, planned and in-depth discussion recorded by your centre
assessor. It allows the candidate to present evidence of competence and to demonstrate skills,
knowledge and understanding through discussing the evidence and showing how it meets the
requirements of the qualification.
The purpose of the discussion is to explore the level of the candidate’s competence and ensure
their actions are based on a firm understanding of principles which underpin the competence.
You should guide the discussion by using open questioning and active listening.
5.17 Work products
Work products are produced in the workplace. They should be of naturally occurring practice in the
candidate’s role. The evidence presented for assessment may be the actual product or a record of
the product, e.g. business letter, email, spreadsheet
OCR Level 3 Diploma in Management 22
5.18 Witness statements
Witness statements are a record of witness testimonies. A witness statement is used to support
work or evidence sourced from confidential or sensitive material, e.g. data protection. It should not
be used to evidence achievement of a whole unit.
The witness must not be related to the candidate and must be in a position to make valid
comments about the candidate’s performance, e.g. tutors or workplace supervisors.
It is not acceptable for candidates to produce written witness statements for witnesses to sign.
• must describe what they witnessed the candidate doing
• can be written or verbal accounts of the candidate’s performance
• do not have to be written by the witness, they may be recorded by the assessor after
discussion with the witness and confirmed as accurate by the witness
• can be used to directly support work or as evidence of work based on confidential or
sensitive sources, e.g. data protection
• should not contain a list of skills
• should not be used as evidence of achievement for a whole unit.
A centre assessor will then judge whether the evidence presented meets the standards required by
the assessment criteria for the unit. Often, it will be necessary for assessors to contact witnesses
• the witness statement is authentic
• the assessor’s interpretation of the witness statement is accurate.
Where a witness provides a written statement, they should include the following:
• the candidate’s name
• the date, time and venue of the activity
• a description of the activities performed by the candidate
• the date the statement was written
• a description of their relationship to the candidate
• the witness’ signature and job title
• the witness’ contact details, e.g. telephone number.
OCR Level 3 Diploma in Management 23
5.19 Personal or candidate statement
This is a candidate’s own account of what they did.
Personal statements can be a:
• written or verbal account of specific incidents, activities or situations
• log or diary
• reflective account.
All personal statements made by candidates must be authenticated, as a true account of what took
place, by an appropriate witness, e.g. tutor, employer, peer.
5.20 Assignments, tasks, projects or tests
For some units, it may be appropriate for your centre to devise assignments, tasks, projects or
tests. This would be particularly appropriate for the knowledge units. This provides your centre with
opportunities to meet the needs of the candidate and local employers.
Centres will need to ensure that any assignments, tasks, projects or tests enable candidates to
meet all of the assessment criteria in the units.
Your centre is best placed to decide on an appropriate context for the assessment for your
Tutors must ensure candidates are clear about the tasks they are to undertake and the
assessment criteria which they are expected to meet.
5.21 Candidate cumulative assessment record (CAR)
A cumulative assessment record (CAR) is the candidate’s record of the evidence that has been
assessed and accepted as proof of competence by the internal assessor.
Templates for the recording documents to be used in a cumulative assessment record (CAR) may
be provided by OCR or they may be designed by the centre and approved during the approval visit
or by the OCR external verifier. The forms can be in any format but as a minimum they must
contain the information identified on OCR’s website. For more details refer to the Administration
area, assessment, http://www.ocr.org.uk/administration/.
Candidates must record, on the relevant documents, all the evidence presented for assessment.
These records will also be used by the centre assessor and internal quality assurance personnel to
record assessment decisions. They can also be used to record progress towards the achievement
Filling in these documents, is an on-going process involving discussion and agreement between
the candidate and their centre assessor. The candidate should fill in and keep the CAR while
working towards their qualification. A centre assessor may help the candidate complete the CAR if
necessary. It may be viewed by the centre’s internal quality assurance personnel and OCR
external verifier for sampling purposes as part of the quality assurance process.
