Appendix - D
INTERNAL QUALITY ASSURANCE
GUIDE
Establish clear
internal quality
assurance
procedures
Preparing for
external
quality
assurance
visits
Forward
plan IQA
Internal
Quality
Assurance
Procedures &
Processes
Standardise
assessment
practice
Trainee
assessors
Quality
assure
assignment
briefs
Monitor
assessment
practice
2014 - 2015
Manager Quality Compliance 6/11/2014
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SECTION 1
Purpose of Internal Verification
Objectives of Internal Verification
Internal Verification Process
2-4
SECTION 2
Sampling strategy
4-7
SECTION 3
Internal Verification of NVQ’s
8-9
SECTION 4
Internal Quality Assurance of Non-NVQ (BTEC etc.)
10
SECTION 5
Internal Quality Assurance
11 - 12
SECTION 6
Awarding Organisation Risk
13
SECTION 7
Supporting forms:
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VM1a - New Assessor induction plan ALL
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VM1b -New Assessor Induction Agreement ALL
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VM2A - Internal Quality Assurance report on assessment
decisions

VM2B Internal Quality Assurance – Assignment Briefs
NVQ, BTEC, VRQ

VM2C Internal Quality Assurance – Assessment
decisions of BTEC/VRQ

VM3 - Internal Quality Assurance of Direct Observation
NVQ

VM4 - Internal Quality Assurance concerns form (applies
to all)
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VM5 - NVQ internal Quality Assurance final portfolio/
qualification report form (applies to all)

VM6 - Internal Quality Assurance self-assessment check
list (applies to all)
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VM7 - Training needs analysis for assessors (applies to all)

AV8 - Quality Assurance sampling plan (applies to all)

AV9 – CPD tracking/action plan
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VM8a BTEC Assessment plan

VM10 BTEC – VRQ Observation record

VM11 BTEC- VRQ Witness statement
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
VM12 IQA form Student Opportunity for Resubmission and
Declaration

