Manual for the
Four-stage Quality Assurance
Process under the
Hong Kong Qualifications
Framework
Version 1.2 | November 2020

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Table of Contents
1.

Preamble ........................................................................................................... 4

2.

Role of HKCAAVQ in HKQF .............................................................................. 6

3.

Guiding Principles.............................................................................................. 7

4.

The Four-stage Quality Assurance Process..................................................... 10
Initial Evaluation (IE) ........................................................................................ 12
Learning Programme Accreditation (LPA)/Re-accreditation (re-LPA) ............... 13
Programme Area Accreditation (PAA) .............................................................. 14
Periodic Institutional Review (PIR) ................................................................... 15

5.

Accreditation Standards................................................................................... 19
Initial Evaluation ............................................................................................... 22
Learning Programme Accreditation/Re-accreditation ....................................... 28
Programme Area Accreditation ........................................................................ 37
Periodic Institutional Review ............................................................................ 48

6.

Outcomes of Accreditation ............................................................................... 54

7.

Accreditation Status......................................................................................... 57

8.

Feedback ........................................................................................................ 61

9.

Accreditation Fees ........................................................................................... 62

List of Appendices
Appendix 1: Roles and Responsibilities of Operators in Accreditation ..................... 63
Appendix 2: The Facilitation Phase ......................................................................... 65
Appendix 3: Roles and Responsibilities of Accreditation Panel Members/Financeand Corporate Governance Expert ...................................................... 67
Appendix 4: Detailed Workflow of the Four-Stage Quality Assurance Process ........ 70
Glossary .................................................................................................................. 73

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Abbreviation
AAVQO

Accreditation of Academic and Vocational Qualifications
Ordinance (Cap. 592)

EDB

Education Bureau

GLD

Generic Level Descriptors

HKCAAVQ

Hong Kong Council for Accreditation of Academic andVocational Qualifications

HKQF

Hong Kong Qualifications Framework

IE

Initial Evaluation

IR

Institutional Review

LPA

Learning Programme Accreditation

NLP

Non-local learning programmes

PAA

Programme Area Accreditation

PIR

Periodic Institutional Review

Process

The Four-stage Quality Assurance Process

QA

Quality Assurance

QR

Qualifications Register

Re-LPA

Learning Programme Re-accreditation

SoI

Statement of Intent

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1. Preamble
1.1

The Hong Kong Council for Accreditation of Academic and Vocational
Qualifications (HKCAAVQ) was established under the HKCAAVQ
Ordinance (Cap. 1150) and may conduct accreditation tests generally
or as authorised under any other local enactment. Under the
HKCAAVQ Ordinance, HKCAAVQ performs the following accreditation
tests such as:(a)Institutional Review for the Purpose of Seeking Cap. 320
Registration (IR-320)(b)Institutional Review for Private University Title

1.2

HKCAAVQ also performs the statutory roles of the Accreditation
Authority and the Qualifications Register (QR) Authority under the
Academic and Vocational Qualifications Ordinance (AAVQO) (Cap.
592). In the capacity of the Accreditation Authority, HKCAAVQ
conducts accreditation tests related to the Hong Kong Qualifications
Framework (HKQF) including those under the Four-stage Quality
Assurance Process (the Process).

1.3

Under the AAVQO (Cap. 592), HKCAAVQ performs the dual roles of agate-opener and a gate keeper. As a gate-opener, HKCAAVQ supports
Operators in understanding the minimum accreditation requirements
through the provision of information and training about the accreditation
standards and process. HKCAAVQ also performs its gate-keeping role
through the accreditation process to ensure that HKQF-recognised
programmes and qualifications are meeting the HKQF standards under
the specified level of the HKQF as described in the Generic Level
Descriptors (GLD) of the HKQF.

1.4

HKCAAVQ has made rules to provide for the methods and procedures
for accreditation (the “Rules”) and in order to implement these Rules
has developed the Process for Operators who wish to seek
accreditation services under the HKQF.

1.5

This Manual has been produced for prospective and existing Operatorsin accordance with the Rules and developed within their ambit. The
purpose of this Manual is to provide an overview of the Process alongwith the accreditation standards and matters for consideration for eachstage of the Process. This Manual supersedes any previous guidancenotes on the Process but is by no means exhaustive.

1.6

As the HKQF evolves, this Manual will from time to time be revised.
Whilst HKCAAVQ endeavours to ensure the accuracy and currency of
the information contained in this Manual, HKCAAVQ reserves the rightto delete, suspend or edit any information at any time in its absolute
discretion without prior notice. To obtain the most up-to-date
information, users may refer to the electronic version of this Manual on
the HKCAAVQ website at www.hkcaavq.edu.hk.

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1.7

Operators undertaking accreditation are expected to put in placearrangements to respond to government policy initiatives, including forexample, HKQF credit, Award Title Scheme, and Credit Accumulation
and Transfer. Operators are also required to demonstrate theimplementation of government policy initiatives where required.

1.8

For enquiries, please contact HKCAAVQ at info@hkcaavq.edu.hk or byphone at (852) 3658 0000.

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2. Role of HKCAAVQ in HKQF
2.1

As the Accreditation Authority, HKCAAVQ develops and implements
the standards and mechanism for accreditation to underpin the HKQF.
Qualifications accredited by HKCAAVQ are eligible for entry into the
QR for recognition under the HKQF.

2.2

Following the legislative intent, HKCAAVQ developed accreditation
standards that have a focus on Operators’ organisational competencein operating and ensuring the quality of its delivery of learning
programmes under the HKQF. The assessment of organisational
competence takes into consideration the nature of the learning
programme(s) that an Operator offers or plans to offer. The mechanism
developed is the Process which ensures that Operators possess thecompetence required to operate their learning programmes, and also
encourages progressive development of organisational competence forcontinuous enhancement.

2.3

The HKQF is a seven-level hierarchy covering qualifications in theacademic, vocational and continuing education sectors. The HKQF
contains the following key features:(a)
Level, which reflects the depth and complexity of learning
leading to a qualification;(b)Award title, which reflects the nature, area of study andhierarchy of a qualification; and(c)Credit, which indicates the volume or size of learning of thequalification.

2.4

Each HKQF-recognised qualification is assigned a level to indicate its
position in the hierarchy relative to others. The level of a qualification isdetermined in accordance with a set of GLD which specifies, in fourdomains, the outcome standards expected of the qualification at eachlevel.

2.5

As the QR Authority, the functions of HKCAAVQ include:(a)
Determining the entry or removal of a qualification into/from the
QR;(b)
Ensuring and enhancing the credibility of the QR structure; and(c)Monitoring advertisements relating to the HKQF.
Any programme providers or qualifications granting bodies who wish tohave their quality-assured qualifications entered into the QR should
apply to HKCAAVQ.

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3. Guiding Principles
3.1

In performing its gate-keeping role, HKCAAVQ conducts accreditation
tests by means of the standards developed for each of the four stages
in the Process to ensure the quality of accredited learning programmes
and the capability of the Operators to deliver such programmes.
HKCAAVQ follows the following guiding principles in conducting theProcess:
Peer Review

3.2

The Accreditation Panel is formed through the engagement ofsector/discipline/industry experts with the expertise and experience inthe discipline/industry/quality assurance (QA). The roles of theAccreditation Panel are as follows:(a)
To assess the quality of an Operator and its learning
programmes;(b)
To collect and evaluate evidence; and(c)To form a judgement as to whether the Operator and its learning
programmes meet the required standards and stated aims.
The roles and responsibilities of Panel Members in the Process aredetailed in Appendix 3. Panel Members are subject to a Code of
Conduct on conflict of interest and compliance with confidentiality
requirements, details of which are available on the HKCAAVQ website
at www.hkcaavq.edu.hk/en/services/policies.
Standards-based

3.3

As the Accreditation Authority under the HKQF, HKCAAVQ has
developed accreditation standards which collectively set out thecompetence requirements that an Operator must meet to demonstratethat it can achieve its objectives and deliver the expected programmelearning outcomes. The standards also reflect the high expectations of
the community on the quality of the education and training system inHong Kong, as well as essential features expected of Operators.
HKCAAVQ’s accreditation standards do not mandate requirements
such as specific learning outcomes, programme design or operating
models.
Evidence-based

3.4

The accreditation judgement is made on the basis of evidence provided
by the Operator to support its claimed attainment of the accreditation
standards and its own objectives. Further details regarding theevidence required of Operators are set out in the Evidence Guides for
Accreditation
available
on
the
HKCAAVQ
websiteatwww.hkcaavq.edu.hk.

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Fitness for Purpose
3.5

The accreditation takes into consideration the stated objectives and thescope of an Operator, while ensuring that the learning programme(s) it
offers meet(s) the claimed HKQF level(s).
Transparency

3.6

Accreditation is undertaken using a transparent approach throughout
the Process so that all parties involved (i.e. the Operator and theAccreditation Panel) have a common understanding of the Process andrelevant issues that may arise. Through the accreditation process, theOperator is required to respond to any questions/concerns raised by
the Accreditation Panel and provide evidence to support its responses
to such questions/concerns. Further details on the roles andresponsibilities of Operators in accreditation are available inAppendix 1.

3.7

The rationale for the Accreditation Panel’s recommendations regarding
the accreditation determination and decisions together with thesupporting evidence collected by the Accreditation Panel through theaccreditation process are documented in an accreditation report that is
prepared by the Panel Secretary and reviewed by the Accreditation
Panel. The Operator is given the opportunity to check the factual
accuracy of the accreditation report. HKCAAVQ finalises theaccreditation report following consideration of the Accreditation Panel’s
recommendations and makes the accreditation determination anddecisions. The Accreditation Panel and the Operator may seek
clarification regarding the accreditation determination and decisions
contained in the accreditation report from the Heads of the relevant
accreditation units at HKCAAVQ.

3.8

For the purpose of increased transparency in the Process, HKCAAVQ
publishes summary/full accreditation reports after the pre-condition(s)has/have been fulfilled, if any, for the following types of accreditation
tests under the Process:Accreditation Test

Initial Evaluation (IE)
Initial Evaluation and Learning
Programme Accreditation (IE+LPA)
Learning Programme Accreditation(LPA)/Re-accreditation (re-LPA)
Programme Area Accreditation (PAA)

Vocational andProfessional

Academic

Full Accreditation
ReportSummary
Accreditation
ReportFull Accreditation
ReportPeriodic Institutional Review (PIR)

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The accreditation reports for in-house programmes or with nonapproval outcomes will not be published.

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4. The Four-stage Quality Assurance
Process
4.1

The table below summarises the relationship between the accreditation
tests conducted under the AAVQO (Cap. 592) and those conductedunder the HKCAAVQ Ordinance (Cap. 1150) listed in paragraph 1.1.

An Operator planning to offer degree programmes should firstundertake an institutional review (IR) for the purpose of seeking
registration under the Post Secondary Colleges Ordinance (Cap. 320).
An IR status allows an Operator to offer learning programmes at HKQF
Level 5 or below without undertaking an IE, however such learning
programmes are subject to LPA/re-LPA. Details on IR for the purposeof seeking Cap. 320 registration are available in the Guidelines on
Institutional Review for the Purpose of Seeking Cap. 320 Registration,
which is available on the HKCAAVQ website at www.hkcaavq.edu.hk.
4.2

For an Operator seeking private university title, obtaining PAA status
for degree programmes at undergraduate level (i.e. HKQF Level 5) inat least three different Areas of Study and Training forms part of theeligibility requirements for IR for Private University Title. Moreinformation on the IR for Private University Title is available in theInstitutional Review Manual for Private University Title available on the
HKCAAVQ website at www.hkcaavq.edu.hk.

4.3

The portfolio of HKCAAVQ covers a wide range of Operators andlearning programmes in the education and training sectors. To perform
its role as the gate-keeper and gate-opener, the Process maintains aminimum level of competence requirements for meeting the HKQF

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standards when an Operator first enters the Process. The Process thenallows the Operator to demonstrate higher levels of competence interms of effective delivery and QA of their learning programmes. The
different stages in the Process are illustrated below:

Figure 1: The Four-stage Quality Assurance Process

4.4

The Process, shown in Figure 1, is designed with a particular purpose
for each stage to develop the competence of Operators, and torecognise established track record of Operators. Moving to the stage ofProgramme Area Accreditation (PAA) is not automatic and requires
demonstration of a high level of competence of an Operator in effective
management and continuous self-improvement in a systematic andinformation-driven manner. Therefore, accreditation by HKCAAVQ is
not designed to replace internal QA, but rather works in collaboration
with the internal QA of Operators. The following table summarises the
purpose of each stage in the Process:Stage
Initial Evaluation

Purpose Statement
To ascertain whether an Operator is competent to operatelearning programme(s) that meet HKQF standards up to acertain HKQF level.

Learning
Programme
Accreditation/
Re-accreditation

The purpose is twofold:
To ascertain whether a learning programme (proposed or
accredited) meets an HKQF standard to achieve the claimed
objectives.
To ascertain whether the Operator of a learning programme iscompetent to continuously monitor and improve theeffectiveness of its programme operation to achieve theclaimed programme objectives.

Programme Area
Accreditation

To ascertain whether an Operator is competent to quality
assure its learning programme(s) within a programme area up
to a certain HKQF level, as demonstrated from the track recordof its operation of accredited learning programmes in aparticular discipline or industry area, and its capacity toenhance its organisational effectiveness to achieve theeducational/training objectives.

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Periodic
Institutional
Review

To ascertain whether an Operator continues to be effective inachieving its vision and mission by systematically enhancing
the quality of its operation by formulating and implementing
actions based on evidence.

Initial Evaluation (IE)
4.5

For a new Operator (or a partnership in the case of NLPs), thestandard route for entering the Process is a combined IE and LPA
exercise. This allows an Operator to demonstrate its organisational
competence through actual implementation.

4.6

An Operator applying for IE must specify the HKQF level at which they
intend to offer their learning programmes. A valid IE status allows an
Operator to operate accredited learning programmes at the approved
HKQF level or below. The Operator is required to undertake another IE
if its approved IE status does not cover the intended HKQF level of aprogramme submitted for LPA.

4.7

IE for a joint programme leading to awards jointly conferred anddelivered in Hong Kong involves two institutions as award granting
bodies and Operators. Both institutions should have valid IE, IR, PAA
or self-accrediting status. At least one institution has to be a local
Operator. For a non-local institution acting as the partner institution, it
should prove its self-accrediting power in its home country/region.

4.8

IE for an NLP involves a partnership between a Hong Kong Operator(local Operator) and a non-local Operator. IE for partnerships between
Operators is distinct from, and in addition to, any IE/IR by HKCAAVQ
which the local Operator may have undergone in respect of its local
learning programmes or in connection with another non-local Operator
in another partnership. This is because each partnership between local
and non-local Operators is unique in terms of the QA and/or othercontractual and operational arrangements for registered/exempted
non-local courses under the Non-local Higher and Professional
Education (Regulation) Ordinance (Cap. 493).

4.9

A degree-granting Operator seeking to offer degree programmes at
HKQF levels not covered by its approved IR status is required toundertake another IE, as well as going through LPA for the higher
degree programmes. The Operator must demonstrate through its trackrecord against the relevant accreditation standards and matters forconsideration its capacity and capability in offering Bachelor’s degree
programmes before its application for accreditation of Master’s (orDoctoral) degree programmes can be considered.

