Assessment
Policy
2007 - 2010
ASSESSMENT POLICY
INTRODUCTION
Assessment is the process by which a learner’s skills and knowledge are reviewed in order to
evaluate what they have learnt or in the case of NVQs how they are performing against the
competencies they are required to demonstrate. Assessment will ensure that learners are
fairly, accurately and regularly assessed in a consistent manner and:
•
provide diagnostic information that assists both staff and learners/ candidates to provide
appropriate support to enable achievement of the learning outcomes (initial assessment)
•
allow learners/ candidates to monitor their own progress
•
enable tutors to review and develop their learning programmes to achieve their intended
learning outcomes
•
provide evidence of progress and achievement to enable accreditation and progression to
take place
•
enable a dialogue between the learners/ candidates and tutor / assessors to ensure
progression within the provision (tracking)
•
provide a measure of the learner’s achievement on qualification based courses (grades)
PRINCIPLES OF ASSESSMENT
All assessment in Barnet College follows the five principles below:
•
Authenticity: All assessment activity must have in place processes to ensure that the
achievement is the learner’s/ candidate’s own work. Learners/ candidates must sign a
statement to this effect. Awarding Bodies boards have their own rules and regulations about
authenticity and tutors/ assessors must make themselves familiar with them and abide by
them (see Appendix 1: Plagiarism policy)
•
Validity: The method of assessment and the evidence provided must be appropriate and
capable of demonstrating the achievement of learning outcomes/ competencies and related
assessment criteria of the provision at the appropriate level.
•
Reliability and consistency: The assessment results should be standardised across
levels and provision. Moderation and standardisation must follow the College and Awarding
Bodies board procedures (see Appendix 2: Internal Verification Policy)
•
Fitness for purpose: Assessment must be fit for the learners/ candidates and the learning.
The assessment strategy must be clearly appropriate for the target group of learners/
candidates in the correct context in which they are learning e.g. homework must be
supportive, or initial diagnostic must not be intimidating. The criteria and methods which are
being used to judge the work must be clear to the learner, staff and internal and external
moderators /verifiers and meet and exceed the requirements of QCA/QAA, the awarding
bodies and our learner/ candidate charter.
•
Inclusiveness: Assessment should be based on learners’/ candidates’ needs. It must
allow all learners/ candidates to demonstrate their achievements regardless of individual
circumstances. It must comply with the Equalities policies of the College.
SCOPE
This policy applies to all provision offered by the College where all or part of the programme is
formally assessed.
ASSESSMENT STRATEGY
Assessment will be a standing item on the agenda of all course/subject/ School team meetings.
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Course/ subject teams will review their assessments and procedures and processes annually to
ensure that they are current and valid. The School Management team will then update their
Assessment Strategy to reflect any changes and this will feed into the overall College
Assessment policy.
All course/ subject teams will hold a Final Examiners/assessment meeting upon completion of
the assessments for the current academic year.
All Schools will contain in their handbooks a description of the overall approach to assessment.
This will specify where relevant:
•
Purpose, arrangements and choices of assessment methods
•
Details of any initial or diagnostic tests
•
Who will be doing the assessing
•
Arrangements for recording and tracking assessment evidence
•
Timing of assessment tasks e.g. a diary or table
•
Volume of assessment including homework and coursework and an estimate of the time
required to complete it
•
Number of attempts allowed at an assignment
•
Consequences of non submission or late submission. It may only be possible to achieve a
pass grade if the assignment is a late submission. It may be that a different assignment is
used for any reassessment.
•
Arrangements if the learner is absent for an assessment e.g. previous approval of absence,
genuine reason or medical certificate
•
Plagiarism policy
•
Learner Malpractice in Examinations Policy (see Appendix 3)
•
Arrangements for the secure retention of assessment evidence by the College which may
be required for moderation, and will normally be returned to the learner at the discretion of
the College, and only after the completion of the external moderation process in accordance
with the Awarding Body requirements (see Appendix 7)
•
Nature of the moderation process demonstrating that assessment decisions are to national
standards and that internal and external moderation/ verification is in place to ensure that all
assessments are applied consistently for all learners and that the final assessment
mark/decision is accurate, reliable and recorded.
•
Results for internally assessed units are final only after internal and /or external moderation
•
Written and oral feedback is given to the learners as soon as possible after assessment in
line with the School Service Standards (normally 3 working weeks of the official submission
date for written work). These standards are reviewed annually and shared with learners in
the handbook.
•
That where an assessment takes place outside the College it is the responsibility of the
teacher/ trainer/ supervisor / assessor to ensure that adequate arrangements are made for
the supervision of the assessment activity and authentication of the learner’s/ candidate’s
assessment evidence.
•
Arrangements for learners who are unable to demonstrate attainment through the standard
assessment arrangements (Appendix 5).
•
Awarding Body requirements/ regulations.
•
Learner Appeal Against the Assessment of Performance (Appendix 6)
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The assessment strategy enables learners/ candidates to know that:
•
Open and transparent methods are used to assess.
•
They are expected to spend a designated amount of time outside the classroom each week
completing assessments and that this will be part of the School’s homework policy.
•
There is feedback on the process and results of assessment.
•
Learners have the opportunity to demonstrate that they have achieved the outcomes of
their programme of learning.
•
Learners are allowed to resubmit work under appropriate and agreed assessment
regulations in line with the Awarding Body regulations, in order to achieve to their best
ability/ capacity
•
Where work is part of external assessment then a record of the development process - e.g.
first submission - feedback, second submission - feedback, third submission - feedback
must be clearly signed and dated and photocopied and a review of this is part of the
standardisation/moderation process
•
Assessment is relevant and integrated into the learning process
•
Learners will normally be permitted an initial attempt and one further summative attempt at
an assignment. A third summative attempt may only be offered where there are appropriate
circumstances as agreed by the subject leader/ personal tutor and manager.
•
Learners have the right to appeal against assessment decisions which may adversely affect
their academic achievement, if they feel there are just grounds such as error, inconsistent
judgement, misinterpretation or unfairness (see Appendix 6: Learner Appeal Against the
Assessment of Performance).
•
Failure to submit coursework to the required standard and / or deadlines or to achieve
summative assessments or failure to meet the agreed requirements of any support or
recovery plan may lead to the Learner Disciplinary Procedure being implemented, and
consequently a reduced grade being awarded.
•
Plagiarism and other forms of cheating are not tolerated (see Appendices 1 and 3)
•
Progress as monitored by assessment will be reflected and tracked in the Individual
Learning Plan
FORMS OF ASSESSMENT
•
Initial/ Diagnostic assessment usually takes place at the start and is used to identify the
current learning needs in order to provide appropriate support.
•
Formative assessment is developmental, supportive and encouraging and ongoing
throughout the course. It is used to give feedback and support to the learner on progress to
date and to inform the learner and tutor of action to take to maintain or improve
performance.
•
Summative assessment takes place at the end of a course and counts towards a final
assessment decision. It is used to measure how much learning has taken place. It is a
judgement on whether the learner has achieved all or some of the learning outcomes for a
given level.
•
Formal assessment is structured and usually takes place in clearly stated conditions, e.g.
the completion of a practical task, or presentation. It may be undertaken by the whole group
or by an individual. It is usually summative in nature and may be assessed externally.
•
Informal assessment is ongoing integrated and flexible. It is varied and may be recorded by
the learner and the tutor/assessor. It can include self assessment or verbal feedback given
by the assessor. It can be formative or summative or both. If it is summative it must be
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recorded although NVQs record formative assessments to demonstrate competency over
time.