VM13 IQA form Student Re-take – New Assignment (QCF)
and Declaration
Manager Quality Compliance 6/11/2014
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The purpose of Internal Quality Assurance
The Redbridge College internal quality assurance process will provide a check on the students
experience, achievement and attainment, along with all aspects of assessment practice. It will
act as a support to the awarding organisation requirements of the College
The provision of appropriate and timely assessments, feedback and internally quality
assurance coursework is essential to enable the student to achieve his/her agreed learning
goals.
Redbridge College is committed to working towards creating an inclusive learning college within
which all students will have access to appropriate levels of effective assessment and feedback
to enable them to monitor their own progress and improve their achievement. The internal
quality assurance process will ensure and demonstrate that assessments are valid, authentic,
reliable, and sufficient to meet the required learning outcomes.
This guide describes the Internal Quality Assurance processes and procedures for internal
quality assurance for all awarding organisations. It should be used to assist Internal quality
assurers in their duties and includes examples of Internal Quality Assurance documentation.
Objectives of Quality Assurance
The objectives of the Colleges’ internal quality assurance process can be summarised as
follows:
 To ensure fairness and reliability of assessment procedures
 To establish and maintain quality control mechanisms for assessment through a system
of Internal Quality Assurance
 To provide a student-centred approach to assessment, that provides adequate
opportunities for students to present evidence of achievement
 To identify the staff development issues concerned with the assessment process.
Internal Quality Assurers will be responsible for:
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Maintaining polices and procedures to enable delivery and assessments
Ensuring that assessors are appropriately qualified, experienced and have sufficient
occupational competence to ensure an up-to-date working knowledge of the standards
they are assessing.
Ensuring that all new assessors and internal quality assurers have an appropriate
induction.
Supporting all new assessors and internal quality assurers and obtaining a specimen
signature.
Observing assessor’s performance over a period of time
Providing advice and guidance on issues that relate to assessment quality, sample
assessment decisions and provide feedback to assessors
Identifying assessor training needs taking into account other factors such as disability
Ensuring any special arrangements and reasonable adjustments have been made.
Ensuring that assessment decisions are evidence based and satisfies the requirements
of the Awarding Organisation.
Verifying the assessment practice by sampling the work of assessors and students
Conducting formative (interim) and summative (end) internal internal quality assurance.
Internally quality assure all assignment briefs prior to issue to students.
Ensuring assessments are accurately and consistently assessed and that assessors
provide adequate, accurate and up-to-date support, advice and feedback to students.
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Establishing, (if appropriate to the course) an annual sampling plan based on the
assessment schedule and the requirements of the awarding organisation.
Maintaining and checking that appropriate records and documentation are current and
kept up-to-date.
Conducting regular standardisation meetings with the assessors
Informing assessors promptly of any changes in the awarding organisation
requirements.
Participating in meetings/training and embedding cross college procedures within their
vocational area
Liaising with the Standards Verifiers and participate in External Standards Verification
meetings as necessary.
Monitoring student’s progress, reports and achievement.
Monitoring appeals by students and the outcome of those appeals.
Ensuring that the certification process for the students has been completed.
Evaluating the effectiveness of assessment practice and procedures
Liaising with the Manager Quality Compliance (MQC) to implement and adhere to the
college internal quality assurance and relevant policies.
IMPORTANT NOTE FOR NVQ INTERNAL QUALITY ASSURERS
Top Tip
There is no requirement by LSIS to undertake the new IQA units if you have previously
achieved A and V units or D32, D33 and/or D34. However, LSIS does state that assessors
holding D or A or V units should now be working to the new IQA standards.
Note: The D, A or V unit holder can prove this by undertaking a Continuous Professional
Development activity (CPD). This can be achieved by the attendance at an organised
internal training event.
Note: Standard Verifiers and External Quality Assurers will be checking that assessors and
IQAs have undertaken CPD activities and are working to the new standards.
SAMPLING
It is not always possible to check every assessment, every student and every assessor.
The sample size will vary depending on the number of students, assessors, the maturity of
the program and the experience of the assessors. In some cases, the awarding
organisation will specify its detailed requirements.
