SQA’s Approach to Quality Assurance of AssessmentSQA’s Approach to Quality Assurance of Assessment
Matthew McCullaghQuality Manager
Welcome
欢迎
Why are we here?Why are we here?
To introduce you to SQA’s New Approach to Quality Assurance
To help you understand the key changes to Quality Assurance process
To help you become familiar with:– The new Quality Assurance Criteria– The new Confidence Statements– How visits are planned, conducted and
reported
Thursday 6th September 2012Thursday 6th September 20129.00 Coffee and Registration
9.30 Introduction, New Approach to QA Overview, Aims and Objectives of Training Days
10.10 Preparation for Qualification Verification Activity, Attitudes and Behaviours, KPMs
11.00 Break
11.15 Preparation for Qualification Verification Activity,Attitudes and Behaviours
12.00 Planning for Qualification Verification Activity – the theory
12.30 Lunch
1.30 Conducting the Qualification Verification Visit – the theory
2.45 Break
3.00 Introducing the Quality Assurance Criteria
3.20 Quality Assurance Criteria Workshop
4.30 Close
Friday 7th September 2012Friday 7th September 2012
9.00 Coffee and Registration
9.30 Feedback: The Quality Assurance Criteria
11.15 Break
11.30 Decision Making
12.30 Lunch
1.30 Communicating Decisions
2.00 Theory of Completing Excel Reports/Action Plans
2.30 Break
2.45 Writing effective Verifier Reports
3.45 Case Study Assignment
4.00 Summary and Q & A
4.30 Close
SQA’s Approach to QASQA’s Approach to QA
SQA is moving to introducing a new approach to Quality Assurance of qualifications delivered in China
It is based on SQA’s
Principles of Quality Assurance:Open, fair and transparent Aimed at risk reductionProportionate Intelligence ledA shared responsibility Constantly reviewed and improved
What is the new approach to Quality Assurance
What is the new approach to Quality Assurance
SQA now operates a transparent, intelligence-led, risk based model for quality assurance of approved centres and potential centres delivering our HND qualifications in China.
Timeline of Implementation of New Approach in China
Timeline of Implementation of New Approach in China
September 2011
May 2012
September 2012
September 2012-2013
March 2012
New Quality CriteriaNew Quality Criteria
Five Categories: – Management of a centre– Resources– Candidate Support– Assessment & Verification– Records/Data Management
All signposted to four QA processes All pre-rated as High/Medium/Low impact All supported by possible sources of evidence
The New Approach to Quality Assurance: The Four Processes
The New Approach to Quality Assurance: The Four Processes
Systems Approval
Qualification Approval
Systems Verification
Qualification Verification
High/Medium/Low Impact CriteriaHigh/Medium/Low Impact Criteria
All criteria are important However, some are more important than others Those that are most important are rated as High
Impact criteria Those that are less important are rated as Low
Impact criteria In between these two are medium impact
criteria. Failure to meet a High Impact criteria will have a
greater impact on the outcome of the visit
Sufficiency of evidenceSufficiency of evidence
No Systems Verifier or Qualification Verifier can change the impact rating of a criteria.
For each criterion you verify, you must decide whether the centre has presented you with:– Sufficient evidence to meet the criterion– Some, but insufficient evidence to meet the
criterion– No evidence to meet the criterion
Good Practice and GuidanceGood Practice and Guidance
As part of the verification visit, you should identify good practice that is evident in the centre.