ASSESSMENT ACTIVITIES
Any assessment will include a variety of assessment activities or methods, formal or informal
mapped to the learning outcomes/ performance indicators or criteria. These may include where
applicable (please note some qualifications do not recognise some activities):
•
observation of activities such as role plays, simulations, practical activities, performance etc
•
discussion ranging from unstructured informal conversations to guided discussions This can
be used in a group with a clear set of conditions for recording individual achievement, or on
a one to one basis;
•
question and answer sessions, oral or written, formally or informally structured e.g.
worksheet, quiz, IT based activities etc
•
structured tasks such as a research project, experiment, essay, or case study, or work
place task or presentations (individual or group)
•
examinations and tests, either seen or unseen, with a formal structure and time constraints
RESPONSIBILITY FOR ASSESSMENT
The assessment strategy for each programme/ course outlines who is responsible for making
and recording judgements.
1. Tutors: The tutor is responsible for:
•
Planning the assessment strategy in accordance with the Awarding Body’s guidelines and
ensuring that it complies with the College assessment Policy (see Appendix 2)
•
Including assessment details of assessment on the Scheme of Work
•
Notifying learners of the learning outcomes and assessment criteria before the assignment
is undertaken
•
Giving guidance to the learner when there are choices regarding assessment
•
Ensuring that assignment briefs have been verified before they are given to the learner
•
Using the criteria equitably and fairly.
•
Recording the assessment either in the Record of Work Book, the ILP or other agreed
tracking sheet.
•
Setting appropriate homework in line with School Policy on Assessment including
homework
•
Returning marked homework in a timely manner in line with the School’s Service standards
by which date all learners will have had the opportunity to complete the assessment.
•
Retaining coursework in accordance with the Awarding Body guidelines and the College
Records Management Policy (Appendix 7).
•
Participating in the moderation process by keeping all the necessary records, attending
moderation meetings and submitting marked learner assessments as requested (see
Appendix 2).
•
Ensuring that provisional assessment decisions are internally verified before they are given
to the learner, and explaining that they may change after external moderation. This should
be clearly stated on the assignment brief.
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•
Keeping all assessment records secure.
•
Giving on-going feedback which is not just a word like "good" or "excellent" but the medal
and mission type of feedback which sets out very clearly what learners have to do to
improve
•
Ensuring that all learners have equal opportunities for their achievements to be assessed
•
Ensuring that Plagiarism and cheating are detected (see Appendix 1).
2. Learners: Evaluating their own work it helps learners to improve. This is a skill which is
developed in tutorials and communications classes. Work based candidates may have
reflective accounts.
3. NVQ Candidates
•
Attend workshops as per the programme requirements
•
Familiarise themselves with the standards for their qualification (NVQ and/or Key Skills)
•
Negotiate and develop a personal action plan with their Assessor
•
Complete and sign their ILP with their Assessor
•
Build a portfolio of evidence in accordance with Awarding Body and Centre requirements,
mapping evidence against standards on Evidence Grids
•
Be available to discuss assessment evidence with Internal and/or External Verifier if
requested
4. Peers:
Peer assessment involves learners in formal or informal situations, either as groups or
individuals giving feedback in assessment. Assessment by other learners in the group can
encourage evaluative skills and increase group cohesion. This sort of assessment must
always be supported and moderated by the tutor/assessor(see Appendix 2)
5. External assessors:
This may include NVQ assessors, work placement coordinators and supervisors in the
workplace. They must have full access to the College assessment policy and the
assessment strategy of the provision.
They are responsible for:
•
ensuring that each candidate is aware of his or her responsibility with regard to the
collection and presentation of evidence;
•
ensuring that the candidate is fully briefed and understands the NVQ and ,if appropriate,
Key Skills standards;
•
advising the Centre if a candidate has any special assessment requirements that are not
advised at the beginning of the programme but have subsequently come to light;
•
completing the Individual Learning Plan with the candidate;
•
assessing the candidate against the performance criteria, range statements and
underpinning knowledge associated with elements of competence;
•
contributing to the candidate’s ongoing assessment plan to identify valid and sufficient
evidence and assessment;
•
judging all evidence against performance criteria range statements and underpinning
knowledge to identify candidates achievements;
•
identifying gaps in evidence and discuss/agree remedial action with the candidate;
•
carrying out regular observations of the candidate within their workplace and provide written
reports;
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•
providing the candidate with written feedback on assessment and action planning;
•
signing and dating the candidate’s assessment/action/training plans, all evidence and any
other documentation;
•
using the Centre documentation for all records relating to the assessment process;
•
following the Centre Guidelines for reporting assessment and candidate progress;
•
following the assessment guidance given by the Awarding Body and Internal Verifier;
•
attending standardisation meetings as required and liaising with the Internal Verifier and
other assessors, Centre co-ordinator as necessary;
•
explaining and discussing special assessments or problems with the Internal Verifier;
•
maintaining records of their candidates’ achievements and feeding back to the co-ordinator
and Internal Verifier;
•
carrying out appropriate risk assessment of where the candidate is working to ensure they
are working in a safe and healthy environment
•
being mindful of the data protection act and the candidates right to see any information
recorded about them.
6. NVQ Internal verifiers:
Internal Verifiers work under the direction of the NVQ Centre Co-ordinator in accordance with
the QCA guide “Internal Verification of NVQs” (QCA, March, 1998) and Joint Awarding Body
Guidance on Internal Verification of NVQs and contribute to the Centre’s compliance with the
NVQ Code of Practice (2008).
They will:
•
Develop a plan for internal verification of the programmes for which they are responsible in
line with the NVQ Centre Strategy for Internal Verification.
•
Carry out ongoing and summative sampling of portfolios according to the IV Strategy and
plan and feed back to the Assessor.
•
Observe assessments by Assessors, as directed by the Centre Co-ordinator.
•
Interview candidates.
•
Support and guide Assessors.
•
Ensure fair, reliable and consistent assessments.
•
Deal with Appeals in accordance with the NVQ Centre Appeals Policy and under the
direction of the Centre Co-ordinator.
•
Attend and contribute to Standardisation Meetings.
•
Maintain Centre records, as required. (Updating Candidate Progress Records, completing
Internal Verification Reports, Internal Verification Summary Sheets and Reports on
Observations of Assessors.)
•
Attend meetings with the External Verifier, when requested by the Centre Co-ordinator.
ASSESSMENT EVIDENCE
1. The evidence must always be linked to the assessment method e.g. if ‘tutor observation’ is
the method there must be a ‘tutor observation checklist’.
2. Evidence should comply with the principles of assessment and must always be:
•
Sufficient, i.e. there must be enough evidence to enable a reliable judgement on
achievement
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•
Current, i.e. up to date with the demands of the curriculum and able to demonstrate that the
learner is competent at the time
•
Valid, i.e. directly related to the learning outcomes and assessment criteria.
•
Authentic, i.e. the result of the learner’s own work.
•
Validated by internal moderation/ standardisation and Awarding Bodies.
3. Evidence will be generated by the learner throughout the course and may be:
•
Paper based: notes, reports, learning journals, essays, examinations etc..
•
Non-paper based: evidence of role plays, videos, audio, witness statements, computer
programmes, performance, oral questions and answers etc. There must be a transparent
process for recording the evidence which clearly shows how judgements were made.
•
A portfolio which is a collection of assessed evidence used to demonstrate achievement.
This may be electronic if the relevant awarding body agrees.
•
It will always be flexible, varied and appropriate.
RECORDING ASSESSMENT
1. Assessment records form a vital component of evidence for the following purpose:
•
to demonstrate the learner’s progress towards the achievement of learning outcomes
•
evaluating the learner progress ( useful to both learner and tutor)
•
presentation to internal and external moderator/ verifiers/ assessors as evidence of
achievement
2. Assessment records map evidence of progress through the programme. It is the tutor’s/
assessor’s responsibility to record assessed achievement and to track this against the
learning outcomes. Learners must be fully advised and aware of any assessment
requirements or regulations, including the opportunities to resubmit and of the appeals
procedure.