Sampling will ensure that methods of assessment and assessment judgements are
consistent. It should also serve as an adequate check that sufficient evidence is being
submitted across all areas and that National Standards are being met.
In all cases, the samples seen should be specified by the internal quality assurer and Lead
IQA, NOT by the Director or assessor.
Sampling should cover as a minimum and include:
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A range of levels and groups
Any borderline cases
Different methods of assessment
Work assessed by different tutors
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Points to remember!
Poor practice of internal quality assurance includes sampling that is:
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“End loaded”sampling
fixed date sampling (regardless of throughput)
flat rate (%) sampling regardless of circumstances
no sampling strategy or rationale in place
second assessing
unsatisfactory/inadequate records/reports
Monitoring assessment practice:
 lack of feedback to assessors
 unsatisfactory records/reports
 no monitoring of assessors in action
 not used as a development tool
Standardising assessment judgements
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no standardisation between assessors
no standardisation between programs
Formative Sampling:
Interim/formative sampling: It is important that the IQA “dips into” the assessment process
undertaken with the student at different stages in that process. This includes reviewing
student’s work perhaps (a) before decisions have been made on any unit and (b) looking at
portfolios with one or two completed units. It will entail checking the progress review report
given to students by the assessors; this will enable the IQA to evaluate the formative
guidance on assessment and the effectiveness of assessment planning.
Interim/ formative sampling will enable the IQA to pick up problems at an early stage and
so avoid the situation of turning down final decisions. It will also highlight individual
assessor needs for support or training which may be used to develop the assessment team
as a whole. This can also serve as an opportunity to share good practice particularly where
there are assessors in the team that have wider experience.”
Summative sampling:
Good practice in summative sampling should entail reviewing the quality of assessment
decisions by evaluating HOW the Assessor has reached that decision. The IQA must be
able to follow an audit trail which clearly demonstrates that the assessor has checked that
the evidence presented – whatever its format – meets the “rules of evidence” This includes
diverse evidence that may have been collated via a portfolio, digital video/audio, mobile
phone or evidence identified via alternative assessment tools.
Evidence must have been judged by the assessor as:
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VALID – relevant to the standards for which the competence is claimed
AUTHENTIC – produced by the student
RELIABLE– sufficiently consistant to ensure the same level of
skills/understanding/knowledge exists at the time of claim
SUFFICIENT – meets in full ALL the requirements of the standards.
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Developing your sampling strategy
It is not good use of IQA resources to maintain 100% checks as this implies a lack of
confidence in the assessor/practice/expertise and IQA strategy. Implementing this method
is simply adding a “second signature” to portfolios at the summative stage, does not
suggest effective IQA and the overall management of quality suffers.
The sampling strategy will be different for each department/course depending on the needs
of the area. However, in defining the strategy all of the following in the CAMERA model
should be considered as good practice:-
FACTORS
Students
YOU NEED TO CONSIDER
Ethnic origin. Race, age, gender, full-time/part- time,
different start dates, special needs etc.
Assessors
Experience and qualifications, workload, occupational
experience
Methods of assessment
Q&A, observation, witness testimony, RPL, use of
simulation, written tests, etc.
Elements/evidence within the
programme
Records
Range, problem areas, assignments, special requirements
etc.
Reports from assessors, correct assessment practices,
student portfolios and files
Assessment locations
Workplace assessment, college and off the job training,
peripatetic sites
In addition the IQA must ensure the department is working within the awarding organisation
quality assurance documents, to avoid “non – compliance” issues. Areas that use City and
Guilds as their awarding organisation must also comply with the latest Ensuring Quality. The
EDEXCEL Quality Review and Development requirements should be considered when
IQAing BTEC programs.
Manager Quality Compliance 6/11/2014
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INTERNAL QUALITY ASSURANCE – NVQ ASSESSMENT
The internal quality assurance (IQA) report form must be completed for every IQA activity. A
copy of the report should be given to each assessor and a copy placed in the IQA file. Students
should not be given copies of IQA report forms as they are written to address assessor practice
and may therefore contain comments that might undermine student confidence in assessors.

