SQA’s Approach to Quality
Assurance of Assessment
Matthew McCullagh
Quality Manager
Welcome
欢迎

Why are we here?
 To introduce you to SQA’s New Approach to
Quality Assurance
 To help you understand the key changes to
Quality Assurance process
 To help you become familiar with:
– The new Quality Assurance Criteria
– The new Confidence Statements
– How visits are planned, conducted and reported

9.00
9.30
10.10
11.00
11.15
12.00
12.30
1.30
2.45
3.00
3.20
4.30
Thursday 6 th September 2012
Coffee and Registration
Introduction, New Approach to QA Overview,
Aims and Objectives of Training Days
Preparation for Qualification Verification Activity,
Attitudes and Behaviours, KPMs
Break
Preparation for Qualification Verification Activity,
Attitudes and Behaviours
Planning for Qualification Verification Activity – the theory
Lunch
Conducting the Qualification Verification Visit – the theory
Break
Introducing the Quality Assurance Criteria
Quality Assurance Criteria Workshop
Close

3.45
4.00
4.30
1.30
2.00
2.30
2.45
9.00
9.30
11.15
11.30
12.30
Friday 7 th September 2012
Coffee and Registration
Feedback: The Quality Assurance Criteria
Break
Decision Making
Lunch
Communicating Decisions
Theory of Completing Excel Reports/Action Plans
Break
Writing effective Verifier Reports
Case Study Assignment
Summary and Q & A
Close

SQA’s Approach to QA
 SQA is moving to introducing a new approach to Quality
Assurance of qualifications delivered in China
 It is based on SQA’s
Principles of Quality Assurance:
 Open, fair and transparent
 Aimed at risk reduction
 Proportionate
 Intelligence led
 A shared responsibility
 Constantly reviewed and improved

What is the new approach to
Quality Assurance
SQA now operates a transparent, intelligence-led, risk based model for quality assurance of approved centres and potential centres delivering our HND qualifications in
China.

Timeline of Implementation of New Approach in China
September
2011
Overview to Centre staff in
Beijing and
Xiamen
March
2012
Launch of new approach
May
2012
Overview to
EVs at central verification events
September
2012
Specialist training for
Centre staff and
EVs
September
2012-2013
Implementation new approach to QA

New Quality Criteria
 Five Categories:
– Management of a centre
– Resources
– Candidate Support
– Assessment & Verification
– Records/Data Management
 All signposted to four QA processes
 All pre-rated as High/Medium/Low impact
 All supported by possible sources of evidence

The New Approach to Quality
Assurance: The Four Processes
 Systems Approval
 Qualification Approval
 Systems Verification
 Qualification Verification

High/Medium/Low Impact Criteria
 All criteria are important
 However, some are more important than others
 Those that are most important are rated as High
Impact criteria
 Those that are less important are rated as Low
Impact criteria
 In between these two are medium impact criteria.
 Failure to meet a High Impact criteria will have a greater impact on the outcome of the visit

Sufficiency of evidence
 No Systems Verifier or Qualification Verifier can change the impact rating of a criteria.
 For each criterion you verify, you must decide whether the centre has presented you with:
– Sufficient evidence to meet the criterion
– Some, but insufficient evidence to meet the criterion
– No evidence to meet the criterion

Good Practice and Guidance
 As part of the verification visit, you should identify good practice that is evident in the centre.
 You should also give advice and guidance to help centre staff improve the delivery of our qualifications
 This is a mandatory part of your role as a
Qualification Verifier

Sufficiency of evidence
 We will support you and help you to understand what sort of evidence centres can provide to meet each criterion
 Once you have made your decision regarding the sufficiency of evidence, SQA staff will then calculate our level of confidence
 This will depend on the impact level of the criteria and the sufficiency of the evidence presented

Introduction of Confidence Statements
In relation to Systems Verification In relation to Qualification
Verification
Confidence
Statement
High level of confidence in the maintenance of
SQA standards within this Verification Group
High level of confidence in the systems that support the maintenance of SQA standards within this centre High Level of Confidence
Broad confidence in the maintenance of SQA standards within this Verification Group Broad Confidence
Broad confidence in the systems that support the maintenance of SQA standards within this centre
Reasonable confidence in the maintenance of SQA standards within this Verification Group, although moderate risks exist within the following categories:

