Assessor training

Auditor training

Assessor trainingModule 7 The On-site AssessmentInterstate Renewable Energy CouncilIREC ISPQ Accreditation and Certification

Assessor Training

Welcome to Module 7 of the Interstate Renewable Energy Councils Training Program for ISPQ Assessors. This module will cover the on-site assessment.1

Assessor Training

The On-site AssessmentKnow which candidates require an on-site assessment

Understand how to schedule and plan an on-site assessment

Be able to list what should be covered with the candidate while planning the on-site assessment

Learn which activities might be included in an on-site assessmentBy the end of this module, you will:

M7L1S1

By the end of this module you will:Know which Candidates are required to undergo an On-Site Assessment and when and how to schedule this with themBe able to list the important items to cover when planning the visit as well as those activities to include while on site2The On-site Assessment

Assessor Training

Identify the types of tools, equipment, and hardware you should look for when on site

Know what types of written materials you will examine

Learn how to write a closing report and explain a corrective action planBy the end of this module, you will:

M7L1S1a

Know about resource lists to help you identify the types of hands-on equipment and tools you should look forBe able to list the types of written materials you should examine during the assessmenttLearn how to write a Closing Assessment Report and to explain a Corrective Action Plan3

Assessor Training

Who Requires an On-site Assessment?

Lesson:IntroductionIndependent Master Trainer Applicants

Others if there is causeTraining Program Applicants

M6L1S2

While the Desk Assessment confirms that a candidates application materials conform to the IREC ISPQ Standard, the On-Site Assessment, conducted at the candidates location, confirms that the Standard is truly being met.

Candidates seeking accreditation as a training program or certification as an independent master trainer are required to undergo an on-site Assessment. In rare cases, candidates for other credentials may also be required to undergo an on-site assessment.

4

Assessor Training

Basic Timeline

Lesson:IntroductionDesk Assessment ReportFour months

On-site assessment = one day

M7L1S3

When you send in the Desk Assessment Report, IREC will confirm receipt and grant approval to proceed with the On-Site Assessment, unless there are mitigating circumstances.

The On Site Assessment must be scheduled and completed within 4 months of concluding the Desk Assessment. Typically, the visit to the training location can be done in one day, excluding travel time.

5

Schedule the On-site Assessment

Assessor Training

Lesson:Introduction

M7L1S4

Whenever possible, the On-Site Assessment should be scheduled for a day when instruction for the program is being delivered. This gives you an opportunity to observe the instruction and to informally talk with students about their experience in the program.

Once a date has been agreed upon, the Assessor shall send an official communication to the candidate, with a copy to IREC, to confirm the logistics, schedule and agenda.6

Planning the On-site Assessment

Assessor Training

Lesson:Planning

M7L2S1

Even before contacting the candidate, you should define the scope of the Assessment and carefully consider how to most efficiently use the allocated time.

Generally, the Assessment covers only the specific program and its support operations as indicated in the candidates application, and items needing physical verification.7Planning the On-site Assessment

Assessor Training

Lesson:Planning

M7L2S2

Other aspects of your planning process are reviewing the criteria, performance indicators and documentation. These will help you plan the Assessment and prepare checklists so that everything will proceed smoothly.8Communicate with the Candidate

Assessor Training

Lesson:Planning

Timing, logistics, costsRecords and systemsFacilities and equipmentObserving instructionAgenda and meetings

M7L2S3

You will also communicate with the candidate about timing, logistics, and the agenda so that they will be prepared for your arrival. Be sure the Candidate understands their costs and be clear about the specific records and systems you will want to review, as well as specifics about facilities, equipment, observing classroom or hands-on instruction and any meetings you would like to hold.9Learning Activity

Assessor Training

The questions in these activities are a different way to think about the material and should not be thought of as tests. For your convenience the questions are also included in the Practice Exercises. You can use these to jot down your answers before moving to the answer slide.

Use your down arrow to continue with this module.

The questions in these activities are a different way to think about the material and should not be thought of as tests. For your convenience the questions are also included in the Practice Exercises. You can use these to jot down your answers before moving to the answer slide.

Use your down arrow to move through the Learning Activities slides.

10TRUE or FALSE?

Generally, the assessment covers only the specific program and its support operations as indicated in the candidates application, and items needing physical verification

Use your down arrow to see the answers, then again to continue with this module.

TRUE.