The IQA must ensure that their written feedback to assessors is recorded on the
appropriate IQA report form. The feedback must be directed to each assessor and should
address their assessment practice. The IQA should avoid generalised statements such as
‘Well done to both of you. Lots of hard work undertaken’
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The IQA is required to check some part of the unit(s) identified in the sampling plan. The
IQA should indicate the actual items of evidence sampled within the student portfolios by
initialling and dating the work reviewed.
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The IQA must ensure that students are assessed only after they have been registered with
the awarding organisation if registration is required for the qualification.
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The IQA must record the unit, and elements sampled, on the report form to ensure that an
auditable system exists in the centre records.
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Depending on the experience and qualifications of assessors, the IQA may be reviewing
more than one unit during a verification session, and should indicate all the units considered
on the report form.
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In addition to the sampling of evidence the IQAs will also record (by ticking as appropriate)
the method of assessment used, the assessment focus and whether the evidence is valid,
authentic, reliable and sufficient, and that there is evidence of consistent practice.
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The IQA will also note whether the performance evidence records have been signed and
dated by assessors and authenticated by students.
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The IQA must ensure that Assessors and students provide a written declaration that student
evidence is authentic and that assessment took place under the conditions or context set
out in the National Standards..
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Where necessary the IQA will check that assessments are countersigned and that the
appropriate records are being made on the countersigning report form.
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If a standardisation issue is identified, the IQA will need to record and discuss this at the
next IQA meeting with assessors.
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On action plans for assessors, the IQA will record what action is required by when and, at a
later date, whether the action was completed.
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The IQA must ensure that assessor QCF NVQ continuing professional development record
(VM9) is completed regularly, and that it complies with relevant Sector Skills Council (SSC)
requirements.
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When observation of assessor practice is undertaken during the IQA, the outcomes should
be recorded on the QCF NVQ IQA observation and questioning checklist (VM3).
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On completion of the portfolio/qualification, the NVQ IQA final portfolio/qualification report
form (VM5) should be completed.
Manager Quality Compliance 6/11/2014
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Occasionally the IQA may have, or have been acquainted with, serious concerns which
need to be brought to the attention of the MQC e.g. unsafe or incompetent practice in the
workplace. The IQA concerns form (VM4) should be completed and passed on to the MQC
for action.
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Unit and/or qualification achievement should be recorded on e-Tracker promptly after
completion.
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Once the qualification is complete only the Director can claim certification by declaring that
all standards are met, the exams staff can make the relevant claims for certification.
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On completion of qualifications all original IQA and student assessment records must be
securely stored for the period required by the regulator, usually three years.
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Students who leave or withdraw from assessment, prior to the achievement of their full
qualification, are entitled to have achieved units certificated. The IQA must ensure that the
same process identified for unit and qualification completion is followed, to ensure
certification takes place and the necessary records are retained by the college.
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Students may have their completed portfolios returned after the EQA/SV visit but must be
advised to keep them intact and safe for a period of three years.
INTERNAL QUALITY ASSURANCE – Vocational Qualifications (BTEC, Access, VRQs
etc.)
The procedure for non-NVQ programs will operate in the same format as the IQAn for QCF
NVQ Courses and applies to ALL vocational non NVQ Courses e.g. BTEC, across the College
except where a particular accredited awarding organisation specifically excludes its use.
(Exclusions are only applicable if written as part of the awarding organisation’s remit)

All Assessors and IQAs on the program must meet the qualification criteria set by the
awarding organisation.
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Each course will have appropriately qualified assessors and IQAs identified at the start
of the course. Assessors cannot verify their own assessment decisions or assignment
briefs.
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The assessor shall provide a written brief of all the assessment tasks/assignments to
the designated IQA of the course, module, unit or program of study.

Where a course of study has an externally set assignment such as AAT, examination, or
Controlled Assignment, the role of the IQA will be solely to IQA decisions not the briefs.

