Guidance on internal verification
of N/SVQs
www.cityandguilds.com
December 2006
Version 4.0
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Guidance on internal verification
of N/SVQs
www.cityandguilds.com
December 2006
Version 4.0
Guidance on internal verification of N/SVQs
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Guidance on internal verification of N/SVQs
Contents
1
Introduction
5
2
The role of the internal verifier
7
3
Operate and evaluate internal assessment and quality systems
9
4
Supporting assessors
13
5
Monitoring quality of assessor performance
17
6
Meet external quality assurance requirements
23
Appendix 1
N/SVQ internal verifier induction checklist
25
Appendix 2
N/SVQ unit or qualification achievement sheet and certification request
27
Appendix 3
N/SVQ internal verifier concerns form
29
Appendix 4
N/SVQ internal verifier report form and guidance
31
Appendix 5
N/SVQ internal verifier final portfolio/ qualification report form
37
Appendix 6
N/SVQ assessor induction agreement
39
Appendix 7
N/SVQ assessor induction checklist
41
Appendix 8
N/SVQ countersigning report form
43
Appendix 9
N/SVQ continuing professional development record
45
Appendix 10 N/SVQ internal verifier observation and questioning checklist
47
Appendix 11 N/SVQ internal verification sampling plan and record
49
Appendix 12 N/SVQ internal verification candidate interview record
51
Appendix 13 Exemplar internal verifier sampling strategies and plans
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Introduction
The aim of this guidance document is to specify City & Guilds’ requirements for the management
and delivery of internal verification by centre staff without being overly prescriptive. This guidance
is linked to the V1 standards Conduct internal verification of the assessment process and should be
read in conjunction with other guidance from standard setting bodies and regulatory bodies.
City & Guilds is committed to ensuring that N/SVQs retain value and credibility. The key to this is
valid and reliable assessment. Effective internal verification plays a vitally important role in achieving
and maintaining reliable assessment practice. These requirements apply irrespective of the medium
through which centres provide access to N/SVQs.
This document includes pro formas for use as part of an internal verification process. They are not
intended to provide a comprehensive system but rather to provide examples of key documentation.
Centres may wish to adapt some or all of these forms to suit their particular needs, or simply to
benchmark against their existing documentation.
Internal verifiers who hold the D34 qualification may find this document useful as a CPD exercise to
update themselves on requirements of V1.
NB D34 holders do not have to also achieve V1. They must however ensure that their internal
verifier practice meets the requirements of Unit V1. (Appendix 1 – N/SVQ internal verifier induction
checklist.)
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The role of the internal verifier
The internal verifier is at the heart of quality assurance in N/SVQs, both within the national
framework and within the quality and management systems of each approved centre. The role, in
terms of managing assessment so that it consistently meets national standards*, is central to
maintaining public confidence in each and every N/SVQ issued. Therefore internal verification is a
key factor in managing ‘risk’ and ensuring that when certificates are claimed for candidates the
requirements of the national standards have been reliably met. (Appendix 2 – N/SVQ unit and/or
qualification achievement sheet and certification request.)
There are four main aspects of the internal verifier role:
• operate and evaluate internal assessment and quality assurance systems
• supporting assessors
• monitor the quality of assessor performance
• meet external quality assurance requirements
Each of these key areas are discussed in this document with examples of issues/concerns and
ideas/guidance on accepted best practice.
* Where standards are mentioned, this refers to National Occupational Standards contained within
the N/SVQs.
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Operate and evaluate internal assessment and quality
systems
This is a primary focus for the internal verifier which entails ensuring that the centre’s internal
processes demonstrably meet external regulators’ requirements. This includes having plans in place
that identify criteria for:
• selecting assessors
• comprehensive internal auditing and recording processes
• coherent internal verification sampling strategy development
• management of accessible candidate appeals and complaints systems
• sampling assessments
• standardising assessment judgements (Appendix 3 – N/SVQ internal verifier concerns form)
• implementation and evaluation of continuous improvement.
Issues/concerns identified in the past as a result of these plans not being developed have included:
Selecting assessors
• inappropriate individuals selected
• shortage of assessors across all required locations
• unequal candidate access to assessment.
Internal auditing
• lack of a clearly documented system which is understood by all internal verifiers and assessors
• little understanding of the requirements of an audit trail
• appeals/complaints procedures which are inaccessible or unknown to candidates.
Recording processes
• lack of feedback to assessors on assessment practice
• unsatisfactory records/reports
• no monitoring of assessors in action
• senior management uninformed of any developments, issues or problems requiring their
intervention.
Coherent internal verification sampling strategy development
• lack of standardisation across the centre
• assessors not receiving timely support
• candidates being reassessed by the internal verifier
• no clear end to the assessment process
• poor assessment practice going unnoticed.
Management of accessible candidate appeals and complaints systems
• unfair treatment of candidates
• candidates going elsewhere to appeal/complain eg awarding body, regulators, press etc.
Sampling assessments
• inappropriate assessor practice
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•
•
•
•
•
•
•
•
•
unequal candidate access to assessment
over/under-evidencing by candidates
problem units not being addressed
‘end loaded’ sampling
fixed date sampling (regardless of throughput)
flat rate (%) sampling (regardless of circumstances)
no sampling strategy or rationale in place
second assessing
unsatisfactory/inadequate records/reports.
Standardising assessment judgements
• no standardisation between assessors
• no standardisation across programmes (Appendix 4 – N/SVQ internal verifier report form and
guidance and Appendix 5 – N/SVQ internal verifier final portfolio/qualification report form)
• unequal candidate access to assessment.
In many centres there is insufficient time allocated to the internal verifier to properly manage
assessment resources. These include equipment, training facilities, candidate support, learning
materials and assessors. Too often they are expected to juggle resources on a day to day basis
rather than plan ahead. As a result assessors’ workloads are poorly judged and often allocated on
an ad hoc basis. It is good practice to ensure that there is a formal system in place for allocating
assessors to candidates and to set out performance requirements for assessors eg frequency of
review, assessment reports, attendance at team meetings.
Management of resources should also include forward planning to ensure that candidates will
continue to have access to assessment, verification and appropriate materials/equipment/facilities
for a specified period, identified at the outset. This has budgetary and staffing implications and it is
clear that in many centres, the internal verifier is not regarded as sufficiently ‘senior’ within their
organisation to influence financial and personnel planning. The internal verifier should be in a
position to report directly to the senior management of the organisation on all aspects of the
centre’s N/SVQ programmes. Centres should ensure that, when seeking approval to deliver N/SVQs
they provide scope for appropriate input from the internal verifier into management systems so that
continuing candidate access is assured and appropriate decisions concerning resources are made.
The internal verifier should have a full and accountable role in managing the assessment team
and process. To do this effectively the internal verifier must have accurate and meaningful
information on a number of key points – candidate needs, location and current workloads of
assessors. An essential part of this should be a systematic evaluation on entry of candidate
additional or special learning/development needs, including technical aids or physical adaptations
(eg large print materials, IT equipment) extra support, assessment in ‘unsocial’ hours etc.
Thereafter, the internal verifier should have up-to-date information on individual candidate progress
as well as an overall picture of potential new candidates, average timescales for the achievement of
different qualifications, and assessor availability (both current and projected).
The internal verifier should monitor candidate progress against the initial equal opportunities
information. Where it is found that candidates are not progressing as expected, a record of actions
taken to support the candidates should be made.
The internal verifier should be able to call meetings of the assessment team, and have the support
of management to require attendance.
The internal verifier clearly has a key role in assuring and ensuring quality standards in the
delivery and assessment of N/SVQs. As such, their duties and responsibilities should be included as
an integral part of the organisation’s quality procedures and manuals. The internal verifier should
also have explicit responsibility for carrying out self-assessment of the centre’s performance against
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Guidance on internal verification of N/SVQs
the requirements of the NVQ Code of Practice and/or SVQ Criteria and Guidance, current guidance
and requirements on a regular basis.