Learning Activity

Assessor Training

Initial Meeting

Assessor Training

Lesson:Assessors Tasks

M7L3S1

At the beginning of the Assessment, you will meet with the appropriate senior management and staff to receive formal introductions, define the scope of the Assessment, review the schedule, determine the location of the space you will use as a base of operations, and answer any questions the candidate might have concerning the Assessment process12Assessors Tasks

Assessor Training


Accurate and complete?Fitness for credential

??M7L3S2

Your task as an assessor is to assure yourself that materials provided in the candidates application are accurate and complete; address questions that remained unanswered during the Desk Assessment; and assess the fitness of the institution or individual for accreditation or certification.13Assessors Tasks

Assessor Training


M7L3S2a

To accomplish this you will:Conduct interviews with relevant managers, staff, instructors and studentsCheck safety and training equipment, and hardwareReview curriculum and JTA with trainersExamine FacilitiesObserve a class or labReview administrative processes and policies And document everything carefully14

Documentation

Assessor Training


M7L3S3

The mantra for the desk Assessment is Document, Document, Document This is true for the on-site Assessment as well. Focus on the requirements in the standard and evidence of whether the requirement is met.

As you review the facilities, resources, and documentation on-site, keep notes to guide your questions and research. These notes will also be used to write any nonconformities, complete the closing Assessment report, and compose the cover letter and recommendation15

Documentation Methods

Assessor Training


CONFIDENTIALCONFIDENTIALCONFIDENTIAL

M7L3S4

You might consider recording conversations with staff members, taking photographs of facilities and files, and preparing copies of any key documentation that is uncovered in the Assessment. These notes are to remain confidential and not be shared either with the candidate or the Award Committee.

Please Note: Whenever a recording or photo of an individual is made, the assessor should obtain written permission in advance.

16

Interviews

Assessor Training


M7L3S5

One of the more enjoyable aspects of the on-site Assessment is the opportunity to talk with various people about their work or their experience in the training.

In addition to senior managers you will probably want to have interviews set up with key program staff, instructors and studentsTalking with students individually or in small groups can bring new insights into how classes are taught and how feedback is obtained and used.Similarly, talking with instructors about how they teach the hands-on labs or incorporate the JTA can clarify information provided in the application packet.17

Facilities

Assessor Training


M7L3S6 intentionally deleted, redundant information.

M7L3S7

Verifying that the facilities are sufficient for the training is one of the tasks that can only be done during the on-site Assessment.

You will need to examine both inside and outside training facilities. Are they accessible to students? Is there adequate ventilation, lighting and work surfaces? Is access to lavatories and potable water sufficient for the size of classes?

While checking out facilities be sure to note and ask about job boards, libraries and other resources available to students. 18Tools, Equipment, and Hardware

Assessor Training


M7L3S8

Equally important is to note the adequacy of tools, equipment and hardware to ensure that students receive safe, appropriate and complete training. This also includes appropriate personal protective gear and other safety equipment and materials.

The candidate provides a list of tools and equipment in their application, and this is your opportunity to verify that these really exist and are used in the training.19Tools, Equipment, and Hardware

Assessor Training


M7L3S9

To aid in your evaluation of training materials, IREC has compiled lists of suggested facilities, tools and hardware for photovoltaic, solar water heating, small wind systems, energy efficiency and weatherization. These are found in the appendices to your Assessors Manual.20

Observe Training

Assessor Training


M7L3S10

Although observing a training class is not a requirement of the on-site Assessment, it provides additional insight into curriculum, instructor competence, use of facilities, and equipment. This is especially true if you are able to observe a hands-on lab.

Please refer to the Instructor Checklist to get familiar with things you can look for regarding quality of instruction.21Observe Training

Assessor Training

Lesson:Assessors TasksSufficient tools and equipment?Truly hands-on?Safety

M7L3S11

Hands-on Labs and field training are where students apply and demonstrate the tasks of the JTA. --- Is there sufficient equipment and tools for the number of students? Does the instructor do all the work while students watch or are these truly hands-on? Are safe practices followed?

If you are not able to observe a hands-on lab, ask an instructor to describe in detail how labs are taught.22Examine Documents

Assessor Training


M7L3S12

Set aside time to examine documents that comprise the administrative and management systems that are necessary for the delivery of quality training.

What you will look for will be drawn from your initial planning notes. For example: Are policies and Procedures accessible to staff? How are student records, including applications, surveys, and exams stored and used for improving quality? Are they secure?Are there records of meetings with advisory boards or other stakeholder involvement?

Of course, many of these questions will be addressed in interviews, but it is always good to follow-up by checking records and documents.23

Plan for the Unexpected

Assessor Training


M7L3S13

Make sure you allow some time in your schedule to handle unanticipated items. If new concerns come up during the day that call for looking at documents not specified in the pre-Assessment planning, ask for them. If you were not able to review curriculum materials during instructor interviews, this can be done at this time.24Learning Activity

Assessor Training

What is the first thing you will do after arriving at your candidates location?