In the event of disagreement between an Assessor and an IQA the matter will be
referred to the MQC for consideration.
IMPORTANT NOTE:
All assignment briefs must be internally verified BEFORE being issued to the student. The
LIQA must sign the brief to confirm the brief meets the specifications for the award.
Manager Quality Compliance 6/11/2014
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SECTION 5: QUALITY ASSURANCE
Standardisation meetings
The LIQA will arrange IQA and assessor standardisation meetings at which the IQAs and
assessors are expected to attend. These will be held 5 times per year and require mandatory
attendance. NB if any of these events include updating of assessor or IQA skills and knowledge
they may contribute to evidence of continuing professional development (CPD).
These meetings are an essential tool for ensuring everyone is interpreting assessment criteria
in the same way and requiring the same level and quantity of work from students.
Holding standardisation meetings provides IQAs and the assessment team the opportunity to
share experiences. Standardisation meetings should focus on specific areas such as: problem
or new units, assignment marking, practical performance etc.
Assessors should bring examples of students work, especially any considered borderline, to
these meetings. Examining units in portfolios as a team to determine whether the evidence is
valid, authentic, reliable and sufficient as well as examining the different assessment methods
used and the decisions made.
Assessors can mark the same piece of work in order to test the reliability of marking
procedures. They can then discuss the variations in the results and discuss whether there are
ways in which assessment processes might be changed to minimise the differences.
Standardisation meetings allow Assessors and inexperienced team members to learn from
each other and it offers an opportunity for continuous professional development.
Records of the meeting must be minuted and feedback given to the assessors and IQA as soon
as possible after the meeting.
Where attendance at a meeting is impossible the LIQA must ensure that a copy of minutes are
cascaded where necessary. ALL assessors and IQAs must at least attend one meeting to
comply with awarding organisation requirements for QA.
Manager Quality Compliance 6/11/2014
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IQA & ASSESSORS MEETING FORMAT
Suggested format and agenda items for IQA and Assessor Meetings:The following is a list of agenda items that may be considered when setting a meeting agenda.
The following points are MANDATORY on any business meeting agenda.
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Date, time and location of meeting
Members present
Apologies
Minutes of previous meetings (confirmed as a true record)
Matters arising from the minutes
Any other business (last item on the agenda) see AOB points
THE FOLLOWING POINTS WILL APPEAR ON MOST AGENDAS
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Standards Verifiers/ EQA reports (action points discussed)
Dates of next occupational EQA/SV visit
Students
progress and review
Review of the quality of assessment practice
Forward planning/future assessment/training development
Assessment planning
IQA sampling plan, update and review
Feedback on progress
Student registration/certification
Assessor/student ratio workloads
Equal opportunities (procedure and monitoring)
Appeals Procedure
THE FOLLOWING MAY BE INCLUDED AS APPROPRIATE
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Student Induction
Diagnostic/Initial Assessment
Any reasonable adjustments made for students with disabilities
Health and Safety procedures
Awarding organisation update information
Changing staff roles and responsibilities
Changing assessment locations/on site assessment
Staff development/training needs analysis
Assessment/IQA documentation records
Physical resources (tools, equipment, materials)
Assessment target dates (impact on funding)
Items for next meeting
Administrative requirements
Date, time of next meeting.
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NON - COMPLIANCE TARIFF OF SANCTIONS
Non-compliance issue
1.1 Centre’s aims, policies and assessment
practices, and responsibilities of personnel
are not clear or well understood by
assessment team
Approved
centre criteria
that currently
applies
Level 1
1.0–1.2
Entry in action
plan
1.2 IQA procedures and
activities not clearly documented
4.0
1.3 Communication within the assessment
team and with the awarding organisation is
ineffective
1.3
1.4 Equipment and accommodation do not
comply with health and safety acts
2.3
1.5 Insufficient qualified assessors
2.0
1.6 Assessors/IQAs do not have
adequate development plans
2.1
1.7 Students are not aware of their rights and
responsibilities, eg no appeals procedure
for students
1.8 There is inadequate assessment
planning with students
1.9 Queries are not resolved or recorded
1.10 Range of assessment methods is
insufficient to encourage access
1.11 Changes to personnel of the
assessment and IQA team are not notified to
the awarding organisation
1.12 Unit certification is not made available
to students
1.13 There is inadequate monitoring or
review of procedures
2.1 Assessors have insufficient time,
resources or authority to perform their role
3.0, 3.1, 3.2, 3.4,
3.5
Non-compliance
with centre
approval criteria
but no threat
to the integrity of
assessment
decisions
3.1, 3.2
1.7
3.3
1.4
3.6
4.3, 5.0, 5.1, 5.2
1.5
2.2 Decisions of unqualified assessors have
4.4
not been countersigned by qualified assessor
2.3 Assessment decisions are not consistent
4.1
2.4 Insufficient qualified IQAs
2.0
2.5 Decisions of unqualified IQAs have not
been countersigned by qualified IQA
4.5
Manager Quality Compliance 6/11/2014
Sanction/Risk Rationale
Level 2
Removal of
direct claims,
ie claims for
certification
must be
authorised by
the EQA
Close scrutiny of
the integrity of
assessment
decisions
required
Page 12
2.6 Records are insufficient to allow audit of
assessment
Non-compliance issue
3A.1 Assessment process disadvantages
students
2.7 Previously agreed corrective measures
relating to level 1 are not implemented
Manager Quality Compliance 6/11/2014
4.2
Approved
centre criteria
that currently
applies
3.0, 3.1, 3.2,
3.4, 3.5
Sanction
Rationale
Level 3A/3B
3.A threat to
students
5.2
Page 13
3A.2 Assessment decisions are unfair
3B.1 No qualified internal verifier
1.1, 3.0, 3.1,
3.2, 3.3,
3.4,3.5, 4.1
2.0
3B.2 Assessment does not meet national
standards
1.7, 3.3, 4.1,
4.4
3B.3 The centre fails to provide access to
requested records, information, students and
staff