(insert appropriate category)

(insert appropriate category)
Reasonable Confidence
Reasonable confidence in the systems that support the maintenance of SQA standards within this centre, although moderate risks exist within the following categories:

(insert appropriate category)

(insert appropriate category)
Minimal confidence in the maintenance of SQA standards within this Verification Group as significant risks exist within the following categories:

(insert appropriate category)

(insert appropriate category)
No confidence in the maintenance of SQA standards within this Verification Group as severe risks exist within the following categories:

(insert appropriate category)

(insert appropriate category)
Minimal Confidence
No Confidence
Minimal confidence in the systems that support the maintenance of SQA standards within this centre as significant risks exist within the following categories:

(insert appropriate category)

(insert appropriate category)
No confidence in the systems that support the maintenance of
SQA standards within this centre as severe risks exist within the following categories:

(insert appropriate category)

(insert appropriate category)

How Confidence Statements are calculated
 Confidence statements are given for the outcome of each Systems Verification and
Qualification Verification visit for each of the categories of criteria verified
 These are based on the sufficiency of the evidence provided to the you
 A summary statement of confidence is also given, based on the confidence statements for each category

What if non-compliances are identified?
 Where there is No evidence or insufficient evidence to meet a criterion, you must agree with centre staff, during the visit:
– the action the centre needs to take in order to become compliant.
– The evidence they need to produce
– Where to send this evidence
– The date by which the action must be taken

What happens then?
 SQA will ask you to consider the evidence the centre sends us and ask you to consider whether it is Sufficient or insufficient .
 Depending on the sufficiency of the evidence, the Confidence Statement will be re-calculated.

Sanctions
 If the outcome of a verification visit results in a
Confidence Statement of Reasonable, Minimal or No Confidence, SQA staff may decide to place a sanction on a centre until our confidence increases to Broad or High.
 Our confidence may decrease if a centre fails to meet action points agreed during a verification visit.
 Sanctions will only be used where necessary.

In relation to Qualification
Verification
Entry in Action Plan
Sanctions
Confidence In relation to Systems Verification
Statement
High Level of Confidence
Entry in Action Plan
Broad Confidence
Suspension of specific qualification certification:
 by verification group
 by qualification
Suspension of approval application by verification group
Suspension of direct certification claim status:
 by verification group
 by qualification
Reasonable Confidence
Suspension of all existing qualification approval
Suspension of centre certification
Suspension of certification for all qualifications with assessed components
Suspension of qualification approval application - whole centre
Suspension of specific qualification approval:
 by verification group
 by qualification
Withdrawal of specific qualification approval:
 by verification group
 by qualification
Minimal Confidence
Withdrawal of all existing specific qualification approval
No Confidence Withdrawal of centre approval

Benefits of new approach for centres
 Open and transparent to all
 Clear guidance available to verifiers
 Proportionate response where issues are identified
 Focused on Good Practice and improvement as well as compliance

Questions

SQA’s Approach to Quality
Assurance of Assessment
David Pirnie
Lead Verifier
Welcome
欢迎

Qualification Verification
The Qualification Verifier role activities
 Prepare for verification
 Plan verification
 Carry out verification
 Communicate verification decision
 Complete verification report

Preparing for Qualification
Verification
The Qualification Verifier role activities
 Prepare for verification
 Plan verification
 Carry out verification
 Communicate verification decision
 Complete verification report

Being prepared
“The best preparation for good work tomorrow is to do good work today”.
Elbert Hubbard

Preparing for Qualification
Verification
Before carrying out any activities, verifiers are required to have a full understanding of their role and responsibilities. This involves acquiring knowledge and keeping it up to date.