The internal verifier must ensure that they have up-to-date information and guidance issued by
relevant bodies – awarding body, standard setting bodies, industry and professional bodies – and
that this information is passed on to all assessors. It is good practice to record pertinent points in
minutes of meetings.
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Supporting assessors
The second duty for the internal verifier is to guide, support and ensure the continuing professional
development (including occupational updating in line with relevant NTO/SSC requirements) of the
team of assessors. This is likely to be critical at certain stages:
• when assessors are new – to the team, to the centre, to N/SVQs
• when standards change or guidance is revised
• following external verifier visits or other inspections.
Issues/concerns
The following issues/concerns have been identified:
• unstructured induction
• standard materials not held or seen by many assessors
• little or no development of assessors – professionally or vocationally
• few development plans in place
• lack of information, guidance or feedback from the internal verifier
• little or no mentoring of new assessors.
New assessors should receive an appropriate level of induction. This depends on their previous
experience, both of N/SVQs generally and/or a particular suite of qualifications. As with candidate
induction the process is more effective if it is coherent and structured and it may help to have a
checklist or pack.
Sample induction packs for candidates, expert witnesses, assessors, internal verifiers and quality
assurance co-ordinators are available via the City & Guilds centre toolkit and the website
www.cityandguilds.com
The internal verifier must ensure that all assessors in the centre have access to:
• copies of national standards (each assessor should have copies of all the national standards
they assess)
• City & Guilds’ N/SVQ Centre guide
• NVQ Code of Practice and/or SVQ Criteria and Guidance
• QCA’s Guidance on Assessing NVQs (March 1998)
• City & Guilds’ Ensuring quality
• directory pages of relevant qualifications
• copies of News (relating to individual qualifications)
• a set of all assessment tools eg observation records, underpinning knowledge questions, report
forms, guidance notes used by the centre
• copies of the centre’s appeals procedures, equal opportunities policy and other relevant
organisational procedures eg quality manual, health and safety policy, emergency evacuation
procedures
• information about available candidate and assessor support resources, equipment and facilities
eg video, interview room, library
• information about the awarding body and the external verifier
• information about their candidates including:
- existing achievement/accreditation
- special learning or assessment needs, adaptations etc
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13
-
workplace/contact details for supervisors/managers
contact point for advice from internal verifier or another (named) assessor. (Appendix 6 –
N/SVQ assessor induction agreement and Appendix 7 – N/SVQ assessor induction checklist.)
The internal verifier must also check and hold on file the following information for assessors:
• personal profiles or CVs demonstrating occupational competence at an appropriate level and
current/recent relevant industrial or commercial experience
• original assessor certificates (D32 and/or D33 or A1 or A2) initially and after authentication, the
external verifier validated copies
• CPD records for all assessment personnel in line with the relevant assessment strategies.
It is good practice to maintain a centre file containing this information.
If assessors have not yet achieved A1 or A2 it is important that the internal verifier identifies agreed
realistic target dates for them to achieve certification (which should be within 18 months of
commencement of their role) and draws up personal action plans. In the interim period,
unqualified assessor decisions must be checked, authenticated and countersigned by a
qualified assessor/internal verifier. The counter signatory, if an internal verifier, must not
be the internal verifier who undertakes the verification activity.
The internal verifier must also increase the levels of sampling and monitoring assessment practice
for newly appointed assessors – whether qualified or not. This ensures that new assessors
have additional access to support and enables the internal verifier to identify any training and
development needs. If a newly appointed assessor has experience, this period of additional
sampling may be quite short. Whatever the level of experience, the incoming assessors will value
additional support whilst they become familiar with the centre’s systems. Similarly there should be a
mentoring process for newly appointed internal verifiers. (Appendix 8 – N/SVQ Countersigning
report form)
The external verifier will expect to see evidence that the internal verifier has identified and
addressed learning and development needs for all assessors. To do this a system of continuing
professional development must be in place and be maintained. This may include specific training eg
guided discussion techniques, alternative assessment methods, updating on awarding
body/standard setting body requirements. It may also include opportunities to update vocational
knowledge or even secondment into industry. (Appendix 9 – N/SVQ continuing professional
development record.)
Where the centre has a large team, including a number of internal verifiers, it is beneficial to appoint
an internal verifier co-ordinator (IVC). With this model, the IVC would monitor internal verification
plans (to ensure standardisation), internal verifier performance and also maintain development
plans for the other internal verifiers.
Standardising assessment judgements is another way in which the internal verifier supports
assessors. This is to ensure that:
• assessors consistently make valid decisions
• all assessors make the same decisions on the same evidence base
• all candidates are assessed fairly.
Issues/concerns:
• negligible use of standardisation exercises within centres
• poorly constructed standardisation.
Standardisation (sometimes referred to as benchmarking or moderating) is an important part of the
internal verifier’s duties. In some centres, this aspect of the internal verifier role has been
substantially underdeveloped, often relying on informal contact between the internal verifier and
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Guidance on internal verification of N/SVQs
the assessment team to ensure a common standard of decision making. Also, although team
meetings may be held, these can be frequently poorly attended and focus on relaying information
and/or tracking candidate progress. These issues are clearly important but it is crucial, particularly
for centres with a number of dispersed, peripatetic or inexperienced assessors that
standardisation exercises are undertaken with all assessors on a regular basis. All standardisation
activities should be included on relevant agendas and minuted accordingly.
The simplest means of completing a standardisation review is to collate copies of evidence
presented for unit accreditation and ask each assessor to make a decision based on the evidence
presented. It is also helpful to ask them to note any queries they may have eg further information
needed or authentication of a piece of evidence. This enables the internal verifier to check that
assessors are asking the right questions, as well as arriving at the correct decision, ie that the
process as well as the judgement is sound.
The frequency and appropriateness of standardisation activities is dictated by issues arising from:
• EV/IV sampling and monitoring of IV/assessor performance
• the introduction of new standards or changes to existing standards
• changes within the assessor/IV team
• results/outcomes of external audits
• previous standardisation activities
• the need for continuous improvement.
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Guidance on internal verification of N/SVQs
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Monitoring quality of assessor performance
The third responsibility of the internal verifier is to monitor the quality of assessor performance. The
internal verifier is responsible for safeguarding the validity of assessment. This includes observing
assessment practice, and ensuring the reliability of assessment judgements. (Appendix 10 – N/SVQ
internal verifier observation and questioning checklist.)
Aims:
• to ensure that the national standards of assessment (currently defined in A1/A2) are adhered to
by all assessors
• to identify problems or areas where assessors require advice or development
• to ensure that candidates are aware of, and satisfied with, the assessment process.
Monitoring assessment involves the internal verifier literally observing assessors in action, looking
at how they conduct the assessment process and giving them feedback on their performance. It
also includes reviewing the internal verification records completed with all assessors and evaluating
every aspect of their performance as recorded in the internal verification records.
Issues/concerns:
• significant lack of monitoring assessment
• poor recording of monitoring
• little or no use made of the results of monitoring to improve standard of assessment.
Monitoring assessment
The internal verifier should aim to monitor all assessors within a given period of 6 -12 months
depending on the size and level of activity of the assessment team. They also need to select
different assessment methods to monitor, the most obvious being observation of candidate
performance, professional discussion and simulated exercises. When selecting the monitoring
sample the internal verifier must be aware of safety, confidentiality, security and any additional
organisational requirements which could be affected by their presence. Any issues should be
discussed with assessors before arranging to monitor them.
The quality and accuracy of assessment plans (review and feedback) as well as assessor records
should be included in the review. The internal verifier should observe the individual assessor’s
assessment and interpersonal skills, with a view to noting any areas which would benefit from
advice or further development. The internal verifier must also note any problematic areas (eg within
the N/SVQ) which could create difficulties for other assessors.
Following the monitoring exercise, it is important that constructive and positive feedback is given to
enable assessors to develop. The discussion should be held in private and should not be relayed to
the candidates or other assessors. The internal verifier should keep a record of this and ensure that
it forms part of the assessor’s individual development plan.