Conduct interviews with relevant staff, instructors, and studentsReview curriculum and JTA with trainersDocument the process carefullyObserve a class or labNone of the above


The first thing you do is meet with senior management to review the scope, criteria, and agenda.

Learning Activity

Assessor Training

Which of these items is not something an assessor would do while conducting an on-site assessment?

Prepare an agendaConduct interviews with relevant managers, staff, instructors, and studentsCheck safety and training equipment and hardwareReview curriculum and JTA with trainersExamine facilitiesObserve a class or labExamine management systems and policiesAll of the above would be done on-site.


You would already have prepared the agenda.

Concluding the On-site Assessment

Assessor Training

Lesson:Concluding

M7L4S1

At the conclusion of the Assessment, you will need some time to organize your notes and prepare required forms, such as the Nonconformity Statement and Closing Assessment Report, prior to meeting with the candidates management team. Depending on the Assessment this could take anywhere from 30 minutes to several hours.27Ending the Assessment Early

Assessor Training

Lesson:Concluding

M7L4S2

At any point during an Assessment, an assessor may decide not to proceed. This might occur if nonconformities are uncovered that are so fundamental or extensive that it is unlikely that they could be resolved in a reasonable time frame.

In this case, reschedule the Closing Meeting if necessary, write up the nonconformities and deliver them along with your decision at end the Assessment to the candidate in that meeting.28Closing Meeting

Assessor Training

Lesson:Concluding

Assessment results presented and discussedClosing assessment report reviewedCorrective action plan (if needed) discussedClosing assessment report and any nonconformities signed by both parties

M7L4S3

The closing meeting is to ensure that the candidate is informed of and understands the results of the Assessment. At this meeting you will review the Assessment and findings with the candidate and present the Closing Assessment Report.

If there are nonconformities, a Corrective Action Plan and timeline for resolving these should be discussed with the candidate. Both the assessor and candidate sign the closing Assessment report, including each nonconformity.29

Assessor Training

Next Steps

Lesson:ConcludingCandidate sends corrective action plan to assessor within two weeksAssessor sends to IREC:Cover letterClosing reportCorrective action plan (if applicable)

M7L4S4

Following the site visit, the Candidate will write a Corrective Action Plan and submit it to the assessor within 2 weeks. The assessor will then send a cover letter, the Closing Report, and the Corrective Action Plan to IREC for Award Committee Action.30Learning Activity

Assessor Training

At any point during the on-site assessment, an assessor may decide not to proceed. This might occur if

You cannot complete the assessment in the time allotted.Students interviewed indicated that they disliked the programSome nonconformities were uncovered that had not been apparent in the desk assessmentYou discover there were extensive nonconformities that probably could not be resolved in a reasonable timeframe.All of the above

Use your down arrow to see the answers, then again to continue with this module.Learning Activity

Assessor Training

TRUE or FALSE?

At the closing meeting you will review the assessment findings with the candidate and present the corrective action plan.


FALSE.

Candidates have two weeks to send you their corrective action plan after the on-site assessment concludes.Learning Activity

Assessor Training

TRUE or FALSE?

If there are nonconformities, you will discuss a timeline and plan for resolving these with the candidate.


TRUE.

This forms the basis for the candidates Corrective Action Plan.

Assessor Training

Summary

Training ProgramsIndependent Master TrainersFour months

M7SS1

In this module you learned that generally only training programs and independent master trainers need to undergo an On-Site Assessment, which is usually completed within 4 months of submitting the Desk Assessment Report.34Summary

Assessor Training

M7SS2

You learned that through pre-Assessment planning, defining the scope and criteria is key to ensure a focused Assessment as well as clear communication with the candidate.35Summary

Assessor Training

M7SS3&4

You learned that you will meet with senior management, examine facilities and equipment, talk to instructors and students, observe a class and pour through management system documentation. And, you saw how important it is to take clear notes, make copies or take photographs to document the entire process.36

Summary

Assessor Training

M7SS5

Finally, you learned that there is a formal process for concluding the Assessment with a closing meeting, Closing Assessment report and Corrective Action Plan that addresses any nonconformities.37Module 7 complete.Thank you.

Assessor Training

Be sure to do the practice exercise before moving on to Module 8. You have now completed Module 7 of the Interstate Renewable Energy Councils Training Program for ISPQ Assessors.38

Date post:	14-Feb-2016
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