Preparing for Qualification
Verification
Required knowledge – three key areas:
 Knowledge of your subject area
 Centre roles and centre responsibilities
 Qualification Verification

Preparing for Qualification
Verification
Knowledge of your subject area:
 Have a common interpretation of the Unit
Standards including the Evidence Requirements for each unit you have been assigned to verify
 Know how to access Arrangements Documents,
Instruments of Assessment and Marking
Schemes to gain a full understanding of content

Preparing for Qualification
Verification
Knowledge of centres roles and responsibilities:
 Centre Co-ordinators
 Assessors
 Internal verifiers

Preparing for Qualification
Verification
Knowledge of the Qualification Verifier role:
 Role Profile
 Sources of support
 Verification policies and procedures
 Values

QIIPS:
Quality, Integrity, Innovation, Partnership
& Service
Sounds like:
“QUIPS” – a dictionary definition:
“A clever remark often prompted by the occasion”.

 Q uality
 I ntegrity
 I nnovation
 P artnership
 S ervice
SQA Values

SQA Values
Quality
As custodians of the standards we verify, we continually strive to maintain consistent quality in their assessment.

SQA Values
Integrity
 We use open and honest communication with internal and external customers (centres), promoting transparency, and building trust with others.
 We take a standardised approach to verification as laid down by SQA and agreed by consensus within our Qualification Verification team, even if our personal opinions may at times conflict.

SQA Values
Innovation
 We view unfamiliar approaches to assessment and verification with an open mind, whilst ensuring quality is maintained.
 We believe that creativity should be seen not as a threat to quality assurance but as an opportunity for improving upon existing practice.

SQA Values
Partnership
 We understand that by working in partnership with SQA centres, we will achieve common goals of excellence and consistency in assessment.

SQA Values
Service
 We maintain a professional approach with SQA centres at all times, regardless of the challenges we might face in carrying out our work.

Preparing for Qualification
Verification
More information on the preparation phase of
Qualification Verification can be found in the first section of SQA’s New Approach to Quality
Assurance: Guidance on Visiting Verification For
HN Qualifications in China

Workshop
Values Exercise

Planning for Qualification
Verification
The Qualification Verifier role activities
 Prepare for verification
 Plan verification
 Carry out verification
 Communicate verification decision
 Complete verification report

Planning
“Failing to plan is planning to fail”.
Alan Lakein

Visit Planning: Sampling
SQA cannot always verify all HN Units, for all candidates, on every visit to a centre, therefore a sampling strategy has to be adopted.
Purpose of sampling:
 To establish that there is a common interpretation of the standards within each centre and that the assessment and verification systems allow valid, reliable and fair assessment decisions to be made .

Visit Planning: Applying a sampling frame
SQA is responsible for systematically sampling on a percentre basis:
 S elected Units
 A ssessment decisions and practice
 M ethods/Instruments of assessment
 P roblematic/revised units
 L ocations where assessment takes place
 E vidence of candidates across Units
 D ocumented evidence of policies/procedures
(implementation)

Visit Planning
SQA (China Office) agrees optimum date (s) for visiting verification. This is an agreement between
SQA, each centre and each QV
SQA selects Units to be verified and communicates this to each centre (copying to SQA China Office)
SQA (China Office) confirms to each QV, the centre(s) they should visit, the date of each visit, and the Units they should verify
Qualification Verifier contacts centre to confirm visit date(s) and travel arrangements

New Approach to Quality Assurance
Welcome Back
欢迎回来

Carry out Qualification Verification
The Qualification Verifier role activities
 Prepare for verification
 Plan verification
 Carry out verification
 Communicate verification decision
 Complete verification report

Carry out Qualification Verification
Discussion point
Consider the verification activities you perform from the time of arrival until the end of the visit.
Contribute to the discussion by letting us know what kind of techniques/approaches you have used that you have found particularly beneficial.

Carry out the visit
Prepare yourself for the visit
Agree agenda and running order of visit
Conduct sampling activities
Judge the sufficiency of evidence

Conduct sampling activities
 Complete Units (all Outcomes complete)
 Incomplete Units (some Outcomes complete)
 Evidence not yet internally verified
 Assessment/verification decisions
 Assessment and verification practice
 Interviews with assessors/verifiers/candidates
 Referencing of evidence to standards

Introducing the Quality Criteria
 Introducing the New Approach to Quality
Assurance Criteria
 Introducing the Qualification Verification Guidance

Introducing the Quality Criteria
In your groups, discuss and familiarise yourselves with the criteria you have been allocated.
Formulate a list of summary points on flip chart paper to help you explain the purpose of each criterion to your colleague verifiers. The summary should also include possible sources of evidence.
In formulating your points, you are asked to use SQA’s New Approach to Quality Assurance:
Guidance on Visiting Verification for HND Qualifications in China as your information source.
Timings:
30 minutes discussion and research
20 minutes flip-charting your points
Please appoint a spokesperson(s) to present the flip-charted points which will be presented in the first session tomorrow morning.
Each group will be assigned a facilitator to answer any questions/queries you may have.