3. The assessment record must be available to learners and staff for review throughout the
duration of the course./programme
4. Evidence can be recorded in a number of ways but must be
•
Tracked against the individual learner and achievement of the relevant outcomes
•
Clearly structured
•
Available for internal and external moderators at any point throughout the year
RETENTION OF ASSESSMENT EVIDENCE
1. Retaining examples of assessment enables the monitoring of standards over a period of
time (see Appendix 7 Retention of Records Containing Personal Data)
2. A minimum of 2 pieces of assessed work (or portfolios) per programme should be retained
for a minimum of 3 years. Ideally these should be electronic copies and not the original
work.
3. The work should be representative of the sampling and standardisation process used for
internal moderation initially and subsequently submitted for moderation. They should be
supported by internal and external moderation records to evidence the processes of
sampling and standardisation.
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4. Where retention of the assessed sample is impractical e.g. for Art and Design courses
suitable photographic or equivalent records should be retained.
GOOD PRACTICE IN ASSESSMENT
•
Assessment is not carried out exclusively for accreditation purposes – it is used to measure
progress, build up self confidence and review the success of the course.
•
Assessment has to consider the learning needs of the individuals and target groups.
•
Assessment tasks are internally moderated before use.
•
Assessment documentation includes the requirement that learners state the authenticity of
their own work.
•
Assessment procedures are explicit and public.
•
Assessment procedures are varied, flexible and may be negotiable, while assessment
criteria are fixed for different levels.
•
Methods of assessment are creative, innovative and varied.
•
Assessment procedures allow learners to work at and be assessed at the correct level.
Assessment builds the self esteem of the learner.
•
Assessment encourages self assessment by learners to promote independence.
•
Learners are encouraged to evaluate the assessment procedures to ensure continued
relevance and effectiveness.
APPENDIX 1
Plagiarism policy
APPENDIX 2
Internal Verification Policy
APPENDIX 3
Learner Malpractice in Examinations Policy
APPENDIX 4
Staff Assessment Malpractice Policy
APPENDIX 5
Special Examination Arrangements
APPENDIX 6
Learner Appeal Against the Assessment of Performance
APPENDIX 7
Retention of Records Containing Personal Data
APPENDIX 8
Accreditation of Prior Learning Policy
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APPENDIX 1
PLAGIARISM POLICY
Please note that this policy does not apply to Higher Education learners studying at Barnet
College, for whom a separate policy exists. It is important also to make reference to the
guidance provided by the appropriate Awarding Body on plagiarism and assessment.
INTRODUCTION
Plagiarism (defined by the Association of Colleges as “the presentation of someone else’s
work, ideas, opinions, or discoveries, whether published or not, as one’s own) is considered
unacceptable as authentic evidence for assessment.
In order for accurate assessment of a learner’s knowledge and understanding to occur, it is
essential that information presented is created and compiled by the learner themselves.
Where referencing or quotation is used from a secondary data source within a written
assessment, it should meet the following criteria:
•
Quotation marks/referencing marks should be used and credited to the original source
•
The information should be used as an example or illustration of a point made/concept
expressed in the text
•
The information should be only of a length necessary to provide the relevant illustration
or example
•
The quotation or reference should provide an opportunity for the learner to demonstrate
understanding, through the ability to select relevant secondary data for the illustration or
example
The copying of a fellow learner’s work is equally unacceptable as assessment evidence.
Where plagiarism in these circumstances is clear i.e. word for word, or with one or two
words/phrases/the formatting changed, the work will be voided for assessment, and an
alternative opportunity for re-assessment provided, which matches the particular course team
assessment policy and guidelines.
Any work deemed to have been copied, either from material published in the public domain, or
fellow learners will not be accepted and such incidents will be referred to the Assessment Panel
for investigation.
As a result of the investigation, various courses of action may be possible including:
-
resubmission of evidence for assessment
-
resubmission of new evidence for new assessment
-
resubmission of new evidence for new assessment, with grading penalties
-
disciplinary action
All assessment comments will clearly state the course of action to be taken, and the rationale
for that decision.
Should a learner disagree with an assessment, and is unable to reach agreement on discussion
with the assessor, learners have recourse to a formal College Appeals Procedure, where
grounds for appeal must be submitted clearly in writing. It is considered preferable, however, for
a solution to be sought initially with the Assessment Panel.
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On request from the personal tutor, Learning Centre staff on each site can provide information
on the college policy on plagiarism, and guidance on how to avoid plagiarism.
THE COLLEGE POLICY ON PLAGIARISM – GUIDANCE FOR LEARNERS
WHAT IS PLAGIARISM?
Plagiarism simply described, is the use of other peoples’ words, ideas or discoveries without
acknowledgement.
Plagiarism is widely acknowledged as unacceptable:
“Plagiarism is the verbatim (word for word) use of another’s work as if it is the learner’s own
work. If learners take the writing of a published author and present it as their own, it constitutes
plagiarism. Sometimes this is done unintentionally, because of poor research habits;
sometimes it is quite deliberate. In either case, plagiarism is unacceptable”
(Faculty of Education, University of Sydney, Australia)
This means that whether you have researched from the internet, or sourced relevant journals,
or worked with other learners on the planning of an essay or report, you must make sure that
the final version of your thoughts is rearranged into words that are definitely your own.
WHAT HAPPENS IF I PLAGIARISE/ COPY?
If, when your work is assessed, and plagiarism is clear (word for word, or with one or two
words/the format changed), the work you have completed will be voided for assessment. It will
not be accepted.
An alternative opportunity for re-assessment will be given to you, according to the course
team’s assessment policies and guidelines.
Any work that appears to have been copied without acknowledgement, either from published
sources or fellow learners, will also not be accepted but will be referred to the Assessment
Panel for investigation.
As a result of the investigation, various courses of action may be possible, including:
-
you are required to resubmit evidence for the assessment
-
you are required to submit new evidence for the assessment
-
you are required to submit new evidence for the assessment, but your grading outcome
may be affected, and you may be placed on a stage of the disciplinary process (check
your course handbook for details of the process)
WHAT HAPPENS IF I DON’T AGREE WITH THE ASSESSMENT?
If you disagree with an assessment, and you are unable to reach agreement after discussion
with the assessor, you can follow the College Appeals Procedure, where your reasons for
appeal must be submitted clearly in writing.
WHAT CAN I DO TO AVOID PLAGIARISM?
Plagiarism is very easy to avoid. The standard method is to acknowledge all of your sources of
information. This can be done by:
-
re-write material that you are using from any source in your own words
-
reference the source of any thoughts and ideas that you have re-written so that you are
acknowledging where you found these ideas, theories, illustrations and diagrams
-
put anything taken word for word in quotation marks and state where you took this
material from
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-
only use a quote as an example or illustration of a point made or concept expressed in
your text – keep it short and to the point
-
list all sources (books, magazines, internet) at the end of your essay or project. Write
them up using the Harvard or similar format
-
seek advice from your course team, personal tutor, or the learning centre staff on how to
reference and provide a bibliography
WHY IS IT IMPORTANT TO AVOID PLAGIARISM?
During induction to your programme, you signed a code of conduct, agreeing to comply with the
study and behaviour requirements of the College.
In order for your genuine knowledge and understanding to be accurately assessed, you must
produce work which is presented, created and compiled by yourself alone. Anything else is
dishonest and false, and is very often easily identified.
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APPENDIX 2
INTERNAL VERIFICATION
PROCEDURES AND GUIDELINES
CONTENTS
Page
Roles and Responsibilities
ƒ
Section 1 - Assessors
3
ƒ
Section 2 - Internal Verifiers
4
ƒ
Section 3 - External Moderators
5
ƒ
Section 4 – Key Skills
5
Internal Verification Procedure – Flow Chart
6
Learner Appeals against assessment of performance
7
Appendices - Forms A – D
8
Appendix A – Assignment Checklist
9
Appendix B – Record of Internal Verification of Assignment/Assessed
Work
10
Appendix C – Internal Verification Grid
11
Appendix D – Internal Verification Report and Example
12
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INTERNAL VERIFICATION
The purpose of this document is to support those assessing and internally verifying learners’
work at Barnet College. The staff and management of Barnet College are responsible for the
quality of courses and for the integrity of the assessment process. Our internal verification
system must be robust and consistently applied to ensure that assessment decisions are
accurate and meet the requirements of the awarding bodies and QCA. The process is
monitored through the College’s Quality Assurance Procedures and by the awarding bodies
concerned.
