Open College Network West Midlands Centre Handbook
Introduction 3 1. Course approval and registration 4 1.1 Qualifications and customised provision 4 1.2 Approval to deliver qualifications and courses 5 1.3 Designing a course 5 1.4 Centre withdrawal from a qualification 6 1.5 Annual Curriculum Review 6 2. Assessment 7 2.1 Principles of assessment 7 2.2 Planning assessment 8 2.3 Assessment plan 9 2.4 Assessment methods 9 2.5 Regulatory requirements 10 2.6 Assessment and the award of credit 11 2.7 Assessment evidence and recording achievement 11 2.8 Policies related to assessment 12 3. Quality assurance 13 3.1 Centre monitoring 14 3.2 Sanctions 15 3.3 Internal verification 15 3.4 Internal quality assurance systems 16 3.5 Internal quality assurance activities 17 3.6 Standardisation 19 4. Confirming the award of qualifications and credit 22 4.1 The role of the Quality Adviser / specialist External Verifier 23 4.2 Direct Claims Status 25 4.3 Approved IQAs 25 4.4 Becoming an approved IQA 25 4.5 Monitoring approved IQA status 26 4.6 Exemptions, equivalents, credit transfer and RPL 27 5. Registration and awards 28 5.1 Registering learners 28 5.2 Recommendation for the Award of Credit (RAC) 31 5.3 Issuing certificates 32 6. Learner records 33 7. Fees and charges 34 8. Complaints 34 2
Introduction This handbook has been developed to help staff in recognised centres to meet Open College Network West Midlands and Ofqual requirements in relation to the delivery of Open College Network West Midlands accredited provision. The information provided applies to both Open College Network West Midlands Credit Framework (QCF) qualifications and Customised Accreditation provision. A full account of the rights and responsibilities of recognised centres can be found in the Open College Network West Midlands Centre Agreement, which centres sign as part of the centre recognition process. This handbook contains guidance on: registering qualifications and courses; the Curriculum Review process; assessment practice and evidencing achievement; internal and external quality assurance arrangements; arrangements for registering learners and certification. At the end of each section you will be directed to additional supporting material which is available to download from our website (www.opencollnet.org.uk). All centres recognised by Open College Network West Midlands can, in addition, receive additional guidance and support from their Business Development, Quality Assurance and Operations contacts. All of our staff are happy to respond to your queries and are committed to supporting centres to meet the needs of their learners. 3
1. Course approval and registration 1.1 Qualifications and customised provision Courses accredited by Open College Network West Midlands can include units from two sources: Open College Network West Midlands qualification units: in the majority of cases courses will consist of a combination of units required to achieve an Open College Network West Midlands qualification, as specified in the Rules of Combination section of the qualification guide. However, it is also possible to construct a course from a sub-set of the units required to achieve a qualification, or to combine units from more than one qualification. Customised Accreditation units: alternatively, centres may decide that the needs of learners are best met through selecting units from Open College Network West Midlands bank of Customised Accreditation units. These have been developed to meet the needs of centres seeking to offer specialised courses, and are available to all Open College Network West Midlands centres. Customised Accreditation units are internally approved and quality assured in the same way as the units from regulated qualifications, but do not directly contribute to the achievement of a national qualification, and are not normally eligible for public funding. Qualification units can be combined with customised units in the same delivery course if that is felt to be appropriate. However, as the certification requirements of QCF qualification units differ from customised units they must be registered separately with Open College Network West Midlands. Your Business Development Manager (BDM) will provide guidance on the right combination of units for your centre and for your learners. However, Centres are strongly advised to use existing qualification units or to enquire about using their course proposal as the basis for a new Open College Network West Midlands qualification before considering adopting or developing Customised Accreditation units. 4
1.2 Approval to deliver Qualifications and Course The process for approving the initial range of Open College Network West Midlands provision to be offered by a Centre and any additions to that provision is identical. Centres are advised to contact their BDM who will provide advice, and support the completion of a New Course Notification Form (NCNF). A NCNF must be completed for each new course and submitted to Open College Network West Midlands prior to registering any learners on that course. The NCNF must include the unit code, unit title, credit value and credit level of the units you intend to deliver in order to ensure that learners are correctly certificated. The information on the NCNF will be checked and the course uploaded onto our database. A Course Confirmation Form is then forwarded to the Centre. This confirms information about the course, including the course title, the qualification or qualifications attached, unit titles and unit codes. Centres are advised to check Course Confirmation Forms for accuracy and to retain them for future reference. 1.3 Designing a course In designing a coherent course all of the following points should be considered: Does the course title fully reflect the course s content? Remember, the title of the course will appear on the learners certificates. What is the course s target group, what are their likely needs, and how does the design of the course meet them? What are the course s entry requirements (i.e. the type and level of existing skills, knowledge or experience should learners have in order to benefit from the course)? Does the credit level of the units proposed for the course reflect the likely ability range of the course s target group? What is the Intended Credit Value (ICV) of the course? Are the proposed Guided Learning Hours consistent with those specified in the relevant qualifications guide (where a course leads to a qualification) or the volume of learning implied by the units credit value (where a course consist of customised units)? Where a course involves the delivery of a full Open College Network West Midlands qualification, does the combination of units being delivered meet the rules of combination specified in the qualification guide? What are the likely progression routes for learners? All courses that form part of a centre s Open College Network West Midlands provision must be approved through the centres internal course approval process. 5