Questions

The New Approach to Quality
Assurance
Welcome Back
欢迎回来

The New Approach to Quality
Assurance
Introducing the the new approach to quality assurance criteria feedback

Criteria 4.2
4.2
The centre must provide documented evidence to ensure that assessments are valid, reliable, equitable and fair.
Signed pre-delivery checklist.
Standardisation meeting minutes, internal audit, review records

Criteria 2.3
2.3
Records must be maintained to provide evidence that the centre has sufficient competent staff who have the necessary qualifications, occupational experience and understanding to support the assessment and internal verification of qualifications being offered in the centre.
CVs/staff info sheets, CPD records, copies of relevant certificates, list of current assessors and internal verifiers, changes to the deployment of assessors/internal verifiers

Criteria 4.8
4.8
Outcomes of External quality assurance must be disseminated to appropriate staff and any action points must be monitored against agreed timescales.
Signed distribution list, corrective action log/report, minutes of meetings

Criteria 3.2
3.2
Candidates' development needs and prior achievements (where appropriate) must be matched against the requirements of the award. These must then be related to agreed personal action/training plans.
APL evidence, skills profile, training needs analysis, assessment plans, reviews

Criteria 4.6
4.6
The centre must comply with requests for access to premises, records, information, candidates and staff for the purpose of external quality assurance.
Documented procedure for handling QA visits, roles and responsibilities, site selection checklists, permission for SQA
QA representatives to obtain access

Criteria 2.7
2.7
There must be evidence of initial and on-going reviews of accommodation, equipment and reference, learning and assessment materials.
Current Health &
Safety certificates itinerary checklists, procurement records, library contents, system for supporting eassessment
Records of review

Criteria 4.3
4.3
Evidence of candidates' work must be accurately and consistently judged by assessors against SQA's requirements.
Assessor reports, records of achievement, standardisation meeting minutes, IV reports, Qualification
Verification reports

Criteria 4.1
4.1
The centre's documented assessment and verification procedures must be implemented and the subsequent assessment/verification practices reviewed, the results of which must be recorded and actioned.
Minutes of assessor/internal verifier meetings, internal audit, review records

Criteria 4.7
4.7
Candidate evidence must be retained in line with SQA requirements.
Candidate evidence, documented retention policy

Criteria 4.5
4.5
The centre must take steps to ensure that assessment evidence is the candidate's own work.
Candidate disclaimer,
Candidate and staff induction materials: assessor/IV roles and responsibilities

Criteria 5.6
5.6
Comments/queries about the qualification specification, assessment guidance, qualification verification or related SQA matters must be resolved and recorded.
Correspondence file, emails, standardisation meeting minutes, notes of action points and resolution

Preparing for Qualification
Verification
The Qualification Verifier role activities
 Prepare for verification
 Plan verification
 Carry out verification
 Communicate verification decision
 Complete verification report

Making verification decisions
 Deciding on the sufficiency of evidence can be likened to making an assessment decision
 Making an assessment decision takes account of the overall strength of the evidence provided
 One source of evidence will be sufficient at times. At other times, a number of sources will have to be considered, dependent on each centre’s approach to meeting quality assurance requirements and to some extent the structure of each criterion

One evidence source could be sufficient in some cases for this criterion:
Candidate ’ s development needs and prior achievements (where appropriate) must be matched against the requirements of the award. These must then be related to an agreed personal action/training plans.
The following are examples only, and do not constitute a complete list of all possible types of evidence to support the above criterion.
 APL/RPL/APA evidence
 Initial/diagnostic/formative assessment, skills profiles, training needs analyses
 Personal development/action plans, competence reviews, learner agreement/contracts, assessment plans