Monitoring also creates an opportunity to liaise with candidates to ensure that their assessment
needs are being properly met. More information is given in Appendix 12 – N/SVQ Internal
verification candidate interview record. However, in particular the internal verifier should check that
candidates:
• know which N/SVQ they are working towards, and have a copy of the standards
• understand the assessment process
Guidance on internal verification of N/SVQs
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•
•
•
•
•
•
•
know who besides the assessor contributes towards the assessment process, eg witnesses
know what progress they have made towards achievement
are aware of their rights to access unit certification
understand their role in evidence generation, collection and cross referencing
have confidence in their assessor
understand the appeals process
have no current unmet learning needs.
Candidate portfolio evidence
All evidence of candidates’ competence does not have to be contained in their portfolios. Over
recent years, often driven by a desire to reduce the amount of paper involved, or because of issues
around confidentiality, there has been increasing use of alternative ways to present evidence. These
include electronic portfolios, video/audio taped interviews, ‘walk and talk’ assessment and
confidential items being left in situ. Again, the key to effective internal verification is to ensure firstly
that assessment records clearly link the evidence to the standards and to secondly demonstrate
that assessors have considered the rules of evidence. What checks have they made on the discbased or online evidence to ensure authenticity? Does the record of the ‘walk and talk’ assessment
clearly note the source and location of evidence seen, so that it can be verified? The internal verifier
must support assessors to ensure that they involve candidates in appropriate planning, review and
feedback activities in order that candidates receive information on their performance and progress.
By this process candidates will actively participate in the assessment process rather than having
assessment ‘done to them’.
Verification sampling strategy
The internal verifier must record and report on all sampling undertaken in sufficient detail to justify
their decisions. Underpinning all internal verifier activity is the validity of the verification sample. It is
not a good use of internal verifier resources to maintain 100% checks on assessment decisions: it
implies a lack of confidence in both assessment practice and the verification strategy.
The assessment process must be left to assessors following feedback by the internal verifier. Quite
often, centres maintaining 100% checks are simply adding a second signature to each and every
portfolio at the summative stage rather than carrying out effective verification.
Poor practice is where sampling is interpreted as exclusively reviewing summative assessment
decisions on portfolio evidence. Too often this is left until candidates have completed most if not all
of the qualification. This ‘end-loaded’ sampling often constitutes little more than adding a second
signatory to a sign-off sheet ‘for the records’, or a reassessment of the evidence. This is not an
appropriate use of internal verification resources and often happens too late in the evidence
gathering process to rectify poor assessment practice.
It is not satisfactory to guess, or assume, an aspect of the rules of evidence. The process must be
transparent to anyone with appropriate expertise who looks at the evidence and assessment
records. Relying on personal knowledge of assessors to assume they ‘must have seen everything’ or
‘will have asked candidates the appropriate questions to test knowledge’ is not good practice.
Similarly where candidates have relied on witness testimony or work-generated products, it must be
clear to the internal verifier that assessors have taken steps to satisfy themselves regarding
authenticity. This should include validating signatures of witnesses as well as evidence of witnesses’
occupational competence and contact details.
Clearly, the critical factor here is the quality of assessment records and reports. This has been
identified as a significant weakness in some centres. Typically, both observation of assessment
(when used) and assessment of other evidence sources are rendered almost meaningless as
evidence if poorly recorded. Vague, generalised comments such as ‘worked well’ or ‘satisfactory’ or
‘met the standards’ lack the detail required to establish an audit trail to the standards. This is poor
use of assessor time and is impossible to verify. It is important that assessment records, whatever
the format, address these points. Examples of suggested assessor recording documents can be
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Guidance on internal verification of N/SVQs
found in the City & Guilds Standards and Assessment Requirements (SAR) and the N/SVQ recording
forms documents. These documents can be downloaded from www.cityandguilds.com
A lack of adequate evidence referencing is also a cause for concern since it raises queries in the
external verifier’s mind as to firstly how well assessors and internal verifiers understand the
standards, and secondly the validity of the internal verification process undertaken. The best
approach to evidence referencing is to ‘keep it simple’ and there are a number of pro formas widely
available. Exemplars are provided in the City & Guilds SAR document.
Whilst it is imperative that candidates should not be prevented from achieving N/SVQ accreditation
simply because they cannot reference evidence (however presented), there is a balance to be
struck. Both assessors and the internal verifier must also consider whether the N/SVQ being claimed
includes competences relating to referencing or organising evidence (eg Customer Service or
Administration N/SVQs demand the ability to file and retrieve information; Management N/SVQ
candidates need to gather and present information to aid decision making). It may therefore show a
significant lack of competence if portfolios are badly organised. However, if there is no such skill
described in the N/SVQ then candidates should not be disadvantaged because they struggle to
cross-reference. In this case, assessor records and reports must clearly indicate the basis for their
decision, ie where the evidence is to support each unit. It is not acceptable for the internal
verifier (and then the external verifier) to have to search extensively to find evidence
which supports assessor decision(s).
An internal verifier sampling strategy which involves reviewing the quality of assessor judgements
at both interim and summative stages is a key part of this process.
Interim sampling
It is vital that the internal verifier participates in the assessment process undertaken with candidates
at different stages in that process. This includes reviewing candidate work perhaps (a) before
decisions have been made on any unit and (b) looking at portfolios when one or two units are
completed. It will entail checking the progress review reports given to candidates by assessors. This
will enable the internal verifier to evaluate the quality of formative guidance on assessment and the
effectiveness of candidate assessment planning, review and feedback.
Interim verification will also enable the internal verifier to pick up problems at an early stage and so
avoid the situation of disagreeing with assessment judgements. It will also highlight individual
assessor needs for support or training which in turn may be used to develop the assessment team
as a whole. Similarly it provides an opportunity to identify and share good practice within the
centre, particularly where one or more of the assessors has wider experience.
Summative sampling
Correct summative sampling should entail reviewing the quality of the assessment judgement by
evaluating how assessors have reached those decisions. The internal verifier must be able to follow
an audit trail which clearly demonstrates that assessors have checked that the evidence presented
– whatever its format – meets the rules of evidence. This includes evidence collated via portfolio,
computer-aided compilation, video/audio tape or evidence identified via an alternative assessment.
Evidence must be confirmed by assessors as:
• valid
– relevant to the standards for which competence is claimed
• authentic – produced by the candidates
• current
– sufficiently recent for assessors to be confident that the same level of skills,
understanding or knowledge exists at the time of claim
• sufficient – meets in full all the requirements of the standards.
The sampling strategy for each centre will vary according to the needs of the centre and the
particular N/SVQ programme, but in all cases must be agreed with the external verifier. In defining
the strategy all the following should be taken into account.
Guidance on internal verification of N/SVQs
19
Factors
You need to consider
Candidates
Ethnic origin, age, gender, other factors, special needs etc
Assessors
Experience and qualifications, workload, occupational experience
Methods of assessment
Questioning, observation, testimony, APL, use of simulation,
product evidence, assignments, projects and tests
Elements within the NVQ
Problem areas, special requirements
Records
Reports from assessors, correct assessment practices, IV records,
candidate portfolios and files
Assessment locations
Workplace assessments, college and off-the-job training, other
assessment locations
Sampling plan
To help monitor the overall sampling strategy it is strongly recommended that the centre produces
and maintains an overall sampling plan which will be implemented by the internal verifier. (See
Appendix 11 – N/SVQ Internal verification sampling plan and record, which has a dual function in
that it allows centres to record their overall sampling plan and the internal verifier to comment on its
implementation and any variations).
This section gives guidance about verification strategies or rationales. Deciding on the most
appropriate size of verification sample can be difficult, especially if the centre assessment team is
new to N/SVQ delivery. Ultimately, the sample must represent a sufficiently accurate picture of the
quality of assessment for the centre to be confident that those decisions not sampled also meet
national standards.
It is important that the internal verifier looks at the decisions of the entire assessment team in any
given period (possibly on a calendar basis, or by candidate cohort). Once the other sampling factors
are taken into account, the sample size will almost decide itself. It is essential that the process
follows this route rather than deciding on a set sample size and trying to fit a strategy to it. The
sampling process must not be determined by any rule of thumb such as 10% or a square root.