The following forms are available, on the webpage, to assist your centre and candidates as they
work towards this qualification.
OCR Level 3 Diploma in Management 24
RD01 Candidate profile – mandatory
This form records the critical information related to the candidate and the qualification they are
RD02 Sample signatures of centre assessment team – mandatory
This form records the signatures of the centre’s assessment team so that the external verifier can
verify the authenticity of signatures used on the centre’s recording documents.
RD03 Record of unit achievement – optional
This form records the candidate’s progress through their chosen units. There is one form per
qualification, allowing candidates to track the units as they are achieved.
RD04 Index of evidence – optional
This form records all of the assessed evidence and the method of assessment used for each piece
of evidence. It will include each piece of evidence’s reference code and where it can be found. This
allows candidates and assessors to see at a glance where each piece of evidence can be found.
RD05 Record of assessment planning – mandatory
This form records when and how assessment planning took place. The use of this form can help to
ensure that sufficient evidence will be produced to cover the assessment criteria and that a broad
range of assessment methods will be used.
RD06 Record of assessment feedback – mandatory
This form records written feedback by the assessor to the candidate after an assessment has been
carried out and records any planned actions. It can also be used to capture any feedback the
candidate gives to the assessor.
RD07 Record of internal quality assurance feedback – mandatory
This form records written feedback given by the Internal Quality Assurer (IQA) to assessors on
their practice. It can also be used to capture future actions and comments from the assessor.
RD08 Record of witness/expert witness – optional
This form records details of activities witnessed such as; the type of activity undertaken, the date
the activity took place and the status and contact details of the witness.
RD09 Assessor record of observation/professional discussion/questioning
This form records the type of activity undertaken by the assessor, e.g. observation, professional
discussion, the assessment criteria covered by the activity, how the activity met the criteria. It also
provides an opportunity for the candidate to comment on the activity and outcome.
OCR Level 3 Diploma in Management 25
RD10 Evidence record sheet – mandatory
For verified units this form (or a suitable alternative) is mandatory for candidates’ CARs (see
cumulative assessment record). It is the vehicle for linking the evidence to the assessment criteria.
The evidence for the unit should be listed (as it is gathered) down the left hand side. The Evidence
Record Sheet, where possible, should be completed by the candidate with the help of an assessor
You are free to design alternative recording sheets for your candidates and centre to use. The
sheets must meet certain criteria and be approved by your external verifier. For full details on the
design and approval of recording sheets visit the Administration area, assessment
RD11 Record of internal quality assurance – mandatory
This form records the internal quality assurance activities carried out for a particular qualification.
A separate form must be completed for each internal quality assurer (IQA) working on the
qualification. The form provides evidence that the IQA’s sample has met the requirements of the
5.22 Verification – how it works
Internal quality assurance
It is your centre’s responsibility to appoint internal quality assurance personnel (see section 4) to
manage the internal quality assurance process.
The purpose of internal quality assurance is to make sure and show that assessment is valid,
reliable and consistent, through monitoring and sampling assessment decisions.
For this qualification you must carry out internal quality assurance to ensure that all candidates’
evidence is assessed consistently to the required standard.
The IQA is responsible for:
• ensuring all assessors are assessing to the required standard
• ensuring all assessment decisions are fair, valid, reliable and consistent
• arranging regular standardisation meetings
• ensuring standardisation of work between assessors
• maintaining records of the outcome of standardisation activities
• advising centre assessors of any discrepancies in assessment
• suggesting ways in which assessment may be brought into line to meet the required
OCR Level 3 Diploma in Management 26
We will allocate an external verifier who will visit your centre to verify assessments and internal
quality assurance against the standards for the qualification and the OCR Criteria for Verified
The external verifier must interview candidates, centre assessors and internal quality assurance
personnel during their visits.