Choosing your course title Where a course is intended to lead to the award of an Open College Network West Midlands qualification, centres can opt to use a course name reflecting the qualification title or an appropriate alternative title. Where the course name reflects the qualification title reference to both the level and size of the qualification must be avoided. For example, Induction to College is an acceptable course title; Level One Award in Induction to College is not. This is because the course title appears on the unit transcript detailing the specific units a learner has achieved on a course. The use of the full qualification title on the unit transcript may give the misleading impression that learners awarded some of the units within a qualification have achieved the full qualification. When learners achieve a qualification the full qualification title automatically appears on the qualification certificate, regardless of the name of the course leading to that qualification. Alternative titles (whether for courses leading to qualifications or customised provision), must accurately reflect the content of the course. Any terms used in the title of courses consisting of customised units should avoid the use of terms which imply the course leads to the award of a QCF qualification. 1.4 Centre withdrawal from a qualification Centres who decide to cease offering a qualification accredited by Open College Network West Midlands must complete the Qualification Withdrawal Form included in the Process for Managing the Withdrawal of a Qualification from a Centre document available as a download from the Open College Network West Midlands website. 1.5 Annual Curriculum Review Centres are encouraged to contact their allocated BDM at any time for advice and support relating to their curriculum offer. BDMs also contact centres regularly with updates relating to qualification and curriculum matters. As a minimum, every Open College Network West Midlands centre is contacted on an annual basis by their BDM with a request to complete a formal Curriculum Review. This Review can be conducted in person at the centre premises or Open College Network West Midlands office or, if preferred and appropriate, over the telephone, via email or Skype. The Curriculum Review process provides an opportunity to: Confirm centre contact details and update any recent changes; Review the list of qualifications the centre is approved to offer; Consider the number of learner registrations against each of these in the course of the previous year; 6
Review the Open College Network West Midlands courses the centre offers and the units included in each of these; Discuss current and possible future curriculum needs of the centre; Update the centre on the current and future Open College Network West Midlands qualifications available. The Curriculum Review process is designed to support centres. Centre staff members are encouraged to discuss with their BDM any matters of concern or interest, including their future plans in relation to their Open College Network West Midlands curriculum offer. Any issues raised will be followed up by the BDM who will record this for future reference. The BDM will also ensure that our records are amended to reflect any changes relating to centre contact details, staffing and courses identified during the Curriculum Review process. Related downloads from the Open College Network West Midlands website: New Course Notification Form Process for Managing the Withdrawal of a Qualification from a Centre 2. Assessment Assessment is the process through which a learner s skills, knowledge and understanding are reviewed in order to confirm what they have learned. 2.1 Assessment and qualifications It is essential that tutors and others involved in the delivery of Open College Network West Midlands qualifications are familiar with the assessment requirements that apply to each qualification. It is expected that centre staff will have read the relevant qualification guide before offering an Open College Network West Midlands qualification to their learners. Qualification guides for all Open College Network West Midlands qualifications are available in the Qualifications section of the Open College Network West Midlands website, www.opencollnet.org.uk. If you require further information or clarification once the guide has been read, please contact your BDM or Quality Adviser (QA). 7
2.2 Principles of assessment Centres should ensure that the assessment tasks they employ are: Valid: Assessment tasks should produce evidence that is clearly relevant to the Learning Outcomes being assessed and allows judgments to be made about whether or not they have been achieved at a given level. Reliable: It should be possible to repeat assessment tasks with similar target groups and different assessors and obtain comparable results. Where different assessment activities are used to assess the same unit, the relative demand of those activities should be comparable. Sufficient: assessment activity should result in sufficient evidence of achievement being produced to engender confidence that the learner has acquired the knowledge, understanding or skills being assessed. The timing of assignments and the amount of assessed work required should provide a reliable and valid profile of achievement without overloading the learners or their assessors. Transparent: Clear, accurate, consistent and timely information on assessment tasks and procedures should be made available to learners. The