The internal verifier must sample the full range of assessment methods used for any one N/SVQ
eg direct observation of performance, witness testimony, professional discussion, questioning,
assessment of portfolio evidence – products, APL, personal reports and assessment of simulated
exercises.
The range and frequency of use of particular assessment methods may vary depending on the level
of N/SVQ and the skills involved. For example, a level 2 in Sports Activity Leadership or Health and
Social Care may draw heavily on observation of candidates’ performance, whereas a level 4 in
Administration may primarily use products from the workplace and witness testimony. It is likely
that most portfolios will contain a mixture of evidence, and therefore assessment activity and
decisions. The internal verification sample must take this into account, and it is clearly imperative
that the internal verifier knows the N/SVQ thoroughly and the likely range of assessment
methods and evidence sources that could be used.
All assessors should be included in the sample, but a number of other factors must be considered:
Experience
If assessors are qualified and experienced it may not be necessary to look at more than one or two
decisions per candidate and in some sectors, not all candidates. If assessors have less than 12
months’ experience, are new to either the centre or a particular N/SVQ or out of practice, the
internal verifier will need to sample substantially more of their decisions for the first 6 – 12
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Guidance on internal verification of N/SVQs
months. This ensures that the internal verifier reviews assessor decisions on all units in any N/SVQ.
This is particularly important where there are ‘problem’ units where evidence specifications require
very particular evidence or the standards are often misinterpreted.
Workload
The internal verifier needs to look at the workload of each assessor so that the total sample also
fairly reflects the number of decisions being made by individual assessors. Increasing ratios of
candidates to assessors may also indicate assessment problems. This requires the attention of the
internal verifier as it can result in diminishing the quality of assessment. In these cases, sampling
should be increased.
Specialist assessors
Some assessors may only assess certain units in an N/SVQ such as specialist units on first aid or
energy management. In some centres there is a division of assessor duties with some assessors
carrying out observations, whilst others look at all types of evidence (as reflected in the assessor
units D32/33 or A1/A2). This can be a highly effective use of assessment time and expertise. In these
cases, once the internal verifier is satisfied that assessor judgements are consistent, it is reasonable
to reduce the number of their decisions included in the overall sample.
Location
The location and type of assessor is also a factor in deciding the sampling strategy. In some centres,
assessment is widely dispersed, both in terms of geographical location and type of employer at
which the candidates are based. Some centres have satellite centres (organisations which link to the
main centre to facilitate access to certain N/SVQs, but who may have varying approaches to
assessment). Other centres are linked through franchise agreements to organisations which may
have highly varied functions.
The internal verification sample must capture a picture of assessment across the whole centre. In
effect the strategy should be repeated for all assessment sites. If these arrangements are complex,
then the strategy needs to be carefully thought through. It is a good idea to discuss it with the
external verifier who can offer advice about the frequency of sampling across the assessment sites.
Some assessors, often in training providers, are peripatetic and visit across a number of
assessment sites. Other assessors may be workplace-based. The internal verifier must look at the
pattern of assessment and take this into account in their sample.
Standards
The sample also needs to take into account the standards themselves. In some qualifications, there
is a lack of clarity – most frequently in the criteria or the evidence specifications – which, unless fully
discussed by the assessment team, inevitably leads to confusion and differing assessment
decisions. Clearly, therefore, it is imperative that both assessors and internal verifiers know the
standards well, and also agree their interpretation of aspects such as evidence specifications, range
and knowledge and understanding requirements through standardisation activities.
Equally, there may be changes to assessment requirements when standards are revised. This can
be particularly difficult for assessors during the transitional phase, since they may be assessing
candidates on both sets of standards simultaneously. It is important that the internal verifier is fully
aware of these areas of potential confusion and includes these in the sample. Equally, it is important
for the internal verifier to be aware of the last registration and certification dates for each set of
standards.
Access and other assessment problems
Some N/SVQs contain units which describe competences which are difficult to assess. This may be
for confidentiality reasons (counselling, patient care), safety considerations (using hazardous
machinery, appliances and materials) or infrequent occurrence (emergency evacuations, injuries).
This can lead to poor practice in that assessors faced with the pressure to ‘sign off’ candidates may
Guidance on internal verification of N/SVQs
21
be tempted to compromise the evidence requirements or to use assessment methods which are
less than satisfactory. The internal verifier must specifically ensure that they sample any problem
units, across all assessors, so that standards are complied with for all candidates. The internal
verifier should also ensure that issues such as these are discussed fully with the assessment team at
an early stage.
22
Guidance on internal verification of N/SVQs
6
Meet external quality assurance requirements
The internal verifier also has a wider management role, which is to provide a link between their
organisation, the awarding body and regulatory bodies.
The external verifier’s first port of call is the internal verifier, who will be expected to have the
following range of information to hand:
• numbers of current registered candidates per N/SVQ and level
• candidate centre enrolment and awarding body registration details
• assessor details – specifically CVs, CPD records, assessor qualifications (D or A or V units),
development plans and workloads
• candidate progress reviews and achievements, special assessment requirements and equal
opportunities monitoring information
• details for assessment records, plans, reviews and tracking sheets
• available candidate support resources
• details of assessment sites
• details of satellite, franchise arrangements
• the internal verification sampling strategy
• internal verifier records including feedback to assessors, discussions with candidates
• records of claims for certification
• candidate portfolios
• minutes of internal verification/standardisation meetings
• procedures for storage and retention of centre records.
Creating and maintaining good information channels is particularly important following an external
verifier visit. In some centres any action points are agreed with a programme co-ordinator or
qualification manager, often the internal verifier or IVC takes this role. Individual internal verifiers
may well have the responsibility of ensuring that they communicate pertinent parts of the external
verifier’s report to those assessors for whom they are responsible. It is important that action points
raised by the external verifier are acted upon within the timescales specified. Failure to do so
may result in recourse to the tariff of sanctions as specified in the NVQ Code of Practice. Because of
the security implications, it is extremely important that no claims for certification are made without
the clearance of the internal verifier for the qualification. It is not acceptable for any claim for
certification to be made by an internal verifier who does not hold the appropriate qualification.
Of equal importance is the need to maintain security of candidate files and their assessment
records. Portfolios for candidates who have been certificated in between external verifier visits
must be kept intact until the next visit so that they can be examined or produced for inspection
purposes if needed. Original assessor records must be retained for at least three years and be
made available for external verification and to allow for any appeals or complaints to be progressed
and resolved.
Guidance on internal verification of N/SVQs
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24
Guidance on internal verification of N/SVQs
Appendix 1
N/SVQ internal verifier induction checklist
Internal verifier name
Date of commencement at centre
Signed by internal
verifier
1
Provided: CV and qualification certificates to prove
required occupational competence at the
appropriate level
2
Provided: original D34 or V1 certificate which was
checked and photocopied. Original returned and
EV-validated photocopy kept in centre records
3
Received: the centre organisation chart
4
Received: the centre equality of access policy
5
Received: centre internal verification policy,
procedures and recording documentation
6
Received: NVQ Code of Practice and/ or SVQ
Criteria and Guidance
7
Received: City & Guilds Guidance on Internal
Verification of N/SVQs
8
Received or know where to access: relevant
qualification updates
9
Received or know where to access: City & Guilds’
Ensuring quality
10
Received: information about allocated assessors
and their candidates
11
Received: a copy of the N/SVQ internal verifier,
assessor and candidate induction programmes and
packs
12
Received: information on the processing of records
for registration and certification of candidates
13
Received: list of compulsory standardisation
meetings/activities
Signed by new internal verifier
Date
Date
Signed (countersigning IVC/internal verifier)
Guidance on internal verification of N/SVQs
25
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26
Guidance on internal verification of N/SVQs
Appendix 2
N/SVQ unit or qualification achievement sheet and certification request
This should only be completed when positive unit/qualification verification has taken place for N/SVQs and the result is to be processed to either update the
centre database or for certification purposes. Original unit and qualification achievement summary sheets should be attached as appropriate.