4.10

In cases where a programme is delivered through a digital learning
platform to provide structured teaching, learning and assessment, andthe programme has more than 50% of instruction delivered online,
such a learning programme is defined as an online learning

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programme. A local institution/organisation that wishes to have a local
online learning programme accredited and award its own local
qualification must have previously been accredited by HKCAAVQ andhave a valid IE/IR status and have a track record of delivery of at least
one accredited programme.
4.11

For a non-local online learning programme that leads to an award of anon-local qualification, such a programme must have been registeredor exempted under the Non-local Higher and Professional Education(Regulation) Ordinance (Cap. 493). When the registration requirements
under Cap. 493 are not applicable, the Operator is required to provide
relevant evidence to demonstrate that a comparable QA mechanism isin place in the home country to assure the standards of the programme
offered offshore are at a level comparable to a programme conductedin the home country leading to the same qualification.
Learning Programme Accreditation (LPA)/Re-accreditation (reLPA)

4.12

An Operator is required to have a valid IE/IR status to apply to have its
learning programme(s) at the approved HKQF level or below
accredited through LPA/re-LPA.

4.13

For the new degree programmes which require the approval of the
Chief Executive in Council under section 10 of Cap. 320, HKCAAVQ
will consider comments from EDB on their new programme proposal
before conducting the LPA.

4.14

Re-LPA is a cyclical evaluation of an accredited learning programme todetermine whether the learning programme continues to meet thestated objectives, and delivers the learning programme that meets theaccreditation and HKQF standards as determined at the previous
LPA/re-LPA. Re-LPA focuses on improvements and outcomes since
the LPA or the last re-LPA. The Operator is expected to demonstratecontinuous improvement as a result of its internal QA procedures overthe validity period.

4.15

Not every aspect of an Operator or the implementation of a learning
programme can be demonstrated when they are first accredited. Those
aspects will be revisited in a re-LPA exercise.

4.16

To ensure sufficient evidence is available for conducting an
accreditation with regard to the accreditation standards, accredited
programmes where no learner commences the study during the validity
period are not eligible for the application of re-LPA.
The Facilitation Phase

4.17

A Facilitation Phase has been incorporated into Stage 1 and Stage 2 of
the Process. The purpose of the Facilitation Phase is to facilitate new

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Operators or Operators plan for programmes in a new area or at ahigher HKQF level to prepare for the accreditation exercise. Further
information on the approach to the Facilitation Phase is available inAppendix 2.
Programme Area Accreditation (PAA)
4.18

An Operator may apply for a PAA within the scope of the Area of Studyand Training of its accredited learning programmes subject to thefollowing eligibility criteria:(a)Seven years of operation after (i) successful LPA/re-LPA by
HKCAAVQ, or (ii) successful accreditation by a QA bodyrecognised by HKCAAVQ, i.e. from the commencement of thefirst student cohort of the accredited programme; or(b)Five years of operation after successful LPA/re-LPA by
HKCAAVQ, i.e. from the commencement of the first student
cohort of the accredited programme, with neither pre-conditions
nor requirements concerning the quality aspects of the outcomebased learning programmes, including but not limited to:(i)Achieving the programme objectives and delivering theintended learning outcomes that meet the HKQF
standards, with reference to GLD.
(ii)
Aligning the curriculum as well as teaching/training andlearning strategies and procedures with programme
objectives for the purpose of delivering the intended
learning outcomes for the target learners.
(iii)
Adopting valid and reliable assessment strategies andprocedures in measuring the learners’ standard oflearning.
(iv)
Ensuring the outcome standard of the programme via aneffective internal QA system.

4.19

When applying for PAA, an Operator should propose a defined scopeof a programme area under a specific Area of Study and Training, withreference to its accredited learning programmes that meet the eligibility
criteria stated above. During the accreditation process, the Operator
must demonstrate how, among other things, these accredited learning
programmes, and the staff expertise and resources are commensuratewith the scope of the proposed programme area(s).

4.20

To provide guidance for the definition of the scope of programme
areas, HKCAAVQ has developed Sub-areas for each Area of Studyand Training. Operators can refer to the Classification of Areas ofStudy and Training in the Qualifications Register (QR), List of Subareas and Illustrative Scope Statements available on the HKCAAVQ
website at www.hkcaavq.edu.hk.

4.21

The following guiding principles should be used by Operators,
Accreditation Panels and HKCAAVQ to consider and define the scopeof a programme area:

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(a)

(b)

(c)

(d)
(e)

(f)

(g)

A programme area can be a whole Area of Study and Training,a Sub-area in full or a Sub-area in part (one subject matter or a
combination of subject matters under the same Sub-area), but it
cannot be a combination of Areas of Study and Training or Subareas under different Areas of Study and Training;
The Illustrative Scope Statement of each Sub-area should be
used as a reference for defining the proposed scope of aprogramme area to be described as a single coherent
statement;
Should the proposed programme area only partially cover a
Sub-area, the examples of subject matter(s) covered in the Subarea should be referred to.
There should be flexibility within an approved programme area
to allow innovative development of learning programmes;
Creation of new sub-areas not included in the published list, if
deemed necessary for the purpose of defining the scope of the
proposed programme area, should be fully justified by the
Operator;
In cases where the full scope of a Sub-area is considered to be
too broad for an Operator, the Accreditation Panel canrecommend a limited scope of the Sub-area be granted as the
programme area; andWhen an Operator operating inter-disciplinary learning
programmes applies for PAA status, whether it should apply for
PAA status only in the major programme area, or in all
programme areas covered by its learning programmes should
be considered on a case-by-case basis.

4.22

With PAA status, an Operator may develop and operate learning
programme(s) within the approved scope of programme area(s) at the
specified HKQF level(s) or below within the validity period without
undertaking LPA/re-LPA.

4.23

An Operator with PAA status may offer inter-disciplinary learning
programme(s) if the majority of the learning programme(s) content iswithin the approved PAA scope.

4.24

HKCAAVQ has established the Panel on PAA Scope to advise on thescope of programme area/sub-area should there be disagreement
between HKCAAVQ and an Operator under the following
circumstances:(a)when drawing up the Service Agreement on the basis of the
track record of the applied programme area(s)/sub-area(s); and(b)when monitoring the offer of a new programme under theapproved PAA status.
Periodic Institutional Review (PIR)

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4.25

As an overall assessment of institutional effectiveness, PIR is designed
to cover all approved programme area(s) under the PAA status that an
Operator may possess.

4.26

PIR places greater emphasis on overall institutional effectivenessbased on evidence from programme delivery across all of an
Operator’s approved programme areas contributing to attainment ofinstitutional objectives. To undertake such an exercise requires
grouping approved programme areas of an Operator together, looking
at evidence available from multiple approved programme areas
possibly at different stages of development.

4.27

For an Operator with multiple approved programme areas granted at
different times, the first PIR would be conducted when the first PAA isdue for review, that is, normally five years after its approval. This PIR
would cover any other approved programme area(s) after the approvalof the first PAA. Upon a successful PIR, a PIR status will be granted sothat all existing approved programme areas can continue to be valid
regardless of the validity period(s) originally granted. Any new
approved programme area(s) after the first PIR would be covered by
the second PIR, normally five years after the first PIR, together withother approved programme areas. This is illustrated in the diagram
below:

4.28

The normal validity period of PIR is five years. Depending on thefindings, the granting of a PIR status includes the options of limiting or
removing a previously approved programme area.

4.29

Depending on the scale of an organisation, the principles delineated
above do not preclude the design of a PIR exercise such that the PIR
can cover approved programme areas in similar or related Areas ofStudy and Training, or HKQF levels.
Differentiation Approach

4.30

In recognition of the good track records of an Operator at bothorganisational and programme levels, an accredited Operator may be
eligible for differentiated approaches to accreditation, which include thefollowing:(a)paper-based review accreditation;(b)customised accreditation process;(c)longer validity period; andManual for the Four-stage Quality Assurance Process under the HKQF

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(d)any combination of the above.

For (a), after reviewing the Accreditation Document, if necessary, theAccreditation Panel may still request a meeting with particularpersonnel of the Operator in judging whether the relevant accreditation
standards are met.
As for (b), examples of a customised accreditation process include a
reduced scope of review, lightened Accreditation Document, a smaller
size of accreditation panel, and a shorter site visit. The Operators with
PAA status applying for new programme areas accreditation may also
be eligible for the customisation approach. However, as PAA requires
demonstration of a high level of competence of an Operator in effective
management and continuous improvement of its internal QA andprogramme area specific capacity in terms of expertise and experiencein programme development and delivery, the application of thecustomisation approach will be considered based on careful scrutiny of
the contextual factors in each application.
As regards (c), the extended validity period is up to N+3 years, where
N is the normal programme duration.
4.31

A number of indicators, such as approval without any Condition
specified in previous accreditation exercises, external recognition,compliance with EDB rules and qualifications framework requirements,
are considered holistically in defining the track record of an Operator.
Based on data stored in HKCAAVQ’s electronic database, theOperator’s track record will be analysed by HKCAAVQ before thebeginning of an accreditation exercise. The Operator will be notified if
differentiation approaches in terms of either (a) and/or (b) above isapplicable to the accreditation exercise. However, (c) will be for the
Panel’s consideration after the programme has met all the accreditation
standards without any conditions.

4.32

HKCAAVQ may also take into account other considerations indetermining the applicability of differentiation in an accreditation
exercise on a case-by-case basis. The considerations may include the
Operator’s experience in offering programmes in similar disciplines,
outcome of recent accreditation exercises conducted for the same
Operator and the nature of the accreditation exercise.

4.33

During the accreditation process, if the Accreditation Panel, at aparticular stage, concludes and recommends to HKCAAVQ that there
is adequate evidence contained in the Accreditation Document andother supporting documents for it to make recommendations regarding
the accreditation outcome without conducting a meeting or site visit,
then HKCAAVQ may make the decision to conduct the accreditation
exercise without a meeting or site visit. The Operator will be informed
accordingly.

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Accreditation Procedures and Indicative Timeline
4.34

The main steps and indicative timeline for each stage of the Process
are outlined below:

Accreditation Procedures

Indicative Timeline (Week No.)
IE and LPA/
re-LPA
For
For
PAA
PIR
HKQF
HKQF
LevelsLevels
1-3
4-7

1. Submission of Statement of Intent(SoI) by Operator
2. Facilitation Phase (if applicable)
3. Notification of differentiation
approach (if applicable)

Preparation Period

4. Signing of Service Agreement withOperator
5. Formation of Accreditation Panel
6. Submission of Accreditation
Document by Operator and review
by Accreditation Panel

Week
1-3

Week
1-4

Week
1-4

Week
1-4

7. Accreditation Panel’s initialcomments and Operator’s response

4-7

5-8

5-10

5-10

8. Site visit or meeting between
Accreditation Panel and Operator

9

10

12

12

16

20

24

24

9. Issuance of Accreditation Report
10. Follow-up Actions (fulfilment ofconditions and/or restrictions)4.35

According to the fulfilment dates
stipulated in the Report

The detailed workflow with the actions to be taken by thecorresponding responsible parties are available in Appendix 4.

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5. Accreditation Standards
5.1

HKCAAVQ has adopted an outcome-based approach in the design of
its accreditation standards. There is a hierarchy of outcomesconsidered in the development:(a)learner outcomes – learning outcomes attained by a learner
after successful completion of a learning programme. Learner
outcomes are reflected by assessments.
(b)
programme outcomes – performance of a learning programme
in relation to its programme objectives. Programme outcomes
are typically assessed by analysing information such as
stakeholder’s feedback and employment data.
(c)organisational outcomes – performance of an Operator in
relation to achieving its vision and mission through effective
governance and management. Internally, an organisation
typically develops relevant performance indicators to assess its
organisational outcomes. Effectiveness is a commonly usedindicator in this regard.

5.2

These outcomes are inter-connected. The vision and mission of anorganisation guides the design of learning programmes and theidentification of learning outcomes, and the learning outcomesachieved by the learners contribute to the measurement of theeffectiveness of the Operator. The effectiveness of an Operator hinges
on whether there are processes in place to check and maintain thealignment between activities at different levels. This kind oforganisational competence takes time to fully develop and HKCAAVQ
requires Operators to meet the HKQF standards at the entry point of
the Process. Moving through the Process, higher levels of competence
are expected at each stage and these expectations are articulated in
the accreditation standards.

5.3

HKCAAVQ’s accreditation standards are separate from other relevant
standards or guidelines promulgated by the Government and/or otherauthorities that may be applicable to a particular Operator or learning
programme undergoing accreditation. A list of such standards or
guidelines
isavailable
on
the
HKCAAVQ
websiteatwww.hkcaavq.edu.hk. HKCAAVQ will assess the compliance ofOperators with these requirements in the accreditation process, whereapplicable, as articulated under the relevant standards.
Domains of Competence

5.4

As explained in Section 4, each stage in the Process serves a different
purpose. Therefore, there are different aspects of organisational
competence that have to be assessed. These aspects can be ordered
under several domains of competence. The following table summarises
the domains of competence for each stage:

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StageInitial
Evaluation

Learning
Programme
Accreditation/
Re-accreditation

Programme
Area
Accreditation

Periodic
Institutional
Review

Domain of Competence
IE-1
Organisational Governance and Management
IE-2
Financial Viability and Resources Management
IE-3
Organisational Staffing
IE-4
Organisational Quality Assurance
LPA-1 Programme Objectives and Learning Outcomes
LPA-2 Learner Admission and Selection
LPA-3 Programme Structure and Content
LPA-4 Learning, Teaching and Assessment
LPA-5 Programme Leadership and Staffing
LPA-6 Learning, Teaching and Enabling Resources/Services
LPA-7 Programme Approval, Review and Quality AssuranceInstitutional Domain:
PAA-1 Organisational Governance and Management
PAA-2 Strategic Planning and Development
PAA-3 Financial Management and Viability
PAA-4 Organisational Quality Assurance and Enhancement
Programme Area Domain:
PAA-5 Programme Area Development and Management
PAA-6 Learning, Teaching and Assessment
PAA-7 Staffing and Staff Development
PAA-8 Programme Area Resources and Services
PIR-1 Organisational Effectiveness and Planning
PIR-2 Organisational Leadership and Staffing
PIR-3 Programme Area Development and Management
PIR-4 Management of Resources and Services
PIR-5 Organisational Quality Assurance and Enhancement

Accreditation Standards
5.5

For each domain in a stage, an accreditation standard is developed todescribe the level of competence required in relation to the purpose ofthat stage, for operation of learning programmes that meet HKQF
standards. Different stages may have the same or similar domain, forexample “Organisational Quality Assurance”, but the level ofcompetence required generally increases as an Operator moves
through the Process. For LPA and re-LPA, the level of competence isreflected in the design, development and effective implementation of
the learning programme. For each standard, a determination will bemade as to whether the standard has been met. The standards areapplicable to all Operators and/or learning programmes going throughthe same stage of accreditation.
Minimum Requirements

5.6

Minimum requirements describe essential features of an Operator orlearning programme. The minimum requirements are not meant to be
used as checklists. They are included to provide guidance to Operators,
on how to meet the accreditation standards, and also to assist
Accreditation Panels in making an holistic judgement as to whether theaccreditation standards have been met or not. As such, whenappropriate, they may also provide an indication of where the setting ofconditions and/or restrictions is necessary.

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Matters for Consideration
5.7

Each standard is supported by a set of matters for consideration whichsets out important considerations for determining whether a standard
has been met. The matters for consideration provide guidance to theAccreditation Panel, and also to Operators in self-evaluating theperformance of their organisations and learning programmes, to be
applied according to the particular context of an Operator or learning
programme. This allows flexibility to address diverse operating models,such as collaborative provisions in the case of joint programmes or
NLPs. Similar to the minimum requirements, the matters forconsideration listed under the standards are not intended to form achecklist.
Possible Sources of Evidence

5.8

Organisational competence has to be substantiated via information
generated in actual operation. Following a self-evaluation, an Operator
is expected to present selected evidence (e.g. policies, mechanisms,
procedures) from its own operation demonstrating how each standard
is met, using a Submission Form or self-evaluation report. Thisevidence may be contained in more than one document or sources of
information. Evidence should be existing information such as policies,
processes, and performance outcomes, and is not supposed to be
developed for use in the accreditation process.