nature, extent and timing of the feedback provided for each assessment task should be made clear to learners in advance. Inclusive: Care should be taken that assessment tasks and procedures do not disadvantage any group of learners or individuals. Care should be taken with the content and language of assessment tasks to ensure that they are free from bias. Current: Assessment tasks should be regularly reviewed to ensure that they continue to meet up-to-date occupational, technical, and legislative requirements and have not been overtaken by developments in understanding. Authentic: Centres must have arrangements in place to ensure that the evidence of achievement produced by learners is their own work. Centres must provide learners with clear guidance on plagiarism and malpractice. Developmental: Assessment should be treated as part of the teaching and learning process; use should be made of diagnostic assessment to identify the learner s starting point; formative assessments to provide feedback on the progressive development of skills, knowledge and understanding; as well as summative assessments capturing the learner s overall achievement. Feedback should be honest, clear and reliable, focussing on positive aspects as well as indicating areas for improvement. Such feedback should not be seen as criticism of the individual but as guidance on how the evidence of learning provided could be improved. 8
2.3 Assessment Plan It is good practice for each course to have an assessment plan which confirms assessment arrangements. These arrangements must be consistent with: The principles of assessment outlined above; any regulatory requirements specified in the qualification guide; any requirements contained in the Assessment Methods section of the unit specification form. An assessment plan would normally include: The range of assessment methods to be used cross-referenced to units or specific assessment criteria. The person specification and required expertise of Assessors and IQAs (as determined by the Centre or specified in the relevant qualification guide). Arrangements for tracking and recording assessment evidence. The proposed timing of assessment activity. 2.4 Assessment methods Open College Network West Midlands works with centres operating in a wide range of contexts with diverse groups of learners. We endeavour to maximise the ability of centres to develop assessment activities that best fit the needs of their learners, within a framework that promotes consistency and fairness. The precise assessment arrangements for any course will be informed by the nature of the learning being undertaken, the level of learning, the needs of the target group, and the context in which the course is being delivered. Unless the relevant qualification guide or unit specification template specifies particular assessment methods that must be employed, centres are free to select assessment methods, as appropriate, from the following range: Case study Oral question and answer Written question and answer/test/exam Essay Presentation or report Project Production of artefact Role play/simulation Practical demonstration Group discussion Performance/exhibition Reflective log or diary Practice file. Further information about these methods is provided in the Open College Network West Midlands Assessment Methods document available on our website, www.opencollnet.org.uk. Tutors are strongly encouraged to read this document when developing assessment activity for their course. 9
2.5 Regulatory requirements When developing an assessment plan or designing internally devised assessment tasks centres should be aware of regulatory requirements specified by Ofqual: Language: the assessment of all Open College Network West Midlands qualifications and units must be conducted in English unless: The qualification or unit involves the acquisition of knowledge, skills or understanding of a language other than English or the assessment relates to a vocational role where proficiency in English is not required for the role supported by the qualification. You must discuss the use of any assessment task not conducted in English with your QA before it is used. Bias: In addition centres must ensure that internally devised assessments use only appropriate language and stimulus materials. These are only appropriate if they: enable learners to demonstrate their level of attainment; require knowledge, skills and understanding which are required for the qualification, are clear and unambiguous (unless ambiguity forms part of the assessment); are not likely to cause unnecessary offence to Learners. In considering whether language and stimulus materials for an assessment are appropriate you must pay particular attention to: the age of learners who may reasonably be expected to take the qualification or unit; the level of the qualification or unit; the objective of the qualification; the knowledge, skills and understanding assessed for the qualification. Centres must take all reasonable steps to ensure that no assessment that it devises for an Open College Network West Midlands qualification or unit contains language or stimulus materials which could lead a group of learners who share a common attribute or circumstance to experience an unreasonable disadvantage in the level of attainment that they are able to demonstrate in the assessment. Centres must ensure that recommendations for the award of credit take full account of all admissible evidence generated by the assessments the learners were required to undertake. 10