N/SVQ candidate name
City & Guilds
enrolment
number
Site
Assessor
Qualification
Level
Units achieved
Full
qualification
achieved?
(YES / NO)
Centre administrator: Please enter results for the above candidate(s) onto the centre candidate database and apply to City & Guilds for certification.
Internal verifier signature
Date
Countersigning internal verifier signature
(if necessary)
Date
Guidance on internal verification of N/SVQs
27
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28
Guidance on internal verification of N/SVQs
Appendix 3
N/SVQ internal verifier concerns form
Feedback to internal verifier co-ordinator (IVC) or quality assurance co-ordinator (QAC)
The Areas of concern should be completed by the internal verifier and handed to the internal verifier
co-ordinator or QAC as appropriate.
Areas of concern:
Agreed action and target date:
Internal verifier signature
Countersigning internal verifier signature
(if necessary)
Date
Date
IVC/QAC signature
Date
Action taken:
IV/IVC/QAC signatures
Guidance on internal verification of N/SVQs
Date
29
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30
Guidance on internal verification of N/SVQs
Appendix 4
guidance
N/SVQ internal verifier report form and
This form must be completed for every internal verifier activity. A copy of the report should be given
to each assessor and the appropriate IVC/QAC. Candidates should not be given copies of internal
verifier report forms as they are written to address assessor practice and may therefore contain
comments that might undermine candidate confidence in assessors.
•
The internal verifier must ensure that their written feedback to assessors is recorded on the
internal verifier report form. The feedback must be directed to each assessor and should
address their assessment practice. The internal verifier should avoid generalised statements
such as ‘Well done to both of you. Lots of hard work undertaken’.
•
Precise, focused comments on the assessment undertaken support assessor development and
evidence the rigour of verification activity.
•
The internal verifier is required to check some part of the unit(s) identified in the sampling plan.
The internal verifier should indicate the actual items of evidence sampled within the candidate
portfolios by initialling and dating the work reviewed. The use of a coloured pen will provide a
clear tracking system to audit internal verification within the candidate portfolio. EVs often use
green pens, so the internal verifier should choose another colour.
•
The internal verifier must record the unit, and elements sampled, on the report form to ensure
that an auditable system exists in the centre records.
•
Depending on the experience and qualifications of assessors, the internal verifier may be
reviewing more than one unit during a verification session, and should indicate all the units
considered on the report form.
•
In addition to the sampling of evidence the internal verifier will also record (by ticking as
appropriate) the method of assessment used, the assessment focus and whether the evidence
is valid, authentic, current and sufficient, and that there is evidence of consistent practice.
•
The internal verifier will also note whether the performance evidence records have been signed
and dated by assessors and authenticated by candidates.
•
Where necessary the internal verifier will check that assessments are countersigned and that
the appropriate records are being made on the countersigning report form.
•
If a standardisation issue is identified, the internal verifier will need to record and discuss this at
the internal verifier meeting with assessors.
•
On action plans for assessors, the internal verifier will record what action is required by when
and, at a later date, whether the action was completed.
•
The assessor N/SVQ continuing professional development record (Appendix 9) does not need to
be completed after each internal verification activity but it is essential that it is completed at
least once every 12 months, and that it complies with relevant NTO/SSC requirements.
Guidance on internal verification of N/SVQs
31
•
When observation of assessor practice is undertaken during the internal verification, the
outcomes should be recorded on the N/SVQ internal verifier observation and questioning
checklist (Appendix 10).
•
On completion of the portfolio/qualification, the N/SVQ internal verifier final
portfolio/qualification report form (Appendix 5) should be completed.
•
Occasionally the internal verifier may have, or have been acquainted with, serious concerns
which need to be brought to the attention of the Quality Assurance Co-ordinator and/or centre
management group, unsafe or incompetent practice in the workplace. The N/SVQ internal
verifier concerns form (Appendix 3) should be completed and passed on to the Quality
Assurance Co-ordinator.
•
Unit achievement should be recorded on the N/SVQ unit and/or qualification achievement sheet
and certification request (Appendix 2), and passed to the centre administrator in order that they
can update the centre candidate database.
- Where unit achievement is to be certificated, the internal verifier must ensure that the
statement at the bottom of the sheet remains undeleted.
- Full certification requests should also be recorded on this form and sent to the centre
administrator/exam secretary.
•
On completion of qualifications or periods of assessment, all original internal verifier records
must be passed to the IVC/QAC who will store them with the candidate assessment records for
the period required by the regulator.
•
Candidates who leave or withdraw from assessment, prior to the achievement of their full
qualification, are entitled to have achieved units certificated. The internal verifier must ensure
that the same process identified for unit and qualification completion is followed, to ensure
certification takes place and the necessary records are retained by the centre. The NVQ Code of
Practice requires assessors and candidates to provide a written declaration that the evidence is
authentic and that the assessment was conducted under the specified conditions or context (an
example is provided in the City & Guilds N/SVQ recording forms document. N/SVQ 11 Unit
Assessment and Verification Declaration).
•
Candidates may have their completed portfolios returned after the EV visit following the claim
but must be advised to keep them intact and safe for a period of three years.
Standardisation meetings
• The internal verifier/IVC will arrange assessor standardisation meetings to which the internal
verifier is expected to contribute. These will be held *** times per year and assessors are
expected to attend a minimum of *** meetings.
•
The IVC will arrange internal verifier standardisation meetings at which the internal verifier is
expected to attend. These will be held *** times per year and the internal verifier is expected to
attend a minimum of *** meetings.
•
The quality assurance co-ordinator will arrange IVC standardisation meetings at which the IVC is
expected to attend. These will be held *** times per year.
NB if any of these events include updating of assessor or internal verifier skills and knowledge
they may contribute to evidence of continuing professional development (CPD).
*** centres to insert their own numbers
32
Guidance on internal verification of N/SVQs
N/SVQ internal verifier report form
NB This form can be used for single or multiple assessors/candidates
It is the responsibility of the internal verifier to complete this form, make copies, send the original to the QAC/IVC and ensure a copy is given to the
assessor(s). Where a unit or qualification verification has taken place the internal verifier must complete either the unit or qualification summary sheet
ensuring that the administrator or the QAC receive the original.
Name of internal verifier
Name of countersigning internal verifier (if necessary)
Date of verification
Name of assessor(s)
(please indicate whether the assessor(s) is work based, peripatetic or independent by using WB, P or I after their name)
Name of countersigning assessor/IV(s) (if necessary)
Name of candidate(s)
and City & Guilds
enrolment number
Title and level
of qualification
Units/elements
sampled and
reference numbers
of evidence
sampled (including
standardisation
unit)
Methods of
assessment/
Evidence sources
sampled (see key
below)
Any issues re:
(i) consistency
(ii) validity
(iii) authenticity
(iv) currency
(v) sufficiency
(vi) recording/ referencing
(P or number)
Part of assessment
process checked
F – Feedback;
FC – Final Check;
J – Judgement;
P – Planning;
Rec – Records;
R – Review
Units achieved
(including date
if full
qualification)
Please continue on additional sheet(s) if necessary
Guidance on internal verification of N/SVQs
33
Name of candidate(s)
and City & Guilds
enrolment number
Title and level
of qualification
Units/elements
sampled and
reference numbers
of evidence
sampled (including
standardisation
unit)
Methods of
assessment/
Evidence sources
sampled (see key
below)
Any issues re:
(i) consistency
(ii) validity
(iii) authenticity
(iv) currency
(v) sufficiency
(vi) recording/ referencing
(P or number)
Part of assessment
process checked
F – Feedback;
FC – Final Check;
J – Judgement;
P – Planning;
Rec – Records;
R – Review
Units achieved
(including date
if full
qualification)
Please continue on additional sheet(s) if necessary
Key: DO – Direct Observation, EWT – Expert Witness Testimony, WT – Witness Testimony, WP – Work Product, S – Simulation,
APEL – APEL, APCSCRA – Assignments/Projects/Case Study/Candidate/Reflective Accounts, Q/PD – Questions/Professional Discussion
Guidance on internal verification of N/SVQs
34
NB
Where more than one assessor has been involved in this internal verification
activity, assessors should receive any individual feedback using this sheet.