The terminology can vary among awarding bodies. Internal Verifiers may be referred to as
Internal Moderators, Assessors may be referred to as Markers and External Verifiers may be
referred to as External Moderators. For clarity, in this document, the terms Internal Verifier,
Assessor and External Verifier will be used.
ROLES AND RESPONSIBILITIES
SECTION 1
ASSESSORS
The roles and responsibilities of Assessors are to:
•
Publish an assessment schedule for units, modules or subjects in collaboration with
the course or subject team.
•
Confer with colleagues, if appropriate, and agree assignment tasks. This could
include Key Skills if applicable.
•
Prepare Schemes of Work.
•
Assess learners’ work and monitor their progress.
•
Cross-check assessment decisions made by other assessors.
•
Supply samples of work when requested by the designated Internal Verifier.
•
Participate in internal verification and standardisation meetings.
•
Monitor developments in their specialist subject area and changes implemented by
awarding bodies.
•
Inform learners of college procedures for appeals, special needs and confidentiality
policies.
SAMPLING
The Internal Verifier normally asks for a sample of assessed work on each occasion that an
assignment or a written or practical activity is marked. The IV then checks and confirms the
grading/assessment decision and feedbacks on the fairness and consistency of the marking.
The work must not be returned to learners nor must they be given a provisional grade before
the feedback has been received and actioned. The final grade may or not may not be
dependent on the External Verifier and the type of qualification being offered.
STANDARDISATION MEETINGS
In addition to the sampling process there will be standardisation meetings during which a group
of staff will, individually, assess samples of learners’ work and compare their marks. Such
comparisons are an invaluable means of achieving a more consistent approach to the grading
of learner work.
SECTION 2
INTERNAL VERIFIER
The roles and responsibilities of Internal Verifiers are to:
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•
Ensure that assignment briefs meet the agreed criteria.
•
Conduct regular and systematic sampling of internally assessed work across all
units.
•
Provide effective feedback and support for assessors.
•
Identify staff development needs for CPD.
•
Ensure the use of agreed documentation for all procedures.
•
Support key skills coverage and assessment.
•
Arrange regular standardisation meetings which address issues arising from the
internal verification process and to ensure that minutes of such meetings are kept in
the programme management file.
•
Ensure that assessments are fair, reliable and consistent and that there is sufficient
evidence to meet the grading criteria.
•
Ensure that the College meets National Standards and Awarding Body
requirements.
It is essential that Internal Verifiers have an appropriate level of subject expertise to verify a
specific unit.
For NVQ Programmes it is essential that Internal Verifiers either hold or are working towards
the V1 Award. (IVs who hold a D34 award would need to update to the V1 award)
In addition Internal Verifiers must:
1
PROVIDE ADVICE AND SUPPORT
To this end Internal Verifiers must ensure that Assessors:
2
•
Receive prompt feedback following verification and a clear action plan with
negotiated deadlines.
•
Are part of a team whose members communicate regularly.
•
Understand the evidence criteria of the assessed work.
•
Apply standards consistently and give constructive written feedback to learners.
PROCESS ASSESSMENT INFORMATION
To this end Internal Verifiers must ensure that:
•
Assessment Records are ‘fit for purpose’.
•
They are aware of changes to Awarding Body procedures or documentation.
•
All internally assessed work for an award is internally moderated to Awarding Body
specifications.
•
All required documentation is completed legibly and accurately.
•
Assessors and learners complete internal records accurately and to specified
deadlines.
These may include:
•
Record of Initial Assessment.
•
ILPs.
•
Action/Assessment Plans.
•
Learner and Assessor Feedback sheets.
•
Summative records (i.e. unit/subject Attainment Sheets)
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•
Grading Profiles
•
Tracking documentation
•
Hold standardisation meetings (these must be separate from other meetings)
These records provide an essential link between the Internal and External Verifiers.
3
VERIFY ASSESSMENT
An Internal Verifier is also be required to:
ƒ
Intervene when learners have experienced difficulty with a particular Assignment.
ƒ
Choose a Sample (normally 10% or 5, whichever is the greater, of the cohort submitting
as required by the Awarding Body). Samples should range across all learners, all
Assessors and a range of grades/units
ƒ
Ensure that grading criteria and guidelines have been followed.
ƒ
Ensure that an Assessor’s grading and feedback show fairness and consistency.
ƒ
Ensure that the evidence provided is appropriate for the level of the award.
ƒ
Ensure that constructive feedback is given to support the progress and development of
learners.
ƒ
Complete a report with action plan on the Internal Verification, using agreed
documentation for the Award.
4. FEEDBACK
Internal Verifiers are required to:
ƒ
Feedback to the Assessor and agree the action plan with completion deadlines. If the
assessor and internal verifier do not reach agreement the final decision is that of the
Internal Verifier.
ƒ
SECTION 3
EXTERNAL VERIFICATION
External Verification is designed to:
ƒ
Ensure that assessments across Centres are consistent with National Standards.
ƒ
Ensure that Course teams comply with the requirements of Awarding Bodies.
ƒ
SECTION 4
INTERNAL VERIFICATION OF KEY SKILLS
Internal verification should be carried out by staff with expertise in the appropriate key skill. The
process should ensure that standards are applied consistently across vocational/academic
areas. This should form the basis for reviewing quality, mode of delivery and assessment
procedures.
PROCESS
Autumn term
Spring term
Course verification - including checking teaching/learning
schedules, key skills logbook, mapping for coverage and
assignments for relevance, clarity and validity
Learner work verification - including checking work for
documentation, assessment accuracy, fairness and feedback
22
PROCEDURE FOR INTERNAL VERIFICATION AT BARNET COLLEGE
Before
teaching
commences
Course/Programme Managers appoint assessors
and internal verifiers to cover all units and
provide a sampling plan
Summer/
Autumn Term
Assessor produces teaching/learning schedule
and assignments for each unit
Internal Verifier checks assessment plans and
assignment briefs meet the requirements of the
Unit/Module/Subject and Key Skills where
appropriate
If not acceptable,
return to Assessor
If acceptable, Internal Verifier feedbacks to
assessors with agreed developments, if
necessary
Teaching
commences
Assessor briefs learners on the assignment and
explains assessment criteria
On going
Assessor grades assignments
and provides written feedback
Grades are sent to Internal Verifier
Internal Verifier asks for a sample of assessed
work to check (5 or 10%, whichever is greater
OR according to Awarding Body regulations)
If Assessor’s and Internal Verifier’s grades agree,
IV signs and dates assignments to indicate they
have been verified
Internal Verifier provides feedback to Assessor
and the Action Plan is agreed and signed
Assessor provides feedback to the learner
Assessed work is placed in learners’ Portfolio
and kept secure
Learner has the right to appeal against
assessment decision
Internal Verifier records all activities listed above
using either Collegiate or awarding body
documentation
Internal Verifier passes all records to
Course/Subject Leader to hold centrally
23
If grades differ for
half or more of the
sample, a second
sample should be
taken
Meetings
An Internal Verifiers meeting is held at the end of
each term to discuss assessment issues
Course Team to hold a ‘standardisation’ meeting
at the end of each semester to ensure
consistency of grading decisions
Termly
End of semester
APPENDICES
(These forms may vary according to Awarding Body Regulations. Always check up-to-date
requirements with the appropriate External Verifier or Awarding Body)
APPENDIX A
ASSIGNMENT CHECKLIST
School
Course
Course/Subject Leader
Unit/Module/Subject
Assignment Title
Assessor
Internal Verifier
Is the Presentation of the Assignment:
Following the agreed format?
Yes/No/
N/A
Comments/Actions
Clear, typed, readable and free from errors?
