Understanding the Principles and Practices of Internally Assuring the Quality of Assessment

Unit 1: Understanding the Principles and Practices of Internally Assuring the Quality of Assessment
Unit reference number: T/601/5320
QCF level: 4
Credit value: 6
Guided learning hours: 45

Unit aim
The aim of this unit is to assess the knowledge and understanding a learning and development practitioner requires for the internal quality assurance of assessment.

Target groups
This unit is suitable for anyone wishing to gain knowledge about internal quality assurance. For example, teachers, tutors, trainers, programme managers, course leaders or staff working in quality departments both in private training organisations and colleges of further education.

Assessment requirements
This unit must be assessed using methods appropriate to the assessment of knowledge and understanding. There is no requirement for practice in this unit. In achieving the assessment criteria, learners must use reflective practice to identify possible continuing professional development needs in relation to internal quality assurance.

Content/Exemplification
1. Understand the context and principles of internal quality assurance
1.1 Quality assurance in assessment of product and process, eg linking assessment to the learning cycle, standardisation, moderation of assessment to assessment criteria and standards, between students, between assessors, between programmes, between qualifications, between employers; checking organisation standards and national standards, eg requirement of awarding organisation, occupational, vocational standards, integrity of programmes, accountability, measure of achievement, benchmarking, identifying continuing professional development needs.

1.2 Planning cycle, eg timing of quality assurance at different stages — at planning stage, ongoing/interim or final, per unit, term, annual; quality assurance of process and product, eg standardisation between assessment methods, assessors, use of diverse evidence, standardisation across, desk-based, online or live, work-based; quality improvement, eg INSET, continuing professional development, professional, occupational updating.
1.3 Role allocation, eg assessors, tutors, mentors, peers, employers, quality assurance team, quality assurance manager.
Roles of practitioners, eg assessor tasks are plan, deliver, judge, record, communicate assessment outcomes.
Internal quality assurance tasks, eg plan, monitor, review, intervene, organise meetings and develop standards.
External quality assurance tasks, eg plan, monitor, review, advise, report decisions; quality manager tasks are overseeing processes rather than products

1.4 Organisation policies and procedures, eg health and safety, equal opportunities, recording and reporting, quality assurance strategy, contribution to internal reviewing processes/self-assessment review.
Regulatory bodies, eg standards, levels, performance/assessment criteria, skills, knowledge, understanding, awarding organisation, SSC, Ofqual, Ofsted, employer, measure of accountability, benchmarking.

2. Understand how to plan the internal quality assurance of assessment
2.1 Identifying what and for whom, eg qualification, module, unit, assignment, performance, assessment criteria, standards, product versus process, involvement of students, assessors, trainers, teachers, tutors, employers, others; timing frequency and context, eg planning, formative, summative, intervention; quality assurance of process and product, recording and sharing outcomes; feedback, support, advice.

2.2 Should include coverage of a range of aspects of assessment, eg every student, assessor, location, unit of assessment, assessment method, examination of products of work.
Standardisation meetings, eg current and new standards, completing documentation, standardising approaches.
Flexibility to take account of emerging needs, timings, frequency, intervention (ie traffic-light system flags up those at risk), monitoring of practice, observation of practice, interviews, feedback from students, peers, employers, sharing good practice, work shadowing; product and process checks.

2.3 Planning appropriate approaches to information collection; analysis of data collected; communicating and negotiating with students, assessors, colleagues, employers.
Administrative arrangements, eg timing, venue, agenda, continuing professional development activities to prepare participants; resources, eg assessor records, assessment plans, sampling, organisation documentation, templates for recording outcomes, technology.

3. Understand techniques and criteria for monitoring the quality of assessment internally
3.1 Sampling of product and process, eg on-site, desktop, remotely using technology, online sampling portfolio evidence ie hard copy or electronic, sampling across learners in workplace.
Methods of sampling product evidence, eg random, banded, targeted, representational, percentage coverage, across units for single unit, observation, questioning, professional discussion, witness testimony.

3.2 Organisation standards, eg health and safety, equality and diversity, evidence trail, meeting targets, student satisfaction, improvement, progression.
Awarding organisation standards, eg performance criteria, levels, performance indicators, checklists, logging and tracking documents, portfolios; Sector Skills Council, occupational, vocational standards, National Occupational Standards; government regulatory body standards, eg Ofqual/Ofsted.

4. Understand how to internally maintain and improve the quality of assessment
4.1 Feedback, eg one-to-one, written and verbal, formal and informal, online, team meetings, self-assessment report; forms of support, eg from colleagues, mentor, line manager, quality manager, specific subject or additional needs support ie functional skills, staff development team to provide continuing professional development, in service education and training; awarding organisation/Sector Skills Council helplines.

4.2 Standardisation requirements, eg awarding organisation, Sector Skills Council, regulatory bodies, employers, standards to meet external bodies; standardisation of assessment practice, eg assessment is against specific and current criteria, standards, reliable, fair, safe, consistent, uniformly applied and judged without bias, robust and can be replicated, shared with students.