5.9

HKCAAVQ does not prescribe how such a self-evaluation should be
conducted. An Operator is free to choose its self-evaluation approachsuch as commentary, case study, gap and trend analysis or any othersuitable approach(es). The information presented in a self-assessment
and the supporting evidence will be evaluated holistically against theaccreditation standards. The selection of evidence may differ according
to the size, context and scope of the Operator. The evidence required
at different stages of the Process is detailed in the Evidence Guides for
Accreditation
available
on
the
HKCAAVQ
websiteatwww.hkcaavq.edu.hk.

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Initial Evaluation

The Four-stage Quality Assurance Process

5.10

The purpose statement, domains of competence and the accreditation
standards for Initial Evaluation (IE) are specified below.
Purpose Statement

Domain of Competence

To ascertain whether an
Operator is competent tooperate learning programme(s)that meet HKQF standards up
to a certain HKQF level.

IE-1 Organisational Governance andManagement
IE-2 Financial Viability and Resources
Management
IE-3 Organisational Staffing
IE-4 Organisational Quality Assurance

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Domain: IE-1 Organisational Governance and Management
Accreditation Standard
The governing body of the Operator has clearly defined and appropriate educational/training
objectives, and has implemented a management structure to realise those objectives, forthe delivery of learning programme(s) that fall within the scope of the HKQF level(s) sought.
Minimum requirements:
IE-1.1 The Operator is an organisation, or part of one, that can legally operate learning
programme(s) in Hong Kong.
IE-1.2 The people with key responsibilities for its education and training operations are fitand-proper persons.
IE-1.3 The Operator has governing and management team members, structures, polices
and processes to effectively manage its operation and they are responsible for thequality of its education/training.
IE-1.4 The Operator has a governance and management team with appropriate skills andexpertise to lead an education/organisation and to manage its learning
programme(s).
IE-1.5 The Operator has reliable administration and management systems and proceduresin place to ensure security, accuracy and currency of its records.
IE-1.6 Learners enrolled in a learning programme are provided with accurate and up-todate information about the programme and the qualifications that the programme
may lead to.
IE-1.7 The governing body must ensure that the name of the Operator adequately
represents the nature of its operation (reflecting the learning programme(s) and thecorresponding award(s)).
Explanatory Notes for IE-1
Why this accreditation standard is important
This standard is to ensure that the Operator has established governance and management
arrangements incorporating input from key stakeholders, which can ensure that key
decision-making processes are effective in continuously assessing and enhancing thequality and effectiveness of its own operation, and protecting the interests of learners.
A collaborative provision refers to the provision of learning programme(s) leading orcontributing to the award of credit or a qualification that are delivered, assessed or
supported through an arrangement involving more than one parties. In the context of nonlocal programmes, the term ‘Operator’ refers to the collaborative provision as defined by aformal partnership agreement between the local and non-local Operator.
Matters for consideration
 The Operator assumes full accountability and responsibility for its education and training
operations, regardless of whether any third-parties, including its parent or associatedorganisation(s), are involved.
 The Operator has a clear structure, in terms of functions and responsibility, for decisionmaking and management of its education and training operations.
 The Operator has developed a strategic plan which has identified educational/training
objectives, and is supported by implementation plan(s) with measurable performanceindicators.

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Page 23/ 79The Operator has procedures to handle grievances and/or complaints from staff andlearners in a fair and transparent manner.
The Operator has policies and procedures in place which ensures protection of learners,
covering issues including but not limited to conflicts of interest, discrimination,harassment, and responsibility to learners.
The Operator has policies that set out arrangements for learners enrolled in a learning
programme to complete their qualifications in the event of termination or closure of theorganisation/programme(s).

Special considerations for Collaborative Programmes
 Each awarding body within a partnership must either have a self-accrediting status or
have already obtained a recognised accreditation status for the collaborative
programme(s).
 Each partner in the collaboration must enter into a collaborative provision as a matter oforganisational policy. A properly authorised body within the governance andmanagement structure of the organisation with the authority to commit the necessary
resources must have taken the decision to enter into a contract.
 The non-local Operator should be fully authorised to operate in the country in which it isbased, and the terms of its accreditation should permit (or not prohibit) its participationin collaborative provision with a partner outside its own country as well as to award
qualifications.
 There should be a written and legally binding agreement setting out the rights andobligations of the partners. The agreement must cover the responsibilities of each
Operator and the specific matters relating to each learning programme offered throughthe collaboration.
 There should be a clear, written statement of responsibilities for making policy andoperational decisions concerning the learning programmes covered by the collaboration.
The awarding body should assume overall responsibility for the academic standards
and quality of the collaborative programme.
 The partnership must have effective arrangements for information to be shared between
the partners.

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Domain: IE-2 Financial Viability and Resources Management
Accreditation Standard
The Operator must have adequate financial and physical resources to achieve its
educational/training objectives, with well-defined systems and processes to manage its
finances to support the quality and effectiveness of its operation.
Minimum requirements:
IE-2.1 The Operator plans and manages its finances to sustain the operation of its learning
programme(s).
IE-2.2 The Operator has a financial planning and budgeting process which is based onrealistic assumptions with regard to the projected demands, costs of operation, andforeseeable changes in the environment.
IE-2.3 The Operator has mechanisms in place to appropriately allocate financial andphysical resources for its education and/or training operations.
IE-2.4 The Operator has the facilities and equipment necessary for the delivery of its
learning programme(s).
IE-2.5 The Operator regularly reviews the adequacy, in terms of quality, quantity and utility,of its educational and training resources, and takes necessary follow-up actions.
Explanatory Notes for IE-2
Why this accreditation standard is important
This standard is to ensure that the Operator has the necessary financial andeducational/training resources to support sustainable development of its education andtraining services. Management of financial and educational/training resources has to take
into consideration programme planning, learners’ needs and staffing requirements, and thequality of the provision.
Matters for consideration
 The Operator is financially viable.
 There is a financial plan which is reviewed and approved by the governing body of the
Operator.
 The Operator has internal financial control measures in place to ensure the availabilityof appropriate financial assets or properties of the Operator for the operation of its
learning programme(s).
 The Operator takes appropriate actions to prevent and detect fraud andmisappropriation of funds. Such actions should be complementary to the level ofexternal scrutiny, such as external audit that the Operator is subject to.
 The Operator performs assessment of financial risks regularly and has appropriate risk
mitigation in place.
 The Operator is able to provide the necessary facilities and equipment which areappropriate to the nature of the planned learning programme(s) and the planned intakeof learners.
 The facilities and equipment are maintained to ensure accessibility, safety, security, anda healthy learning environment.
 The Operator has sufficient cash flow and/or reserves to support the operation of its
learning programme(s), and when necessary, meet financial emergencies andunforeseen occurrences.

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Domain: IE-3 Organisational Staffing
Accreditation Standard
The Operator must be able to engage staff who are competent to manage its operations, tolead programme planning and development, and to support the delivery of learning
programme(s) up to the claimed HKQF level(s).
Minimum requirements:
IE-3.1 The Operator has a clear staffing structure with well-defined functions,
responsibilities, and appointment criteria for different positions in the structure.
IE-3.2 The Operator has a realistic staffing plan that facilitates effective programme
development, management and delivery.
IE-3.3 The Operator has set up formal and transparent human resources policies andprocedures for recruitment, induction, performance review and staff development,
which align with its educational/training objectives.
IE-3.4 The Operator maintains an adequate number of full-time staff to ensure the stabilityof programme management, development and delivery.
Explanatory Notes for IE-3
Why this accreditation standard is important
This standard is to ensure that the Operator has set up a staffing structure and system thatcan ensure the availability of suitable staff for programme management and delivery on an
on-going basis, and to ensure that the Operator has appropriate staff recruitment anddevelopment processes which align staff duties with their specialisations, teaching andindustry experience, formal qualifications and professional/scholarly activities.
Matters for consideration
 The Operator has determined a maximum learner-staff ratio for each of the learning andteaching activities typically adopted into its learning programme(s) to ensure adequate
interaction between learners and staff.
 The Operator systematically monitors the teaching and non-teaching workload of staff toensure teaching effectiveness and healthy professional development.
 Staff tasked with teaching functions generally have a qualification one level higher thanthe learning programme(s) they teach, or a terminal qualification, in a relevant area ofstudy/training.
 The Operator has policies and provides resources to encourage staff development andundertaking of professional/scholarly activities such as research, publication andconsultancy in their specialisations, or to enrich industry expertise or knowledge aboutthe HKQF.
 The Operator has set out specific requirements for project or workplace supervisors.
 The Operator provides orientation and training to teaching and support staff.
 There are transparent and fair procedures to process complaints or grievances fromstaff.
Special considerations for Collaborative Programmes
 There should be appropriate and sufficient opportunities for sharing of academic ethos
and operations, including induction and on-going support.
 There should be effective policies and processes to ensure that the collaborative
programme addresses the local context, including meeting the HKQF standards, andlearner and community needs.

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Domain: IE-4 Organisational Quality Assurance
Accreditation Standard
The Operator must have an internal quality assurance system that can support effective
management and monitoring of the quality of its learning programme(s) in deliveringlearning outcomes that align with the GLDs of the HKQF, to meet its educational/training
objectives.
Minimum requirements:
IE-4.1The Operator has a robust mechanism for programme approval, development,
periodic review and monitoring of its learning programme(s) to ensure that the
programme objectives and HKQF standard(s) are met.

IE-4.2The Operator is ultimately responsible for the quality of its learning programme(s)and award(s), regardless of whether any third-party is involved in the delivery.

IE-4.3The Operator has standards of quality and performance requirements atorganisational and programme levels to support evaluation of achievement ofeducational/training objectives.

IE-4.4The Operator systematically collects evidence of attainment of learning outcomesto support evaluation and enhancement of the effectiveness of its learning
programme(s).

IE-4.5The Operator has mechanisms in place to regularly review the effectiveness of its
quality assurance system and to initiate the necessary follow-up actions.

Explanatory Notes for IE-4
Why this accreditation standard is important
This standard is to ensure that the Operator maintains an internal quality assurance system
which can continuously monitor the effectiveness of its learning programme(s) by using
multiple sources of evidence to assess the achievement of learning, and takes necessary
follow-up actions. It is also important for the Operator to conduct regular reviews anddemonstrate continuous improvement in its quality assurance system to meet its
educational/training objectives.
Matters for consideration
 The Operator seeks external input in its quality assurance system. This may include
input such as external benchmarking, external examiners and/or advisors.
 The quality assurance system incorporates adequate checks and balances to ensure
objectivity between development, delivery and review of learning programme(s).
 The quality assurance system supports systematic collection of feedback fromstakeholders such as learners, staff and employers to identify issues requiring follow-up
actions.
 The quality assurance system has been effectively implemented for different locations
and/or modes of delivery, if any.
 Training is provided to relevant staff to ensure that the quality assurance system is fully
understood and implemented effectively at all times.
Special considerations for Collaborative Programmes
 There must be effective integration between the quality assurance systems of thepartners, with a clear delineation of the responsibilities of each, particularly with respect
to programme development and management, and the authority to make changes tolearning programmes.

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Learning Programme Accreditation/Re-accreditation

The Four-stage Quality Assurance Process

5.11

The purpose statement, domains of competence and the accreditation
standards for Learning Programme Accreditation (LPA)/Reaccreditation (re-LPA) are specified below.
Purpose Statement

Domain of Competence

The purpose is twofold:

LPA-1 Programme Objectives and Learning
Outcomes
LPA-2 Learner Admission and Selection
LPA-3 Programme Structure and Content
LPA-4 Learning, Teaching and Assessment
LPA-5 Programme Leadership and Staffing
LPA-6 Learning, Teaching and Enabling
Resources/Services
LPA-7 Programme Approval, Review andQuality Assurance

To ascertain whether alearning programme (proposedor accredited) meets an HKQF
standard to achieve theclaimed objectives.
To ascertain whether the
Operator of a learning
programme is competent tocontinuously monitor andimprove the effectiveness of its
programme operation toachieve the claimed
programme objectives.

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Domain: LPA-1 Programme Objectives and Learning OutcomesAccreditation Standard
The learning programme must have objectives that address community, education and/or
industry needs, with learning outcomes that meet the relevant HKQF standards, for all exit
qualifications from the programme.
Minimum requirements:
LPA-1.1 The Operator has identified the needs for the learning programme, which is
articulated in the programme objectives.
LPA-1.2 The programme intended learning outcomes (PILOs) are consistent with the GLDs
at the claimed HKQF level(s) and align with the programme objectives for all exit
qualifications from that programme.
LPA-1.3 The PILOs are specific, measurable, achievable and relevant.
LPA-1.4 The programme objectives and PILOs are clearly presented for consistentinterpretation, implementation and communication to learners and staff.
Explanatory Notes for LPA-1
Why this accreditation standard is important
This standard is to ensure that the positioning of a learning programme has taken into
consideration the needs of the sector, and competences required of its graduates asreflected in the PILOs, which are commensurate with the programme objectives and therelevant HKQF level requirements as stipulated in the GLDs. Each exit point defined for thelearning programme represents a standalone study path in its own right.
Matters for consideration
 The PILOs, programme objectives and the educational/training objectives of the
Operator are aligned.
 The programme objectives and PILOs are supported by a well-developed programme
rationale.
 The programme aims to enhance employability and/or competitiveness of learners.
 The PILOs have been systematically mapped to the GLDs, and internally moderated forconsistency.
 The development of programme objectives and PILOs has incorporated input fromrelevant staff, stakeholders and external experts.
Special considerations relating to government policies
 For Associate Degree and Higher Diploma programmes, the programme objectives,
learning outcomes and exit qualifications comply with the latest version of the Common
Descriptors for Associate Degree and Higher Diploma Programmes under the New
Academic Structure.
 The use of titles for qualifications obtainable from the learning programme complies with
the Award Titles Scheme (ATS).

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Domain: LPA-2 Learner Admission and Selection
Accreditation Standard
The minimum admission requirements of the learning programme must be clearly outlined
for staff and prospective learners. These requirements and the learner selection processes
must be effective for recruitment of learners with the necessary skills and knowledge toundertake the programme.
Minimum requirements:
LPA-2.1 The Operator ensures the alignment between the minimum
requirements and the positioning of the learning programme.

admission

LPA-2.2 The minimum admission requirements are clearly documented for consistent
implementation and effective communication with learners and staff.
LPA-2.3 The Operator has formal and valid admission procedures for assessing whether
an applicant meets the minimum admission requirements prior to enrolment.
LPA-2.4 The Operator has admission policies which govern the consideration ofexemption, non-standard entry, advanced standing, credit accumulation andtransfer, which are consistently implemented and effectively communicated to staff
and prospective learners.
Explanatory Notes for LPA-2
Why this accreditation standard is important
This standard is to ensure that the Operator understands the characteristics and diversity ofthe target learners in order to develop an adequate learning process and to identify thenecessary resources for their attainment of the PILOS and achievement of the programme
objectives.
Matters for consideration
 There are mechanisms to provide accurate admission information to prospective
learners.
 There are reliable procedures to verify the integrity and creditability of the credentials
provided by applicants to inform admission decision-making.
 Admission data and decisions are fully and accurately retained and are accessible forreview.
 Informed by data/information, the Operator should regularly check the appropriatenessof admission standards and integrity of the admission process in order to make sure thatthe learners selected are able to complete the programme in normal circumstances.
 Training and support is provided to the personnel responsible for carrying out admissionfunctions.
 There are mechanisms in place to ensure that the admission standards are adhered toand admission procedures are fully implemented at all times, for different
locations/modes of delivery.
Special considerations relating to government policies
 The minimum admission requirements are consistent with the requirements stipulated in
the latest version of the Common Descriptors for Associate Degree and Higher Diploma
Programmes under the New Academic Structure.