You should also give advice and guidance to help centre staff improve the delivery of our qualifications
This is a mandatory part of your role as a Qualification Verifier
Sufficiency of evidence Sufficiency of evidence
We will support you and help you to understand what sort of evidence centres can provide to meet each criterion
Once you have made your decision regarding the sufficiency of evidence, SQA staff will then calculate our level of confidence
This will depend on the impact level of the criteria and the sufficiency of the evidence presented
Introduction of Confidence StatementsIntroduction of Confidence StatementsIn relation to Qualification
VerificationConfidence Statement
In relation to Systems Verification
High level of confidence in the maintenance of SQA standards within this Verification Group
High Level of Confidence
High level of confidence in the systems that support the maintenance of SQA standards within this centre
Broad confidence in the maintenance of SQA standards within this Verification Group
Broad Confidence
Broad confidence in the systems that support the maintenance of SQA standards within this centre
Reasonable confidence in the maintenance of SQA standards within this Verification Group, although moderate risks exist within the following categories:(insert appropriate category)(insert appropriate category)
Reasonable Confidence
Reasonable confidence in the systems that support the maintenance of SQA standards within this centre, although moderate risks exist within the following categories:(insert appropriate category)(insert appropriate category)
Minimal confidence in the maintenance of SQA standards within this Verification Group as significant risks exist within the following categories:(insert appropriate category)(insert appropriate category)
Minimal Confidence
Minimal confidence in the systems that support the maintenance of SQA standards within this centre as significant risks exist within the following categories:(insert appropriate category)(insert appropriate category)
No confidence in the maintenance of SQA standards within this Verification Group as severe risks exist within the following categories:(insert appropriate category)(insert appropriate category)
No Confidence
No confidence in the systems that support the maintenance of SQA standards within this centre as severe risks exist within the following categories:(insert appropriate category)(insert appropriate category)
How Confidence Statements are calculatedHow Confidence Statements are calculated
Confidence statements are given for the outcome of each Systems Verification and Qualification Verification visit for each of the categories of criteria verified
These are based on the sufficiency of the evidence provided to the you
A summary statement of confidence is also given, based on the confidence statements for each category
What if non-compliances are identified?
What if non-compliances are identified?
Where there is No evidence or insufficient evidence to meet a criterion, you must agree with centre staff, during the visit: – the action the centre needs to take in order to
become compliant. – The evidence they need to produce – Where to send this evidence– The date by which the action must be taken
What happens then?What happens then?
SQA will ask you to consider the evidence the centre sends us and ask you to consider whether it is Sufficient or insufficient.
Depending on the sufficiency of the evidence, the Confidence Statement will be re-calculated.
Sanctions Sanctions
If the outcome of a verification visit results in a Confidence Statement of Reasonable, Minimal or No Confidence, SQA staff may decide to place a sanction on a centre until our confidence increases to Broad or High.
Our confidence may decrease if a centre fails to meet action points agreed during a verification visit.
Sanctions will only be used where necessary.
SanctionsSanctionsIn relation to Qualification
VerificationConfidence Statement
In relation to Systems Verification
High Level of Confidence
Entry in Action Plan Broad Confidence
Entry in Action Plan
Suspension of specific qualification certification:by verification group by qualification Suspension of approval application by verification group Suspension of direct certification claim status:by verification group by qualification
Reasonable Confidence
Suspension of all existing qualification approval Suspension of centre certification Suspension of certification for all qualifications with assessed components Suspension of qualification approval application - whole centre
Suspension of specific qualification approval:by verification groupby qualification
Minimal Confidence
Withdrawal of all existing specific qualification approval
Withdrawal of specific qualification approval:by verification groupby qualification
No Confidence Withdrawal of centre approval
Benefits of new approach for centres
Benefits of new approach for centres
Open and transparent to all Clear guidance available to verifiers Proportionate response where issues are
identified Focused on Good Practice and improvement as
well as compliance
QuestionsQuestions
SQA’s Approach to Quality Assurance of AssessmentSQA’s Approach to Quality Assurance of Assessment
David PirnieLead Verifier
Welcome
欢迎
Qualification Verification Qualification Verification
The Qualification Verifier role activities
Prepare for verification Plan verification Carry out verification Communicate verification decision Complete verification report
Preparing for Qualification Verification
Preparing for Qualification Verification
The Qualification Verifier role activities
Prepare for verification Plan verification Carry out verification Communicate verification decision Complete verification report
Being prepared Being prepared
“The best preparation for good work
tomorrow is to do good work today”.
Elbert Hubbard
Preparing for Qualification Verification
Preparing for Qualification Verification
Before carrying out any activities, verifiers are
required to have a full understanding of their role
and responsibilities. This involves acquiring
knowledge and keeping it up to date.
Preparing for Qualification Verification
Preparing for Qualification Verification
Required knowledge – three key areas:
Knowledge of your subject area
Centre roles and centre responsibilities
Qualification Verification
Preparing for Qualification Verification
Preparing for Qualification Verification
Knowledge of your subject area:
Have a common interpretation of the Unit Standards including the Evidence Requirements for each unit you have been assigned to verify
Know how to access Arrangements Documents,
Instruments of Assessment and Marking Schemes to gain a full understanding of content
Preparing for Qualification Verification
Preparing for Qualification Verification
Knowledge of centres roles and responsibilities:
Centre Co-ordinators Assessors Internal verifiers
Preparing for Qualification Verification
Preparing for Qualification Verification
Knowledge of the Qualification Verifier role:
Role Profile Sources of support Verification policies and procedures Values
QIIPS:Quality, Integrity, Innovation, Partnership
& Service
QIIPS:Quality, Integrity, Innovation, Partnership
& Service
Sounds like:
“QUIPS” – a dictionary definition:
“A clever remark often prompted by the occasion”.