For each external verification visit your centre must have available:
• the candidate assessment records (CAR) and evidence for all candidates claimed
• any candidate assessment records and evidence claimed by Direct Claim Status (DCS)
since the last visit
• identified work-in-progress portfolios
• access to observe assessments taking place
• access to our online claim system (Interchange)
• access to candidates, centre assessors and internal quality assurance personnel as
requested by the EV
• any portfolios claimed for certification through DCS as requested by the EV
• a copy of the external verifier’s last visit report
• a sample signature list for all centre assessors and internal quality assurance personnel
• details of training, curriculum vitae and original certificates for new members of the
assessment team or updated documents for existing assessment team members
• all centre records, see the next section for more details
• evidence of achieving action points and/or recommendations since the last external verifier
• if recorded evidence is used, ensure all recordings and appropriate playback equipment is
Centre records required for verification
Your centre must make sure that internal quality assurance and candidate assessment records are
available for external verification purposes. These records must be securely held by your centre for
a minimum of three years following candidate achievement of the qualification, i.e. from the date of
As a minimum these records must include the following information:
• the candidate’s name and location
• the title and level of the qualification they are taking
• the candidate’s start date on the programme and confirmation of candidate entry
• the name of the centre assessor
• the name of the internal quality assurance personnel
• the date and outcome of the initial assessment of the candidate
• dates and details of candidate reviews and feedback sessions
OCR Level 3 Diploma in Management 27
• assessment method(s) used
• dates of all assessments and their outcomes (that is, the decision whether the candidate has
met the requirements or not) cross-referenced to the unit
• enough detail of the assessments to justify the decision made
• an indication of the frequency, and reason for, the use of simulation, if used
• dates and outcomes of internal quality assurance
• action(s) resulting from internal quality assurance
• candidate’s achievement(s).
Records should show formative assessment decisions (ongoing decision making), summative
assessment decisions and feedback to the candidate.
OCR external verifier reports for centres
Our external verifier (EV) will report against the OCR criteria for verified qualifications and will use
the report to provide feedback to your centre and to OCR.
All EV reports are reviewed by OCR and their actions/recommendations are considered. The final
decision on the application of any actions or recommendations lies with OCR.
If your centre is found to be non-compliant this will result in actions or sanctions being identified. If
there is a sanction, this will always result in one or more actions being identified for your centre to
If you wish to appeal against a decision then you should follow our Appeals Process in Vocational
5.23 Direct Claim Status (DCS)
Centres who have achieved a high level of internal verification and management of the internal
quality assurance systems, are eligible for Direct Claims Status (DCS).This is when centres can
claim certification for identified qualifications in between their external verifier visits. Centres
consistently meeting all the required criteria and delivering high quality assessment for an
individual qualification over approximately a twelve-month period could be awarded DCS.
Please see the OCR datasheet Direct Claims Status for Verified Qualifications Certification –
information for centres.
In the centre report, the OCR external verifier may recommend your centre for DCS.
If we agree with the EV’s recommendation, you will be sent a:
• DCS offer letter
• DCS agreement (for signing by the accountable officer)
• Authorisation letter (detailing qualifications approved for DCS).
Once you return the appropriate documentation we will notify you that you can use DCS.
After receiving your claims, the EV will select a sample of candidates’ work, which will be reviewed
at the next EV visit. Your centre must retain, or have access to, all portfolios claimed with DCS until
the next external verifier visit. Certificates issued under ‘Direct Claim’ procedures will remain
provisional until such time as they are confirmed through a verification visit.
OCR Level 3 Diploma in Management 28
All candidates, including any who leave your centre following certification, must be asked to retain
their evidence, portfolios and cumulative assessment record (CAR) for one year as they may be
required for audit.
Withdrawal of DCS
DCS may be withdrawn at any time if, in the opinion of OCR, any of the centre information given is
no longer current, the conditions of the approval are not met or the quality of assessment and
quality assurance at the centre is compromised.