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Domain: LPA-3 Programme Structure and Content
Accreditation Standard
The structure and content of the learning programme must be up-to-date, coherent,balanced and integrated to facilitate progression in order to enable learners to achieve thestated learning outcomes and to meet the programme objectives.
Minimum requirements:
LPA-3.1 The PILOs and programme structure and content are properly aligned, for
ensuring adequate development of the necessary knowledge, skills, competencies
and attitudes.
LPA-3.2 The breadth and depth of the learning programme provides sufficient volume oflearning and coverage to allow an average learner to achieve the intended
learning outcomes, that align with the programme objectives.
LPA-3.3 The programme structure clearly sets out a logical and coherent sequence oflearning and the interdependencies of the content.
LPA-3.4 For programmes with multiple exit awards, each exit award represents a coherent
programme in its own right.
Explanatory Notes for LPA-3
Why this accreditation standard is important
This standard is to ensure that the selection and structure of programme content are driven
by PILOs, and are appropriate to facilitate the learners’ attainment of the PILOs at theclaimed HKQF level and to meet the programme objectives. The structure of the learning
programme should be based on sound educational/training principles for constructing a
coherent learning experience that develops knowledge, skills, competencies and attitudes.
Matters for consideration
 There is a definitive programme document describing the programme structure andcontent, as well as the rules for progression.
 The design of the learning programme appropriately adopts a logical sequence for
effective programme management, delivery and assessment.
 The progression of the learning programme has been clearly built into the logic ofprogramme design.
 There is horizontal and/or vertical integration of programme content, for learning
programmes that span multiple years or stages.
 The programme structure provides opportunities for demonstration of integrated
learning.
Special considerations relating to government policies
 For Associate Degree and Higher Diploma programmes, the generic and specialised
content of the proposed learning programme meet the requirement stipulated in thelatest version of the Common Descriptors for Associate Degree and Higher Diploma
Programmes under the New Academic Structure.
 For a learning programme to be labelled as SCS-based, SGC-based or VQP, theconditions stipulated in the Qualifications Guidelines for SCS-based, SGC-based or
VQP Courses under HKQF are met.
 The assignment of HKQF credits follows the Implementation Table of Use of Credit
promulgated by EDB, and complies with the Concepts and Principles of HKQF Credits
under HKQF.

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Domain: LPA-4 Learning, Teaching and Assessment
Accreditation Standard
The learning, teaching and assessment activities designed for the learning programme must
be effective in delivering the programme content and assessing the attainment of theintended learning outcomes.
Minimum requirements:
LPA-4.1 The chosen model(s) and mode(s) of delivery of the learning programme areappropriate in consideration of the programme objectives and content, and are
effective in engaging learners in the learning process.
LPA-4.2 The selection of learning, teaching and assessment activities of the learning
programme has considered the characteristics and diversity of learners as allowedby the defined admission standards.
LPA-4.3 The selected learning, teaching and assessment activities are aligned with theprogramme content and PILOs.
LPA-4.4 Assessments are valid, reliable, fair and effective for assessing learners’
attainment of the intended learning outcomes.
LPA-4.5 Assessment tasks are based on criterion-referencing to reflect differentiatedattainment.
LPA-4.6 The Operator provides timely feedback to learners in all forms of learning,teaching and assessment activities, and identifies learners-at-risk.
Explanatory Notes for LPA-4
Why this accreditation standard is important
This standard is to ensure that learning, teaching and assessment activities together provide
the learning experience required to facilitate and assess learners’ attainment of the PILOs
upon completion of the programme. The selection of learning, teaching and assessment
activities should aim at maximising the effectiveness of learning, by adopting proved
methodologies of learning, teaching and assessment.
Matters for consideration
 Appropriate learning and teaching activities are adopted in the learning programme,
which may include e.g. lecture, tutorial, experiment, problem-solving, simulation, online
learning, on-the-job-training, work-based learning and workplace attachment.
 Appropriate assessment activities are included in the learning programme, which may
include e.g. assignment, examination, project, practical test and interview.
 The Operator has a process for estimating the notional learning hours for different
learning and teaching activities for assignment of credits.
 There is a system for internal and/or external moderation of assessments to ensure
consistency of standard and marking.
 The Operator has planned for industry and workplace attachment, including theinsurance, supervision and assessment arrangements, where applicable.
 The Operator has policies to ensure the integrity and validity of assessments. This may
cover photographing/recording of practical assessments, detection of plagiarism,
authentication of the identity of learners, external vetting, moderation andbenchmarking.

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Domain: LPA-5 Programme Leadership and Staffing
Accreditation Standard
The Operator must have adequate programme leader(s), teaching/training and support staff
with the qualities, competence, qualifications and experience necessary for effective
programme management, i.e. planning, development, delivery and monitoring of the
programme. There must be an adequate staff development scheme and activities to ensurethat staff are kept updated for the quality delivery of the programme.
Minimum requirements:
LPA-5.1 The Operator has appointed staff (e.g. programme leader(s)) with adequate
experience in programme management and development, responsible for leading
and overseeing the effectiveness of programme operation.
LPA-5.2 The Operator has sufficient, adequate and competent teaching, training andsupport staff for conducting the learning, teaching and assessment activities
designed for the learning programme, to support the projected number of learners.
LPA-5.3 The Operator has a staff development plan aligning with the on-goingdevelopment of the learning programme.
LPA-5.4 There are processes in place for the programme team to work collaboratively andeffectively to achieve the programme objectives.
Explanatory Notes for LPA-5
Why this accreditation standard is important
This standard is to ensure that, regardless of the mode of engagement (full-time/part-time,
paid/unpaid, internal/external), those engaged in the operation of the learning programmeshould be qualified and understand the philosophy and design of the learning programme inorder to perform effectively on an on-going basis. A stable programme leadership isessential for continuity and oversight of the effectiveness of programme operation toachieve the programme objectives. To ensure that the workload is reasonable, thecalculation of workload includes all teaching and non-teaching duties assigned by the
Operator.
Matters for consideration
 The Operator has defined programme-specific staff appointment criteria relevant for thelearning programme.
 The profile of appointed staff is commensurate with the requirements of the learning
programme.
 Staff development activities clearly correspond to professional development, building up
of industry experience, as well as enhancement of knowledge or skills about learning,teaching and assessment, which are relevant to the learning programme.
 Staff are active in research, publication, consultancy and/or other professional/scholarly
activities.
 There are effective communications within the programme team to ensure consistentdelivery of the learning programme and alignment of expectations.
 The Operator maintains a reasonable workload for staff members engaged in thelearning programme.

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Domain: LPA-6 Learning, Teaching and Enabling Resources/Services
Accreditation Standard
The Operator must be able to provide learning, teaching and enabling resources/services
that are appropriate and sufficient for the learning, teaching and assessment activities of thelearning programme, regardless of location and mode of delivery.
Minimum requirements:
LPA-6.1 The Operator has the necessary financial resources to support the operation of
the learning programme, in consideration of other educational/training services
being provided by the Operator.
LPA-6.2 Learners have adequate access to the necessary learning, teaching and enabling
resources/services, also taking into consideration any other educational/training
services being provided by the Operator.
LPA-6.3 The provision of learning, teaching and enabling resources/services aligns with thelearning, teaching and assessment activities.
LPA-6.4 The learning, teaching and enabling resources are up-to-date and their utilisation
is monitored to ensure that they are adequate for the operation of the learning
programme on an on-going basis.
LPA-6.5 The Operator provides learners with clear, accurate information and dependable
access to support services that facilitate their successful completion of the
programme.
Explanatory Notes for LPA-6
Why this accreditation standard is important
This standard is to ensure that the Operator has appropriate and sufficient learning,teaching and enabling resources/services for the operation of the learning programme, andis backed by necessary financial resources. Learning, teaching and enabling resources may
include lecture theatres, tutorial rooms, libraries, laboratories, studios, supplementary aids,
software and online databases. Examples of learner support services include counselling,career/life planning and learning diagnosis.
Matters for consideration
 The learners will have access to suitable and safe facilities and adequate equipment
necessary for their learning activities. Arrangements have been made to ensure theseresources are accessible at the time of delivering the relevant parts of the learning
programme.
 The Operator has supplementary aids and services available to learners with special
needs.
 The library and online materials are up-to-date and relevant to the content of thelearning programme.
 Feedback on the quality of learning, teaching and enabling resources/services isregularly collected from learners and staff for analysis and enhancement purposes.
 The learners have access to adequate computing and network facilities for learning,
conducting research, and communicating with peers and staff.
 Learners and staff are provided with adequate training and information to ensure thatthey are aware of and know how to use the learning, teaching and enabling resources.
 Steps have been taken to ensure that the learners and staff have the right of use to thematerials such as software, photographs and videos required for teaching/learning
purpose.
 The support provided to learners is adequate to the delivery mode adopted.
 There is policy to ensure availability of staff for consultation and advice to learners.
 The Operator provides appropriate learner support services, which may include learning

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diagnostics, personal counselling and career/life planning for example.
The Operator has a resource development plan that supports the on-going developmentof the learning programme.

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Domain: LPA-7 Programme Approval, Review and Quality Assurance
Accreditation Standard
The Operator must monitor and review the development and performance of the learning
programme on an on-going basis to ensure that the programme remains current and valid
and that the learning outcomes, learning and teaching activities and learner assessments
are effective to meet the programme objectives.
Minimum requirements:
LPA-7.1 The development or review of the learning programme has strictly followed theapproved policies and procedures of the Operator.
LPA-7.2 The overall design of the learning programme has been validated to ensurealignment with the claimed HKQF level(s), PILOs and the learning needs of thetarget learners, and is supported by adequate staff and other resources.
LPA-7.3 The Operator has incorporated external and internal input for programme
development, management and monitoring to ensure continuous improvement of
the quality of the learning programme throughout the whole learning process.
LPA-7.4 The Operator evaluates the efficiency and effectiveness of its quality assurance
policies and procedures for programme approval, development and review, andtakes necessary follow-up actions for improvement.
LPA-7.5 Feedback and evidence for programme development, management and review are
regularly collected, analysed and interpreted to assess the effectiveness ofprogramme implementation and to identify continuous improvement actions, withproper records and documentation.
Explanatory Notes for LPA-7
Why this accreditation standard is important
This standard is to ensure that the Operator maintains and implements a robust internal
quality assurance system which continuously monitors the effectiveness of its learning
programmes by using multiple sources of evidence to assess the achievement of learning
outcomes, and takes necessary follow-up actions. It is also important for the Operator to
regularly review the robustness of its internal quality assurance system for improvement.
Matters for consideration
 Regular quality assurance activities, both internal and external, of the learning
programme have been properly planned with allocated resources.
 Retention, progression and completion rates are regularly monitored and follow-up
actions are identified and implemented if necessary.
 Admission and assessment data are analysed for possible correlation and patterns forreview of admission standards.
 Surveys are conducted of staff, learners and employers to collect feedback onprogramme delivery and outcomes.
 Learners, staff, employers, alumni, practitioners and other relevant stakeholders are
regularly involved in the evaluation and alignment of programme objectives and learning
outcomes.
 Issues identified by internal and external quality assurance activities are acted upon
appropriately.

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Programme Area Accreditation

The Four-stage Quality Assurance Process

5.12

The purpose statement, domains of competence and the accreditation
standards for Programme Area Accreditation (PAA) are specified
below.
Purpose Statement

Domain of Competence

To ascertain whether an
Operator is competent toquality assure its learning
programme(s) within aprogramme area up to acertain HKQF level, as
demonstrated from the trackrecord of its operation ofaccredited learning
programmes in a particulardiscipline or industry area,
and its capacity to enhance
its organisational
effectiveness to achieve theeducational/training
objectives.

Institutional Domain:
PAA-1 Organisational Governance andManagement
PAA-2 Strategic Planning and Development
PAA-3 Financial Management and Viability
PAA-4 Organisational Quality Assurance andEnhancement
Programme Area Domain:
PAA-5 Programme Area Development andManagement
PAA-6 Learning, Teaching and Assessment
PAA-7 Staffing and Staff Development
PAA-8 Programme Area Resources and Services

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Domain: PAA-1 Organisational Governance and Management
Accreditation Standard
The Operator must have a governing body that defines the Operator’s vision and mission
and establishes educational/training objectives aligned with the vision and mission. The
governing body has set a clear and explicit direction for development based on the
Operator’s values and characteristics, and has implemented a management system which is
fit-for-purpose and effective in meeting the educational/training objectives.
Minimum requirements:
PAA-1.1 The vision and mission are appropriate for the Operator’s provision of learning
programmes, with educational/training objectives demonstrably achieved.
PAA-1.2 The Operator plans strategically, realistically and effectively and drives theorganisation to achieve its objectives, by defining relevant targets andperformance measures.
PAA-1.3 The organisational structure, including roles, responsibilities and decision-making
processes, of the Operator shows a high degree of integrity, responsibility andaccountability for meeting the educational/training objectives.
PAA-1.4 The reporting mechanisms and decision-making procedures are effective forgovernance, management and quality assurance functions.
PAA-1.5 The governing body regularly engages in self-review and development toenhance its effectiveness and quality of decisions.
Explanatory Notes for PAA-1
Why this accreditation standard is important
This standard is to ensure that the Operator has governance which can provide overall
direction for the organisation with clearly defined lines of accountability and rules ofdecision-making and systematic consideration of input from key stakeholders, and to ensurethat the management can implement the educational/training objectives and is responsible
for the efficiency, effectiveness and quality of operation.
Matters for consideration
 The Operator has set up clear procedures to avoid real or perceived conflict of interest,and maintain a clear separation between governance and management functions toensure checks and balances.
 The Operator has set up clear appointment criteria and procedures to ensure that those
appointed to perform governance and key management functions collectively possess
the necessary knowledge, skills and experience covering the range of duties to be
performed.
 There are processes of training, induction and continuing professional development for
key personnel who perform governance and management functions, so that theappointed personnel are fully informed of their duties and responsibilities.
 There is an implemented process ensuring effective succession planning for key
positions.
 There is a clear scheme of delegation of authority and line of reporting which is efficientand effective.
 There are clear communication protocols within the organisation to ensure clarity about
defined targets and compliance with policy.
 The Operator enhances integrity and transparency in its operation by implementing
appropriate policies and procedures to process complaints and grievances, andresponding to them in a timely and effective manner.

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




Steps have been taken to fulfil legal and social responsibilities and obligations in theprevailing context.
There are formal channels at different levels to actively incorporate external input into
the governance and management decision-making process.
There is an information management system that can provide reliable data to inform
decision-making.
Independent external review is initiated to provide reflection on governance andmanagement effectiveness.