3B.4 Assessed evidence is not the authentic
work of students
1.9
3B.5 Records of assessment show serious
anomalies
3B.6 Certification claims made before all the
requirements of assessment are satisfied
3B.7 Previously agreed corrective measures
relating to level 2 non-compliance are not
implemented
4.1 Significant faults in the management and
quality assurance of the NVQ program which
result in an ongoing failure to meet the core
requirements for the conduct of assessment.
4.2 Previously agreed corrective measures
relating to a level 3 non-compliance have not
been implemented
Level 4
5.1 Significant faults in the management and
quality assurance of all NVQ programs
5.2 Previously agreed corrective measures
relating to a level 4 non-compliance have
not been implemented
Manager Quality Compliance 6/11/2014
- Suspension
of
registrationcertification. –
3B – loss of the
integrity of
assessment
decisions
– danger of invalid
claims for
certification
1.8
1.6, 1.8, 4.2,
5.3
1.6
5.2
Level 4
Withdrawal of
centre
approval for
specific NVQs
Irretrievable
breakdown in
management and
quality assurance of
specific NVQs
Level 5
Withdrawal of
centre
approval for
all NVQs
Irretrievable
breakdown in
management and
quality
Irretrievable
breakdown in
management and
quality
Page 14
VM1a /form INTERNAL QUALITY ASSURANCE New Assessor induction plan
Assessor: …………………………………………. Date started: ………………………
Signed by
Assessor
Date completed
1. Initial contact made by IQA
2. Production of sample signature and certificates
3. Received centre procedures and assessment
guidance; including pro-formas
4. Received centre assessment and IQA
documentation
5. Internal quality assurance procedures explained
6. Received the centre organisation chart
7. RC equal opportunities policy and monitoring
procedures explained and understood
8. Received RC appeals procedure which was
explained and understood
9. Aware of the qualification support resources
available
10. Received personal copy of the qualification
standards
11. Received (Sector skills council) SSC guidance
on occupational competence and CPD
Assessor’s signature …………………………………………. Date …………………
IQA’s signature ………………………………… Date …………………
VM1b/form
INTERNAL QUALITY ASSURANCE New Assessor Induction Agreement
Assessor name
Telephone number
E-mail
The qualification title and level that I will be assessing is
Centre name and contact details
Address
Telephone
E-mail
Centre number
My countersigning assessor/IQA is
Telephone
E-mail
My IQA is
Telephone
E-mail
The centre quality assurance manager is
Telephone
E-mail
The centre standards IQA is
I have completed the full induction program and am now fully familiar with my responsibilities as
assessor.
I understand the procedures for checking the standard of my assessment practice and for seeking
immediate help, should either I or my student experience difficulty.
_____________________________________________________________________________
Please indicate below CPD required:
Assessor’s signature
Date
IQA’s signature ………………………………… Date …………………
VM2A/form - INTERNAL QUALITY ASSURANCE report on assessment decisions
Student name:
Assessor/lecturer
Course/Subject:
IQA:
IQA checklist
Have the student and assessor agreed an
assessment plan?
Has the assessor carried out relevant
workplace assessments or observations?
Date:
Yes/no
Has the student received written feedback that
is sufficient to give clear information on
achievement?
Does the written feedback give guidance on
how to improve and, if applicable, how to
achieve high grades?
Has FS evidence been appropriately
integrated?
Are the student’s records being completed on
an ongoing basis?
Valid?
Has the assessor
ensured that the work
is:
Authentic?
Reliable?
Sufficient?
Do you agree with the assessment
decision(s)?
Is the student ready for certification?
Supportive feedback from IQA to Assessor:
Action points identified:
Assessor signature
Date
Internal Verifier signature
Date
Lead Internal Verifier
signature (if required)
Date
Confirm action completed
Remedial action taken
Assessor signature
Date
Internal Verifier signature
Date
Lead Internal Verifier
signature (if required)
Date
VM2B/form INTERNAL QUALITY ASSURANCE of Assignment Briefs NVQ, BTEC, VRQ
Course/Subject:
Unit No/Title:
Assessor/Lecturer:
IQA:
IQA CHECKLIST
Are accurate program and unit details shown?
Is the front sheet in the correct format and fully
completed?
Are clear final/interim deadlines for assessment
stated on the front sheet? Is the timescale for
the assignment appropriate?
Does the assignment indicate all the P/M/D
assessment criteria?
Are the grading criteria aligned against each
task?
Are assessment criteria actually addressed by
the tasks and are they related to the unit
content?
Is it clear what evidence the student needs to
generate?
Does the assignment utilise valid assessment
methods?
Are illustration/images clear and relevant?
Is it clear what evidence the student needs to
generate? (e.g. ICT, learning resources,
referencing, work individually or in pairs/or in a
team.
Are key words such as describe, analyse,
explain, evaluate and justify in bold?
Are the task activities appropriate to the level of
the learning (L1,L2,L3)?
Is there a scenario or vocational context that is
linked to the tasks?
Is the language and presentation appropriate
and unambiguous? Has it been spell checked
and does it avoid racial and sexual
stereotyping?
Yes/ no
Comments
Overall is the assignment fit for purpose?
* If “No” is recorded and the IQA recommends remedial action before the brief is issued, the Assessor and the IQA
should confirm that the action has been undertaken
Additional feedback from IQA(including arrangements for checking any remedial action)
Any comments by assessor/lecturer? (including, where applicable confirmation that remedial action
has been taken)
Internal Verifier
signature
Date
Lead Internal Verifier
signature (if required)
Date
Confirm action completed
Remedial action taken
Assessor signature
Date
Internal Verifier
signature
Date
Lead Internal Verifier
signature (if required)
Date
VM2C/form Internal Quality Assurance of – ASSESSMENT DECISIONS
Programme title
Assessor
Internal Verifier
Unit(s)
Learning Aim(s)
Assignment title
Student’s name
First submission / resubmission?
(Only one resubmission allowed, authorised by Lead Internal Verifier)
Level 1
List which assessment
criteria the assessor has
awarded.
Pass
Merit
Distinction
(NQF Level 1-2
BTEC Firsts only)
INTERNAL VERIFIER CHECKLIST
Comments
Do the assessment criteria awarded match
those targeted by the brief?
Y/N
Has the work been assessed accurately?
Y/N
Is there documented FORMATIVE
feedback to the student that:



