Assessment Strategy
Animal Care NVQs/SVQs Levels 1 to 3
November 2001 (Version 2)
Copies of this document are available from Lantra Connect:
Helpline:
0845 707 8007
Fax:
024 7669 6732
Email:
connect@lantra.co.uk
Website:
www.lantra.co.uk
Write:
Lantra, Lantra House, NAC,
Kenilworth, Warwickshire, CV8 2LG
Assessment Strategy – Animal Care NVQs/SVQs (Levels 1, 2 and 3)
© Lantra (PSAG Approved 13 November 2001 Amended 23 July 2004)
Contents
Section 1
Introduction
2
Section 2
External Quality Control
3
Section 3
Workplace Assessment
6
Section 4
Simulation
7
Section 5
Occupational Expertise of Assessors and Verifiers
8
Annex A
Guidelines on Standards for Animal Welfare
11
Annex B
Physical Resources
14
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1
Introduction
This document sets out the recommendations and specifications of Lantra, on behalf
of the Animal Care industry, for the assessment and quality control systems required
for National/Scottish Vocational Qualifications (NVQ/SVQs) in Animal Care Levels 1
to 3.
The following sections outline Lantra’s industry specific principles in regard to:

external quality control

workplace assessment

the use and characteristics of simulation

the required occupational expertise of assessors and verifiers.
These principles are in addition to the generic criteria that awarding bodies must
meet for the delivery of NVQ/SVQs, as required by QCA’s NVQ Criteria and Code of
Practice and the relevant sections of SQA’s SVQ Criteria and Guidance for Awarding
Bodies.
This Assessment Strategy does not describe these systems in detail. It only provides
the overarching principles. These systems may vary from one awarding body to
another. Lantra accepts this providing the overarching principles of this document
are consistently put into practice.
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2.
External Quality Control
2.1
Independent Assessment
The Animal Care industry has decided that it would value external quality control by
independent assessment. This will be achieved by the assessment of part of the
NVQ/SVQ being carried out by an independent assessor.
Independent assessment must:

be carried out by individuals who are competent to assess animal care and meet
the requirements for assessors (see section 5.1).

be carried out by an assessor independent of the candidate (i.e. an assessor who
is not the normal assessor of the candidate). This could be the internal verifier.

reflect a cross section of the assessors within a centre, with candidates randomly
selected by the independent assessor

be achieved through benchmarking by the independent assessment of the square
root of the number of candidates across all levels or a minimum of five candidates
across all levels at the assessment centre, by assessing one element within the
following specified units:

Level 1: CU29 Assist with the care of animals

Level 2: CU34 Promote and maintain the health and well-being of animals

Level 3: CU45 Control and restrain animals
The element selected will be at the discretion of the independent assessor, as
agreed with the assessor.
For example, internal verifiers will be required to compare the outcomes of
assessments made by independent assessors with those made by the candidate’s
‘regular’ assessor and identify any trends that may indicate concerns about
consistency. Where such concerns are identified, the internal verifier must take
appropriate action to ensure consistency is achieved. Information on comparisons of
the assessments made by independent assessors and those made by ‘regular’
assessors must be made available to external verifiers.
The external verifier should include the verification of the units detailed above in
every sample.
Anybody undertaking independent assessment must not be responsible for the
verification of the evidence that they have assessed.
2.2
An enhanced system of Assessment and Verification
The monitoring and standardisation of assessment decisions will be achieved by a
robust and strengthened assessment and external verification system.
The
mechanisms required to achieve this are in addition to those outlined in QCA’s NVQ
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Criteria and Code of Practice and SQA’s SVQ Criteria and Guidance for Awarding
Bodies.
2.2.1

External Verification
All new assessment centres, or existing centres extending their provision to
include new Animal Care NVQ/SVQs, should be visited by an external
verifier/systems verifier prior to centre approval being granted. The purpose of
this visit will be to ensure that all regulatory and assessment strategy
requirements are being met, which will include the guidelines for animal welfare
as in Annex A and the physical resources detailed in Annex B.
If it is clear that a centre is experiencing difficulties, the awarding body should
supply additional support, either through more frequent external verifier visits or
by other appropriate means, for example through training and development or
through visits by other specialist support staff.