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Domain: PAA-2 Strategic Planning and Development
Accreditation Standard
The Operator must have formal processes at organisational level for developing its strategicplan, which are effective in driving achievement of educational/training objectives. The
strategic plan should focus on the analyses, decisions and actions needed to sustain andenhance the operation of its learning programmes.
Minimum requirements:
PAA-2.1 The Operator has an effective strategic planning process which clearly identifies
the actions, priorities and resource allocation for achieving defined objectives
while taking into consideration environmental developments, its strengths andweaknesses, and feedback from stakeholders.
PAA-2.2 The Operator periodically engages with its stakeholders as well as other relevant
parties to assess its strategic positioning and alignment of purposes, objectives
and actions, in the process of developing its strategic plan.
PAA-2.3 The periodic planning process responds to the outcomes of implementation andthe operational environment in a timely manner.
PAA-2.4 In relation to its educational and training provisions, the Operator uses a risk
management system with potential risks clearly identified and prioritised, andcorresponding mitigation strategies appropriately resourced.
Explanatory Notes for PAA-2
Why this accreditation standard is important
This standard is to ensure that the Operator’s strategic planning provides a road map forproactive development of its educational and training provision, instead of reacting to
unexpected changes, catching up with the developments or handling crisis. A strategic plan
provides the directions and means of realising the vision and mission of an Operator, andoften also includes the associated performance indicators. A good strategic planning
process helps foster a culture of commitment and transparency.
Matters for consideration
 The strategic plan is based on realistic projections.
 The strategic plan reflects fully informed and well deliberated decisions by the governing
body and management.
 The Operator considers relevant current and anticipated changes as part of its strategicplanning, review and resource allocation.
 The strategic plan focuses on continuous growth and improvement of learnerperformance, staff professionalism, and the Operator’s competency to achieve its
mission.
 Learners, staff and other relevant internal stakeholders are provided with opportunities
to participate in and provide input to the planning for improvement purposes.
 External input is regularly taken into consideration in the strategic planning and review.
 There is a risk register, or similar document, which is current and identifies the potential
risks, assessment of impacts, action plans, and the owners of the identified risks.

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Domain: PAA-3 Financial Management and Viability
Accreditation Standard
The Operator must have an established financial management approach which is effectivein ensuring the Operator’s short-term and long-term viability to sustain its operation inalignment with the current strategic plan, and enables it to meet its educational/training
objectives.
Minimum requirements:
PAA-3.1 The Operator plans realistically to ensure current and future availability of staff,
funds, teaching, learning and enabling resources/services for quality operation ofits learning programmes.
PAA-3.2 The financial resources of the Operator have been and are projected to continue
to be stable and adequate for future financial needs or challenges, with regard to
the establishment of the Operator and nature of operation.
PAA-3.3 The governing body and management of the Operator exercise prudent control
over the financial operations and decision-making.
PAA-3.4 The financial planning process of the Operator has fully considered the priorities
for development and operation of learning programmes.
PAA-3.5 The Operator has regularly and systematically reviewed the effectiveness of its
financial system, with follow-up actions on any issues identified.
Explanatory Notes for PAA-3
Why this accreditation standard is important
This standard is to ensure that the development of a programme area is supported bysustainable resource planning based on the short-term and long-term financial health andeffectiveness of the Operator. It is critical that the Operator is not only able to provide thefinancial assets or support, but also has the competence to plan and manage, and its
financial means are in alignment with the development of the programme area.
Matters for consideration
 The Operator has unqualified independent financial audits in the past three years, if
applicable.
 The Operator has functioned without an operational deficit in the past three years.
Otherwise, a detailed explanation of how the situation was coped with and how toprevent similar occurrence in the future should be provided.
 Budgets are developed with realistic projections of revenue and expenditures.
 Financial risks are assessed in a regular manner in consideration of actual outcomes
and new developments.
 The Operator practices effective oversight of contractual, collaborative and partner
relationships.
 Financial planning and budgeting processes have proved to be effective from the recordof operation.

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Domain: PAA-4 Organisational Quality Assurance and Enhancement
Accreditation Standard
The Operator must have established an effective internal quality assurance system withwell-defined policies and procedures in place to determine and monitor the quality andstandards of its learning programmes, and to ensure alignment with its educational/training
objectives and the stated HKQF level(s).
Minimum requirements:
PAA-4.1

Management of quality is embedded within all key planning, operational andreview processes.

PAA-4.2

The Operator has implemented a mechanism for effective monitoring andreviewing of organisational performance against defined education and training
objectives periodically.

PAA-4.3

The Operator has well established practices demonstrating a culture ofevidence, self-reflection and improvement, informed by analysis, andinterpretation of information.

PAA-4.4

The Operator has adopted a systematic and rigorous approach for consistentinterpretation and application of the GLDs for the design of learning
programmes within the scope of the programme area.

PAA-4.5

The internal quality assurance system includes robust procedures for
programme approval, monitoring and review to ensure that learning
programmes have appropriate content, rigor and standards of learnerperformance for the stated HKQF level(s). These procedures focus on validationof learning outcomes and enhancement of learning.

PAA-4.6

The Operator reviews the effectiveness of its internal quality assurances systemregularly, with follow-up on any issue identified.

Explanatory Notes for PAA-4
Why this accreditation standard is important
This standard is to ensure that there is periodic assessment of attainment ofeducational/training objectives using reliable data to inform decision-making and formulationof evidence-based follow-up actions. Long-term success of a programme area hinges on thequality, effectiveness and relevancy of operation, which rests upon the contribution thateach of the learning programmes and services makes toward achieving the
educational/training objectives in a coordinated manner.
Matters for consideration
 The Operator has established a track record from the operation of cognate programmes
in the proposed programme area that, as a matter of quality assurance, it reviews
organisational effectiveness regularly and is able to respond with well deliberated
actions and resources. This includes reviewing the effectiveness of governance andmanagement functions, financial and resource planning, programme planning andmanagement, staff planning, and the review process itself.
 The actions implemented for enhancement of effectiveness, both programme andorganisational, have proved to be effective.
 There are checks and balances in the quality assurance system to avoid conflicts ofroles.
 The Operator collects feedback from the key stakeholders to inform the review process.
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learning programmes, and validation of learning outcomes.
The quality assurance system is supported by reliable collection, analyses andinterpretation of data. The data may include comparative data from external sources, aswell as environmental data.

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Domain: PAA-5 Programme Area Development and Management
Accreditation Standard
The Operator must substantiate the proposed programme area by its track record ofoperation of HKQF-recognised learning programmes in relevant discipline or industry areas,in alignment with organisational objectives and planned resources.
Minimum requirements:
PAA-5.1 The proposed programme area is underpinned by a framework of consistent bodyof knowledge, principles and practices, which is appropriate for the relevant
disciplines, industries, or professions.
PAA-5.2 The Operator has established sustainable leadership arrangements for the
proposed programme area which ensure that appropriate expertise andexperience are in place to provide directions, and to oversee the effective
implementation and development of that programme area.
PAA-5.3 The approved development plan of the proposed programme area reflects thestrategic positioning of the Operator, the synergy within and across the proposed
programme area, resource implications, and the necessary means of
implementation.
PAA-5.4 The Operator has established criteria and procedures for identifying the needs for,or termination of, a learning programme within the proposed programme area,
and the requirements for successful implementation.
PAA-5.5 The experience from the operation of existing HKQF-recognised learning
programmes is relevant and can substantiate the proposed programme area.
Explanatory Notes for PAA-5
Why this accreditation standard is important
This standard is to ensure that the track record of operating HKQF-recognised learning
programmes is relevant and transferrable to the proposed programme area. In particular, it
is important to recognise that the leadership required to manage and develop a programmearea is different from the leadership required to operate learning programmes. The
proposed programme area must be self-consistent and contribute to the development ofcompetencies that meet the needs of the society.
Matters for consideration
 The definition of the scope of the proposed programme area should have been drawn
up with reference to the Classification of Areas of Study and Training in the
Qualifications Register (QR).
 The proposed programme area has strong distinctive features that align with the visionand mission of the Operator, and they are derived from the features of the existing
HKQF-recognised learning programmes.
 The proposed programme area has effective leadership to achieve a shared purpose,
which is recognised by the staff.
 The existing HKQF-recognised learning programmes within the proposed programmearea consistently meet the planned enrolment targets.
 Programme planning for the existing HKQF-recognised learning programmes has
proved to be effective.

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Domain: PAA-6 Learning, Teaching and Assessment
Accreditation Standard
The Operator must have developed and implemented effective policies for the developmentof learner-centred strategies for achievement of learning outcomes through alignment ofeducational/training objectives, learning experiences, assessment, and learning support.
Minimum requirements:
PAA-6.1 The Operator collects and analyses admission and other necessary data to track
learners’ achievement and satisfaction for an understanding of learnercharacteristics and the preferred mode of learning.
PAA-6.2 The Operator provides learning experiences that are congruent with learnercharacteristics and the programmes it offers.
PAA-6.3 The Operator has developed strategies ensuring that its learning programme(s)provide effective learning experience to deliver the intended learning outcomes,
as well as driving the alignment of learning, teaching and assessment activities.
PAA-6.4 There is regular review of the effectiveness of the learning, teaching andassessment strategies using findings from actual implementation.
PAA-6.5 All learners have access to accurate and complete information about the fees,
admission and completion requirements, and the award(s) to be granted uponsuccessful completion of a learning programme.
Explanatory Notes for PAA-6
Why this accreditation standard is important
This standard is to ensure that the learning, teaching and assessment activities areappropriate for its content and levels of study/training, and contribute to learners’ attainmentof the intended learning outcomes. Within a programme area, there are teaching andlearning activities to encourage integration of interdisciplinary knowledge and skills to theextent congruent to the programme area.
Matters for consideration
 The learning, teaching and assessment strategies have proved to be effective in theoperation of the existing HKQF-recognised learning programmes.
 The learning, teaching and assessment policies driving the development of learning,teaching and assessment strategies are effective in ensuring the alignment between
learning, teaching and assessment activities, to achieve the programme objectives ofthe existing HKQF-recognised learning programmes.
 The learning, teaching and assessment policies successfully created a high quality
learning and teaching environment, physical or virtual, that fosters inquisitive learningand demonstration of competencies, for different learning styles and capabilities.
 There are effective learning, teaching and assessment activities for integration anddemonstration of interdisciplinary knowledge and skills within the proposed programme
area.

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Domain: PAA-7 Staffing and Staff Development
Accreditation Standard
The Operator must have a suitably qualified and competent workforce which is capable todevelop and deliver learning programmes in the proposed programme area, and can ensuresustainable development of the proposed programme area.
Minimum requirements:
PAA-7.1 The Operator has in place a staffing plan which is effective in ensuring that there
are sufficient management, teaching and administrative staff with appropriatequalifications and experience, and is congruent with the proposed programmearea and its future developments.
PAA-7.2 The Operator has developed procedures which are effective in ensuring that staff
recruitment/engagement, development, workload, remuneration and appraisal arealigned with the learning, teaching and assessment strategies within the proposed
programme area.
PAA-7.3 The Operator has developed processes to systematically assess and enhanceteaching effectiveness within the proposed programme area.
PAA-7.4 The Operator has a staff development plan designed to enhance pedagogicalknowledge and skills for conducting learning and teaching activities andassessment of learning outcomes.
PAA-7.5 The Operator has effective policies that encourage continuous professional
development.
Explanatory Notes for PAA-7
Why this accreditation standard is important
This standard is to ensure that, regardless of the mode of engagement (full-time/part-time,
paid/unpaid, internal/external), qualified personnel are engaged in conducting the teaching,learning and assessment activities, as well as contributing to the healthy development of the
programme area. It is important that staff are conversant with the latest developments within
their own areas of expertise/profession, as well as committed to providing high quality
educational/training services.
Matters for consideration
 Staff planning has proved to be effective in the operation of the existing HKQFrecognised learning programmes.
 The established staff profile is demonstrably commensurate with the proposed
programme area.
 There are effective policies and procedures for staff to update themselves in quality
assurance, pedagogical advancement and adopting technologies for learning andteaching, and to engage in scholarly and/or professional activities.
 Staff understand and are committed to the vision and mission of the organisation, andthe positioning of the programme area within the context of achieving the vision andmission.
 Teaching effectiveness is reliably assessed to inform staff appraisal and development.

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Domain: PAA-8 Programme Area Resources and Services
Accreditation Standard
The Operator must have implemented a well-managed approach to its provision of learning,teaching and enabling resources which aligns with the current and planned development of
the proposed programme area.
Minimum requirements:
PAA-8.1

The policies and procedures are effective for the identification, acquisition andmaintenance of the necessary resources, which are linked to financial planning.

PAA-8.2

The Operator regularly monitors and assesses the utilisation and adequacy of
resources to inform projective planning, including offering of new learning
programmes.

PAA-8.3

Learners and staff receive the necessary support to acquire the skills to makeeffective use of the available resources.

PAA-8.4

The Operator has effective resource planning processes that involve key
stakeholders.

Explanatory Notes for PAA-8
Why this accreditation standard is important
This standard is to ensure that the planning and allocation of learning, teaching andenabling resources/services are based on sound financial planning aligned with programmearea planning, and with a clear understanding of the learners’ needs. Comparable resourcesmust be available regardless of the location/mode of delivery to achieve the same learning
outcomes. Utilisation of such resources is periodically reviewed to ensure adequacy andcurrency, and to provide reliable information for projective planning.
Matters for consideration
 Resource planning has proved to be effective in the operation of the existing HKQFrecognised learning programmes.
 There is access to library, information and technology resources and these resources
are sufficient in quantity and quality to support the learning and teaching activities
planned for the proposed programme area, regardless of the location/mode of delivery.
 The physical and virtual learning environment is reliable, supporting and safe for its
learners, and is conducive for creating an effective learning atmosphere.
 There are systems to support efficient planning, monitoring and evaluation of resources.
 Resource planning has taken into consideration the social, environmental and cultural
impacts.

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Periodic Institutional Review

The Four-stage Quality Assurance Process

5.13

The purpose statement, domains of competence and the accreditation
standards for Periodic Institutional Review (PIR) are specified below.
Purpose Statement

Domain of Competence

To ascertain whether an
Operator continues to beeffective in achieving its
vision and mission bysystematically enhancing
the quality of its operation
by formulating andimplementing actions
based on evidence.

PIR-1

Organisational Effectiveness andPlanning
PIR-2 Organisational Leadership and Staffing
PIR-3 Programme Area Development andManagement
PIR-4 Management of Resources and Services
PIR-5 Organisational Quality Assurance andEnhancement

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Domain: PIR-1 Organisational Effectiveness and Planning
Accreditation Standard
The Operator must demonstrate that it is meeting its educational/training objectives, alignedwith its vision and mission, and informed by comprehensive review of organisational
effectiveness and implementation of strategically planned initiatives.
Minimum requirements:
PIR-1.1 The Operator actively drives the achievement of its vision and mission throughperiodic programme review and evaluation of programme objectives andachievement of learning outcomes.
PIR-1.2 The Operator is able to substantiate its attainment of educational/training
objectives within the approved programme area(s), using information such asorganisational outcomes and/or performance indicators.
PIR-1.3 The internal quality assurance system of the Operator is effective in terms ofdriving operational and educational/training enhancement within the approved
programme area(s).
PIR-1.4 The Operator has used evidence-based practices to improve educational/training
offerings and services.
PIR-1.5 The Operator has a high level of oversight over its educational/training offerings
and administrative operations through processes that monitor and improveorganisational effectiveness.
Explanatory Notes for PIR-1
Why this accreditation standard is important
This standard is to ensure that the Operator continuously enhances its organisational
effectiveness through evidence-based decision-making to achieve the organisational visionand mission. As a result, the organisation remains relevant and able to sustain a highquality of services that meets the needs of its clients on an on-going basis. Planning at theorganisational level is required to ensure alignment between programme area planning,
staff planning, financial and resource planning, in anticipation of the foreseeable changes
and challenges.
Matters for consideration
 Enhancement of organisational effectiveness is evident and is linked to strategicplanning.
 Policies on academic/training development, quality assurance and resource allocation
are proved to be coherent, appropriate and responsive to changes.
 Use of proved qualitative and quantitative analytical tools in strategic planning such as
gap analysis, trend analysis and balanced scorecard, is evident.
 Stakeholders are engaged in evaluation of organisational effectiveness and strategicplanning.
 Appropriate technologies and reporting tools are adopted to support strategic planning.
 Up-to-date, relevant and accurate information about learning programmes is available
for prospective learners to make informed decisions before enrolment. This may include
graduate statistics and employability data.