Is the Assignment/Assessment Appropriate?
Is the assignment/assessment brief clear?
Are the outcomes/criteria identified and
listed?
Are the Key Skills identified, if applicable?
Is Every Child Matters identified, if
applicable?
Is there guidance on word count?
Is the language and length of
assignment/assessment appropriate to the
stage and level of course?
Assignment/Assessment Criteria and Grading
Are the tasks/questions realistic for the
learner to achieve in the time given?
24
Are the assessment criteria/leaning
outcomes listed?
Is the grading criteria referenced alongside
the tasks?
Are the learners able to see how the grades
will be awarded?
Is there Evidence of Integration between:
Module/Unit/Subject and Key Skills?
Other Modules/Units/Subjects?
Assignment/Assessment Front Sheet
Is the front sheet consistently used across
Modules/Units/Subjects?
Does it include half a page for Assessor
feedback to learner?
Does it include Dates for Submission,
Marking Completed & Returned to Learner?
Summary of Action Points and Deadlines:
Signed:
Copy + Assignment to:
Course
Date:
Approved:
Assessor
Copy to:
Course Management Handbook KQ2
25
YES / NO
Course/Subject Leader for
APPENDIX B
RECORD OF INTERNAL VERIFICATION OF ASSIGNMENT/ASSESSED WORK
Course:
Year:
Module/Unit/
Subject:
Year:
200
Title of
Assignment/
Assessed Work:
Written
By:
Verified
By:
Comment
- Acceptable
- Not Acceptable
This form must be kept in the Course Management Handbook KQ 2
26
Date
APPENDIX C
INTERNAL VERIFICATION GRID
Course:
Year:
Year: 20
Learner Name
Module/Unit/Subject
This Form must be kept in the Course Management Handbook KQ 2
27
APPENDIX D
INTERNAL VERIFICATION REPORT
Module/Unit/Subject Name/Number:
Course:
Assignment Title:
Year: 200
Assessor’s Name: (please print)
Internal Verifier (please print)
Date Received by Internal Verifier:
Date Verified:
Learner’s Name
Grade/
Mark
Awarded
Evidence
Satisfies
Criteria
Y/N
Assessor’s Signature:
Date of Standardisation Meeting
Grading
Decision
Agreed?
Y/N
Constructive
Feedback
Comment
Given to
Learners
Y/N
Date:
Feedback
Action
By
Whom
Internal Verifier’s Signature:
Assessor Signature:
This Form must be kept in the Course Management Handbook KQ 2
28
Internal Verifier Signature:
Date:
By
When
EXAMPLE
Learner’s Name
Grade/
Evidence Grading
Mark
Satisfies Decision
Awarded Criteria
Agreed?
Y/N
Y/N
Jo Black
B
No
No
Jo White
C
Yes
Yes
Jo Brown
Pass
No
No
Constructive
Feedback
Comment
Given to
Learners
Y/N
Yes
- Insufficient evidence of
evaluation to achieve B
grade
- Tippex must not be
used
Yes
=all criteria met for a C
grade,
=excellent examples
given in section 3
No
- Insufficient criteria for
Pass grade in Section 2
of Assignment
Refer
29
Feedback
Action
By
Whom
By
When
- re submit work for
B grade
Learner
3.3.0…
- learner to receive
feedback on how to
improve section 2
for Pass grade
Assessor 27.1.0…
APPENDIX 3
LEARNER MALPRACTICE IN EXAMINATIONS POLICY
Assessment Malpractice means any act or neglect or default which threatens the integrity
of public examinations and certification, and which damages the authority of those
responsible for conducting them. This includes attempting or planning malpractice even if it
is unsuccessful.
Barnet College abides by the assessment procedures of all the awarding bodies. Guidance
for dealing with Assessment Malpractice can be found on the Joint Council for Qualifications
web site.
The following are some examples of malpractice taken from Edexcel’s Assessment
Malpractice document:
•
Plagiarism by copying and passing off, as the learners own, the whole or part(s) of
another person’s work , including artwork, images, words, computer generated work,
thoughts, inventions, and/or discoveries.
•
Collusion by working collaboratively with other learners to produce work that is
submitted as individual work. The exam board encourages teamwork, but there
should be a written record of how the work was allocated and completed.
•
Impersonation by pretending to be someone else in order to produce the work for
another learner or arranging for somebody else to take one’s place in an
assessment/examination/test.
•
Fabrication of results and /or evidence.
•
Failing to abide by the instructions or advice of an assessor, supervisor, invigilator or
the examination regulations in relation to the assessment/examination/test rules,
regulations and security.
•
Misuse of assessment/examination material.
•
Introduction of unauthorised material contra to the requirements of supervised
assessment/examination/test conditions, for example: notes, study guides, personal
organisers, calculators, and dictionaries without permission, personal stereos, mobile
phones or other similar electronic devices.
•
Obtaining, receiving, exchanging or passing on information which could be
assessment/examination/test related (or the attempt to) by means of talking or notes
during supervised assessment/examination/test conditions.
•
Behaving in such a way as to undermine the integrity of the
assessment/examination/test
•
The alteration of any results document including certificates.
•
Cheating to gain unfair advantage.
Assessment Malpractice will be dealt with through Barnet College’s Learner Disciplinary
procedure. A thorough investigation will be carried out and the learner will be asked to
provide a written statement. For written examinations the invigilators will also be asked to
provide written statements. Examination board forms (JCQ/M/01) will be used for this.
30
APPENDIX 4
STAFF ASSESSMENT MALPRACTICE POLICY
Assessment Malpractice means any act or neglect or default which threatens the integrity
of public examinations and certification, and which damages the authority of those
responsible for conducting them. This includes attempting or planning malpractice even if it
is unsuccessful.
Barnet College abides by the assessment procedures of all the awarding bodies. Guidance
for dealing with Assessment Malpractice can be found on the Joint Council for Qualifications
web site
The following are some examples of Centre staff malpractice taken from Edexcel’s
Assessment Malpractice document:
•
Failing to keep the awarding bodies’ mark schemes secure
•
Alteration of the awarding bodies’ mark schemes
•
Alteration of the awarding bodies’ assessment and grading criteria
•
Assisting learners in the production of work for an assessment, where support has
the potential to influence the outcomes of an assessment, for example where the
assistance involves centre staff producing work for the learner
•
Producing falsified witness statements, for example for evidence the learner has not
generated
•
Allowing evidence, which is known by the staff member not to be the learner’s own
work to be included in a learner’s assignment/task/portfolio/coursework
•
Misusing the conditions for special learner requirements, for example where learners
are permitted support, such as an amanuensis, this is permissible up to the point
where the support has the potential to influence the outcome of the assessment
•
Failing to keep learner files secure
•
Falsifying records/certificates, for example by alteration, substitution, or by fraud
•
Fraudulent certificate claims, that is claiming for a certificate prior to the learner
completing all the requirements of assessment
•
Failing to keep assessment/examination/test
assessment/examination/test
•
Obtaining unauthorised access to assessment/examination/test material prior to the
examination
papers
secure
prior
to
the
Assessment Malpractice will be dealt with through Barnet College’s Staff Disciplinary
procedure. The staff member will be informed in writing at the earliest opportunity of the
nature of the alleged malpractice and the possible consequences should the malpractice be
proven. A thorough investigation will be carried out by the Director of Quality and the parties
involved will be asked to provide written statements. Examination board forms (JCQ/M/01)
will be used as a basis for this process.
31
APPENDIX 5
SPECIAL EXAMINATION ARRANGEMENTS
PROCEDURE FOR LEARNERS RECEIVING ADDITIONAL LEARNING SUPPORT
The Additional Learning Support team will identify named people to deal with this aspect of
examinations. The Schools will also identify a link person.
1. Additional Learning Support, in liaison with the personal tutor, identifies and supports
learners with additional learning support needs, and as part of this support identifies
which of these learners needs Special Exam Requirements. Note that just because a
learner has additional needs or a Statement of Special Educational Needs, they do not
necessarily require additional exam support. Learners must have the academic
competence to pass the exam/assessment.