Lantra would request that there is a periodic rotation of external verifiers, for
example 2 – 5 years, to increase the independence of verification in centres.
Lantra will facilitate the provision of specialist staff should the awarding body
require assistance in this matter. It also requests that advice and support offered
by external verifiers is consistent across all centres offering the awards. In
addition, the monitoring and support that an approved centre receives must be
consistent with that centre’s risk rating (see section 2.2.3 below). The external
verifier, not the centre, should determine the assessments, candidates and
assessors to be sampled. Sampling should take place during the development of
a candidate’s portfolio, and not only at the point of signing off.

It is recommended that awarding bodies seek the advice of Lantra, through its
sector experts, on the suitability of the occupational expertise of external verifiers,
where necessary.
2.2.2
Internal Verification

All candidate portfolios should be internally verified

Internal verifiers should be able to demonstrate how the internal verification
sampling process ensures that:

portfolios are sampled during their development stage

portfolios are sampled on completion

all types of evidence are sampled

all assessors are sampled, including those based at different sites

the work of different assessors is compared (where possible this comparison
should be across the same unit(s))
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

the full range of units delivered are assessed
Internal verifiers should observe each assessor conducting candidate
assessments at regular intervals. Lantra suggests that this be at least once every
six months. The reliability, validity, authenticity and sufficiency of evidence must
be checked during these observations.
2.2.3
Risk Rating and Risk Management
The industry welcomes the development of a system of risk rating and risk
management. Lantra believes that such systems of risk rating and risk management
will ensure that external verification, monitoring control and support mechanisms are
put into place according to each centre’s level of risk. The systems, currently being
developed by the awarding and regulatory bodies, will offer substantial
enhancements to the quality control systems for NVQs and SVQs. The systems
should also focus on the following:

Commercial risk – arrangements should be made to identify centres where there
may be commercial pressures to ensure that candidates achieve their
qualifications within specified time frames so that the standard of assessment
practice is not adversely effected.

Assessment/verification bias – any personal, professional or pedagogical
relationship between candidates, assessors, internal verifiers and external
verifiers should be declared to the awarding body.
Where risk is identified, Lantra would expect that one or more of the following actions
would be taken by the external verifier/awarding body:

conduct a spot visit at short notice

meet and/or observe each candidate or a larger sample of the candidates at the
centre in question

increase the frequency of verification visits

conduct candidate and/or employer interviews, as required, over the telephone

or other action appropriate to the risk.
2.2.4
Networking Opportunities
A key concern of the industry is that all assessment and verification is consistent and
carried out to the National Occupational Standards prescribed. To this aim Lantra
will identify opportunities for all those involved in the assessment and verification
process to share good practice and keep up to date with the latest requirements of
the industry. Lantra will facilitate:
Regular Awarding Body Meetings
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All awarding bodies delivering Animal Care NVQ/SVQs will be invited to provide
appropriate representation at these meetings. The meetings will discuss issues
concerning quality control, as well as providing the opportunity for industry specialists
to update awarding body representatives. The meetings will also enable discussion
on:

any assessment and quality control problems identified by employers and other
key stakeholders or by the awarding bodies themselves.