Approval of Centre-devised assessments: for some categories of qualification Ofqual requires centre-devised assessments to be externally approved or validated before being used to assess learners: Entry Level Qualifications: 50% of all assessment tasks employed in an Open College Network West Midlands Entry level qualification must be approved by the Centre s QA/QR/EV before delivery. Other qualifications: Centres should check whether or not there is an assessment approval requirement for all other Open College Network West Midlands qualifications in the qualification guide. Where appropriate Centre should complete and submit an Assessment Approval Form in advance of the course start date and provide the assessment tasks requested by their CQ/QR/EV. 2.6 Assessment and the award of credit Assessment tasks should be designed to establish whether the learner has acquired the knowledge, skills and understanding reflected in each of the unit s learning outcomes, to the standard defined by the associated assessment criteria. In order for credit to be awarded for any unit, the learner must demonstrate that they have achieved all of the relevant assessment criteria. The award of part of the credit value of a unit to reflect the achievement of a proportion of the learning outcomes is not permitted by the specifications of the QCF. Similarly, where parallel units are offered at different levels, learners must achieve all of the assessment criteria of the unit for which credit is claimed. Awarding a higher level unit where the learner has achieved some but not all of the assessment criteria is not permitted. 2.7 Assessment evidence and recording achievement Because of the range of acceptable assessment activity evidence of achievement can take a variety of forms. Paper-based products, for example, may include notes, reports, learning journals, gapped hand-outs, essays, and test scripts. Non-paper based evidence may include artefacts, photographs and video or audio-recordings. The QA/EV will normally expect to sample the evidence of achievement directly produced by the learners rather than indirect evidence produced by the assessor. So, whilst the response of a learner to a series of tasks on a hand-out provides evidence of achievement, a set of notes on the same topic provided by the assessor does not. In a minority of cases evidence of achievement produced by an assessor or other 3 rd party is acceptable. Such cases would include witness statements produced by a 11
manager or approved co-worker in relation to workplace observations, and recorded assessor observations in the case of some E1 and E2 achievements. The evidence of achievement derived from assessment activity is frequently organised into a portfolio. This may take different forms, depending on the nature of the assessments undertaken, but it is always consists of material produced by the learner demonstrating their achievement in relation to the unit s learning outcomes. In addition to the outcome of assessment activity the portfolio should also include: assessment front-sheets (or equivalent) which clearly describes the assessment task undertaken, provides scope for assessor feedback, and records the level achieved; a unit tracking sheet which, for each learner, cross references assessment criteria with the associated assessment activity and evidence of achievement; a record of the outcome of each assessment activity undertaken by each learner in the cohort. A range of exemplar tracking documents is available on the Open College Network West Midlands website. 2.8 Policies related to assessment Open College Network West Midlands operates the following policies relating to the assessment process, in line with Ofqual requirements: Reasonable Adjustment and Special Consideration: awarding organisations and their Centres are required to ensure that the assessments they employ are as widely accessible as possible, so as not to disadvantage specific individuals or groups. The Open College Network West Midlands Reasonable Adjustment and Special Consideration Policy outlines the circumstances in which normal assessment requirements can be adjusted in the light of specified learning difficulties or disabilities. It also addresses the measures available to a centre when the achievement of a learner is adversely affected by extenuating circumstances beyond their control. These provisions are intended to ensure that learners experiencing various forms of disadvantage receive appropriate recognition for their achievement, provided that the equity, validity and reliability of assessment can be maintained. They provide a level playing field - they not are concessions, making assessment arrangements easier, nor advantages, providing a head start. Centres are referred to Open College Network West Midlands Reasonable Adjustment and Special Consideration policy for further details. Appeals: the scope of the Open College Network West Midlands Appeals Policy in relation to assessment includes failure on the part of Open College Network West Midlands to follow its own assessment process and requests for reasonable adjustment /special consideration being declined. 12
Centres wishing to make an appeal in relation to assessment issues should follow the procedure outlined in the Open College Network West Midlands Appeals Policy. Malpractice and Maladministration: It is a requirement of centre recognition that policies and procedures are in place to identify and investigate allegations of malpractice and maladministration. Assessors need to be aware that both malpractice and maladministration can occur within the assessment process. Centres are advised to make learners aware of the Centre s arrangements for dealing with alleged cases of malpractice or maladministration as part of their induction onto the course. Centre staff are advised to familiarise themselves with Open College Network West Midlands Malpractice and Maladministration Policy, which sets out our approach to investigating allegations. Related downloads from Open College Network West Midlands website: Open College Network West Midlands Assessment Methods Assessment A Guide to Getting it Right Feedback to Learners A Guide to Getting it Right Portfolio Construction A Guide to Getting it Right Using E-portfolios A Guide to Getting it Right Reasonable Adjustment and Special Consideration Policy Appeals Policy Malpractice and Maladministration Policy Unit Tracking Sheet Exemplar forms to evidence specialised forms of achievement: Assessor Observation Record Sheet Open College Network West Midlands Witness Statement 3. Quality assurance Recognised centres undertake to meet a number of requirements specified in the Centre Recognition Agreement, including: Appropriate management arrangements for the delivery, quality assurance and administration of Open College Network West Midlands provision; The maintenance of internal procedures and policies in relation to learner appeals, complaints, malpractice and maladministration; Effective arrangements for learner registration, the tracking and recording of achievement and retention of learner records; Sufficient, appropriately qualified staff to ensure the effective delivery and assessment of Open College Network West Midlands provision; 13