Assessor name
Details of any problems regarding candidate access to the assessment process
Details of any disagreements/appeals and outcome of action taken
Summary of comments and, if necessary, an action plan for the assessor eg regarding a)
candidate evidence b) appropriate evidence gathering methods c) consistent assessment practice
d) record keeping and portfolio structure and/or tracking.
Action plan for assessor and target dates
If necessary, please continue on an additional page
Confirmation of previous identified action being achieved
All the above has been discussed (please sign as appropriate)
Internal verifier signature
Date
Countersigning internal verifier signature (if necessary)
Date
Assessor signature
Date
Countersigning assessor/IV signature (if necessary)
Date
Guidance on internal verification of N/SVQs
35
The countersigning internal verifier must check all the activities of the unqualified internal
verifier whom they are supporting.
Countersigning internal verifier feedback on the internal verification process and any
necessary action required.
The methods and processes used by the unqualified internal verifier have been checked
and verified by a qualified internal verifier.
Countersigning internal verifier signature
36
Guidance on internal verification of N/SVQs
Date
Appendix 5 N/SVQ internal verifier final portfolio/
qualification report form
Internal verifier name
Countersigning internal verifier name (if necessary)
Assessor name (please indicate whether work based or peripatetic by using WB or PA after their
name)
Countersigning assessor/IV name (if necessary)
Candidate name and City & Guilds enrolment no
Candidate assessment location
Title of qualification
Full qualification verified
¨ Yes
¨ No
Yes
Not
yet
The portfolio is clearly sectioned and easily accessed. An effective referencing
system is in place.
For assessors without D/A units the assessment decisions have been
countersigned by a qualified assessor.
The candidate resume, initial assessment contract agreement, access to appeals
and witness status and participants list are complete.
There is complete evidence of the assessor being active in the full assessment
cycle (from planning to review and feedback).
The assessor records of assessment decisions are complete and accurate.
All key documentation is dated and signed.
The qualification/unit summary achievement sheet is complete.
Assessment process documents are complete and available for storage in centre
records.
Internal verification process documents are completed and available for storage
in centre records.
Action for assessor (if any)
Plan achieved
Internal verifier signature
Date
Countersigning internal verifier signature
(if necessary)
Date
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37
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Guidance on internal verification of N/SVQs
Appendix 6
N/SVQ assessor induction agreement
Assessor name
Telephone number
E-mail
The qualification title and level that I will be assessing is
Centre name and contact details
Address
Telephone
E-mail
Centre number
My countersigning assessor/IV is
Telephone
E-mail
My internal verifier is
Telephone
E-mail
The centre quality assurance co-ordinator is
Telephone
E-mail
The centre external verifier is
The awarding body is City & Guilds which can be contacted at their regional/national office
In
Telephone
I have completed the complete induction programme and am now fully familiar with my
responsibilities as an N/SVQ assessor.
I understand the procedures for checking the standard of my assessment practice and for seeking
immediate help, should either I or my candidate experience difficulty.
Signed
Guidance on internal verification of N/SVQs
Date
39
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40
Guidance on internal verification of N/SVQs
Appendix 7
N/SVQ assessor induction checklist
Assessor name
Date of commencement at centre
Signed by assessor
1
Provided: CV and qualification certificates to prove
required occupational competence at the
appropriate level
2
Provided: original D32/33 or A1 certificate which
was checked and photocopied. Original returned
and EV-validated photocopy kept in centre records
3
Received: centre organisation chart
4
Received: centre equality of access policy
5
Received: centre assessment procedures,
recording documentation and qualification
standards
6
Received or know where to access: NVQ Code of
Practice and/or SVQ Criteria and Guidance
7
Received or know where to access: relevant
qualification updates
8
Received or know where to access: City & Guilds’
Ensuring quality
9
Received: information about allocated candidate(s)
10
Received: a copy of the N/SVQ assessor and
candidate induction programmes and packs
11
Received: information on the processing of records
for registration and certification of candidates
12
Received: list and dates of compulsory
standardisation meetings/activities
Signed by new assessor
Date
Date
Signed by internal verifier
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42
Guidance on internal verification of N/SVQs
Appendix 8
N/SVQ countersigning report form
Assessor name
Countersigning assessor/IV name
Candidate name(s)
Unit numbers/titles and level
Check and countersign assessment decisions made in each unit by the unqualified assessor
ensuring that all the assessment methods used are checked in rotation. The assessment process
should also be checked.
Method(s) of assessment and evidence sources sampled (please tick)
Direct observation ¨
Work product
Expert witness testimony ¨
¨
Witness testimony ¨
¨
Simulation
APL
Assignment/Projects/Case Study/Candidate/Reflective accounts
¨
¨
¨
Questions/Professional discussion
The evidence is (please tick or cross as appropriate):
¨
Authentic
¨
Current ¨
Sufficient
¨
Valid
Is there evidence of consistent practice?
Yes ¨
No
¨
Part of assessment process checked (please tick or cross as appropriate):
Planning
¨
Recording ¨
Reviewing/feedback
¨
Judgement
¨
Evidence is correctly (please tick or cross as appropriate):
Recorded ¨
Referenced ¨
Signed/dated by unqualified assessor and the candidate
Guidance on internal verification of N/SVQs
¨
43
Summary of advice, and if necessary, action required eg regarding a) the candidate b)
appropriate evidence gathering methods c) consistent assessment practice d) portfolio
structure and tracking.
Confirmation of identified action being achieved
The evidence, methods and process used by this unqualified assessor have been checked and
authenticated by a qualified assessor.
44
Countersigning assessor/IV signature
Date
Assessor signature
Date
Guidance on internal verification of N/SVQs
Appendix 9
record
N/SVQ continuing professional development
(NB This form can be used by assessors and verifiers, delete as appropriate)
Assessor/internal verifier name
Last IV observation date
Next IV observation date
Dates of standardisation meeting(s) attended since the last review
If the assessor/internal verifier does not hold the A and V units, on what date were they registered
with the awarding body?
Details of any CPD activities undertaken and their relevance
Training needs and/or identified CPD opportunities
Action plan for meeting training needs and CPD opportunities. Identify date for review and/or
achievement and ensure that the what, when and who of the target action required is recorded.
Evidence of achievement (attach evidence where appropriate)
All the above has been discussed and agreed
either Internal verifier signature
Date
IVC signature
Date
or Assessor signature
Date
Internal verifier signature
Date
Date of next review
Where training needs or CPD opportunities have resource implications, eg time/finance please
ensure a copy of this form is passed to the Quality Assurance Co-ordinator.
Guidance on internal verification of N/SVQs
45
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46
Guidance on internal verification of N/SVQs
Appendix 10 N/SVQ internal verifier observation and
questioning checklist
Internal verifier name
Unit(s) reviewed
Assessor name
Candidate name(s)
Did the assessor…
Yes No
Evidence
Develop and agree an assessment plan with
the candidate(s) using appropriate
assessment methods?
Agree when assessment will take place with
candidate(s) and other people involved?
Agree arrangements with the candidate(s)
for reviewing progress against the
assessment plan?
Review and update assessment plans to take
account of candidate achievements?
Give the candidate(s) feedback at an
appropriate time and pace?
Give feedback in a constructive and
encouraging way?
Give feedback to the candidate(s) which met
their needs and was appropriate to their level
of confidence?
Clearly explain the assessment decisions?
Encourage candidate(s) to get advice on the
assessment decisions?
Can the assessor explain…
How to operate the centre standardisation
and internal quality assurance procedures?
How to access the centre appeals and access
to fair assessment policy?
What information is made available by the
awarding body and QAC?
How to identify and gain resources to
support candidates who have special
assessment needs?