assessment and verification issues and will require the awarding body to respond
appropriately to all identified issues within reasonable timescales.
Lantra and its industry experts will also use these meetings to provide the awarding
body with the advice and support they need to maintain and enhance quality control.
This exchange of information is viewed as essential in maintaining the validity and
reliability of the National Occupational Standards and therefore the uptake of the
NVQs/SVQs.
3
Workplace Assessment
Lantra believes that all assessments of a candidate’s performance must take place in
a real working environment that fully reflects the pressures and constraints of
industry working practice. This principle will apply to all units, or aspects of units,
except those for which simulation has been deemed acceptable (see Section 4 below
and Unit descriptors).
In order to ensure that the evidence used to assess candidates against the National
Occupational Standards is valid, all centres must demonstrate that the candidates
have access to the types of resources commonly in use in the industry and that the
pressures and constraints of the workplace are reflected.
Lantra has no objection to the assessment of knowledge and understanding taking
place in a different environment, for example a college or another environment which
is not the immediate workplace. However, the assessment of this knowledge and
understanding should be linked directly to workplace performance.
3.1
Witness Testimony
Lantra recognises that for the assessment of workplace performance to be as natural
and efficient as possible, the use of witness testimony should be encouraged, and
has a crucial role in the collection of evidence.
Witnesses must be fully briefed and clear about the purpose and use of the
testimony. Any relationship between the witness and candidate should be declared
and noted by the assessor and the external verifier/awarding body informed.
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Witnesses must be able to demonstrate that they have the necessary expertise in the
area for which they are providing testimony. This information should be noted by the
assessor.
4
Simulation
Simulation should only be used where it is difficult to collect evidence through a real
work situation, the real work environment or within an acceptable time frame.
Simulations will usually deal with contingencies such as unexpected problems,
emergencies, or other incidents which will not necessarily occur frequently. Such
instances are specified within the National Occupational Standards.
The awarding bodies must issue adequate guidance to their centres as to how these
simulations should be planned and organised. In general this guidance must ensure
that the demands on the candidate during simulation are neither more or less than
they would be in a real work environment/situation. In particular:

simulations should only be used where prescribed in the National Occupational
Standards

all simulations must be planned, developed and documented by the centre in a
way that ensures the simulation correctly reflects what the standard seeks to
assess

all simulations should follow these documented plans

the physical environment for the simulation must be as realistic as possible and
draw on real resources that would be used in the industry

where simulations are used they must be based on an environment which reflects
industry working practices (as defined in section 3) and must be based on current
working practice

simulations can only be used to supplement real work activities and should not be
the only source of evidence used to indicate competence

the use of simulation will be monitored by the external verifier to ensure that
where simulations are used, they are based on an environment which reflects
industry working practices.
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5
Occupational Expertise of Assessors and Verifiers
Lantra believes that the occupational expertise of assessors and verifiers is one of
the key factors underpinning valid and reliable assessment. The sections below
define essential criteria in addition to the requirements of the QCA Criteria and Code
of Practice and SVQ Criteria and Guidance for Awarding Bodies.
5.1
Assessors
All assessors must:

be occupationally competent.
They will have gained their occupational
competence working within an operational, as opposed to a support capacity i.e.
working directly with animals.

be deemed more occupationally competent than the candidate that they are
assessing. To this end those assessing should hold the appropriate NVQ/SVQ,
or equivalent qualification, to that which they are assessing. Alternatively, they
should be working, or have recently been working, at that level or above for a
minimum of three years (level 3 awards) or two years (levels 1 & 2 awards).
Recent experience is defined as within the last 4 years (level 3 awards) or, within
the last 3 years (level 1 & 2 awards).

normally be aged 18 years or over

be familiar with the National Occupational Standards; and must be able to
interpret and make judgements on current working practices and technologies
within the area of work

have sufficient time to carry out the role within QCA’s NVQ Criteria and Code of
Practice and the relevant sections of SQA’s SVQ Criteria and Guidance for Awarding
Bodies

receive an appropriate induction to the NVQ/SVQs that they are assessing

actively engage in relevant industry specific continuing professional development
(CPD) activities offered by the awarding body, Lantra or other relevant providers
in the sector to keep up-to-date with developments relating to the Animal Care
NVQs/SVQs and changes taking place in the industry.
Any specialist expertise or knowledge requirements for the assessment of optional
units will form part of the relevant CPD activities.
Information on the induction and continuing professional development of assessors
must be made available to the external verifier.
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Approved centres will be required to provide the external verifier with current
evidence of how each assessor meets this requirement; for example, relevant
qualifications, recent performance appraisal records, testimonials or references.
Lantra Awarding Body meetings will discuss guidance to centres and external
verifiers on the types of evidence that may be used, and the criteria for evaluating
such evidence where applicable
Lantra is aware that, in some cases, the requirements for occupational competence
will mean that some candidates may have more than one assessor, each assessing
different units or aspects of those units. Lantra would approve and encourage such
an approach as helping to assure the quality of assessment.
5.2
Internal Verifiers
Internal verifiers must:

be occupationally competent in respect of the units they are going to verify.