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Domain: PIR-2 Organisational Leadership and Staffing
Accreditation Standard
The Operator must demonstrate that it continues to have a sufficient number of qualified
and competent programme leaders, teaching and support staff, as a result of effective staff
planning and development, and that these arrangements align with the development of the
programme area(s).
Minimum requirements:
PIR-2.1 The programme management team is effective in planning, development andreview of the learning programme(s) they are responsible for, by providing
directions and making key decisions relating to programme offering/termination,
staff management, resource allocation and quality assurance.
PIR-2.2 The effectiveness of staff planning is supported by analysis of the establishedstaff profile and the needs of the internal and external environment.
PIR-2.3 The current policy and practices of the Operator in staff appraisal anddevelopment at various levels are effective and efficient.
PIR-2.4 The appointment and deployment of teaching and support staff of the Operator
are effective in ensuring that they have appropriate academic, vocational or
professional qualifications. They should also possess relevant and up-to-dateexperience/knowledge and skills in the development, management, delivery andassessment of outcome-based learning programmes and in the review andquality assurance of such programmes.
PIR-2.5 The Operator has effective measures to ensure that staff workload is maintained
at a reasonable level to ensure staff development and/or undertaking ofprofessional/scholarly activities.
Explanatory Notes for PIR-2
Why this accreditation standard is important
This standard is to ensure that the Operator has a high quality and committed workforce
which shares the vision and mission of the organisation, and is able to translate the visionand mission into concrete plans, actions and outcomes at the organisational andprogramme area levels. This requires identification of the desirable attributes of theworkforce and careful planning to acquire and/or develop those attributes. Organisational
leadership should be embedded within the governance and management system and not
be solely reliant on individual staff.
Matters for consideration
 The staff profile has an appropriate mix of full-time/part-time, teaching/non-teaching,academic/practitioners, and staff at different stages of their career development.
 Staff members are active in research, publication, consultancy, and/or otherprofessional/scholarly activities.
 The Operator identifies a relevant set of measures of teaching effectiveness andapplies them effectively to inform staff appraisal and development.
 Staff engagement is high in programme planning, development and review processes.
 There are mechanisms, such as co-teaching, to facilitate exchange of experience andskills among staff members.

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Domain: PIR-3 Programme Area Development and Management
Accreditation Standard
The Operator must demonstrate that the processes for programme approval, development,
review, as well as the formulation of strategic plans at both the organisational andprogramme area levels, are linked and continue to remain effective to meet its
educational/training objectives within the approved programme area(s).
Minimum requirements:
PIR-3.1 The design of the learning programmes is effective in terms of level, coherence,balance and progression.
PIR-3.2 The learning, teaching and assessment activities remain effective in relation to theintended learning outcomes within the programme area(s).
PIR-3.3 The learning programmes remain current and valid in the light of developments in
the related field of disciplines, industries or professions.
PIR-3.4 The Operator has appropriately benchmarked the outcome standards and quality
with the claimed HKQF level(s) with organisations or learning programmes in asimilar context.
Explanatory Notes for PIR-3
Why this accreditation standard is important
This standard is to ensure that the Operator organises programme area development as along-term undertaking. Effective alignment of all planning activities is essential for ensuring
successful development of programme areas. This kind of alignment happens at the level ofstrategic planning where decisions on resources and priorities are made. Appropriatenessof programme area development would be recognised by the learners, employers,
academic/industry partners and the community at large.
Matters for consideration
 Depending on the purpose of the approach adopted for benchmarking, an appropriate
benchmarking methodology is adopted accordingly. Results of benchmarking are
considered at the right level(s) for improvement actions.
 External quality assurance, accreditation or professional recognition confirms the qualityof learning programmes, including attainment of learning outcomes.
 Admission profile and ratio of applicants to planned places show that the learning
programmes in the approved programme area(s) have high demand.
 Programme planning within the approved programme area(s) promptly responds to newopportunities and challenges, supported by adequate financial and resource planning.
 Strong ties and/or collaborations have been established between the approved
programme area(s) and the relevant disciplines, industries or professions.
 Learners, alumni and staff achievements from the approved programme area(s) receive
recognition from the relevant disciplines, industries or professions.

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Domain: PIR-4 Management of Resources and Services
Accreditation Standard
The Operator must demonstrate that, within the approved programme area(s), themechanisms for management and deployment of resources and services continue to beeffective to meet the educational/training objectives, as a result of implementing
organisational resource allocation policies and financial budgets.
Minimum requirements:
PIR-4.1 The Operator has effective resource planning covering human, financial, physicaland information resources.
PIR-4.2 The financial management is effective to ensure the sustainability of the deliveryof their learning programmes in meeting the educational/training objectives.
Decisions on such plans are made with the support of relevant and sufficient dataand information.
PIR-4.3 The decisions on resource allocation to support learning, teaching andassessment within the programme area(s) have taken into account feedback
obtained through various channels, with a view to long-term development of its
learning programmes.
PIR-4.4 The feedback from users on the quality and adequacy of learning, teaching andenabling resources is regularly collected and acted upon, and used to informfuture planning.
PIR-4.5 Adequate learner support services have been identified and provided by the
Operator, and have been informed by programme planning and analysis oflearner characteristics.
Explanatory Notes for PIR-4
Why this accreditation standard is important
This standard is to ensure that educational/training resources and support services areavailable and suitable to ensure effective learning, teaching and assessment on an ongoing basis. This requires careful planning to ensure that funding is available,
development/procurement is timely and training on applying resources in learning/teachingis provided to learners and staff. Within an organisation, resources are typically shared andtherefore coordination and scheduling are required to maximise the utilisation and costeffectiveness of resources, and to minimise the impact on the availability and/or quality ofresources.
Matters for consideration
 Appropriate resource allocation has been made to ensure adequate learning andteaching resources be provided to the learners for the purpose of effective andindependent learning. Such support may include but is not limited to library resources,
teaching accommodation, laboratories and other workshop facilities and access to
information technology resources.
 Appropriate technologies and reporting tools are adopted to support resource planning.
 Appropriate learner support services are available to meet the needs of the learners.
 Suitable technologies are deployed to provide timely feedback to learners and staff.

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Domain: PIR-5 Organisational Quality Assurance and Enhancement
Accreditation Standard
The Operator must demonstrate its on-going maintenance of an effective quality assurance
system for ensuring the quality and standards of its learning programmes at the stated
HKQF level(s) in the approved programme area(s), aligning with its educational/training
objectives.
Minimum requirements:
PIR-5.1 The policies on admission, assessment, measurement of quality of learning
outcomes, programme approval, staff quality, review and feedback mechanisms,
resources and support facilities are effective and relevant to the approved
programme area(s).
PIR-5.2 New policies and procedures in regard to the approved programme area(s) areapproved through appropriate processes, and implemented through involvementof relevant personnel as appropriate.
PIR-5.3 The quality assurance system is effective in benchmarking and ensuring that theexisting and new learning programmes developed within the approved
programme area(s) meet the expected HKQF standards.
PIR-5.4 The feedback from stakeholders has resulted in improvement actions for theapproved programme area(s) and organisational effectiveness.
PIR-5.5 The staff members responsible for managing, delivering and assessing thelearning programmes takes effective actions to address weaknesses, build on
strengths, and generally develop a culture of continuous improvement and quality
enhancement.
Explanatory Notes for PIR-5
Why this accreditation standard is important
This standard is to ensure that quality assurance of the Operator focuses on evaluating how
effective it is in accomplishing its vision and mission and achieving its educational/training
objectives, through an on-going, evidence-based and participatory self-reflection process.
This is to ensure that the organisation is responding to changes, enhancing its effectivenessand is focused on quality, in pursuit of its organisational aims.
Matters for consideration
 Appropriate evidence, both direct and indirect, is systematically collected, analysed andinterpreted to inform quality assurance decisions in a timely manner.
 Findings from quality assurance activities are fully discussed at the right level(s) andacted upon if necessary.
 The governing and management bodies routinely receive reports on effectiveness ofimprovement actions.
 The governing and management bodies have made it a priority to monitor theeffectiveness of quality assurance, and the alignment between its vision and mission,educational/training objectives and offerings.
 The quality assurance system ensures its integrity and objectivity by engaging external
input and incorporating checks and balances between those who take actions andthose who review actions.

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6. Outcomes of Accreditation
6.1

In the capacity of the Accreditation Authority provided for under the
AAVQO (Cap. 592) and the HKCAAVQ Ordinance (Cap. 1150),
HKCAAVQ makes an accreditation determination in the accreditation
report after considering the Accreditation Panel’s recommendation(s)(taking into account the Terms of Reference of the accreditation
exercise as specified in the signed Service Agreement) and theavailable evidence. The possible determinations by HKCAAVQ are:(a)
Approval(b)
Approval with condition(s) and/or restriction(s)(c)
Non-approval

6.2

For the approval determination, the Operator and/or the learning
programme(s) have to meet all the accreditation standards holisticallyand in part.

6.3

A decision to impose Conditions, either as pre-conditions or
requirements, forms part of HKCAAVQ’s accreditation determination.
Conditions are included in the accreditation determination when
HKCAAVQ, based on the Panel’s recommendation, considers that the
Operator is to fill certain critical gaps in order to fully and holisticallymeet the accreditation standards through the fulfilment of specified
Condition(s). Accordingly, if the accreditation report includes
Conditions, the approval determination by HKCAAVQ has effectsubject to those Conditions being fulfilled. Operator must provide
evidence for fulfilment of Conditions by the specified dates. Afterconsidering the evidence HKCAAVQ and/or the accreditation Panel
may request further information or seek clarifications, if necessary.
Operators are expected to complete the fulfilment of the Conditions
normally within 3 months from the first submission.

6.4

Conditions must be fulfilled in order for the programme or Operator tomeet the relevant standards. This being the case, if an Operator fails to
fulfil the Condition(s), the approval determination in the accreditation
report does not have effect.

6.5

Pre-conditions must be fulfilled prior to the start of the validity period
imposed on an IE, LPA, re-LPA, PAA and PIR status. The accreditation
approval does not take effect if pre-conditions are not fulfilled.

6.6

Requirements must be fulfilled within the validity period. HKCAAVQ
may vary or withdraw an accreditation report if requirements are notfulfilled.

6.7

A decision to impose Restrictions can also form part of theaccreditation determination, to be complied with by an Operator by the
specified date before the validity period and/or to be complied withduring the validity period. The Operator’s ability to comply with a

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Restriction is normally dependent on actions taken by Third Parties,
such as government departments or professional bodies.
6.8

An Operator should ensure that it obtains all approvals andregistrations necessary in order for it to operate the learning
programme(s) and shall maintain and comply with the terms of all suchapprovals and registrations for the duration of the validity period. If it isstated in the programme aims/objectives or intended learning
outcomes that a programme would lead to a third party approval, e.g.
professional recognition (e.g. Nursing, Social Work qualifications)licence to practice (e.g. Health Worker training, Security Guard’s
training), or approval from government bureaux (e.g. early childhood
education programmes), HKCAAVQ will impose a Condition or
Restriction to specify that the programme has to secure such third
party approval.

6.9

Third party approval may be granted after HKCAAVQ accreditation.
However, some professional bodies/licencing authorities require
programme accreditation and a certain period of programme operation
before Operators are eligible to apply.

6.10

Accordingly, if HKCAAVQ’s accreditation determination includes a
Restriction in regard to third party approval that is to be obtained
immediately after HKCAAVQ accreditation, then the validity period of
the programme does not commence until such third party approval is
obtained; and the approval of the programme ceases to be effective if
the Restriction does not continue to be complied with. For those
programmes where third party approval is only granted after
programme commencement, failure to obtain the third party approval
may lead to variation or withdrawal of the accreditation report.

6.11

Operators should liaise with HKCAAVQ and the relevant professional
bodies well ahead of time when planning for HKCAAVQ and the related
professional accreditation, so as to ensure appropriate timing for thetwo processes to the extent possible and to avoid unnecessary delay inthe offering of programmes.

6.12

Operators should inform HKCAAVQ immediately in cases where arequired third party approval is withdrawn by the respective authority or
professional body. HKCAAVQ may vary or withdraw the accreditation
report in cases of non-compliance with a Restriction.

6.13

Recommendations have a purpose for continuous improvement andare directly related to the accreditation standards. Recommendations
are non-binding in nature but an Operator should explain if/how therecommendations have been addressed at the time of re-accreditation
or PIR.

6.14

Advice is an opinion of the Accreditation Panel for the improvement of
an Operator and/or learning programme(s). It is for the sharing of good

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practice in education and training among peers. It is non-binding andthe Operator is not required to report follow-up actions taken, if any, to
HKCAAVQ.
6.15

A Statement of Accreditation Approval confirming the granting of theaccreditation status to an Operator is issued along with theaccreditation report when no pre-condition is specified, or uponsatisfactory fulfilment of all the pre-condition(s). For local degree
programmes, the Statement of Accreditation Approval is issued upon
approval of the Chief Executive-in-Council, where appropriate.

6.16

In the accreditation process, if there are significant inadequacies
identified by the Panel against the accreditation standards holisticallyand in part, which are so fundamental that the Operator is considered
not ready for the accreditation status it has applied for or tooffer/continue to offer an accredited programme, or where the Panel isof the view that the Operator has not demonstrated in a convincing way
the capability to address the essential issues of concern within areasonable timeframe, the accreditation will be non-approved.
Validity Period

6.17

Where approval is granted, a validity period will be specified as part of
the accreditation determination in the accreditation report as follows:
Stage
Initial Evaluation
Learning Programme Accreditation/Reaccreditation
Programme Area Accreditation
Periodic Institutional Review*

Validity Period (Years)2
N + 1*
5
5

The validity period for LPA and re-LPA is linked to programme quality andprogramme duration. Under normal circumstances, the validity period is N + 1
years, where N is the programme duration (or the duration of the home
programme in the case of NLPs) in years.

Appeals
6.18

Under the Accreditation of Academic and Vocational Qualifications
Ordinance (Cap 592), organisations aggrieved by QF-related decisions
made by the HKCAAVQ may appeal to the Appeal Board of the
Education
Bureau.
Please
refer
to
Cap.
592A
(www.elegislation.gov.hk) for the appeal rules. Details of the appeal
procedures are available at www.hkqf.gov.hk.

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7. Accreditation Status
Entry of Qualification into the QR
7.1

Successfully (re-)accredited programmes can be entered into and stayon the QR for the approved validity period upon the fulfilment of any
conditions and/or compliance with any applicable restrictions, andpayment of the fee as determined by the QR Authority. In the case ofqualifications of NLPs, such qualifications attained by individual
learners are recognised as meeting the same standard of comparable
qualifications at the approved HKQF level(s) obtained in Hong Kong.

7.2

For an Operator with PAA status, the learning programmes under theapproved programme area(s) can be entered into and stay on the QR
for the approved validity period in accordance with the terms andprocedures stipulated by the QR Authority without going through
LPA/re-LPA by HKCAAVQ.

7.3

Further information on entering qualification(s) of an accredited
learning programme into the QR is available on the QR website atwww.hkqr.gov.hk.
Other Follow-up Actions during Validity Period
Initial Evaluation

7.4

Within the two-year validity period, an Operator must have at least one
programme successfully accredited. If an Operator continues to havelearning programme(s) accredited through successful LPA/re-LPA,
their IE status remains valid. The IE status of an Operator lapses whenthe validity period of its last accredited programme on the QR expires.