Adequate physical resources to support the delivery of the agreed qualifications and courses the centre is approved to deliver; Assessment procedures which are effective, reliable and inclusive; The maintenance of effective Internal quality assurance and standardisation arrangements. 3.1 Centre monitoring Compliance with these requirements will be monitored regularly by your allocated QA, who will report on the progress of any agreed actions for quality improvement. Open College Network West Midlands operates a risk-based approach to external quality assurance, informing the scope and frequency of QA activity in the following key areas: Centre recognition requirements: monitoring compliance with the Centre Recognition Agreement by reviewing course documentation, meeting managers, assessors, IQAs, learners and administrative staff; Assessment and evidence of achievement: sampling assessment activity evidence of achievement to ensure the integrity of the award of credit; Internal quality assurance arrangements: conducting audit trails to ensure that all procedures are being complied with, and that the award of credit and qualifications to learners is secure; Direct claims status: confirming centres meet Direct Claims requirements and monitoring the practice of IQAs approved to independently confirm the award of credit. An initial assessment of these areas is made within the centre recognition process, with each area ranked as presenting a Low, Marginal, Medium or High risk. These in turn inform an overall centre risk rating. Centres are referred to Open College Network West Midlands Centre Monitoring and Quality Assurance: a risk base approach document for further details. Recognised Centres are entitled to up to two Centre monitoring visits per year. After each visit the centre will receive a Centre Monitoring Report, which will include a risk assessment of the centre, and identify any action points to be addressed. These will have been discussed with the centre during the visit and will be clearly identified in the report. Centre monitoring visits are the principle means by which the Open College Network West Midlands continues to update its risk assessment of recognised centres. As previously identified quality improvement actions are addressed, and confidence grows in the effectiveness and rigour of a centre s internal quality processes, the level of risk will fall. Conversely, where new issues are identified or a centre fails to address existing issues the level of risk will increase, necessitating closer and more frequent external scrutiny by 14
the QA. Where additional visits are deemed necessary to monitor increased risk Open College Network West Midlands may impose additional charges. 3.2 Sanctions In cases where a centre is giving serious cause for concern or does not address actions set during a previous visit within the agreed timescale, Open College Network West Midlands reserves the right to impose sanctions, as outlined in our Sanctions Policy. Depending on the circumstances these may involve: suspending registrations and/or certification in relation to some or all courses; withdrawal of approval to deliver some or all courses. The application of sanctions may ultimately lead to the withdrawal of centre recognition. Related downloads from the Open College Network West Midlands website: Centre Monitoring and Quality Assurance: a risk-based approach Sanctions Policy 3.3 Internal quality assurance Internal quality assurance is a process by which a centre regularly samples and evaluates its assessment practices and decisions and acts on the findings, to ensure consistency and fairness. It involves two key processes verification and standardisation and is carried out by one or more IQAs. The role of the IQA is to ensure that: assessment is appropriate, consistent, fair and transparent and does not unintentionally discriminate against any learner; tutors/assessors receive on-going advice and support, for example in designing assessment activities; learners clearly understand assessment requirements and are given opportunities to achieve against the assessment criteria by completing appropriate assessment tasks; learners work is presented in a manner that enables effective verification to take place; learners assessed work presented as evidence for the award of credit is authentic; evidence of learner achievement is clearly mapped to the assessment criteria; recommendations for the award of credit are valid, reliable and consistent. An IQA, therefore, has a central role in the operation of the centre s quality system. A centre may have one or more IQAs, according to the size and variety of its provision. All 15
must have experience relevant to the area(s) for which they have responsibility. They should also have an understanding of quality assurance and improvement, and the centre must ensure that they develop their practice in this field. Ideally IQAs should have one of the following Internal quality assurance qualifications: Level 4 Award in the Internal Quality Assurance of Assessment Processes and Practice D33/D34 V1 Open College Network West Midlands offers introductory courses and refresher training for IQAs where this is not the case. IQAs may not verify any course on which they are also the assessor. To maintain the integrity of the assessment process, IQAs must scrutinise the assessment practices and assessment decisions of any tutor or assessor who has a conflict of interest, such as assessing a family member or friend, before awards are made. Equally, an IQA must declare any similar conflict of interest to the QA. 3.4 Internal quality assurance systems Any centre delivering Open College Network West Midlands provision must have an Internal quality assurance system in place to underpin that delivery. Systems will vary between centres according to what is appropriate given the context in which Open College Network West Midlands provision is delivered. Practices that work in a large centre will not necessarily work