4.3 Organisation policies and procedures — shared with students in keeping with external requirements, eg awarding organisation policies and procedures, Sector Skills Council, Ofqual.
Clear procedures and chain for addressing disputes, eg made accessible to all students, assessor, tutor, arbitrator, peer support.

5. Understand how to manage information relevant to the internal quality assurance of assessment
5.1 Information management, eg recording, logging, tracking documentation, outcomes shared with students, safeguarding recording and storage of information, eg organisational procedures, data protection, security and safety of paper-based records, electronic formats for recording and storage and electronic safeguards; secure environment for providing feedback to student.
Identifying those with legitimate access and limiting access, eg recording evidence in a way that can be shared with appropriate access, team meetings, assessment or standardisation meetings.

6. Understand the legal and good practice requirements for the internal quality assurance of assessment
6.1 Regulatory bodies of standards, eg Ofqual, Sector Skills Councils, awarding organisations, Institute for Learning; other regulations, eg health and safety, equality and diversity – including bilingualism where appropriate, data protection.
Organisational policies and procedures for quality assurance, eg safeguarding students during assessment, standardisation, moderation and verification of assessment; qualifications and occupational competence of assessors, professional updating, continuing professional development requirements.

6.2 Use of technology, eg storage, retrieval of evidence from initial assessments, online testing, recording of evidence including audio or visual, assignments submitted electronically, electronic feedback to students, emailing feedback; technology for recording and storing assessment evidence, eg software, awarding organisation’s online provision, students managing own electronic records, security, issues of authenticity.

6.3 Reflective practice, eg self-assessment, evaluation, SWOT analysis (ie strengths, weaknesses, opportunities, threats), realistic goals and targets for own development in relation to quality assurance, use of feedback from students, colleagues, managers, external evaluators, other individuals and professionals, self and quality assurance team reviews, formal and informal evaluation procedures, observation reports, outcome from appraisal, milestones, monitoring and modifications, updating knowledge, occupational expertise, modifications to assessment plans, developing technologies to extend and enhance assessment process, contributing to curriculum development.

6.4 Range, eg inequality, discrimination and impact on individuals, relevant legislation, employment regulations, policies, codes of practice relevant to the promotion of equality and valuing of diversity eg visual auditory impairment, physical disability, bilingualism.
Flexibility in approach to planning of assessment and quality assurance, eg negotiating timing, context, providing additional resources where appropriate, recognising additional support needs, alternative approaches, evidence.

Learning Outcomes
The Practitioner will: Assessment Criteria
The Practitioner can: Evidence Signature Date
1. Understand the context and principles of internal quality assurance 1.1 Explain the functions of internal quality assurance in learning and development

1.2 Explain the key concepts and principles of the internal quality
assurance of assessment

1.3 Explain the roles of practitioners involved in the internal and external quality assurance process

Learning Outcomes
The Practitioner will: Assessment Criteria
The Practitioner can: Evidence Signature Date
1.4 Explain the regulations and requirements for internal quality assurance in own area of practice

2. Understand how to plan the internal quality assurance of assessment 2.1 Evaluate the importance of planning and preparing internal
quality assurance activities

2.2 Explain what an internal quality assurance plan should contain

2.3 Summarise the preparations that
need to be made for internal quality assurance, including:
a) information collection
b) communications
c) administrative arrangements
d) resources
3. Understand techniques and criteria for monitoring the quality of assessment internally 3.1 Evaluate different techniques for sampling evidence of assessment, including use of technology

3.2 Explain the appropriate criteria to use for judging the quality of
the assessment process
4. Understand how to internally maintain and improve the quality of assessment 4.1 Summarise the types of
feedback, support and advice that assessors may need to maintain and improve the quality of assessment

4.2 Explain standardisation
requirements in relation to
assessment
Learning Outcomes
The Practitioner will: Assessment Criteria
The Practitioner can: Evidence Signature Date
4.3 Explain relevant procedures regarding disputes about the
quality of assessment
5. Understand how to manage information relevant to the internal quality assurance of assessment 5.1 Evaluate requirements for information management, data
protection and confidentiality in
relation to the internal quality assurance of assessment
6. Understand the legal and good practice requirements for the internal quality assurance of assessment 6.1 Evaluate legal issues, policies and procedures relevant to the internal quality assurance of
assessment, including those for health, safety and welfare

6.2 Evaluate different ways in which technology can contribute to the
internal quality assurance of assessment

6.3 Explain the value of reflective practice and continuing professional development in relation to internal quality assurance

6.4 Evaluate requirements for equality and diversity and, where appropriate, bilingualism, in relation to the internal quality
assurance of assessment

Practitioner Signature……………………………………………………………………………………………

Assessor Signature………………………………………………………………………………………………..

Assessor Name…………………………………………………………………………..