7.5

A new Operator without any current accredited programmes on the QR
after the end of the initial two-year validity period of their IE status may
apply for an extension normally three months before the validity period
expires. For an existing Operator fails or plans not to fulfil any
Condition of its last accredited programme on QR by the prescribed
date, or plans not to seek re-LPA for its last accredited programme, theOperator may apply for an extension of its IE status. The Operator
should explain the reason for seeking extension and the plans to offer
accredited programme(s) within the extended validity period. An
extension of up to two years may be granted. Only one extension of thevalidity period of IE status will normally be allowed. Notice in writing of
the HKCAAVQ’s decision will be provided to the Operator.

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Learning Programme Re-accreditation
7.6

An Operator should submit a Statement of Intent (SoI) for re-LPA atleast 10 months before the expiry date of the validity period of its
accredited learning programme(s).

7.7

If re-LPA is not successfully completed with the approval obtained
before the expiry date, including the fulfilment of any pre-conditions
and compliance with any restrictions, the accreditation status of thelearning programme(s) will lapse and the corresponding qualificationsof the learning programme(s) on the QR will be indicated as “expired”.

7.8

An Operator that wishes to apply for an extension of validity period fora learning programme, other than by re-accreditation, may only do soon the basis of unforeseen circumstances not within the control of the
Operator itself. Details are available in the Policy on Extension of
Learning Programme Validity Period on the HKCAAVQ website atwww.hkcaavq.edu.hk.
Programme Area Accreditation

7.9

An Operator with PAA status is required to provide an annual return to
HKCAAVQ to report the new learning programme(s) offered and thelearning programme(s) phased out under the approved programmearea(s). Annual returns are vetted by HKCAAVQ.

7.10

To maintain the PAA status, an Operator must have successfullycompleted a PIR that covers the relevant programme area(s) before
the expiry of the validity period of the PAA status. An Operator may
lose its PAA status if the validity period expires before it can
successfully complete a PIR with the approval obtained covering therelevant programme area(s).

7.11

If PAA is not successful, an Operator’s accredited learning
programme(s) within the proposed programme area will continue to be
subject to cycles of re-LPA, before expiry of the validity period formaintaining the accreditation status.
Periodic Institutional Review

7.12

If a PIR is successful, the PAA status of the approved programme
areas covered by the PIR will remain valid within the validity period.

7.13

An Operator who decides not to undertake PIR, but wishes to have its
learning programme(s) covered by the formerly granted PAA status
recognised under the HKQF must apply for re-LPA at least 10 months
prior to the expiry of the PAA status.

7.14

An Operator who fails to maintain its PAA status, but wishes to have its
learning programme(s) covered by the formerly granted PAA status

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recognised under the HKQF must apply for re-LPA. If the re-LPA is not
successfully completed with the approval obtained before the expiry of
the PAA status, including the fulfilment of any pre-conditions andcompliance with any restrictions, the corresponding qualifications of thelearning programme(s) on the QR will be indicated as “expired”.
Substantial Change to Accreditation Status
7.15

An Operator is required to seek approval from HKCAAVQ for
substantial change(s) to the accreditation status in order to maintainthe accreditation status.

7.16

If an Operator plans to implement substantial change(s) after thecompletion of a forthcoming re-LPA/PIR, the Operator is advised toconsult HKCAAVQ as to whether relevant information of the planned
substantial change(s) can be included in the Accreditation Document
for the re-LPA/PIR. If the re-LPA/PIR completes successfully withapproval that covers any planned substantial change(s), a separate
application to seek prior approval for the substantial change(s) is not
required.

7.17

For an Operator with PAA status, prior approval from HKCAAVQ may
not be required for implementing substantial changes to programmes
under the approved programme areas of PAA status. The Operator
may consult HKCAAVQ before the implementation of the changes, if in
doubt.

7.18

The purpose of obtaining prior approval or seeking advice fromHKCAAVQ for any substantial change is to ensure that the Operator
can continue to meet the accreditation standards after implementing
the change. The Operator should also observe and ensure compliancewith the other relevant standards or guidelines promulgated by theGovernment, licensing or regulatory authorities and/or professional
bodies that may be applicable to their learning programme(s).

7.19

Further information on substantial change to accreditation status isavailable in the Guidance Notes on Substantial Change to
Accreditation
Statuson
the
HKCAAVQ
websiteatwww.hkcaavq.edu.hk.
Variation of Accreditation Determinations

7.20

The provisions of the s.5(2) of AAVQO (Cap. 592) specify thatHKCAAVQ may vary or withdraw an accreditation report if it is satisfied
that:
(a)
in any particular case, the report has been produced in relianceon any misleading or false statement, representation or
information, either oral or in writing;(b)in the case of a report on an Operator, the Operator is no longer
competent to achieve the objectives as claimed by the Operator

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(c)

(d)

(e)

whether by reference to the Operator’s failure to fulfil any
conditions and/or comply with any restrictions specified in an
accreditation report or otherwise;in the case of a report on a learning programme, the programme
no longer meets the standard to achieve the objectives of the
programme as claimed by the Operator whether by reference to
the Operator’s failure to fulfil any conditions and/or comply withany restrictions specified in an accreditation report or otherwise;in the case of a report on a qualification, the skills, knowledge orexperience recognised by the qualification no longer meet theparticular standard as determined in the report; orthere has/have been substantial change(s) introduced by the
Operator after HKCAAVQ has issued the accreditation report(s)to the Operator and which has/have not been approved by
HKCAAVQ.

HKCAAVQ shall give notice in writing of the decision to the Operator.
Cessation of Operations and/or Accredited Programmes
7.21

An Operator of accredited programmes may decide to cease
operations or cease operating accredited programmes for various
reasons. The relevant policy and advisory notes are available in the
Policy and Advisory Notes on Cessation of Operations and Teach-out
Arrangements for Cessation of Accredited Programmes on the
HKCAAVQ website at www.hkcaavq.edu.hk.

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8. Feedback
8.1

HKCAAVQ seeks feedback on its services. Feedback is usually
collected via the following formal means with respective stakeholders,with a view to continuously enhancing HKCAAVQ’s services:(a)Accreditation Panel’s opinion survey after the issuance ofaccreditation report or outcome letter of each accreditation
exercise.
(b)
Annual survey of Operators using the accreditation services.
(c)
Meeting with Operators on various occasions, e.g. focus groups
and Operators’ consultations, liaison committee meetings, or
meetings to clarify points made in the accreditation report.
(d)Online collection of public comments and suggestions on the
HKCAAVQ
websiteatwww.hkcaavq.edu.hk/en/contactus/comments-and-suggestions.

8.2

Findings from the feedback collected and follow-up actions are sharedwith stakeholders through written reports, during training workshops
and in briefings to Operators.

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9. Accreditation Fees
9.1

HKCAAVQ is a statutory, not-for-profit, self-financed body.
HKCAAVQ’s accreditation fee schedule is approved by the Secretaryfor Education for accreditation exercises undertaken by HKCAAVQ.
Each fee in the Process relates to accreditation of an Operator or aprogramme at a particular HKQF level and at a particular stage in theProcess. The exact accreditation fee for a specific exercise is specified
in the Service Agreement.

9.2

The fee schedule is subject to annual review. The latest fee schedule isavailable on the HKCAAVQ website at www.hkcaavq.edu.hk.

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Appendix 1
Roles and Responsibilities of Operators in Accreditation
1.

Accreditation is voluntary and initiated at the request of the Operator.
The Service Agreement signed by both HKCAAVQ and the Operator
provides terms and conditions, including the roles and responsibilitiesof the parties. Upon signing the Service Agreement, the Operator is
expected to cooperate with HKCAAVQ and its Accreditation Panel so
as to ensure that accreditation process proceeds as smoothly as
possible.

2.

Under the evidence-based principle, it is the responsibility of the
Operators to provide evidence to demonstrate their compliance withthe accreditation standards as well as any applicable statutory
requirements in Hong Kong. The Evidence Guide provides guidance ingeneral to Operators for the selection and presentation of evidence todemonstrate that the accreditation standards have been met.
Operators should determine the evidence as appropriate to theirindividual application(s).

3.

The Operator is responsible for the full and frank disclosure of all
relevant documents as evidence required for assessment by
HKCAAVQ and the Accreditation Panel throughout the accreditation
process. Limited disclosure will therefore be considered by the
Accreditation Panel as insufficient evidence. HKCAAVQ understands
that some of the information requested may be sensitive and of aconfidential nature and will keep such information confidential. All
Accreditation Panel Members will be required to sign a confidentiality
statement and all confidential information will be treated as such by the
Accreditation Panel.

4.

Operators are expected to perform the following responsibilities in theaccreditation exercise:(a)

To clear the list of Accreditation Panel membership for potential
conflict of interest between the proposed Panel member(s) andthe Operator.

(b)

To submit an Accreditation Document of a self-evaluative nature(or a Submission Form, as appropriate, for Operators withvocational and professional programmes) to demonstrate that
the Operator/learning programme meets the standards
promulgated in this Manual.

(c)

To attach to the Accreditation Document (or the Submission
Form, as appropriate) supporting documents as evidence inrespect of its application.

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(d)To provide additional information/documentation at theAccreditation Panel’s request, including information requested
before and during the site visit.

(e)

To prepare for the site visit, in line with the requirements
stipulated in the relevant set of guidance notes as well as on
further advice by HKCAAVQ Secretariat. This includes ensuringthat all persons that the Accreditation Panel has requested tointerview are available for the specified interview sessions
during the site visit. To prepare the interviewees for meaningful
discussions with the Accreditation Panel, the Operator is toadequately brief them in advance. The Operator may provide
input to the planned site visit programme for HKCAAVQ’sconsideration prior to finalisation. If deemed necessary, theAccreditation Panel may make changes to the visit programmeduring the site visit.

(f)

To participate in the interview sessions and engage in thediscussions with the Accreditation Panel during the site visit.

(g)

To ensure that there are suitable facilities available during thesite visit, including availability of a private meeting room with
sufficient space for the Accreditation Panel and the interviewees,
access to documents requested, and provision of reasonable
refreshments in accordance with the administrative guidancenotes for site visits.

(h)To provide feedback on the factual accuracy of the draft
accreditation report.

(i)

To comply with all requirements that underpin the Process, theHKQF and the QR.

(j)To provide feedback during the Annual Operators’ Feedback
exercise.

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Appendix 2
The Facilitation Phase
The purpose of the Facilitation Phase is to enhance Operators’ awareness of
the accreditation requirements and facilitate their preparation for theaccreditation exercise. Both new and accredited Operators can apply for thepreviewoftheAccreditation
Document(foracademic
programmes)/Submission Form as appropriate (for vocational andprofessional programmes). The Facilitation Phase may also be initiated by
HKCAAVQ. Some examples of such Operators are:

Operators applying for combined IE and LPA for the first time;
Operators with valid IE status but applying for IE at a HKQF level
higher than the approved level; andOperators applying for Learning Programme Accreditation forprogrammes in a new area or at a higher HKQF level.

Initial observations on the completeness and relevance of the submitted draft
document will be provided to Operators. No judgement is made on whether
the Operators can meet the accreditation standards. The initial observations
are independent from any judgement made by the Accreditation Panel.

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The following flow chart shows the main steps of the Facilitation Phase:

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Appendix 3
Roles and Responsibilities of Accreditation Panel Members/Finance andCorporate Governance Expert
Accreditation Panel
1.

Under the “peer review” principle, accreditation determination anddecisions are made by HKCAAVQ after consideration ofrecommendations made by peers involved in the exercise as membersof an Accreditation Panel.

2.

The role of the Accreditation Panel is to assess the quality of Operatorsand their learning programmes in accordance with the required
accreditation standards of the respective stages of the Process; and tocollect and evaluate evidence and form a judgement as to whether the
Operators or their learning programmes meet the required
accreditation standards and stated aims. The Accreditation Panelworks according to the principles set out within the relevant Guidelinesand guidance notes for the fulfilment of the Terms of Reference
specified in the signed Service Agreement for the accreditation
exercise.

3.

In order to perform their duties effectively and efficiently, Panel
Members are required to do the following: attend training and/or abriefing session(s), familiarise themselves with HKCAAVQ
accreditation requirements and procedures, thoroughly read theAccreditation Document and supporting documentation supplied by therelevant Operator(s), make initial comments on the Accreditation
Document and supporting documentation against the required
evidence, accreditation standards and matters for consideration,
participate in the site visit; and share views and put forward
recommendations to HKCAAVQ as an Accreditation Panel.
Accreditation Panel Members are also expected to share their views on
the draft accreditation report as well as on the fulfilment of thecondition(s) and/or compliance with the applicable restriction(s) by the
Operator(s) as and when appropriate.

4.

The respective roles of the Accreditation Panel Chair, the Accreditation
Panel Members and the Accreditation Panel Secretary are outlined
below:

4.1

Accreditation Panel Chair
(a)
(b)
(c)

To lead the Accreditation Panel in the accreditation exercise.
To advise on the visit programme of the accreditation exercise.
To receive the expert opinion of the Finance and Corporate
Governance Expert (if appointed for the case in point) via the
Accreditation Panel Secretary on issues relating to financial
management and corporate governance; and to relay the

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(d)
(e)
(f)
(g)
(h)
(i)

4.2

Accreditation Panel Members
(a)
(b)
(c)

(d)
(e)

4.3

information to the Accreditation Panel for consideration when
making a judgement on the accreditation outcome.
To chair the pre-visit meeting and any meetings of theAccreditation Panel.
To direct the flow of discussion in all meetings and to maintain afocus on the issues in hand.
To provide overall guidance in order to satisfactorily complete
the exercise.
To lead the Accreditation Panel deliberation on the accreditation
outcome for recommendation to HKCAAVQ.
If required, to put the matter to the vote; where votes are tied,
the Panel Chair shall have a second vote.
In addition to the above, to perform all other roles required ofAccreditation Panel Members.

To make preparations for the accreditation exercise in good time.
To comply with all relevant guidelines and guidance notes of
HKCAAVQ, and Code of Conduct for Accreditation Panels.
To provide observations and findings throughout theaccreditation exercise including but not limited to providing initialcomments, participating in site visit and sharing views during
Accreditation Panel meetings.
To deliberate on the accreditation outcome and makerecommendation to HKCAAVQ.
To provide comments on the draft accreditation report and makerecommendations to HKCAAVQ on the fulfilment of any precondition(s)/requirement(s).

Accreditation Panel Secretary (i.e. HKCAAVQ Case Officer)(a)(b)

As a member of the Accreditation Panel and as the Secretary of
the Accreditation Panel.
To perform the following roles:(i)
To assist the Accreditation Panel to understand
HKCAAVQ’s accreditation policies and standards, HKQF
standards and practices, local educational system anddevelopment, special features of the accreditation
exercise at hand, and any precedents that may be
relevant to the exercise for alignment and consistency.
(ii)
To provide professional support in the conduct of theaccreditation exercise, and preparation of accreditation
reports.

Finance and Corporate Governance Expert (Expert)
5.

A specialist with expertise in finance and/or corporate governance may
be engaged as an Expert in an accreditation exercise by HKCAAVQ toadvise on the financial viability and sustainability of theManual for the Four-stage Quality Assurance Process under the HKQF

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Operator/learning programme under accreditation. The Expert only
provides expert opinion to the Accreditation Panel Chair via the
Accreditation Panel Secretary on related issues and is not part of theAccreditation Panel. Therefore, he/she does not participate in the
Accreditation Panel’s decision-making process and shall not attend thesite visit, unless considered necessary by the Accreditation Panel Chairon the advice of the Accreditation Panel Secretary. If necessary, theExpert may be invited by the Operator to pay a pre-visit to facilitate
triangulation and evidence collection as supplement to a purely paper
based approach.
Code of Conduct
6.