2. The Additional Learning Support Manager, usually via Additional Learning Support
tutors, or directly, sends the internal Request for Special Exam Requirements Form to
the Personal Tutor. Copies of this form are available in the Ad pool Exams Folder.
3. The Personal Tutor fills in the first part which gives details of examinations/modules to be
sat and the Additional Learning Support teacher completes the support requirements
sections.
4. The Additional Learning Support Tutor liaises with the Additional Learning Support
Manager to agree the appropriate exam requirements.
5. The Additional Learning Support Manager ensures that the evidence is collected and
that any additional assessment is carried out. Copies are submitted to the Examinations
Office.
6. The Examinations office stores this information, and processes the applications on line
and the outcome is processed immediately.
7. The Additional Learning Support Manager ensures that the Personal Tutor and learner
are informed and that the learner receives a green ‘examination card’.
8. The Additional Learning Support Manager identifies the scribe, reader or specialist
support person required and ensures that the learner has at least one practice with the
support person prior to the assessment.
9. The Estates team room the special examination requirements.
10. The School identifies an invigilator.
11. The Examinations Office separates the paper for the identified learner and after the
exam, attaches the approval letter from the board and sends these off with the other
papers.
PROCEDURE FOR LEARNERS NOT RECEIVING LEARNING SUPPORT
1. A learner may indicate that they have received special examination arrangements in the
past and although they are not receiving support at present, request special exam
arrangements for their current course. In this case, the Personal Tutor needs to request
the evidence from the learner.
2. The tutor should then complete the Special Examinations Requirements Form and send
that, plus a copy of the evidence, to the nominated person in the Examinations Office.
3. The Examinations office will liaise with the Additional Learning Support Managers
concerning any advice over the validity of the evidence.
4. The Examinations Office then file the paperwork, and submit requests on line and the
outcome is processed immediately. They inform the Personal Tutor if the evidence is
insufficient or not appropriate.
32
5. If the evidence needed updating, then the Additional Learning Support Manager should
be contacted.
6. The Additional Learning Support team will identify the scribe, reader etc. and ensures
that the learner has a green ‘examination card’.
7. The Estates team room the special examination requirements.
8. The School identifies an invigilator or an external invigilator is identified by the
Examinations Office.
9. The Examinations Office separates the paper for the identified learner and after the
exam, attaches the approval letter from the board and sends these off with the other
papers.
LEARNERS WHO FALL OUTSIDE THE JOINT COUNCIL OR EXTERNALLY ASSESSED PROCEDURE
The College agreed that these learners needed to operate within College systems as
outlined above and then they would either be Supported or Not Supported learners.
ESOL LEARNERS REQUIRING EXTRA TIME
ESOL learners who have been in the country less than 2 years have an entitlement,
unrelated to support, to have 25% extra time as long as they use a bi-lingual dictionary
regularly in lessons. They must also use it in any examination to get the extra time. ESOL
learners may use a bi-lingual dictionary in most examinations (check specific exam
requirements) without having to make any special application.
1. The personal tutor takes copies of documentation from originals provided by the learner
proving that she/he has been in the country less than two years on the examination date
(e.g. Certificate of Immigration, Visa, or DHSS document) and informs the Examinations
Officer that the learner requires this additional time. Write ‘I certify that these are true
copies of the originals’ on the copies, sign and file this information securely.
2. The personal tutor sends a copy to the ALS Manager who will issues an entitlement card
for the personal tutor to pass on to the learner.
3. The personal tutor informs the School link so that they have numbers for rooming and
examination timetabling.
33
APPENDIX 6
LEARNER APPEAL AGAINST THE ASSESSMENT OF PERFORMANCE
The three normal grounds on which you may appeal against an assessment are:
•
that the Course leader/Team was given incorrect information about assessment
•
that the assessment scheme had been inappropriately applied, e.g. the range or type
of evidence asked for was inadequate
•
that exceptionally there are situations affecting the assessment which the Course
leader/ Team was unaware of when making its decision
It is important to note that in the first instance any queries about assessment should be dealt
with informally by the subject/module/unit tutor and course team, and the decisions noted
and kept in the course file.
If you then wish to make a formal appeal against assessment, the procedure is set out
below.
1
You should inform the Head of School in writing within 5 working days of receiving the
result that you wish to make an appeal and you should explain the nature of the appeal
(see example of letter below).
2
If the Head of School and representatives from the School are unable to resolve the
problem, your appeal will be examined by the Appeal Board. You will then be informed
in writing by the Head of School where and when Appeal Board is meeting. This will take
place within 10 working days of receiving your appeal. You will be invited to attend with
a friend, relative or student representative, but not by any other legal or professional
advisor unless the College otherwise agrees, having been given notice beforehand.
Please note that learners currently under any form of disciplinary sanction are ineligible
to accompany you.
The Appeal Board’s membership is:
•
Director of Quality/ILT
•
Head of School
•
Another Head of School
•
A representative from the Course Team
•
A learner representative from a different department
•
A note taker from a different department
The learner representative will be chosen by the panel of learner representatives.
3
At the Appeal Board hearing you will be given a chance to explain the concerns you
have. The Board will also receive reports from your personal and subject/module/unit
tutors related to the assessment.
4
Following the Appeal Board you will be told in writing what decision has been reached.
5
If the appeal is successful, either the grade will be amended or you will be given the
opportunity for reassessment.
6
If the appeal is unsuccessful, this decision will be final.
34
EXAMPLE OF A LETTER TO APPEAL AGAINST ASSESSMENT
Address
Date
Dear (Head of your School)
Appeal Against Assessment
I wish to appeal against the assessment of (give details of the assessment you have
concerns about).
(Next, outline in as much detail as possible why the assessment is incorrect or unfair.)
Yours sincerely
Signature
Print Name
35
EXAMPLE OF A LETTER NOTIFYING A LEARNER OF THE DATE OF THE APPEAL HEARING.
Address
Date
Dear
Appeal Against Assessment
Further to your letter of (date) I am writing to request that you attend an Appeal Board who
will consider your concerns at (time) on (date) at our (site).
Please report to the site main reception 5 minutes before the appeal, attendance at which is
compulsory.
I will chair the meeting. (Name of Head), Head of School __________ will also be present.
You may be accompanied by a friend, relative or student representative, but not by any other
legal or professional advisor unless the College otherwise agrees, having been given notice
beforehand. Please note that learners currently under any form of disciplinary sanction are
ineligible to accompany you.
At the Appeal Board hearing you will be given a chance to explain the concerns you have.
The Board will also receive reports from your personal and subject/module/unit tutors related
to the assessment.
Following the Appeal Board you will be told in writing what decision has been reached.
If the appeal is successful, either the grade will be amended or you will be given the
opportunity for reassessment.
If the appeal is unsuccessful, this decision will be final.
Yours sincerely
Pat Tulloch
Pat Tulloch
Director of Quality/ILT
c.c.
Head of School
Course Team leader
Tutor
Parent/Guardian
Learner representative
36
APPENDIX 7
RETENTION OF RECORDS CONTAINING PERSONAL DATA
The College aims to electronically archive as many documents as possible. This will save
paper and space. However, getting rid of unwanted paper and ending up with an electronic
archive will be an enormous task and will take some time to complete. We need to start now
in preparation for the planned changes in accommodation.
REASONS FOR KEEPING RECORDS INCLUDE:
•
There is a legal requirement to keep the information
•
We need the information
•
to carry out our business
•
for financial purposes
•
to explain why we arrived at a particular decision
•
if our decision is challenged in court
•
to be publicly accountable for our policies and decisions
•
to help us deal with similar situations in the future
•
to defend our rights and responsibilities, or the rights and responsibilities of
others
WHAT INFORMATION DO YOU NEED TO KEEP AS A RECORD?
Exactly what records you keep on file in the electronic archive will vary according to the work
you do.