Additional comments
Assessor signature
Date
Internal verifier signature
Date
Guidance on internal verification of N/SVQs
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Guidance on internal verification of N/SVQs
Appendix 11 N/SVQ internal verification sampling plan and record
Qualification
For period
Name of internal verifier
Assessor
Assessor status
Standardisation unit
Name of countersigning internal verifier (if necessary)
Assessment
site
Assessor status
Q
Qualified
NQ Not Qualified
NSQ New Staff,
Qualified
NQS Newly
Qualified Staff
Guidance on internal verification of N/SVQs
Candidates
Units to be assessed (Units planned to be sampled and
any variation should be recorded below using an
appropriate distinguishing format eg bold, italics or
shaded box)
Method of assessment /
evidence source checked
Part of the
assessment
process
reviewed
Key
(Centres will need to devise their own key and enter
below)
Method of assessment/
evidence source checked
DO - Direct observations
WT - Witness testimony
APCSCRA - Assignment/
Project/Case study/
Candidate/Reflective Account
APEL - Accreditation of Prior
Experience/Learning
Q - Questions
PD - Professional Discussion
WP - Work Product
EWT - Expert Witness
Testimony
S - Simulation
Assessment
process
P – Planning
R – Review
F – Feedback
FC – Final
check
49
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Guidance on internal verification of N/SVQs
Appendix 12 N/SVQ internal verification candidate interview
record
Candidate name
N/SVQ level
Assessor name
Internal verifier name:
When did you begin the programme?
How were you introduced to the programme?
What topics were covered in your induction?
Was any of your prior experience
considered/used towards the qualification?
Did anyone find out about any training you
needed?
Did you have any training whilst working
towards your qualification? If so, what?
Who gave you the training? Where and when
was it carried out?
Was equal opportunity law and policy explained
to you? Did you understand it?
Was the process of getting your qualification
explained to you? If so, what do you understand
this process to be?
Did you draw up a plan to achieve the
qualification with your assessor/supervisor?
Does your assessor/supervisor involve you in
planning assessments in advance?
When, where and how does assessment take
place?
Continued on next page
Guidance on internal verification of N/SVQs
51
What types of evidence have you collected so
far?
Do you understand what aspects of your NVQ
the evidence covers?
How soon after you started was your first
assessment?
Who assesses your evidence? Does anyone else
see your portfolio?
How often do you see your assessor? Do you
feel this is often enough? If not, how often would
you like him/her to visit?
Does your assessor give you feedback after
assessment? Is this feedback in written form?
What units have you completed so far? Have you
signed any documentation to confirm
completion?
What kind of help and guidance have you
received to put your portfolio together?
Do you think the qualification will help you in
your work now and in the future?
52
Guidance on internal verification of N/SVQs
Appendix 13 Exemplar internal verifier sampling strategies
and plans
This appendix describes the implementation of an appropriate sampling strategy and the resulting
plans developed for two different types of centre:
•
a small single qualification centre
•
a large, complex, multi-qualification, multi-size, multi-agency cenre
These exemplars provide a thorough approach for those sectors where each candidate is subject to
internal verification. In those sectors where it is not required that all candidates are internally
verified, an appropriate sample of candidates will be identified within the internal verifier sampling
strategy. All other sampling principles should then still apply.
Please note that this document is exemplar material only.
Introduction
In order to improve and standardise the role of the internal verifier within centres, in recent years
City & Guilds national and regional offices have run generic Internal Verification workshops, based
on the JAB guidance documentation.
A frequent comment has been that although general guidance is very useful, the provision of
specific exemplars of internal verification sampling plans and strategies would be most helpful to
centres.
This document describes internal verification sampling plans which will be appropriate for the two
types of centre described above.
Centres are advised to study both models in order to develop sampling plans which meet their
particular needs. Within both strategies the internal verifiers ensured that they implemented the
requirements of:
C
A
M
E
R
A
all candidates
all assessors
all methods of assessment
all elements of the qualification
all range requirements
all assessment locations
Exemplar centre one
Our first centre is employer-based and has two qualified internal verifiers, one of whom acts as the
quality assurance co-ordinator.
The two internal verifiers each lead a team of four work-based assessors who in turn have six
candidates, all undertaking the same qualification, but at different levels (Levels 2, 3 and 4).
• assessors A and B are A1 qualified, experienced and regarded as effective within the centre
• assessor C is A1 qualified but new to the centre
• assessor D is registered for and working towards the achievement of A1.
Guidance on internal verification of N/SVQs
53
The strategy
As all personnel are work-based, with assessment and verification forming only a minor part of their
ordinary work roles, the internal verifier strategy is designed to ensure consistent support for
assessors and candidates by regular contact. Experience has proven that an absence of internal
verifier/assessor/candidate interaction leads to inconsistent assessor practice and a real slow down
in candidate progress.
The internal verifier will undertake an internal verifier activity involving each assessor and some of
their candidates every three months. These activities will include:
• sampling the units as identified on the centre plan (Appendix 11).
• observing assessor practice at least once per year (Appendix 10).
• Interviewing candidates about their experience of assessment practice (Appendix 12).
Each internal verification plan applies to all candidates registered within an identified a 6 month
period. This plan follows them until they complete or leave.
Candidates registered after this six month period will be allocated to the next internal verification
plan.
The following plan covers January – July 2005.
The unit that will be sampled at all levels is Unit 1; a mandatory unit which covers communication.
This will form the basis of the internal verifier and assessor standardisation activity for this group of
candidates. The aim will be to identify any problems which may be common (eg appropriate
interpretation of the standards.) and then to take any required remedial actions.
The focus of the internal verifier sampling within Unit 1 will be:
• Method of assessment
Direct Observation / Expert Witness Testimony – as these form the main required assessment
methods.
•
Stage of the assessment process
Appropriateness of assessment planning – as this has proved problematic in the past with
assessors being too vague leaving candidates uncertain as to how to proceed.
•
Sampling of other units
As the centre is small, candidates will have one other unit sampled to ensure that over the
period, the internal verifier is sampling all the other units which are undertaken by the
candidate group; all the assessment methods and all stages of the assessment process.
•
Additional sampling for new or unqualified assessors
The plan also indicates additional sampling for:
- The qualified, but new, assessor until the point at which the internal verifier is confident that
the new
assessor is conversant with the procedures in this centre.
- The unqualified assessor during the period that Unit A1 is being undertaken. Then when the
assessor is qualified, until the point at which the internal verifier is confident that the newly
qualified assessor is secure within their practice.
NB The first judgement within each unit must be overseen and countersigned by a qualified
assessor until A1 is achieved.