The Accreditation Panel and the Expert are subject to the same codeof conduct and compliance with confidentiality applicable to all
HKCAAVQ Panel Members. Before finalisation of the Accreditation
Panel and/or the Expert, there is a checking of conflict of interest with
the Operator as declared in writing by potential Accreditation Panel
Members and/or the Expert. Further details are available in the Code of
Conduct for Panels available on the HKCAAVQ website atwww.hkcaavq.edu.hk/en/services/policies.

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Appendix 4

Detailed Workflow of the Four-Stage Quality Assurance Process
The detailed workflow with the actions to be taken by the corresponding
responsible parties for each stage of the Process are outlined below:

Responsible
Parties

Operator

HKCAAVQ /Operator

HKCAAVQHKCAAVQ

Operator

Operator

Steps

Indicative Timeline (Week No.)
IE and LPA/
re-LPA
For
For
PAA
PIR
HKQF
HKQF
Levels Levels
1-3
4-7

1. Submission of Statement ofIntent (SoI)
1.1 An Operator indicates its
intention to seek
accreditation by submitting
an SoI and the required
attachments.
2. The Facilitation Phase (ifapplicable)
2.1 Please refer to Appendix 2of this Manual for details.
3. Notification of differentiation
approach, if applicable.
4. Signing of Service Agreement
4.1 HKCAAVQ issues a Service
Agreement setting out the
purpose, time schedule andfee for the exercise.
4.2 After signing the Service
Agreement and making
payment of the initial/full
accreditation fee, theOperator is required tosubmit the Accreditation
Document according to theschedule specified in theService Agreement.
5. Preparation of Accreditation
Document
5.1 To prepare the Accreditation
Document, the Operator isadvised to conduct a selfevaluation making reference
to the respective
accreditation standards andmatters for consideration,and the respective Evidence

Preparation Period

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HKCAAVQ
Operator

HKCAAVQ /Operator

HKCAAVQ

Operator

Operator

HKCAAVQ /Operator

HKCAAVQ

Guides/Submission Forms (ifapplicable).
6. Formation of Accreditation Panel
6.1 The Panel Members arenominated by HKCAAVQ
6.2 Appointment is confirmed
after checking for conflict ofinterest with the Operator inwriting.
7. Accreditation Document
submitted and reviewed byAccreditation Panel
8. Accreditation Panel’s initialcomments on Accreditation
Document and Operator’s
response
8.1 The Accreditation Panelprovides initial comments on
the Accreditation Document
and requests additional
information as needed.
8.2 The Operator provides
response to theAccreditation Panel’s initialcomments.
8.3 Further
information/clarification may
be needed from theOperator.
9. Site visit or meeting
9.1 There is a site visit
conducted by the
Accreditation Panel ormeeting(s) held at
HKCAAVQ office between
the Operator and theAccreditation Panel.
9.2 The Accreditation Paneltypically meets management
representatives, other key
staff, learners and external
stakeholders; and inspects
facilities and examines
records and other supporting
documents.
9.3 There is an exit meeting
session with representativesof the Operator at the end of
the site visit or meeting(s).
The exit meeting will provide
a general overview of theAccreditation Panel’s key
observations.
9.4 There may be post-visit or
post-meeting follow-up, if
necessary.
10. Preparation of accreditation
report10.1 HKCAAVQ may issue aninterim report based on the

Manual for the Four-stage Quality Assurance Process under the HKQF

Weeks
1-3

Weeks
1-4

Weeks
1-4

Weeks
1-4

4-7

5-8

5-10

5-10

9

10

12

12

10-15

11-19

13-23

13-23

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HKCAAVQ

Operator

HKCAAVQ

Operator

HKCAAVQHKCAAVQ

Accreditation Panel’s
recommendations (ifapplicable).
10.2 HKCAAVQ finalises theaccreditation report after
considering theAccreditation Panel’s
recommendations.
HKCAAVQ makes the final
determination.
11. Operator’s check of factual
accuracy of accreditation report
12. Notification of outcome
12.1 HKCAAVQ issues theaccreditation report.
13. Follow-up Actions
13.1 If Conditions (i.e. preconditions and/or
requirements) and/or
restrictions are stipulated in
the accreditation report, theOperator must provide
evidence of having fulfilled
them by the specified dates.
After considering theevidence HKCAAVQ may
request further informationor seek clarifications, if
necessary.
13.2 If the Operator cannot fulfil /comply with the Conditions
and/or restrictions within theallowable period,
HKCAAVQ may deem that
the Operator and/or
programme is no longer
competent to achieve its
objectives and theaccreditation report may bevaried or withdrawn.
13.3 HKCAAVQ will issue an
outcome letter on thefulfilment of Conditions.

Manual for the Four-stage Quality Assurance Process under the HKQF

16

20

24

24

Operators are expected to complete
the fulfilment of Conditions normallywithin 3 months from the firstsubmission.

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Glossary
TermDefinition

Accreditation
Authority (AA)HKCAAVQ is specified in Part 1 of Schedule 1 of theAccreditationofAcademicandVocational
Qualifications Ordinance (AAVQO) (Cap. 592) toaccredit Operators and learning programmes for the
purpose of entering their qualifications into the
Qualifications Register (QR), for recognition under the
Hong Kong Qualifications Framework (HKQF).

Accreditation
Document

Prepared by the Operator to substantiate its claim of
meeting the required standards when undertaking any
stage(s) of the Four-stage Quality Assurance Process.

Accreditation Panel

A panel consisting of specialists with expertise in therelevant discipline/industry/quality assurance issues. It
is formed to assess the Operator/learning programmesin each stage of the Four-stage Quality Assurance
Process under the guiding principle of ‘peer review’,
with a HKCAAVQ staff member, who is also a Panel
Member, serving as the Accreditation Panel Secretary.

Accreditation Report

A report issued by HKCAAVQ pursuant to section 5 of
the AAVQO on completion of any stage of the Fourstage Quality Assurance Process after conducting therelevant accreditation tests.

Accreditation
Standards

The level of competence or quality that an Operator ora learning programme has to demonstrate in an
accreditation test, for operation of learning
programmes that meet HKQF standards.

AdviceAn opinion of the Accreditation Panel for the
improvement of an Operator and/or learning
programme(s). It provides for the sharing of goodpractice in education and training among peers. It is
non-binding and the Operator is not required to reportfollow-up actions taken, if any, to HKCAAVQ.

Collaborative
Provision

A learning programme leading or contributing to theaward of credit or a qualification that are delivered,assessed or supported through an arrangement
involving more than one parties.

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Term

Definition

Condition

Part of the accreditation determination which is to be
fulfilled by an Operator prior to the start of the validity
period of the accreditation status (pre-condition), or by
the specified deadline(s) during the validity period(requirement).

Differentiation

The approach with which track record of good
performance of an Operator is being recognised forconsideration of customised treatments in individual
accreditation exercise.

Domain ofCompetence

An aspect of organisational competence to beassessed in a stage of the Four-stage Quality
Assurance Process. Under each domain, an
accreditation standard is developed to describe thelevel of competence required in relation to the purposeof that stage.

Evidence-based

One of the guiding principles in accreditation that
accreditation judgement is to be made on the basis ofevidence provided by the Operator to support its
claimed attainment of the accreditation standards andits own objectives.

Facilitation Phase

A step incorporated in Initial Evaluation (IE), Learning
Programme Accreditation (LPA) and Re-accreditation(re-LPA) that helps Operators to familiarise themselveswith the accreditation requirements and process.

Fitness for Purpose

One of the guiding principles in accreditation that thestated objectives and scope of an Operator are to betaken into consideration in assessing whether thelearning programme(s) meet(s) the claimed HKQF
level(s).

Four-stage Quality
Assurance Process(the Process)A quality assurance mechanism with four stages, i.e.
Initial
Evaluation(IE),
Learning
Programme
Accreditation (LPA) and Re-accreditation (re-LPA),
Programme Area Accreditation (PAA) and Periodic
Institutional Review (PIR). It forms the means throughwhich HKCAAVQ evaluates Operators and theirlearning programmes under the HKQF.

Hong Kong
Qualifications
Framework (HKQF)

A seven-level hierarchy covering qualifications in theacademic, vocational and continuing education sectors
with level, credit and award title as the key features.

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Term

Definition

Hong Kong
Qualifications
Framework (HKQF)
Level

A level assigned to a qualification to indicate its
position in the hierarchy relative to others under the
HKQF. The level is determined in accordance with aset of Generic Level Descriptors (GLD) which specifies
the outcome standards expected of the qualification atthat level.

Hong Kong
Qualifications
Framework (HKQF)
Standards

The skills, knowledge or experience acquired upon thecompletion of the learning programme that arecommensurate with the requirements under the
specified level of the HKQF.

Initial Evaluation (IE)

The first stage of the Four-stage Quality Assurance
Process that ascertains whether an Operator iscompetent to operate learning programme(s) that meet
HKQF standards up to a certain HKQF level.

Learner Outcome

The competence attained by a learner after successful
completion of a learning programme which is reflected
through assessments.

Learning Outcome

The knowledge, skills and application ability attainedby a learner as a result of completing the learning
programme.

Learning
Programme

A programme of study or training defined by acurriculum (which may consist of one or more
modules, units, subjects or courses or any combinationof those elements) that includes, where the context
permits, any proposed programme of such studies ortraining.

Learning
Programme
Accreditation (LPA)

The second stage of the Four-stage Quality Assurance
Process, the purpose of which is twofold: (i) toascertain whether a learning programme (proposed or
accredited) meets an HKQF standard to achieve theclaimed objectives; and (ii) to ascertain whether the
Operator of a learning programme is competent tocontinuously monitor and improve the effectiveness of
its programme operation to achieve the claimed
programme objectives.

Learning
Programme
Re-accreditation (reLPA)

The cyclical re-evaluation of an accredited learning
programme which shares the same purpose andstandards of LPA, but with a focus on improvements
and demonstrated outcomes since the LPA or the last
re-LPA.

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Term

Definition

Matters for
Consideration

A set of consideration that sets out importantconsiderations for determining whether a standard has
been met, which should be applied within the particular
context of an Operator or learning programme.

Minimum
Requirements

A set of essential features of an Operator or learning
programme to assist making an holistic judgement as
to whether an accreditation standard has been met ornot. The minimum requirements are not meant to be
used as checklists.

Non-local Learning
Programme (NLP)
Accreditation

Accreditation of a non-local course (learning
programme), registered or exempted from registration
under the Non-local Higher and Professional
Education (Regulation) Ordinance (Cap. 493) for
seeking recognition under the HKQF.

Online Learning
Programme

A programme delivered through a digital learning
platform to provide structured teaching, learning andassessment, and the programme has more than 50%
of instruction delivered online.

Operator

A person, school, institution, or organisation or other
body, the whole or part of the business of which
includes the operation of any learning programme or
any part of a learning programme.

Organisational
Outcome

The performance of an Operator in relation toachieving its vision and mission through effective
governance and management.

Outcome-based
Approach

An educational paradigm based on the learner-centred
model focusing on what learners can actually do. The
HKQF is underpinned by the outcome-based
approach, which also set the context of the design anddevelopment of HKCAAVQ’s accreditation standards
and process.

Outcome-based
Learning
Programme

A programme which is designed with the emphasis onalignment of content, learning and teaching, andassessment to facilitate attainment of the intended
learning outcomes by learners.

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Term

Definition

Peer Review

One of the guiding principles in accreditation thatexperts with the expertise and experience in thediscipline/industry/quality assurance are engaged toform an Accreditation Panel to collect and evaluate
evidence to form an accreditation judgement on thequality of an Operator and its learning programmes.

Periodic Institutional
Review (PIR)

The fourth stage of the Four-stage Quality Assurance
Process that ascertains whether an Operator
continues to be effective in achieving its vision andmission by systematically enhancing the quality of its
operation by formulating and implementing actions
based on evidence.

Pre-condition

Part of the accreditation determination which must be
fulfilled by the Operator prior to the start of the validity
period of the accreditation status.

Procedure

A well-defined sequence of operations.

Process

A set of connected or interacting activities designed todeliver the desired outputs given the inputs.

Programme Area

A defined scope of area of the programme(s) applying
for Programme Area Accreditation (PAA).
A
programme area can be an Area of Study andTraining, a Sub-area in full or a Sub-area in part, one
subject matter or a combination of subject mattersunder the same Sub-area, but not a combination ofAreas of Study and Training or Sub-areas.

Programme Area
Accreditation (PAA)

The third stage of the Four-stage Quality Assurance
Process that ascertains whether an Operator iscompetent to quality assure its learning programme(s)within a programme area up to a certain HKQF level,
as demonstrated from the track record of its operationof accredited learning programmes in a particulardiscipline or industry area, and its capacity to enhance
its organisational effectiveness to achieve theeducational/training objectives.

Programme
Outcome

The performance of a learning programme in relation
to its objectives, which is typically assessed byanalysing information such as stakeholders’ feedback
and employment data.

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Term

Definition

Qualification

A formal award given in recognition of the skills,
knowledge and experience acquired by an individual
upon the satisfactory completion of a learning
programme that meets specified HKQF standards. It is
granted on the basis of formal assessment. The award
title should follow the policy laid down by the Education
Bureau (www.hkqf.gov.hk), and should not include aStatement of Attendance.

Qualifications
Register (QR)

The public face of the HKQF containing all
qualifications that have been quality assured under the
HKQF.

Qualifications
Register (QR)
Authority

HKCAAVQ is specified in Part 2 of Schedule 1 of the
AAVQO to maintain the Qualifications Register.

Recommendation

Part of the accreditation determination which has acontinuous improvement purpose and is directly
related to the accreditation standards. It is non-bindingin nature but an Operator should explain if/how therecommendations have been addressed at the time ofre-accreditation or PIR.

Requirement

Part of the accreditation determination which must be
fulfilled by an Operator by the specified deadline(s)during the validity so as to maintain the accreditation
status.

Restriction

Part of the accreditation determination which is to becomplied with by an Operator by the specified
deadline(s) before the validity period and/or to becomplied with during the validity period.

Service Agreement

A contract between HKCAAVQ and an Operator toundertake an accreditation exercise.

Site Visit

A visit by the Accreditation Panel to the Operator’s
learning centre/campus used for the purpose ofdelivering the learning programme(s) undertaking
accreditation. This is an integral part of an
accreditation exercise, conducted primarily to collectevidence for evaluating whether the accreditation
standards are met.

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Term

Definition

Standards-based

One of the guiding principles in accreditation that an
Operator must demonstrate meeting the accreditation
standards setting out collectively the competence
requirements expected of the Operator and/or its
learning programmes.

Statement of
Accreditation
Approval

An official document issued by HKCAAVQ confirming
the granting of accreditation status to an Operator. It isissued along with the accreditation report when no precondition is specified, or upon satisfactory fulfilment of
all pre-condition(s), or upon approval of Chief
Executive-in-Council for degree programmes.

Substantial Change

Any significant modification to an Operator or alearning programme that may impact an Operator’scompetency to continue meeting the relevant
accreditation standards.

System

A framework of policies, processes and procedures toachieve particular purpose(s).

Terms of Reference

The services that will be provided to an Operator as
specified in the signed Service Agreement.

Track Record

A record of performance of an Operator against
relevant accreditation standards.

Transparency

One of the guiding principles in accreditation that all
parties involved in an accreditation test are to have acommon understanding of the Four-stage Quality
Assurance Process and relevant issues that may arise.
For the purpose of increased transparency,
summary/full accreditation reports of specific types ofaccreditation tests are published.

Validity Period

The period of time in which an approved accreditation
status is effective as specified in the accreditation
report.

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