DESTRUCTION OF RECORDS: GENERAL PRINCIPLES
The responsibilities of organisations relating to confidential data have become more
stringent since the implementation of the Data Protection Act 1998. Organisations must
destroy under secure conditions any data containing personal information which is no longer
required.
Putting information in skips or bins and hoping that it will be appropriately destroyed at a
later date is not enough. Destruction of any record produced by the College in the course of
its activities, including confidential records, should only be carried out where authorised by
your line manager. There may be legal, administrative or archival retention requirements.
•
Only a small proportion of the records you produce will be confidential unless your office
deals with financial or personal matters (e.g. staff or learners)
•
Any record produced by the College which is not in the public domain and which
contains information on identifiable individuals should, however, be treated as
confidential.
•
Most confidential material is subject to the Data Protection Act.
•
Under the Act the individual handling or processing confidential personal data is
personally responsible for the proper disposal of such data.
•
The college provides secure shredding services for paper records that contain personal
data. The Estates department manage this service for the college.
The tables below will help you work out the records that should be kept and those that can
be thrown away. They will also help you to identify what is confidential and the area of the
College that is responsible for archiving them.
CONFIDENTIAL AND NON-CONFIDENTIAL RECORDS
37
WHAT IS NOT CONFIDENTIAL Any record or WHAT IS CONFIDENTIAL Any record which contains
copy thereof which is already in the public personal information about a living individual e.g.
domain e.g.
• Mission statements
• Questionnaire or other data collected under a
•
Charters
•
Constitutions
•
Ordinances
the contact details or any financial details of a
•
Statutes
named living person, unless permission has been
•
Regulations
given to circulate the details.
•
Published directories
•
Internet websites
personal details or pass comments on a named
•
Published minutes
living person.
•
Published reports
• Staff personnel records
•
Press releases
• Discipline records
•
Prospectuses
• Learner records
•
Timetables
• Grant applications
•
Presentation materials
• Job applications
•
Course guides and outlines
• Interview notes
•
Publicity material
• Admissions records
•
Blank examination papers(post exam)
• Redundancy records
•
Theses (accepted)
• Sick pay records
•
Data where anonymity has been fully
• Maternity pay records
observed
• Income tax and National Insurance returns
•
Published surveys
• Wages and salary records
•
Magazines
• Accident books and records
•
Published circulars
• Health records
guarantee of confidentiality
• Correspondence or other documents which reveal
• Correspondence or other documents which reveal
• Medical records
• Any record which, if made public before a certain
period, may breach commercial confidentiality e.g.
• Contracts
• Tenders
• Purchasing records
• Maintenance records
• Insurance records
• Unpublished accounting records
• Any record which may breach intellectual property
rights e.g. unpublished research material, drafts and
manuscripts
• Corporation papers
38
WHO
ARCHIVES?
HR
TYPE OF RECORD
SUGGESTED RETENTION
REASON
PERIOD
Place all documentation relating to HR in envelopes clearly labelled with
‘Archive’ and details of contents and pass to HR.
Personnel files including training
records, qualifications gained,
courses attended, and notes of
upheld disciplinary and grievance
hearings and references given
Advertising of vacancies
6 years from the end of
employment
References and
potential litigation
1 year
Time limits on litigation
Application forms/interview notes
2 years from the date
of the interviews
20 years
Time limits on litigation
As above
Wages and salary records
6 years from the date
of redundancy
12 years from the date
of the redundancies
At least 3 years after
the end of the financial
year to which the
records related
At least 3 years after
the end of the financial
year to which the
records related
At least 3 years after
the end of the financial
year to which the
records related
6 years
Accident books, and records and
reports of accidents
3 years after the date
of the last entry
Health Records
During employment
Occupational health records,
health surveillance and
environmental monitoring
(affecting health)
40 years
Industrial Relations Management
Facts relating to redundancies
where less than 20 redundancies
Facts relating to redundancies
where 20 or more redundancies
Income Tax and NI Returns,
including correspondence with
tax office
Statutory Maternity Pay records
and calculations
Statutory Sick Pay records and
calculations
39
Time limits on litigation
Limitation Act 1980
Income Tax
(Employment)
Regulations 1993
Statutory Maternity Pay
(General) Regulations
1986
Statutory Sick Pay
(General) Regulations
1982
Taxes Management
Act 1970
Social Security (Claims
and Payments)
Regulations 1979;
RIDDOR 1985
Purposes of Civil
Claims
Management of Health
and Safety at Work
Regulations
WHO
ARCHIVES?
HR
Areas/
Schools
TYPE OF RECORD
SUGGESTED
RETENTION PERIOD
REASON FOR LENGTH OF
PERIOD
Health Records where reason
for termination of employment
is connected with health,
including stress related illness
Medical records kept by reason
of the Control of Substances
Hazardous to Health
Regulations 1999
Ionising Radiation Records
3 years
Limitation period for
personal injury claims
40 years
Control of Substances
Hazardous to Health
Regulations 1999
Coursework
IT work archived by IT
Systems 31st August
of each year and kept
for a 12 month period
Written coursework
returned to student at
end of course. Work
not collected (despite
letter to learner) kept
for 1 month but
maximum 6 months in
College.
3 years
At least 50 years after
Ionising Radiations
last entry
Regulations 1985
Teaching observation reports
3 years in TObs
References and potential
database final one
litigation
passed HR to keep for
6 years from the end of
employment
Appraisal report
Final one 6 years from References and potential
the end of employment litigation
COSHH
Current year plus 10
years
Risk Assessments
Current year plus 3
years
If possible keep the following information in the Curriculum area of the MLE
External verification/ external
examiner/ verifier/ moderator
reports
Evidence of internal verification
3 years
Schedules in relation to
the submission, marking and
retention of coursework
Records documenting
individual students’ submission
of coursework
Current academic year
Class/Tutorial Lists
Current academic year
Programme management files
Current academic year
plus 1 year
Contain current year
and 2 additional years
of data.
40
No information available on
how long to keep it
QCA/ Edexcel regulations
WHO
ARCHIVES ?
Finance
TYPE OF RECORD
SUGGESTED
RETENTION PERIOD
OF PERIOD
Place all documentation relating to Finance in envelopes clearly labelled ‘Archive’
and details of contents and pass to Finance
Financial papers
Legal Framework
At least 6 years for
Inland Revenue and
VAT
Current plus 1 year
Archive 2 years for
VAT purposes
Evidence 7 years auditable
Life of College
Governance Structure
Life of College
Legal Claims
6 years
Audit Reports
6 years
Litigation records (precedents set)
Life of College
Litigation records (No precedents)
6 years
Insurance Records of claims
6 years
Tender records
6 years
Supplier approval
5 years
Supplier records
1 year
Contract records
6 years
Paper copies for orders and
invoices
ESF & Project
MIS
REASON FOR LENGTH
Agreement required by
Customs for electronic
copies
Place all documentation relating to the student into the white admissions
envelope for the student and return to MIS
At least 6 years from
Student records including
Limitation period for
the
date
that
the
negligence.
• application form
student
leaves
the
• registration of individual
institution (including
students on programmes
records relating to a
• personal data on individual
student who has
students academic
withdrawn from the
achievements
organisation)
• disciplinary action (also
applies to Appeals)
• academic progress of
individual student
• any action taken to deal with
unsatisfactory progress
• the transfer to new course
etc
• ILP
• formal complaints
• ALOs/EMA records
41
WHO
ARCHIVES ?