SQA Values SQA Values
Quality
Integrity
Innovation
Partnership
Service
SQA Values SQA Values
Quality
As custodians of the standards we verify, we
continually strive to maintain consistent quality in
their assessment.
SQA Values SQA Values
Integrity
We use open and honest communication with internal and external customers (centres), promoting transparency, and building trust with others.
We take a standardised approach to verification as laid down by SQA and agreed by consensus within our Qualification Verification team, even if our personal opinions may at times conflict.
SQA Values SQA Values
Innovation
We view unfamiliar approaches to assessment and verification with an open mind, whilst ensuring quality is maintained.
We believe that creativity should be seen not as a threat to quality assurance but as an opportunity for improving upon existing practice.
SQA Values SQA Values
Partnership
We understand that by working in partnership with SQA centres, we will achieve common goals of excellence and consistency in assessment.
SQA Values SQA Values
Service
We maintain a professional approach with SQA centres at all times, regardless of the challenges we might face in carrying out our work.
Preparing for Qualification Verification
Preparing for Qualification Verification
More information on the preparation phase of
Qualification Verification can be found in the first
section of SQA’s New Approach to Quality
Assurance: Guidance on Visiting Verification For
HN Qualifications in China
Workshop
Workshop
Values Exercise
Planning for Qualification Verification
Planning for Qualification Verification
The Qualification Verifier role activities
Prepare for verification Plan verification Carry out verification Communicate verification decision Complete verification report
Planning Planning
“Failing to plan is planning to fail”.
Alan Lakein
Visit Planning: Sampling Visit Planning: Sampling
SQA cannot always verify all HN Units, for all candidates, on every visit to a centre, therefore a sampling strategy has to be adopted. Purpose of sampling:
To establish that there is a common interpretation of the standards within each centre and that the assessment and verification systems allow valid, reliable and fair assessment decisions to be made.
Visit Planning: Applying a sampling frame
Visit Planning: Applying a sampling frame
SQA is responsible for systematically sampling on a percentre basis:
Selected Units Assessment decisions and practice Methods/Instruments of assessment Problematic/revised units Locations where assessment takes place Evidence of candidates across Units Documented evidence of policies/procedures
(implementation)
Visit Planning Visit Planning
SQA (China Office) agrees optimum date (s) for visiting verification. This is an agreement between SQA, each centre and each QV
SQA selects Units to be verified and communicates this to each centre (copying to SQA China Office)
Qualification Verifier contacts centre to confirm visit date(s) and travel arrangements
SQA (China Office) confirms to each QV, the centre(s) they should visit, the date of each visit, and the Units they should verify
New Approach to Quality AssuranceNew Approach to Quality Assurance
Welcome Back
欢迎回来
Carry out Qualification Verification Carry out Qualification Verification
The Qualification Verifier role activities
Prepare for verification Plan verification Carry out verification Communicate verification decision Complete verification report
Carry out Qualification VerificationCarry out Qualification Verification
Discussion point
Consider the verification activities you perform
from the time of arrival until the end of the visit.
Contribute to the discussion by letting us know
what kind of techniques/approaches you have
used that you have found particularly beneficial.
Carry out the visit Carry out the visit
Prepare yourself for the visit
Agree agenda and running order of visit
Conduct sampling activities
Judge the sufficiency of evidence
Conduct sampling activitiesConduct sampling activities
Complete Units (all Outcomes complete) Incomplete Units (some Outcomes complete) Evidence not yet internally verified Assessment/verification decisions Assessment and verification practice Interviews with assessors/verifiers/candidates Referencing of evidence to standards
Introducing the Quality CriteriaIntroducing the Quality Criteria
Introducing the New Approach to Quality
Assurance Criteria
Introducing the Qualification Verification Guidance
Introducing the Quality CriteriaIntroducing the Quality Criteria
In your groups, discuss and familiarise yourselves with the criteria you have been allocated.
Formulate a list of summary points on flip chart paper to help you explain the purpose of each criterion to your colleague verifiers. The summary should also include possible sources of evidence.
In formulating your points, you are asked to use SQA’s New Approach to Quality Assurance: Guidance on Visiting Verification for HND Qualifications in China as your information source.