in a small one and the context of, for example, an employer-based provider may mean that there are different requirements from that of a College. Whatever the situation there are two key points there must be an appropriate system in place, and there must be evidence that it is implemented effectively. Internal quality assurance arrangements must include as a minimum: an identified individual responsible for co-ordinating the Internal quality assurance process; a planned structure for Internal quality assurance that incorporates all of a centre s Open College Network West Midlands provision; an agreed and published annual timetable for Internal quality assurance, including Internal quality assurance meetings; Provision for interim and final Internal quality assurance activity; clear and documented roles and responsibilities for all those involved; a forum for discussion of borderline cases and good practice in assessment; sampling of assessment tasks and assessed work; standardisation of assessed work; 16
full and clear records (including those of the sample selected) and action plans; regular evaluation of the process. The two most frequently used models of internal quality assurance used by centres are: Model 1 Single IQA This is the simplest arrangement, in which there is one IQA who verifies the work of all of a centre s assessors. This model would be particularly appropriate for a small centre. Model 2 Designated assessors act as IQAs In this model a number of a centre s assessors are identified as IQAs, and each is responsible for verifying the work of one or more other assessors. There must be an identified co-ordinating IQA, who has overall responsibility for ensuring that the verification process operates effectively. S/he would normally verify assessment carried out by the other IQAs. This model would be appropriate for a larger centre, particularly where there is provision across a number of sectors. In this case the co-ordinating IQA is likely to have significant experience in quality assurance that enables him/her to verify across the range of the centre s provision. 3.5 Internal quality assurance activities The following activities must take place during the course of an Internal quality assurance cycle. The length of this cycle will vary according to the start and finish dates of particular courses and the frequency with which they run. Planning for Internal quality assurance A plan of the proposed Internal quality assurance activity must be developed before the cycle begins. This must indicate what will happen, when it will happen, who is to be involved and how it is to be recorded. Induction and updating for tutors or assessors All new tutors or assessors must be introduced to the centre s Open College Network West Midlands provision, processes and practice. It is essential that they: have all the relevant units, assessment materials and other course documents; clearly understand the assessment requirements and procedures; have information about, and access to, training opportunities and support materials, both within the centre and that provided by Open College Network West Midlands. 17
All tutors or assessors must know who is managing the Internal quality assurance process and who will actually carry out the Internal quality assurance of the work they will be assessing. They need to know what is in the Internal quality assurance plan and about any issues relevant to their work that may have arisen from previous internal or external verification or from evaluation of the verification process. Planning and managing assessment It is essential that assessment is carried out in a structured way, both for the benefit of the learners and in order that effective Internal quality assurance can take place. Sampling assessment It is the IQA s responsibility to monitor the quality of assessment through the sampling of assessment practices and decisions. The IQA, not the assessor, should specify the sample of assessed work that s/he wants to see, and it is important that the sample is sufficient for the IQA to form a view on the consistency and validity of the assessment. The minimum sample size is 10% of portfolios or five portfolios, whichever is the greater. In reviewing assessment tasks and sampling assessed work the IQA should bear in mind the principles of assessment outlined in section 2.2 and ensure that: assessment tasks are standardised and appropriate for the course and the learners; assessment decisions are fair and consistent, both across provision and over time; assessors are providing learners with clear and constructive feedback on their work; clear and accurate assessment records are maintained. It is not usually possible, or necessary, to verify every aspect of assessment at each Internal quality assurance exercise or event. A properly selected representative sample should identify any issues with assessment practices and decisions. To ensure that a sample is representative, the IQA must take into account all variable factors that may impact on the quality of assessment. These factors, on the basis of which the verifier defines a sampling strategy, include: Delivery sites Tutors or assessors Number of units Unit level and credit value Delivery methods Assessment methods Borderline cases 18
Reasonable adjustments Issues arising from previous verification. Depending on the context and the number of learners involved a combination of the following activities is recommended for an effective review of the Internal quality assurance sample: 1. Scrutiny of all assessments completed by individual learner(s) to ensure assessment tasks are appropriate and that all assessment activity for the relevant unit(s) has been completed; 2. Specific learning outcomes across a number of learners to ensure that assessment are consistent for all learners; this is to establish that standards are maintained across units, assessors and sites, and over time. Centres should retain copies of sufficient portfolios indicative of the required standard to facilitate the comparison of standards over time. Related downloads from the Open College Network West Midlands website: Internal Quality Assurance A Guide to Getting it Right Unit Tracking Sheet IQA1 IQA for the Award of Credit IQA2 IQA Sample Record 3.6 Standardisation Recognised centres are required to contribute to standardisation events organised by Open College Network West Midlands on request, and to carry out appropriate internal standardisation. Open College Network West Midlands will hold standardisation events by qualification and by sector in the case customised accreditation units. Centres are required to respond to requests for samples. These may be made centrally by the Open College Network West Midlands Quality Manager or by your QA during centre monitoring visits. Where appropriate, Open College Network West Midlands will hold briefing events for centre assessors, IQAs and approved IQAs in specified curriculum areas, to disseminate the outcomes of standardisation events and highlight benchmarked material illustrating agreed standards. 19