54
Guidance on internal verification of N/SVQs
Exemplar plan
N/SVQ INTERNAL VERIFICATION SAMPLING PLAN AND RECORD
For period
Qualification
01/01/05 – 01/07/05
Name of Internal Verifier
Standardisation unit
ABC Levels 2 – 4
Unit 1 (Communication) across all levels
Name of countersigning Internal Verifier (if necessary)
IV1
n/a
Assessor
Assessor
status
Assessment
site
Candidates
Units (to be) sampled by the internal verifier
according to the centre sampling plan are shaded
(see key overleaf). Any variations from the plan are
in bold
Method of assessment /
evidence source checked
Part of the
assessment
process review
A
Q
Leeds office
L2
TS
1
2
3
4
5
6
1.DO/EWT
2.WP
P
R
AB
1
2
3
4
5
6
1.DO/EWT
3.WT
P
F
AG
1
2
3
4
5
6
7
8
1.DO/EWT
2S
P
R
BH
1
2
3
4
5
6
7
8
1.DO/EWT
3 APCS
P
F
RA
1
2
3
5
6
7
8
1.DO/EWT
2 APEL
P
R
PD
1
2
3
4
5
6
7
8
1.DO/EWT
3Q
P
F FC
L2
AX
1
2
3
4
5
6
1.DO/EWT
4 PD
P
R
L2
BX
1
2
3
4
5
6
1.DO/EWT
5
P
F
L3
CD
1
2
3
4
5
6
7
8
1.DO/EWT
4
P
R
EF
1
2
3
4
5
6
7
8
1.DO/EWT
5
P
F
GH
1
2
3
4
5
6
7
8
1.DO/EWT
4
P
R
IJ
1
2
3
4
5
6
7
8
1.DO/EWT
5
P
F
KL
1
2
3
4
5
6
1/2 DO/EWT
6
P
MN
1
2
3
4
5
6
1.DO/EWT
P
F
OP
1
2
3
4
5
6
7
8
1.DO/EWT
P
R
QR
1
2
3
4
5
6
7
8
1.DO/EWT
P
F
L3
L4
B
Q
Bradford
L4
C
NSQ
Barnsley
L2
L3
Guidance on internal verification of N/SVQs
R FC
55
Assessor
D
Assessor
status
NSNQ
Assessment
site
Huddersfield
Candidates
Units (to be) sampled by the internal verifier
according to the centre sampling plan are shaded
(see key overleaf). Any variations from the plan are in
bold
Method of assessment /
evidence source checked
Part of the
assessment
process review
L4
ST
1
2
3
4
5
6
7
8
1.DO/EWT
P
R
UW
1
2
3
4
5
6
7
8
1.DO/EWT
P
F
WX
1#
2
3
4
5
6
1.DO/EWT
P
R
YZ
1#
2
3
4
5
6
1.DO/EWT
P
F
SA
1#
2
3
4
5
6
7
8
1.DO/EWT
P
BG
1
2
3
4
5
6
7
8
1.DO/EWT
P
JS
1
2
3
4
5
6
7
8
1.DO/EWT
P
HJ
1
2
3
4
5
6
7
8
1.DO/EWT
P
Method of Assessment/
evidence source checked
DO - Direct Observations
WT - Witness Testimony
APCSCRA – Assignment /
Project / Case Study/ Candidate
/Reflective Account
APEL - Accreditation of Prior
Experience /Learning
Q - Questions
PD - Professional Discussion
WP - Work Product
EWT - Expert Witness Testimony
S – Simulation
Q – Questions
Assessment
Process
F – Feedback
FC – Final Check
J – Judgement
P – Planning
Rec – Records
R – Review
L2
L3
L4
Assessor
Status
Q - Qualified
NQ - Not
Qualified
NSQ - New
qualified
staff
NSNQ - New
staff, not
qualified
Key
¨ Base line sampling to cover:
1 unit x all assessors
All units/different assessors
Additional sampling to meet individual assessor profiles
¨
¨
Newly qualified assessor(s) gaining confidence
Unqualified assessor(s)
R FC
F
R FC
F
This part of the form will be completed on an ongoing basis.
IVs should aim to cover an appropriate mix / range of
assessment methods and parts of the assessment process.
Guidance on internal verification of N/SVQs
56
Reasons for varying from the plan:
Date
01/01/05
Assessor D qualified but will be subject to some additional sampling. ie three more units, to ensure she is confident in her new role.
Guidance on internal verification of N/SVQs
57
Exemplar centre two
There are extra layers of planning which need to be undertaken by the centre quality assurance coordinator and the team of internal verifier co-ordinators, designed to ensure that there will be
standardisation of activity across the whole centre i.e. all qualifications, all satellites or
assessment locations and all internal verifiers.
Accordingly, at the stage when the internal verifier sampling plan is in the hands of the individual
internal verifier, it will look no different to the plan agreed for the small centre as all the same
requirements need to be met, namely:
• CAMERA:
Factors
You need to consider
Candidates
Ethnic origin, age, gender, other factors, special needs etc
Assessors
Experience and qualifications, workload, occupational
experience
Methods of assessment
Questioning, observation, testimony, APL, use of simulation,
product evidence, assignments, projects and tests
Elements within the NVQ
Problem areas, special requirements
Records
Reports from assessors, correct assessment practices, IV
records, candidate portfolios and files
Assessment locations
•
•
•
Workplace assessments, college and off-the-job training, other
assessment locations
additional support / scrutiny of qualified, but new, assessors
that the first judgement in each unit assessed by an unqualified assessor is overseen and
countersigned
standardisation activities across the assessors and internal verifiers within each qualification.
QAC/IVC planning
This centre wishes to focus upon health and safety. Therefore for this year the health and safety unit
will be sampled for all candidates and all qualifications / levels.
The purpose is to:
• standardise assessment practice
• review health and safety practice and training across all assessment sites particularly as there
have been concerns that in one area or qualification assessors are either too lenient or
demanding when reaching assessment judgements.
The following policy consists of the instructions to each internal verifier, outlining responsibilities to
ensure compliance with the strategy agreed by the QAC and IVC team.
The plan
This internal verifier plan outlines the internal verification procedures and record keeping
requirements agreed by the quality assurance co-ordinator and IVCs for this N/SVQ assessment
centre.
Each internal verifier must use the centre internal verification procedures and associated recording
documentation.
IV induction:
• IVCs must ensure that the internal verifier has a copy of this document and understands the
procedures and record keeping requirements described.
58
Guidance on internal verification of N/SVQs
•
All unqualified internal verifiers will have their verification decisions overseen and countersigned
by a qualified internal verifier.
Procedure for implementing the N/SVQ internal verification procedure and sampling plan
(This should be used in conjunction with the centre candidate database)
This plan identifies the centre strategy for internal quality assurance. It is developed and monitored
by the QAC/IVC team to ensure that the verification procedure is standardised throughout the
centre. Each internal verifier is responsible for working to the agreed sampling plan.
The internal verifier must check with the IVC/QAC if unclear about the procedures and/or recording
requirements.
• The internal verifier is reminded that when using the minimum internal verification processes
allowable, the activities must be carried out throughout the period of assessment. Under no
circumstances must internal verification only take place towards, or at the end of candidate
assessment.
•
A single unit will be identified by the IVC/QAC for all internal verifiers to sample across all
assessors. This will form part of the centre standardisation process. The internal verifier must
ensure this unit is included in their sample. For this year the unit will be the health and safety
unit.
•
For assessors not qualified with A units or assessors who are qualified but new to the centre,
sampling a minimum of three units at different points in each N/SVQ candidate’s period of
assessment is required.
•
For assessors qualified with D/A units and who have current experience of assessing within the
organisation a minimum of two units will be sampled at different points in each N/SVQ
candidate’s period of assessment.
•
In both instances the internal verifier will also need to focus on all additional areas of verification
responsibility, eg monitoring assessors practice via observation.
•
The internal verifier may increase the extent of the sampling beyond the above if there are
concerns about assessment practice.
•
The sampling policy identified will be reviewed every 12 months.
•
The internal verifier must complete the internal verification sampling plan and record at the
beginning of the assessment process for all their assessors.
•
The internal verification sampling plan and record ensures that all aspects of the assessment
process, evidence gathering methods, observation requirements, a single identified unit and
the full range of units are sampled for each and all assessors and that is evidenced on the
records. This will allow the internal verifier, the second line internal verifier (where necessary),
the IVC/QAC and external verifier to ensure that the agreed process is being applied.
•
Where it is necessary to vary from the sampling plan, the reasons should be recorded and the
variations added to the internal verification sampling plan and record.
NB: The internal verifier is reminded that they must sign against the units sampled on Form N/SVQ12
Summary of Achievement and each evidence item sampled, must be signed in red. This
indicates that sampling has taken place.
Guidance on internal verification of N/SVQs
59
(Green pen should be avoided where possible, as this colour is often used by EVs to evidence
their sampling activity.)
The Summary of Achievement Sheet, Form, N/SVQ 12, for units verified but not sampled should
be signed in black/blue.
The qualified assessor supporting unqualified assessor judgements must countersign all the
relevant units on Form N/SVQ 12 – Summary of Achievement.
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Guidance on internal verification of N/SVQs
Guidance on internal verification of N/SVQs
61
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City & Guilds is a registered charity
established to promote education
and training
62
Guidance on internal verification of N/SVQs