Timings:
30 minutes discussion and research
20 minutes flip-charting your points
Please appoint a spokesperson(s) to present the flip-charted points which will be presented in the first session tomorrow morning.
Each group will be assigned a facilitator to answer any questions/queries you may have.
QuestionsQuestions
The New Approach to Quality Assurance
The New Approach to Quality Assurance
Welcome Back
欢迎回来
The New Approach to Quality Assurance
The New Approach to Quality Assurance
Introducing the the new approach to quality assurance criteria
feedback
Criteria 4.2Criteria 4.2
4.2The centre must provide documented evidence to ensure that assessments are valid, reliable, equitable and fair.
Signed pre-delivery checklist.Standardisation meeting minutes, internal audit, review records
Criteria 2.3Criteria 2.3
2.3
Records must be maintained to provide evidence that the centre has sufficient competent staff who have the necessary qualifications, occupational experience and understanding to support the assessment and internal verification of qualifications being offered in the centre.
CVs/staff info sheets, CPD records, copies of relevant certificates, list of current assessors and internal verifiers, changes to the deployment of assessors/internal verifiers
Criteria 4.8Criteria 4.8
4.8
Outcomes of External quality assurance must be disseminated to appropriate staff and any action points must be monitored against agreed timescales.
Signed distribution list, corrective action log/report, minutes of meetings
Criteria 3.2Criteria 3.2
3.2
Candidates' development needs and prior achievements (where appropriate) must be matched against the requirements of the award. These must then be related to agreed personal action/training plans.
APL evidence, skills profile, training needs analysis, assessment plans, reviews
Criteria 4.6Criteria 4.6
4.6
The centre must comply with requests for access to premises, records, information, candidates and staff for the purpose of external quality assurance.
Documented procedure for handling QA visits, roles and responsibilities, site selection checklists, permission for SQA QA representatives to obtain access
Criteria 2.7Criteria 2.7
2.7
There must be evidence of initial and on-going reviews of accommodation, equipment and reference, learning and assessment materials.
Current Health & Safety certificatesitinerary checklists, procurement records, library contents, system for supporting e-assessmentRecords of review
Criteria 4.3Criteria 4.3
4.3
Evidence of candidates' work must be accurately and consistently judged by assessors against SQA's requirements.
Assessor reports, records of achievement, standardisation meeting minutes, IV reports, Qualification Verification reports
Criteria 4.1Criteria 4.1
4.1
The centre's documented assessment and verification procedures must be implemented and the subsequent assessment/verification practices reviewed, the results of which must be recorded and actioned.
Minutes of assessor/internal verifier meetings, internal audit, review records
Criteria 4.7Criteria 4.7
4.7Candidate evidence must be retained in line with SQA requirements.
Candidate evidence, documented retention policy
Criteria 4.5Criteria 4.5
4.5The centre must take steps to ensure that assessment evidence is the candidate's own work.
Candidate disclaimer, Candidate and staff induction materials: assessor/IV roles and responsibilities
Criteria 5.6Criteria 5.6
5.6
Comments/queries about the qualification specification, assessment guidance, qualification verification or related SQA matters must be resolved and recorded.
Correspondence file, emails, standardisation meeting minutes, notes of action points and resolution
Preparing for Qualification Verification
Preparing for Qualification Verification
The Qualification Verifier role activities
Prepare for verification Plan verification Carry out verification Communicate verification decision Complete verification report
Making verification decisions Making verification decisions
Deciding on the sufficiency of evidence can be likened to making an assessment decision
Making an assessment decision takes account of the overall strength of the evidence provided
One source of evidence will be sufficient at times. At other times, a number of sources will have to be considered, dependent on each centre’s approach to meeting quality assurance requirements and to some extent the structure of each criterion
Candidate’s development needs and prior achievements (where appropriate) must be matched against the requirements of the award. These must then be related to an agreed personal action/training plans.
The following are examples only, and do not constitute a
complete list of all possible types of evidence to support the
above criterion. APL/RPL/APA evidenceInitial/diagnostic/formative assessment, skills profiles, training needs
analysesPersonal development/action plans, competence reviews, learner
agreement/contracts, assessment plans
One evidence source could be sufficient in some cases for this criterion:
One evidence source could be sufficient in some cases for this criterion:
The documented assessment and verification procedures must be implemented and the subsequent assessment/verification practices reviewed, the results of which must be recorded and actioned.
The following are examples only, and do not constitute a complete list
of all possible types of evidence to support the above criterion.