Internal standardisation Internal standardisation involves ensuring that, where there is more than one tutor or assessor delivering identical or related Open College Network West Midlands provision or more than one site, internally set tasks and the outcomes of internal assessment are consistent across the courses. Where more than one tutor or assessor delivers Open College Network West Midlands provision in different subject areas within one centre, standardisation of procedures is required. It is recommended that internal standardisation meetings include all tutors and IQAs concerned and that action plans are produced and followed up. Open College Network West Midlands QA s will ask to see evidence of internal standardisation activity and of how the centre identifies and disseminates good practice. Internal standardisation provides: evidence of consistency and a common understanding of credit value and level; opportunities for staff to share good practice in assessment, including writing assignment briefs, benchmarking, evidencing, providing feedback to learners and record keeping; opportunities for self-assessment and action planning towards quality improvement. Managing an internal standardisation event The format and focus of standardisation events may vary, but the facilitator needs to draw out from participants the standards that they apply when monitoring assessed work. The overarching question, equally applicable to all units, regardless of level, credit value, or curriculum area, is can participants explain what they expect to see in a particular piece of assessed work, when they consider it to be good enough, and when they do not? The samples provided at standardisation events are the means of exemplifying those standards for discussion. Documents required for the standardisation event Documents required normally include: Agenda; Sample of work selected - photocopied to provide sufficient copies such that that all participants in the standardisation event are able to scrutinize all of the samples. You may wish to make these anonymous; SF1 Participant Report Form; SF2 Facilitator Standardisation Report; SF3 Sample Cover Sheet; The appropriate qualification guide (for standardisation of units of QCF qualifications). 20
Samples for internal centre standardisation Samples must be taken from current learner evidence. The evidence of achievement within the samples will reflect the forms of assessment employed (for example, original written work, photocopies, artefacts, audio or visual digital files) together with the relevant records. At centre standardisation events the sample should normally include evidence assessed by each of the assessors for a particular course or curriculum area. The sample should include: cover sheet; the unit and unit code; assessment tasks; complete learner evidence; internal assessment records, including feedback to the learner in relation to the achievement / non achievement of the assessment criteria; Internal quality assurance records, including feedback to the assessor. In addition, centres will be required to retain samples of learners work for the life of the course or qualification. If requested, centres must make retained samples of learners work available at verification or other quality monitoring visits. When requested, copies of samples should be forwarded to Open College Network West Midlands for regional standardisation. These will be retained by Open College Network West Midlands to build up an archive to enable comparison of standards over time, and may be used for training purposes. 21
Example standardisation meeting agenda: 1 Overview and expected outcomes. Standardisation Meeting Curriculum Area Date and Venue Agenda 2 Standardisation - Consideration of samples provided. Completion of Participant Report Form 3 Verbal feedback Confirmation of the standard achieved, the adequacy of evidence and supporting documentation, identifying benchmark material and examples of best practice Completion of the Facilitator Standardisation Report. 4 Selection of sample to be used for Open College Network West Midlands standardisation and completion of sample cover sheets for retained sample. Reporting the outcomes The outcomes of the standardisation process should improve: assessment practice within centres; consistency in the judgements of assessors and verifiers; the design of the Qualification and any prescribed assessment tasks. Related downloads from the Open College Network West Midlands website: SF1 Participant Report Form SF2 Facilitator Standardisation Report 4. Confirming the award of qualifications and credit Open College Network West Midlands supports two ways in which the award of credit can be confirmed: 22