More than one evidence source is likely to be considered for this criterion:
The documented assessment and verification procedures must be implemented and the subsequent assessment/verification practices reviewed, the results of which must be recorded and actioned.
The following are examples only, and do not constitute a complete list of all possible types of evidence to support the above criterion.
 Records of assessment
 Records of internal verification/audits, monitoring of assessor/verifier practice
 Reviews of assessment and verification practices

The main guiding principles for making verification decisions
Decisions should be based:
 on the sufficiency of evidence relating to each criterion
 only on the criteria provided
The evidence examples given in the guidance document are just that. They are not a shopping list of evidence sources that all centres must have.

Awareness of things that could influence on our decisions
Own experience
Own standard s
Attitude of centre staff
Our confide
-ence
Own mindset
(closed)
Previous centre perform
-ance

Insufficient/no evidence = action points
 Sufficient evidence - this means that the centre has provided evidence that fully meets the criterion (no action points required)
 No evidence – this means that the centre has not provided any evidence in support of the criterion (action points required)
 Insufficient evidence – this means the centre can provide some evidence in support of the criterion (action points required)

Agreeing action points
Is there anything wrong with this action point?
“You should submit evidence of having disseminated the results of Qualification verification visits to relevant staff ”

Action points should be SMART
 S pecific: Centres should be clear in terms of the action they need to take to close-off the action point.
 M easurable: How will SQA or the centre know that the action point has been met, what will be the measure of success?
 A chievable: The centre must have sufficient time in which to achieve the agreed action. Please factor in time it takes for SQA to receive, process and edit the report and send it to the centre.
 R elevant: The action must directly relate to the criterion
 T ime bound: Agree a specific and realistic. date for the action to be completed by.

Questions

New Approach to Quality Assurance
Welcome Back
欢迎回来

The stages of Qualification
Verification
 Prepare for verification
 Plan verification
 Carry out verification
 Communicate verification decision
 Complete verification report

The stages of communicating verification decisions
Plan to deliver balanced feedback
Explain your verification decisions

Plan to deliver balanced feedback
Plan to include:
 Good practice
 Recommendations
 Action points (where appropriate)
Consider:
 Location
 Order of feedback and emphasis
 Words and tone

Explaining your verification decisions
Where action points are given, ensure you:
 have explored all possible evidence sources
 gather all information to support your decisions
 can justify your decisions - clearly relating them to criteria requirements
 Give the centre an opportunity to ask questions and clarify points

Communicating Decisions
Role play exercise:
David as a Qualification Verifier feeding back at the end of a
Qualification Verification visit to Matthew who is the SQA Coordinator.
Please note your observations of the following on your observation sheet:
 The content of the Feedback
 Attitudes and behaviours of the Qualification Verifier and the SQA Co-ordinator
 Any possible improvements

The stages of Qualification
Verification
 Prepare for verification
 Plan verification
 Carry out verification
 Communicate verification decision
 Complete verification report

The stages of completing the
Qualification Verification Report
Ensure report content matches your feedback
Justify your verification decisions
Write clear action points
Check report prior to submitting to SQA

The Qualification Verification Visit
Report

The Criteria Pages

The Required Action Log

The Summary Worksheet

Recommendations and Good
Practice Worksheet

Writing Effective Verifier Reports
 SMART action points
 Report writing guidance available
– www.sqa.org.uk/files ccc/Writing for SQA part
A.pdf
 Write report as soon after visit as possible
 Checking content thoroughly

Assignment: Report Writing
Assignment will be emailed to you by Thursday 20th
September.
You will be asked to:
 Review a Case Study
 Complete a Qualification Verification Visit Report
 Return to asv@sqa.org.uk by Friday 12 th October

Assignment: Report Writing
SQA will provide you with:
 Guidance document on how to complete a qualification verification visit report
 Feedback on each report to provide support byFriday 26 th October 2012

Summary
 To introduce you to SQA’s New Approach to
Quality Assurance
 To help you understand the key changes to
Quality Assurance process
 To help you become familiar with:
– The new Quality Assurance Criteria
– The new Confidence Statements
– How visits are planned, conducted and reported

Questions