Records of assessment Records of internal verification/audits, monitoring of assessor/verifier
practice Reviews of assessment and verification practices
More than one evidence source is likely to be considered for this criterion:
More than one evidence source is likely to be considered for this criterion:
The main guiding principles for making verification decisions The main guiding principles for making verification decisions
Decisions should be based:
on the sufficiency of evidence relating to each criterion
only on the criteria provided
The evidence examples given in the guidance document are just that. They are not a shopping list of evidence sources that all centres must have.
Own standard
s
Own standard
s
Attitude of centre staff
Attitude of centre staff
Own
mindset (closed)
Own
mindset (closed)
Our confide
-ence
Our confide
-ence
Own
experience
Own
experience
Previous centre perform-ance
Previous centre perform-ance
Awareness of things that could influence on our decisions Awareness of things that could influence on our decisions
Insufficient/no evidence = action points
Insufficient/no evidence = action points
Sufficient evidence - this means that the centre has provided evidence that fully meets the criterion (no action points required)
No evidence – this means that the centre has not provided any evidence in support of the criterion (action points required)
Insufficient evidence – this means the centre can provide some evidence in support of the criterion (action points required)
Agreeing action points Agreeing action points
Is there anything wrong with this action point?
“You should submit evidence of having
disseminated the results of Qualification
verification visits to relevant staff”
Action points should be SMART Action points should be SMART
Specific: Centres should be clear in terms of the action they need to take to close-off the action point.
Measurable: How will SQA or the centre know that the action point has been met, what will be the measure of success?
Achievable: The centre must have sufficient time in which to achieve the agreed action. Please factor in time it takes for SQA to receive, process and edit the report and send it to the centre.
Relevant: The action must directly relate to the criterion Time bound: Agree a specific and realistic.
date for the action to be completed by.
Questions
New Approach to Quality AssuranceNew Approach to Quality Assurance
Welcome Back
欢迎回来
The stages of Qualification Verification
The stages of Qualification Verification
Prepare for verification Plan verification Carry out verification Communicate verification decision Complete verification report
The stages of communicating verification decisions
The stages of communicating verification decisions
Plan to deliver balanced feedback
Explain your verification decisions
Plan to deliver balanced feedback Plan to deliver balanced feedback
Plan to include: Good practice Recommendations Action points (where appropriate)
Consider: Location Order of feedback and emphasis Words and tone
Explaining your verification decisions
Explaining your verification decisions
Where action points are given, ensure you:
have explored all possible evidence sources gather all information to support your decisions can justify your decisions - clearly relating them
to criteria requirements Give the centre an opportunity to ask questions and
clarify points
Communicating Decisions Communicating Decisions
Role play exercise:
David as a Qualification Verifier feeding back at the end of a Qualification Verification visit to Matthew who is the SQA Co-ordinator.
Please note your observations of the following on your observation sheet:
The content of the Feedback Attitudes and behaviours of the Qualification Verifier and the SQA Co-ordinator Any possible improvements
The stages of Qualification Verification
The stages of Qualification Verification
Prepare for verification Plan verification Carry out verification Communicate verification decision Complete verification report
The stages of completing the Qualification Verification Report
The stages of completing the Qualification Verification Report
Ensure report content matches your feedback
Justify your verification decisions
Write clear action points
Check report prior to submitting to SQA
The Qualification Verification Visit Report
The Qualification Verification Visit Report
The Criteria PagesThe Criteria Pages
The Required Action LogThe Required Action Log
The Summary Worksheet The Summary Worksheet
Recommendations and Good Practice Worksheet
Recommendations and Good Practice Worksheet
Writing Effective Verifier Reports Writing Effective Verifier Reports
SMART action points
Report writing guidance available – www.sqa.org.uk/files ccc/Writing for SQA part
A.pdf
Write report as soon after visit as possible
Checking content thoroughly
Assignment: Report WritingAssignment: Report Writing
Assignment will be emailed to you by Thursday 20th September.
You will be asked to: Review a Case Study Complete a Qualification Verification Visit Report Return to [email protected] by Friday 12th October
Assignment: Report WritingAssignment: Report Writing
SQA will provide you with:
Guidance document on how to complete a qualification verification visit report
Feedback on each report to provide support
byFriday 26th October 2012
SummarySummary
To introduce you to SQA’s New Approach to Quality Assurance
To help you understand the key changes to Quality Assurance process
To help you become familiar with:– The new Quality Assurance Criteria– The new Confidence Statements– How visits are planned, conducted and
reported
QuestionsQuestions