External confirmation by a Centre Quality Adviser or specialist External Verifier Internal confirmation through Direct Claims Status. 4.1 Role of Centre Quality Adviser / specialist External Verifier Unless a centre has Direct Claims Status, completed Recommendations for the Award of Credit (RAC) forms must be confirmed by the centre s QA or, in the case of specified courses/qualifications, a specialist External Verifier (EV). The QA, QR or specialist EV will need, amongst other things, to: sample the assessment strategy and the assessment evidence provided by the learners; confirm that all elements of the qualification assessment requirements have been met in order to verify the award; check that robust Internal quality assurance has taken place and ensure that any outcomes of this process are included in a quality improvement cycle; support the development of the provision by making recommendations for improvement and highlighting good practice in the curriculum area; ensure that any recommendations for improvement are incorporated into the Action Plan that forms part of each Centre Monitoring Report. The QA/QR/EV will normally monitor a representative sample of learner portfolios within agreed Centre monitoring visits to verify that the evidence of achievement provided is sufficient to confirm the award of credit or of an Open College Network West Midlands qualification. The Recommendations for the Award of Credit (RACs) will then be confirmed. Open College Network West Midlands Open College Network West Midlands acknowledges, however, that there may be circumstances where there is a need to confirm the award of credit in between the agreed Centre visits. These circumstances typically include, but are not restricted to, short-courses where course runs start and finish in between scheduled Centre monitoring visits. In these circumstances the Centre should normally agree a pattern of remote sampling with Open College Network West Midlands. This could be through: Postal sampling Forwarding digital evidence by email Allowing access to e-portfolio systems 23
Open College Network West Midlands reserves the right to make an additional remote sampling charge, as indicated in the current fee structure, depending on the frequency of this activity, and the number of learners involved. In exceptional circumstances Open College Network West Midlands may deem it appropriate, providing adequate safeguards are in place, to agree to the award of credit without direct external sampling of the learners concerned. Examples of these circumstances include, but are not restricted to, where: Course runs involve the repeated delivery of very short courses (i.e. a single unit); course start and finish dates are individualised (e.g. Roll-on / roll-off provision); a delay in individual learners completing their portfolio means their RAC is presented for approval after the rest of their cohort; the nature of the evidence makes remote sampling impractical. The following safeguards must be in place and conditions met before credit can be awarded without direct sampling: Centres should identify the potential need to have RACs signed off without the direct sampling in advance and agree appropriate arrangements with Open College Network West Midlands. QAs / QRs / EVs will only respond to requests from Centres to sign off RACs between visits where a recorded agreement is in place. Subsequent ad-hoc requests should be agreed in consultation with Open College Network West Midlands Head of Access and Quality. Agreements should specify the annual pattern of centre visits, together with the maximum period that should elapse between the direct sampling of learner portfolios. This should not normally exceed 6 months. Centres must have consistently demonstrated effective and reliable assessment practice, together with robust internal quality assurance arrangements. In practice this means a Centre must have achieved a Low or Marginal risk rating for both Assessment and Internal Quality Assurance for at least 12 months. The only exception to this is in larger centres where assessment and internal quality assurance risk ratings have been adversely affected by practice elsewhere in the organisation. The Centre continues to maintain a Low or Marginal risk rating in relation to Assessment and Internal Quality Assurance. The Centre maintains the continuity of the units being delivered, the assessment tasks undertaken, and the assessor(s) between Centre visits. Centres retain an agreed evidence of achievement sample from learners completing in between visits to facilitate subsequent monitoring by the QA/QR/EV. Open College Network West Midlands reserves the right to terminate any agreement and to reinstate the link between the award of credit and direct sampling at any point. 24
4.2 Direct Claims Status Recognised centres may be invited to have Direct Claims Status where: Open College Network West Midlands has developed confidence in the rigour and effectiveness of the centre s internal quality assurance arrangements through its monitoring activity; the centre is consistently assessed as posing a low risk, and; designated IQAs meet the necessary criteria in terms of professional qualifications and effective practice and have been explicitly approved by Open College Network West Midlands to confirm the award of credit for specified qualifications. For these reasons it is unlikely that a centre will be invited to have Direct Claims Status until it has been recognised for a sufficient period of time to have established a track record (normally at least 12 months after centre recognition). The requirements outlined above are subject to on-going monitoring by the centre s QA, and Direct Claims Status may be removed if they do not continue to be met. 4.3 Approved IQAs IQAs, approved by Open College Network West Midlands, are able to confirm the award of credit for specified courses and courses or qualifications, as agreed with the Open College Network West Midlands. This should only be done when the IQA is satisfied, on the basis of their verification activities, that the learners have met the appropriate assessment criteria. When a centre is invited to have Direct Claims Status Open College Network West Midlands will provide guidance, where appropriate, about the course(s) where that arrangement will apply and will confirm the individual IQAs who have been approved to act on its behalf. Only the designated IQAs approved by Open College Network West Midlands can sign off the award of credit. This approval is restricted to the courses specified by Open College Network West Midlands Region. Neither approved IQA status, nor Direct Claims status can be transferred, either between IQAs or between centres. 4.4 Becoming an approved IQA In order to be considered for approval, IQAs must either have: a) A recognised IQAs award (Level 4 Award in the Internal Quality Assurance of Assessment Processes and Practice, or equivalent predecessor D33/D34/V1 awards); or 25