have sufficient knowledge of the work activities and assessment process to be
able to offer credible advice on the interpretation of the standards, moderate
assessments and resolve any differences and conflicts

be fully conversant with the National Occupational Standards; and must be able
to assist assessors with interpretation and the making of assessment
judgements. They must be able to make judgements about the assessment
process being applied by assessors

occupy a position in the organisation that gives them authority and resources to
co-ordinate the work of assessors, provide authoritative advice, call meetings as
appropriate, visit and observe assessments and carry out all the other important
roles of an internal verifier

receive an appropriate induction to the NVQ/SVQs that they are verifying

actively engage in relevant industry specific continuing professional development
activities offered by the awarding body, Lantra or other relevant providers in the
sector to keep up-to-date with developments relating to the Animal Care
NVQs/SVQs and changes taking place in the industry.
Any specialist expertise or knowledge requirements for the verification of optional
units will form part of the relevant CPD activities.
Information on the induction and continuing professional development of internal
verifiers must be made available to the external verifier.
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5.3
External Verifiers
The integrity and professionalism of external verifiers is of paramount importance.
External verifiers must seek to maintain the quality of implementation through
providing constructive feedback and support to centres.
External verifiers must:

understand the national occupational standards, and their correct interpretation
and application, have an in depth knowledge of the area covered by the
NVQ/SVQ, and the NVQ/SVQs themselves