MIS
TYPE OF RECORD
SUGGESTED
RETENTION PERIOD
Academic reference
At least 10 years
Applications for Admission unsuccessful students
Current academic year
plus 1 year
Summary and analyses of data on
registration of students
Current academic year
plus 2 years
Records containing standard
analyses of data from individual
student records
Current academic year
plus 2 years
Records relating to the handling of
individual student requests for
statements/results/transcripts
Last action on request
plus 1 year
Records relating to student informal
complaint
Last action plus three
years
Records in relation to the selection
and appointment of external
examiners
Term of appointment
plus 1 year
Records documenting individual
attendance at examinations and
handling requests for mitigating
circumstances
Current academic year
plus 1 year
42
REASON FOR LENGTH OF
PERIOD
Provision of references
APPENDIX 8
Barnet College Accreditation of Prior (Experiential) Learning Policy
(APL/APEL) 2009-10
Introduction
The College recognizes that many learners, particularly mature learners, enter the College
with an extensive range of expertise, skills and knowledge developed in a variety of
professional, vocational, community, leisure and personal contexts.
Accreditation of Prior Certificated Learning (APCL)
This is learning which has been achieved through assessed formal study - at other colleges,
or professional courses, or Open College Credits. If a learner would like this type of learning
to be included within their qualification no further assessment is required and the procedure
is quite straightforward. The learner should ask the Admissions Area for a Credit Transfer
form when they apply for the course, and return the completed form to the APL
representative for the School before the start of the qualification for assessment. The
Admissions Area holds a list of the School APL representatives.
Accreditation of Prior Experiential Learning (APEL)
APEL provides learners with the opportunity to have their prior experiential learning
assessed and included within their qualification. This may:
•
•
•
•
mean that that the learner does not have to repeat areas of the course that are
already familiar.
speed up the rate of achieving the qualification. However, completing an APEL
assessment takes time, and it might be quicker to attend the taught course. Work for
the APEL assessment can be done outside timetabled hours so it may suit some
learners, and may speed up the progression of part-time students.
allow full time learners an opportunity to focus on unfamiliar areas of the course.
However full-time students must complete the required weekly hours (depending on
the course) in order to retain full time status.
provide formal academic recognition of the learner’s previous experience
Arrangements for the award of any qualification will be stipulated by the Awarding Body, and
those units/modules which may be considered for an exemption through APEL will be
identified in their regulations. In the case of an Access qualification this will be no more than
50% of the credits required for the achievement of the qualification.
Learners should be advised to start the APEL process when they enroll for their course by
immediately contacting the School APL representative, and certainly well before the start of
the taught unit/module. Learners are advised to register for the unit/ module for which they
are seeking credit, and then withdraw once the award of credit is confirmed. However, the
usual deadlines for registering and withdrawing from units/ modules must be adhered to
(week 6 is the deadline for withdrawal). This will generally mean that APEL has to be
43
completed at least one term in advance of the delivery of unit/ module for which credit is
claimed. Any refund of fee is at the discretion of the Director of Finance.
Requirements for APEL
APEL differs from a taught course of study in that the learning on a taught course is planned
by the lecturer, who also determines how the learning outcomes for the course are to be
assessed.
With APEL the lecturer has not been involved in the learning and will need to be provided
with evidence in order to make a judgment about the appropriateness of the learning
acquired through the learner’s experience.
Learning for which the learner can claim credit has to meet three conditions. It has to be:
1. Relevant to the learner’s chosen qualification; for most qualifications it must be broadly
within the subject area of the course/ unit/module. This requires the learner to
demonstrate that their experience has produced learning outcomes which broadly match
those of the existing unit/ module. The focus of APEL is on the learning outcomes and
not the syllabus content. However, for NVQs any evidence being used for APEL MUST
match the Performance Indicators, range and knowledge required by the qualification.
2. At a similar level to the learning to the taught qualification; APEL credit can be awarded
on any level of course within the College. Broadly the level is determined by the
autonomy, complexity of the task or the context and the extent and transferability of
knowledge across different applications. Thus in an Access course the emphasis is upon
development of practical/technical skills and factual knowledge in context. In the first
years of an undergraduate programme the submission would demonstrates knowledge
of relevant theories, concepts or skills developed through practice/personal experience.
The learning would have been developed with minimal direction and would show
independence and autonomy. In later years of an undergraduate programme the
submission would demonstrate a capacity to apply a critical perspective to personal
experience/professional practice e.g. ability to identify assumptions, evaluate positions
and alternatives, generate ideas/solutions, the ability to deal with uncertainty and
complexity and take on responsibility.
3. Demonstrated through a portfolio of evidence or through a more conventional
assessment format such as essay/report or presentation.
4. Some Awarding Bodies limit the timescale for accepting APL evidence, for example, IT
qualifications will only accept up to 2 years back, whereas other qualifications will accept
experience gained between 3 and 5 years previously. Each Awarding Body will have its
own stipulations for an NVQ where APL is being used and they must be consulted when
APL is being considered.
Work Placement Accreditation
The College may have a number of credit-rated work placement units/modules which
provide the possibility for a work based learning assessment. The learning outcomes for
these units/ modules tend to be written in terms of abilities developed in context communication, managing your work, working in teams etc.
44
The principles of accreditation are the same as for other forms of unit/ module matching. The
work has to meet the learning outcomes of the unit/ module and be appropriately evidenced.
APEL Assessment
The specific format of the APEL assessment will be agreed between the learner and the APL
representative for the School, and will be entered onto an APEL Assessment Plan. If it is a
portfolio the structure will be approximately as outlined below:
APEL Portfolio
1.
Cover
Name
Student id number
Course title
Title - APEL Portfolio
2. Contents page
Number, names and level of units/module credits applied for
Name and number of any units/ modules matched
3. Set of learning outcomes drawn from the learner’s experience
4. Personal introduction to the learner and the purpose of the portfolio (one paragraph)
5. Curriculum Vitae (if appropriate)
6. Personal statement outlining the relevance of the learner’s experiences to the learning
outcomes.
There is no set format for the personal statement. It will focus on the learner and is written
in the first person. The text may be divided into sub-sections with the learning outcomes
used as sub-headings. Alternatively it could be a chronological account of the relevant
learning experience cross referenced to learning outcomes and evidence.
7. Appendices showing direct or indirect sources of evidence to support/ verify the claim for
validation
of prior experiential learning. One piece of evidence may be relevant to
a number of learning outcomes. Evidence could consist of the learner’s own work e.g.
documents they have written, procedures they have designed, proposals they have drafted,
electronic resources etc. or information gathered from others about the learner, such as
statements from employers, certificates of courses completed etc.
Assessment Criteria
45
1. Acceptability: There has to be an appropriate match between the evidence in the
portfolio presented and the learning claimed.
2. Sufficiency: There has to be sufficient evidence to demonstrate achievement of the
learning claimed.
3. Authenticity: The evidence must be clearly related to the learner’s own efforts and
achievements.
4. Currency: The skills claimed (such as computing and information technology) must be up
to date.
Other forms of APEL assessment
The APL representative for the School may decide an alternative method of assessment to a
portfolio would provide a more effective way of demonstrating the learner’s experience, and
enable them to meet the learning outcomes. This might be:
1. A structured portfolio - specific pieces of evidence specified by the School APL
representative. This may be particularly useful where unit/ module learning outcomes are
evidenced by similar types of evidence e.g. computing modules that include examples of the
use of particular packages.
2. Assessment on demand - whereby the learner is asked to complete the usual form of unit/
module assignment, or an externally set assignment. It is important that the form of
assessment is relevant to the evidencing of the learner's prior learning as it will have been
designed for the traditional form of unit/ module delivery.
3. APEL interview, viva or presentation (often accompanied by written work). This must meet
any requirements for double marking and internal verification/ moderation, and records of the
process must be kept for the external moderator/ examiner. For this reason the interview
may be audio or video taped.
Unsuccessful APEL assessment
Learners can resubmit their APL assessment to the external moderator/ examiner if it is
judged unsuccessful by the School APL representative. There will not be a record of an
unsuccessful APEL submission. If the second submission is unsuccessful the learner must
complete the taught unit/module.
The Cost of APEL
If the learner is self funding they will be invoiced for the APEL assessment process.
Awarding Bodies timescales for accepting APL evidence
E.g. IT quals will only accept up to 2 years back whereas other qualifications would accept
between 3 and 5 years.
46