Reinstatement of DCS
We will apply one of the following:
• reinstate DCS at the next external verifier visit if all action points have been completed
• require your centre to go through the full DCS process and meet the DCS criteria again.
The route for reinstatement will depend on which of the DCS criteria are not in place at the point of
Critical points regarding DCS
• Certificates issued under ‘Direct Claim’ procedures will remain provisional until such time as
they are confirmed through a verification visit.
• Centres must ensure that a verification visit takes place before the end date of a qualification
and that all candidates are included at the final visit.
• DCS will be withdrawn after the final visit has taken place for the qualification.
• Centres must keep assessment and quality assurance records relating to all candidates for
at least three years from the date of the claim.
• The decision on whether DCS is awarded, retained or withdrawn lies with OCR.
5.24 Reporting suspected malpractice
It is the responsibility of the Head of Centre1 to report all cases of suspected malpractice involving
centre staff or candidates. A JCQ Report of Suspected Malpractice form (JCQ/M1 for candidate
suspected malpractice or JCQ/M2a for staff suspected malpractice) is available to download from
the JCQ website and should be completed as soon as possible and emailed to
When asked to do so by OCR, Heads of Centres are required to investigate instances of
malpractice promptly and report the outcomes to OCR.
Further information regarding reporting and investigating suspected malpractice and the possible
sanctions and penalties which could be imposed, is contained in the JCQ publication: General and
Vocational Qualifications – Suspected Malpractice in Examinations and Assessments; this is
available from the JCQ website. Centres may also like to refer to the OCR Website for more
1 This is the most senior officer in the organisation, directly responsible for the delivery of OCR qualifications,
e.g. the Head Teacher or Principal of a school/college. The Head of Centre accepts full responsibility for the
correct administration and conduct of OCR exams
OCR Level 3 Diploma in Management 29
6.1 Free resources
The following materials are available on our website:
• Units containing Additional Guidance
• Assessment documents for use in candidates’ assessment records:
- RD01 Candidate profile
- RD02 Sample signatures of centre assessment team
- RD03 Record of unit achievement
- RD04 Index of evidence
- RD05 Record of assessment planning
- RD06 Record of assessment feedback
- RD07 Record of internal quality assurance feedback
- RD08 Record of witness/expert witness
- RD09 Record of observation/professional discussion/questioning
- RD10 Evidence record sheet (including customised versions)
- RD11 Record of internal quality assurance
• (RoC) calculator
• Learner progress tracker
• Resources list (for knowledge units)
We recommend that your centre uses the assessment documents listed. You are free to design
your own recording sheets for your candidates to use, but you must make sure that they capture
similar information to the OCR recording documents and are acceptable to the centre’s OCR
6.2 Our professional development programme (CPD)
As part of our teacher training we offer a broad range of courses. We’re constantly looking for ways
to improve the support we offer you and to make our professional development programme more
accessible and convenient to all.
To find out more about what is available, please visit our website at
OCR Level 3 Diploma in Management 30
6.3 Documents and links
OCR's Administration area http://www.ocr.org.uk/administration/
What is malpractice?
JCQ Publications at http://www.jcq.org.uk
Access Arrangements and Special Consideration
Suspected Malpractice in Examinations and Assessments
Ofqual at http://ofqual.gov.uk/how-we-regulate/regulatory-documents/
OCR Level 3 Diploma in Management 31
Candidates who achieve the full qualification will receive:
• a unit certificate listing the unit or units achieved, with their related credit value and the unit
reference number(s), and
• a certificate stating the full qualification title and the qualification number.
Candidates who achieve one or more units but who do not meet the credit requirements for a full
qualification, will receive a certificate listing the units they have achieved along with their credit
7.1 Claiming certificates
Certificates will be issued directly to your centre for successful candidates. In order to ensure that
these are automatically issued, you must ensure that the OCR candidate number is always used
where a candidate has already achieved one or more units. For more details refer to the
Administration area, certificates, http://www.ocr.org.uk/administration/.
7.2 Enquiries about results
Under certain circumstances, centres may wish to query the result(s) issued to one or more
To find out more about this, please refer to the JCQ Post-Results Services booklet and the
Administration area, post results services, http://www.ocr.org.uk/administration/
7.3 Replacement certificates
For details on replacement certificates refer to the Administration area, certificates,
OCR Level 3 Diploma in Management 32
8 Administration and other information
For information on how to administer this qualification please follow the link to OCR's
Administration area, www.ocr.org.uk/administration/.
You will find all the details about how the qualification runs, what you need to do and when. It
covers everything from becoming an OCR centre, to making entries, claiming certificates, special
arrangements and contacting us for advice.
8.2 National Occupational Standards (NOS)
This qualification provides a key progression route between education and employment or further
study/training leading to employment. It is directly relevant to the needs of employers and relate to
the NOS for Management and Leadership.
8.3 Functional Skills
Training provided for OCR Level 3 Diploma in Management may help to prepare candidates for
Functional Skills assessment, e.g. report writing may be good preparation for English. It is likely,
however, that further training would be needed to fully prepare candidates for Functional Skills
8.4 Avoidance of bias
We have taken great care in the preparation of this qualification to avoid bias of any kind. Special
focus is given to the eight strands of the Equality Act with the aim of ensuring direct and indirect
discrimination is avoided.
8.5 Regulatory requirements
We will assess this qualification in accordance with the qualifications regulator’s General
Conditions of Recognition
OCR Level 3 Diploma in Management 33
8.6 Mode of delivery
You are free to deliver this qualification using any mode of delivery that meets the needs of your
candidates. Whatever mode of delivery is used, you must ensure that candidates have appropriate
access to resources.
You should consider the candidates’ complete learning experience when designing learning
programmes. This is particularly important where candidates, who are studying part-time alongside
work commitments as they may bring with them a wealth of experience that should be utilised to
maximum effect by your staff.
We do not specify the mode of study or a time limit for the achievement of this qualification other
than the last entry/last certification dates. We will notify you before the qualification closes for
entries and this information will be available on Ofqual’s register of regulated qualifications and our
Last entry/certification notification.
8.7 Recognition of Prior Learning (RPL)
Recognition of prior learning (RPL) is the process for recognising learning that never received
formal recognition through a qualification or certification. This includes knowledge and skills gained
in school, college or university and outside formal learning situations. Evidence can draw on any
aspect of a candidate’s prior experience including:
• domestic/family life
• work activities
• voluntary activities.
We encourage the use of RPL and your centre should advise learners that they can bring forward
any relevant learning (gained either informally or formally) so that it can be assessed against the
assessment criteria specified in the unit, or units, the learner aims to complete. It is important that
your centre make it clear to learners that the RPL process is concerned with how the learner has
acquired the knowledge, understanding or skills, it does not mean the learner is exempt from the
assessment e.g. mandatory exams, practical/theory tests or assignments.
The currency of knowledge and ability is often important when recognising skills and competences.
Where assessment is devolved to centres through assignments or portfolio-building, centre staff
must judge the relevance of prior learning in all its aspects (including currency) to the qualification
being assessed, before we will quality assure and authorise certification.
Evidence obtained through the RPL process must be assessed, to the same rigorous quality as
evidence obtained through any other process.
OCR Level 3 Diploma in Management 34
8.8 Access arrangements and special consideration
There can be adjustments to standard assessment arrangements on the basis of the individual
needs of candidates.
It is important, therefore, that your centre identifies as early as possible whether candidates have
disabilities or particular difficulties that will put them at a disadvantage in the assessment situation
and select an appropriate qualification or adjustment that will allow them to demonstrate
The responsibility for providing adjustments to assessment is one which is shared between OCR
and your centre. Centre staff should consult the Joint Council of Qualifications’ (JCQ) booklet
Access Arrangements and Reasonable Adjustments at www.jcq.org.uk.