have gained their knowledge working with the industry

receive an appropriate induction to the NVQ/SVQs that they are verifying

actively engage in relevant industry specific continuing professional development
activities offered by the awarding body, Lantra or other relevant providers in the
sector to keep up-to-date with developments relating to the Animal Care
NVQs/SVQs and changes taking place in the industry.
Lantra will provide further guidance as applicable to awarding bodies in relation to
any specialist expertise and knowledge required to verify optional units.
Should these requirements prove unrealistic, i.e. presenting substantial difficulties in
recruiting an appropriate number of external verifiers, Lantra would sanction
alternative external verification arrangements. For example, allowing two verifiers for
a centre; one with D35 (or its new ENTO equivalent) to verify the centre’s quality
procedures and the other with the required level of knowledge and experience of the
industry to verify technical issues.
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Annex A
Guidelines on Standards for Animal Welfare
In taking over responsibility for the development of the assessment strategy for the
animal care industry from ACENTO, Lantra endorses the guidance, drawn together
by ACENTO and industry partners, and presented below. Lantra sees this as an
important dissemination of best practice throughout the industry.
One of the primary aims of any establishment in which animals are kept must be to
ensure the welfare of those animals. Simply adhering to legislation may not achieve
this in all cases since there are still many legally permitted practices which do not
safeguard animal welfare.
The following factors need to considered:
1 Environment: all animals must have access to suitable shelter when necessary,
which must be large enough to accommodate all animals together, and should be
constructed and insulated to give proper protection against extremes of weather. All
buildings/shelters should be adequately ventilated, but animals should be protected
from draughts. Space allowance will vary according to the species, age and breed of
animal being kept. All animals should have access to a comfortable solid-based lying
area, with plenty of suitable bedding material, which should be replaced/replenished
regularly to ensure that it remains dry. In addition, animals must have access to a
suitable area for exercise if required, with enough space to ensure that they can
move freely and express their natural behaviour patterns. Fencing must be strong
enough to contain the species in question, must be frequently inspected and properly
maintained so as not to cause injury to the animals.
2 Nutrition: the type and quantity of food required also varies with species, age,
stage in the reproductive cycle and breed. All animals must have access to an
adequate supply of clean, fresh drinking water. The dietary requirements of each
type of animal must be ascertained by a competent person or where appropriate in
consultation with a veterinary surgeon or other expert.
3 Health: a health care plan should be followed for each species and where
appropriate agreed with an attending veterinary surgeon. Regular checks are also
required, together with immunisation, treatment for and prevention of external and
internal parasites, foot trimming, shearing, and various other procedures necessary
for the maintenance of health carried out by a trained or competent person .
4 Management: all responsible staff must be trained up to NVQ/SVQ Level 2 in
Animal Care or equivalent and be fully competent in husbandry techniques. A
responsible and competent person must be available to undertake regular checks of
an animals condition and have the ability to react at all times. Emergency
procedures must be drawn up as clearly explicit plans to prevent/cope with
emergencies such as fires (evacuation and immediate care), breakdown of supplies
(food, water, electricity). All responsible staff must be familiar with these procedures.
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5 Access: all contact between students, visitors, members of the public must be
properly supervised by a responsible and competent person at all times. Handling by
inexperienced persons should be supervised at all times and sufficient care and
planning should be demonstrated to avoid the over-handling of animals.
6 Avoidance of isolation: animals should be given company of their own kind, and
only when absolutely necessary isolated from the sight, sound or smell of others.
However, unfamiliar adult animals should be introduced with care. Thought must be
given to the situation arising following the removal of young from an adult animal.
7 Transportation: if animals need to be transported, provision must be made
regarding their transportation under proper conditions by competent personnel, and
journey times and conditions should be optimised.
Lantra believes that welfare standards must be based on the Five Freedoms which
were originally devised by the Farm Animal Welfare Council, a Government Advisory
Body, and have since been adopted by the RSPCA and other animal welfare bodies
for use in a wide variety of animal care contexts.
The Five Freedoms are:
1 Freedom from fear and distress:
All who manage and handle animals must understand elementary animal behaviour,
in order to avoid high levels of harmful stress when housing, relocating, feeding or
breeding animals. All risks associated with these activities must be minimised.
Members must ensure that they undertake careful observation of animals so that
relatively covert signs of stress are correctly interpreted.
2 Freedom from pain, injury and disease:
Animals under human influence and control must be protected from injury and from
elements which may cause suffering and ill health. In all cases an animal’s
environment must be well managed to promote good health. They must receive
appropriate veterinary attention whenever necessary. Members must provide for
prevention of illness and rapid diagnosis and treatment when required.
3 Freedom from hunger and thirst:
An animals diet must be satisfying, appropriate, safe and varied for the promotion
and maintenance of good health. All animals must have access to clean, fresh
water. Members must provide a diet that maintains full health and vigour as well as
ready access to fresh water.
4 Freedom from discomfort:
Animals must be protected from extreme environmental conditions; temperature (hot
/cold) and humidity (wet/dry). For confined animals there must be a suitable bedded
area on which the animal can rest. Members must provide appropriate environments
and accommodation.
‘
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5 Freedom to express normal behaviour:
The behavioural needs of animals must be met. Where appropriate animals should
be maintained in groups with company of their own kind and active animals should
have free access to an area in which to display normal behaviour. Animals kept in
captivity should be provided with sufficient environmental enrichment to be able to
follow natural instincts. Members must provide sufficient space, proper facilities and
where appropriate the company of compatible animals to avoid the negative effects
of isolation and boredom.
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Annex B
Physical resources
The information detailed below is designed as guidance for awarding bodies and
external verifiers in determining the suitability of a centre to deliver and assess the
Animal Care industry’s N/SVQs, in terms of the physical resources required.
Centres must:

have proven access to relevant and sufficient physical resources (eg. equipment
and facilities) to assess the qualification.

specify the types and quantities of physical resources that are being used by both
main and sub- or satellite-centres as appropriate, to the external verifier and the
awarding body.

have physical resources which reflect current and emerging practices.

have up-to-date equipment and facilities appropriate to the speciality being
assessed.

have a range and number of animals suitable to the units being assessed (ie 1:3),
following best practice as described in the guidelines in Annex A.

possess experienced and/or qualified staff in animal care (ie NVQ/SVQ Level 2 in
Animal Care or equivalent qualification, as a minimum).

have access to up-to-date reference materials including information relevant to
specific units

comply with all relevant statutory requirements and with HSE and industry codes
of practice.
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