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  • Policies Document

    Policies Quality Assurance Framework

  • Document Outline Title Policies Update by Adam Davis Internal quality assurance (IQA) Nina Smith File Copy G:\TRAINING\0044 BAU - QUALITY

    ASSURANCE Distribution Head of Training and Human Factors

    Quality Manager Lead IQA (Quality Assurance Framework) IQAs CAA - Registered Training Providers Department for Transport (DFT)

    2019 edition version Control Review date

    Version 7.2 – Date 19/08/2019 01/05/2020

    2019, CAA Copyright

    Published by the Civil Aviation Authority 2019 Civil Aviation Authority, Aviation House, Gatwick Airport South, West Sussex, RH6 0YR

    This document is the property of the CAA and if found should be returned to: CAA AvSec 5th Floor 11 Westferry Circus London E14 4HD

    Frequently Asked Questions

    Document Owner – Adam Davis

    Version 7.2 August 2019

    [email protected]

    1 CAA Quality Assurance Framework Policies v7.2, August 2019

    mailto:[email protected]

  • Contents Aviation Security Acronyms and Terminology ............................................................ 5

    1. Appeals Policy ........................................................................................................ 6

    1.1 Scope ................................................................................................................ 6

    1.2 Our commitment ............................................................................................... 6

    1.3 Our procedures ................................................................................................. 6

    1.4 Supporting documentation ................................................................................ 7

    1.5 The appeal process .......................................................................................... 7

    1.5.1 Stage 1 .......................................................................................................... 7

    1.5.2 Stage 2 .......................................................................................................... 7

    1.5.3 Stage 3 .......................................................................................................... 7

    1.5.4 Appeals made directly to the DfT ................................................................... 8

    2. Quality Assurance Policy ........................................................................................ 9

    2.1 Scope and context ............................................................................................ 9

    2.2 Our commitment ............................................................................................... 9

    2.3 QA visit planning ............................................................................................... 9

    2.4 Recognition of previous performance ............................................................. 10

    2.5 Recognition of previous performance ............................................................. 10

    2.6 Making assurance decisions ........................................................................... 10

    2.7 Providing feedback ......................................................................................... 11

    2.8 Methods of Quality Assurance ........................................................................ 11

    2.9 Security ........................................................................................................... 12

    2.10 Provision of resources .................................................................................. 12

    2.11 Quality Assurance Working Group (QAWG) ................................................. 12

    2.12 Amending the Quality Assurance Framework ............................................... 13

    2.13 Health and safety policy ................................................................................ 13

    2.14 Training provider responsibilities .................................................................. 13

    2.15 Use of CAA branding under the Quality Assurance Framework ................... 14

    3. Complaints and Whistleblowing Policy ................................................................. 16

    3.1 Scope ............................................................................................................. 16

    3.2 Our commitment ............................................................................................. 16

    3.3 Our procedures ............................................................................................... 16

    3.4 Supporting documentation .............................................................................. 17

    V7.2, August 2019 CAA Quality Assurance Framework Policies 2

  • 3.5 The complaint process .................................................................................... 17

    3.5.1 Stage 1 ........................................................................................................ 17

    3.5.2 Stage 2 ........................................................................................................ 17

    3.5.3 Complaints/disclosures made directly to the DfT ......................................... 18

    3.6 Whistleblowing ................................................................................................ 18

    4. Data Protection Policy .......................................................................................... 19

    4.1 Scope ............................................................................................................. 19

    4.2 Our commitment ............................................................................................. 19

    4.3 Our procedures ............................................................................................... 19

    4.4 Training providers responsibilities ................................................................... 20

    4.5 Summary table of data protection procedures ................................................ 21

    4.6 Withdrawal of consent or request for information............................................ 22

    4.7 Enquiries or complaints relating to GDPR: ..................................................... 22

    5. Equality Policy ...................................................................................................... 23

    5.1 Scope ............................................................................................................. 23

    5.2 Our commitment ............................................................................................. 23

    5.3 Our procedures ............................................................................................... 23

    6. Malpractice and Maladministration Policy ............................................................ 26

    6.1 Scope ............................................................................................................. 26

    6.2 Our commitment ............................................................................................. 26

    6.3 Our procedures ............................................................................................... 26

    6.4 Malpractice procedures ................................................................................... 26

    6.4.1 Stage 1 ........................................................................................................ 26

    6.4.2 Stage 2 ........................................................................................................ 27

    6.5 Examples of malpractice by training providers ............................................... 27

    6.6 Examples of malpractice by CAA colleagues and EQAs ................................ 27

    7. Communicating with the CAA ............................................................................... 29

    7.1 Scope ............................................................................................................. 29

    7.2 Our commitment ............................................................................................. 29

    7.3 Our procedures ............................................................................................... 29

    8. Safeguarding ........................................................................................................ 30

    8.1 Scope ............................................................................................................. 30

    8.2 Our commitment ............................................................................................. 30

    3 CAA Quality Assurance Framework Policies v7.2, August 2019

  • 8.3 Our procedures ............................................................................................... 30

    8.4 Malpractice procedures .................................................................................. 30

    9. Statutory Charges ................................................................................................ 31

    9.1 Scope ............................................................................................................. 31

    9.2 Our commitment ......................................................................................

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