For further guidance on access arrangements and special consideration refer to the Exams
Officers area of the OCR website.
If the tutor/assessor thinks any aspect of this qualification unfairly restricts access and progression,
please email or call the OCR Customer Contact Centre.
8.9 Wider issues
This qualification provides opportunities for you to develop candidates’ understanding of wider
issues: spiritual, moral, ethical, social, legislative, economic and cultural issues as well as an
awareness of sustainable development, health and safety considerations and European
developments consistent with international agreements.
Spiritual, moral, ethical, social, legislative, economic and cultural issues
Tutors delivering a programme of learning leading towards this qualification will have opportunities
to develop candidates’ understanding, for example through:
• Unit 4 Principles of people management – an organisation’s responsibilities and liabilities
under equality legislation.
• Unit 17 Participate in a project – adhere to organisational policies and procedures, legal and
ethical requirements in supporting the delivery of a project.
Sustainable development, health and safety considerations and European
developments, consistent with international agreements
Tutors delivering a programme of learning leading towards this qualification will have opportunities
to develop candidates’ understanding, for example through:
• Unit 12 Procure products and/or services – evaluate ethical and sustainability considerations
relating to procurement.
OCR Level 3 Diploma in Management 35
9 Contacting us
9.1 Feedback and enquiries
If centres have any comments or enquiries about the qualifications in this handbook, please
contact the Customer Contact Centre:
Write to: Customer Contact Centre
Telephone: 024 76 851509
Fax: 024 76 421944
Alternatively, you could visit OCR’s website at www.ocr.org.uk for further information about OCR
All complaints will be handled sensitively and speedily and used to inform how our service to
customers can be improved.
If centres are not satisfied with a product or service OCR has provided please follow the process
set out in the complaints policy.
We can be contacted:
by post –write to:
Director of Assessment Standards
1 Hills Road
by email – send an email to email@example.com
by phone/fax – contact our Customer Contact Centre:
Telephone: 024 76 851509
Fax: 024 76 421944
OCR Level 3 Diploma in Management 36
10 Qualification summary
Level 3 Diploma in Management summary
OCR entry code 10387 Qualification Number (QN) 601/3806/3
group Pre-16 16–18 18+ 19+
No Yes Yes Yes
• studying in preparation for employment in the Management field
• studying for career development and who are already in employment
• wishing to gain a Level 3 qualification to support further study in FE or
HE in any other sector or subject area
• taking an Advanced Apprenticeship in Management.
requirements There are no formal entry requirements for this qualification.
requirement You need a minimum of 55 credits to achieve the full qualification.
See section 2.2 of the Centre Handbook for details on how you make up the
model This qualification is pass/fail.
This qualification is internally assessed by your assessors and quality
assurance personnel and externally verified by OCR.
Last date to
This is the operational end date for the qualification.
We will notify you before the qualification closes for entries and this
information will be available on Ofqual’s register of regulated qualifications
and our last entry/certification notification.
OCR Level 3 Diploma in Management 37
11 Key updates to this handbook
Section Title of section and change Version and
All sections Amended reference to the Admin Guide to the new
Administration area on the OCR website and removed the
section on administration arrangements.
References to the Qualifications and Credit Framework
(QCF) have been changed to Regulated Qualifications
Updated contact information in the event of any queries
concerning the units or assessment.
Version 2 June
1 The following information has been updated:
1.4 Delivery in Wales and Northern Ireland
1.5 Unique Learner Numbers and the Personal Learning
5 5.2 Information added about data protection
5.9 Resubmitting work for assessment
5.24 Reporting suspected malpractice
8 8.7 Recognition of prior learning
8.8 Access arrangements and special consideration
9 Contacting us - information updated
Administration arrangements – section deleted
OCR Level 3 Diploma in Management 38