Identifies opportunities for improved
performance?
Links to relevant learning aim / assessment
criteria?
Identifies actions?
Y/N
Is the SUMMATIVE feedback to the
student:



Constructive?
Linked to relevant learning aim / assessment
criteria?
Justifying each assessment criterion awarded?
Does the assessment decision need
amending?*
Y/N
Y/N
Assessor signature
Date
Internal Verifier signature
Date
Lead Internal Verifier signature
(if required)
Date
*Confirm action completed
Remedial action taken
Assessor signature
Date
Internal Verifier signature
Date
Lead Internal Verifier signature
(if required)
Date
IQA signature
Date
LeadIQA signature (if required)
Date
VM3a /form – INTERNAL QUALITY ASSURANCE of Direct Observation of NVQ
Award Title/Level: _________________________Student:________________________
Assessor: _______________________________IQA: __________________________
Location: _________________________________Date:__________Time:_______
Assessment task:
Did the assessor:
Remain as unobtrusive as practicable?
Give clear information on the assessment process
to the student?
Base assessment decisions on all relevant
evidence?
Use questions which were clear, justifiable and
did not lead the student?
Use sufficient questions to provide evidence to
infer competent performance?
Involve the student in their own assessment by
encouraging them to ask questions?
Confirm success to the individual when the
evidence is sufficient
Give student feedback at an appropriate
 time
 place
Give student feedback in a constructive and
encouraging way and was appropriate to the
student level of experience and confidence?
Make a prompt and accurate record of the
assessment decisions?
Review and agree the next steps in the
assessment process and how the student can
achieve these?
Follow the agreed complaints and appeals
procedures if the student disagreed with the
assessment decisions. (if appropriate)
Yes/No Evidence:
Additional feedback from IQA:
Any comments by assessor?
Assessor’s signature: ……………………………………………... Date: ……………….
IQA’s signature: …………………………………..…. Date: ….……………..
VM3b/form – INTERNAL QUALITY ASSURANCE Student Interview
Name of Assessor___________________Name of IQA:
_________
Name of student:
When did you begin the programme?
Yes/
No
Evidence:
How were you introduced to the programme?
What topics were covered in your induction?
Was any of your prior experience
considered/used towards the qualification?
Did anyone find out about any training you
needed?
Was equal opportunity and fair assessment
policy explained to you? Did you understand it?
Was the process of getting you qualification
explained to you? If so, what do you understand
this process to be?
Did you draw up a plan to achieve your
qualification with your assessor?
Does your assessor involve you in planning
assessments in advance?
When, where and how does assessment take
place?
Do you understand what units of the
qualification the evidence covers?
How soon after you started was your first
assessment?
Does your assessor give you feedback after
assessment? Is this feedback in written form?
What units have you completed so far? Have
you signed any documentation to confirm
completion?
What kind of help and guidance have you
received to put your portfolio together?
Do you think the qualification will help you in
your work now and in the future?
Student Signature ……………………………………………………………..Date…………………..
IQA’s signature …………………………………………………………………Date…………………..
VM4/form
INTERNAL QUALITY ASSURANCE CONCERNS FORM
The areas of concern should be completed by the IQA and copies given to the LIQA and Manager
Quality Compliance
What is the area of concern?
What action has been taken previously?
IQA signature
Date
MQC/DMQC signature
Date
Ref
no.
ACTION
Target
date
All actions completed:
MQC/DMQC signature
Date
By
whom
Completion
date
VM5/form NVQ INTERNAL QUALITY ASSURANCE final portfolio/ qualification report form
Student name:
Title of qualification:
Full qualification verified
Yes
Assessor:
IQA:
No
Date
Yes/no
The portfolio is clearly sectioned and easily accessed. An effective referencing system
is in place?
For assessors without D/A/V/IQA units the assessment decisions have been
countersigned by a qualified assessor?
Evidence of access to appeals and equal opportunity of assessment present?
There is complete evidence of the assessor being active in the full assessment cycle
(from planning to review and feedback)?
The assessor records of assessment decisions are complete, accurate and provide a
clear audit trail?
Key documentation – such as declaration of authenticity is dated and signed?
Assessment process documents are complete and available for storage in centre
records?
Action for assessor (if any)
Released for certification? YES
IQA’s signature:
Plan achieved
NO
Date
All actions completed:
IQA’s signature:
Date
VM/7
INTERNAL QUALITY ASSURANCE Training needs analysis for assessors
Assessor
List the Skills, Knowledge, Abilities, experience necessary to do your job
effectively
IQA
What in your opinion are your present teaching / assessing needs?
How long have you worked with the organisation?
Can you identify any area of training for the future?
How many students have you assessed/or are you
assessing?
Have you attended any training on anti-discriminatory practice?
What levels?
Describe briefly the main purpose of your job?
Any other comments?
List in order of importance the main tasks of your job.
I certify this is a true record of the discussion and do not object if this information is
discussed with. A) Manager – Professional Development & Training B) Awarding
Organisation, Standards Verifier/ External Quality Assurance.
Give brief details of any qualifications you have
Assessor’s signature: ………………………….. Date ……………………
IQA’s signature:…………………………… ….. Date ……………………
COURSE
INTERNAL QUALITY ASSURANCE SAMPLING PLAN 2014/15
Unit
Unit
Unit
Unit
Unit
Unit
Date
IV
Assessor
Completio
n Date
Award/B
Reg no
Award /B
Reg Date
Agree, sign & date IQA
A/B Award No
Start date
Assessment Process
P - Planning
R - Review
F - Feedback
FC - Final check
portfolio
College ID
VM8/form
Group:
Method of Assessment source checked
DO - Direct Observation. WT - Witness testimony. A - Assignment. CS - Case study. CRA - Student reflective account. PD Professional discussion
APL - Accreditation of prior learning. Q & A - Oral questions WP - Work product
EWT - Expert witness testimony. S - Simulation CI - Student interview.
Authorise, sign & date MQC
VM8a/form
BTEC Assessment Plan
Programme Number & Title
Unit No & Title
Assignment
No & Title
Learning
Objective
Assessment
Criteria
Hand Out
Date
Hand In
Date
Assessment
Date
IV Sampling
Date
Resubmission
Assessment
Date*
Resubmission
IV Sampling
Date
Assessor
Name
Year 1
Year 2
Lead Internal Verifier
Signature
Name
Date
* Lead Internal Verifier must authorise any resubmissions. The learner must have met the initial deadline (or an agreed extension deadline) and authenticated their work. The
resubmission date must be within 10 working days of the learner receiving the results of assessment.
IV Name
VM9
INTERNAL QUALITY ASSURANCE
Name:
Title of CPD
Activity
Location of
Evidence
Continuous Professional Development Action Plan 2014/2015
Curriculum area:
Appraisal
Ref.
Duration
Target
Date
What skills
have you
developed
How will this be
applied
Assessor’s signature: ……………………………………………... Date: ……………….
IQA’s signature: …………………………………..…Date: ….……………..
Date
What actions
Reflective Analysis
Completed you still need to
take
VM10 BTEC- VRQ Observation records
Observation record
An observation record is used to provide a formal record of an assessor’s judgement of student
performance (process evidence e.g. during presentations, practical activities) against the target
grading criteria. The record will:





relate directly to the evidence requirements in the grading grid of the unit specification
may confirm achievement or provide specific feedback of performance against national
standards for the student
provide primary evidence of performance
is sufficiently detailed to enable others to make a judgement as to quality and whether there is
sufficient evidence of performance
confirm that national standards have been achieved.
Observation records should:







be accompanied by supporting/additional evidence. This may take the form of visual aids,
video/audio tapes, CDs, photographs, handouts, preparation notes, cue cards, diary record or
log book and/or peer assessments records, etc.
note how effectively these were used to meet the grading criteria
record the assessor’s comments
be evidenced in student’s portfolios when assessment is carried out through observation along
with relevant supporting evidence
be completed by the assessor who must have direct knowledge of the specification to enable
an assessment decision to be made
be signed and dated by the assessor and the student
also include students’ comments.
An observation record can have greater validity than a Witness Statement since it is capable of
directly recording an assessment decision without reference to others.
VM10 BTEC – VRQ OBSERVATION RECORD
Student name:
Qualification:
Unit number & title:
Description of activity undertaken
Assessment & grading criteria
How the activity meets the requirements of the assessment and grading criteria
Student name:
Student signature:
Date:
Assessor name:
Assessor signature:
Date:
VM11 BTEC- VRQ Witness statement
A witness statement is used to provide a written record of student performance (process evidence)
against grading criteria. Someone other than the assessor of the qualification/unit may complete it.
This may be an assessor of a different qualification or unit, a work placement supervisor, a technician,
learning resources manager or anyone else who has witnessed the performance of the student
against given grading criteria. It can be someone who does not have direct knowledge of the
qualification, unit or evidence requirements as a whole but who is able to make a professional
judgement about the performance of the student in the given situation.
The quality of witness statement is greatly improved and enables the assessor to judge the standard
and validity of performance against the grading criteria if:



the witness is provided with clear guidance on the desirable characteristics required for
successful performance
the evidence requirements are present on the witness testimony but this may need further
amplification for a non-assessor
the student or witness also provides a statement of the context within which the evidence is
set.
The witness statement does not confer an assessment decision. The assessor must:





consider all the information in the witness statement
note the relevant professional skills of the witness to make a judgement of performance
review supporting evidence when making an assessment decision
review the statement with the student to enable a greater degree of confidence in the evidence
be convinced that the evidence presented by the witness statement is valid, sufficient and
authentic
When a number of witnesses are providing testimonies:



it may be helpful to collect specimen signatures
all witness testimonies should be signed and dated by the witness
information of their job role/relationship with the student should also be available.
These details add to the validity and authenticity of the testimony and the statements made in it.
Centres should note that witness testimonies can form a vital part of the evidence for a unit(s) but
they should not form the main or majority assessment of the unit(s).
VM11 BTEC- VRQ Witness statement
Student name:
Qualification:
Unit number & title:
Description of activity undertaken (please be as specific as possible)
Assessment & grading criteria (for which the activity provides evidence)
How the activity meets the requirements of the assessment and grading criteria, including how and
where the activity took place
Witness name:
Witness signature:
Student name:
Student signature:
Assessor name:
Assessor signature:
Job role:
Date:
Date:
Date:
VM12
Internal Quality Assurance form
STUDENT OPPORTUNITY FOR RESUBMISSION AND DECLARATION
Student name:
Assessor name:
The student must now be given a deadline for resubmission within 10 working
days (these must be within term time, in the same academic year as the
original submission)
Resubmission Issue date:
Resubmission due date:
Actual Resubmitted date:
Programme:
Unit:
Assignment reference and title:
Rationale for requesting resubmission:
The Lead Internal Verifier can only
authorise a resubmission if all of the
following conditions have been met:
YES
NO
(please
tick)
(please
tick)
Signature of
Teacher/tutor
The student has met the initial deadline set in
the assignment or, has met an agreed
deadline extension
The teacher/tutor judges that the student will
be able to provide improved evidence without
further guidance
The teacher/tutor has authenticated the
evidence submitted for assessment and the
evidence is accompanied by a signed and
dated declaration of authenticity by the
student
The student must sign a declaration of authenticity for their resubmitted work
The teacher/tutor must show confirmation that the resubmitted evidence is
authentic and is the student’s own work
Lead Internal Verifier authorisation:
Signature of Lead Internal Verifier
I authorise a resubmission of evidence
for the above named student :
Date:
VM13 Internal Quality Assurance form
STUDENT RE-TAKE – NEW ASSIGNMENT (QCF) AND DECLARATION
The Lead Internal Verifier must only authorise a retake in exceptional
circumstances where they believe it is necessary, appropriate and fair to do so
If a student has met all the conditions listed in Opportunities for resubmission but
still not achieved the targeted pass criteria following resubmission of an assignment, the
Lead Internal Verifier may authorise one retake opportunity to meet the pass
criteria
Student name:
Assessor name:
Re-take issue date:
Re-take submission due
date:
Actual Re-take submitted
date:
Programme:
Unit:
Original Assignment reference and title:
Re-take New - Assignment reference and
title:
Rationale for requesting Re-take:
The Lead Internal Verifier can only authorise a re-take if all of the following
conditions have been met:
The re-take must be a new task or assignment targeted only to the pass criteria
which were not achieved in the original assignment
The teacher/tutor cannot award a merit or distinction grade for a re-take
The teacher/tutor must agree and record a clear deadline before the student starts a
retake
The Student will not be allowed any further resubmissions or re-takes
The student must sign a declaration of authenticity for their re-take work
The teacher/tutor must show confirmation that the re-take evidence is
authentic and is the student’s own work
Lead Internal Verifier authorisation:
Signature of Lead Internal Verifier
I authorise a re-take New Assignment of
evidence for the above named student :
Date: