CONSENT AND MODERATION REQUIREMENTS (CMR) for Infrastructure Industries

Transcription

1 CONSENT AND MODERATION REQUIREMENTS (CMR) for Infrastructure Industries Contact (version 7) Chief Executive InfraTrain New Zealand Limited PO Box 2759 Wellington 6140 Telephone Fax Website Agriculture, Forestry and Fisheries > Rural Contracting Agrichemical Application Agricultural Contracting , , 17232, , 6257, 6260, 6261, 6264, 6265, 6267, 6273, 6276, 6278, 6283, 6284, 6290, 19561, 19563, 19564, , , , 23633, 23635, 23636, 23638, 23639, Engineering and Technology > Civil Engineering Civil Engineering - Generic 11417, Engineering and Technology > Civil Plant Operation and Management Civil Plant Management , 6464 Civil Plant Operation 6468, 16158, Engineering and Technology > Civil Works and Services Civil Construction Supervision 12564, 12568, 17320, Civil Construction Works 6471, 6478, 6480, 6482, 6484, 20482, 22993, , 23286

2 2 Civil Infrastructure Health, Safety, and Environment 20867, 20870, Civil Project Management Demolition , Engineering and Technology > Engineering Generic Engineering 11402, 11405, 11406, 11408, 11409, 11413, 11414, Engineering and Technology > Highway Construction and Maintenance Road Construction 12572, Roading Maintenance 11305, 11308, 11313, 11315, 11317, 11321, 22286, Temporary Traffic Management , 5631, Engineering and Technology > Infrastructure Civil Engineering Infrastructure Asset Management 11429, 17291, 17305, 17308, , 18930, , 26155, 26156, 29486, 29544, Infrastructure Laboratory , Engineering and Technology > Infrastructure Works Bitumen Product Manufacturing 28682, 28684, Bitumen Surfacing Construction Civil Plant Operation 13519, 20449, 20455, 20456, 22277, 28685, 28686, , , , , 19675, 20625, 22275, 22278, 22279, 22281, 22282, 23637, 26169, 26170, 28725, 29028, 31448, 31455, 31456

3 3 Forestry Earthworks Generic Bituminous Surfacing , 28683, 28695, Generic Infrastructure Works , 6472, , 6479, 15930, 17327, 19207, 20875, 22283, 22290, 22992, 23283, 23288, 23289, 26719, 26782, 26784, 26786, 26788, 26790, 26792, , 27501, 27502, 27907, 28715, 30442, 31245, 31446, 31457, Generic Road Works 6485, 12569, 22293, 26787, Infrastructure Civil Works Infrastructure Works Equipment Infrastructure Works Health, Safety, and Environment 6453, 11309, 11311, 11312, 11316, 17328, 17501, 20477, 20616, 20624, 22284, 22288, 22291, , 26785, 28711, 28712, 28947, 28948, 31445, 31447, 31469, , , 6465, 6469, 6470, 8560, 13520, 20626, 20628, 22276, 22280, 23285, 26717, 26718, 27500, , 20868, 20869, 20871, 20872, 20874, 20876, 20877, 26720, 27201, Infrastructure Works Management 6430, 6433, 6437, 6441, 25871, Infrastructure Works Supervision Infrastructure Works Utilities Road Construction Road Maintenance Roadmarking 6427, 6434, 6435, 6442, 6443, 6455, 6456, 26780, 26781, 26783, , 28727, , 20480, 20484, 20485, 25396, 25445, , , 31454, , 31523, 31531, , 6486, 12570, 22289, 31477, 31481, , 11304, 11306, 11307, 11310, 11319, 28714, , 15931, 15932, , 15941, 15943, 18043, , 18053, 18054, ,

4 4 Structural Foundations 30808, 30809, , Engineering and Technology > Pavement Surfacing Asphalt Surfacing , 1512, 13514, 13515, 13518, 13521, 17672, , 20448, 21665, 21666, 23611, Bitumen Surfacing 20450, , Chipseal Surfacing 1505, 1507, 8021, 13517, 17670, 17671, , 20461, 20462, 21664, Engineering and Technology > Telecommunications Telecommunications - Service Delivery , 20176, 20177, , , , 28883, 28884, 28897, Engineering and Technology > Water Industry Drinking-Water Drinking-Water Assessment Wastewater Treatment Water - Generic , 22873, 22874, , 18441, 18446, 24896, , 24911, 24912, 30001, , 17881, 17882, , 19188, 19197, 19198, 24916, , , , , 17871, 17874, 19200, 24904, 24913, 24917,

5 5 Water Reticulation Water Treatment 18458, 18459, 19201, 19204, 19205, , 19354, , 24918, 24919, , 27330, 30003, 30009, , , , , , 17891, , 17900, 17901, 18456, 19199, , 19356, 19357, 24897, 24905, 24906, 24915, , , Planning and Construction > Surveying Geodetic Surveying 11134, , Geographic Information Systems and Cartography Hydrography , , , Subdivisional Design 23870, 29410, Surveying - Photogrammetry and Remote Sensing Survey - Land Administration and Applied Resource Management Survey Practice 23882, , 8779, 8782, , , 8766, 8778, , , , Titles and Survey Compliance 23884, Service Sector > Driving Driver Licence Endorsements Requirements for Consent to Assess (RCA) Introduction The purpose of the Requirements for Consent to Assess (RCA) is to set out the nature of the process for granting consent to assess and involvement of the standard

6 6 setting body (SSB) and others in the process, and to set out the SSB s industry or sector-specific requirements for a tertiary education organisation (TEO) 1 or school s quality systems in relation to the gazetted criteria for accreditation. 1 Tertiary education organisation (TEO) includes public and private tertiary education providers, industry training organisations, government training organisations, and other providers.

7 7 Standard Setting Body involvement in process for granting consent to assess Levels 1 and 2 Level 3 or above Evaluation of documentation by NZQA and industry. Evaluation of documentation and visit by NZQA and industry. OR The unit standards ( ) require NZ Transport Agency involvement: Level 3 Evaluation of documentation and visit by NZQA, industry and NZ Transport Agency. Visit waiver conditions Industry participation in a visit for granting consent to assess may be waived in the following circumstances: When the application for Consent to Assess has been developed in consultation with InfraTrain and, where applicable, NZ Transport Agency endorsement has been obtained; or When the applicant organisation s history of teaching and assessment against other unit standards of a similar nature is well established and known to InfraTrain and a letter of support is provided by the SSB responsible for those standards; or When there are other special reasons agreed on a case-by-case basis between the applicant organisation and InfraTrain. Areas of shared responsibility For unit standards that state NZ Transport Agency involvement, InfraTrain will invite the NZ Transport Agency to participate in the evaluation of documentation and site visits where the unit standards incorporated in the application include driver licence endorsement. Fees schedule for SSB involvement in process for granting consent to assess The fees schedule is applicable to all applications for consent to assess received by NZQA from 1 November However, the SSB may choose to charge lower fees for their involvement in granting consent to assess. Contact the SSB for further information. Additional fees can be charged by NZQA, and the Committee for University Academic Programmes (CUAP) for involvement in granting consent to assess. Contact the relevant quality assurance body (QAB) for information. General requirements for accreditation These are the general requirements for accreditation of providers gazetted in Applicants should consult their QAB (NZQA or CUAP) for details of the requirements.

8 8 Criterion 1 Development and evaluation of teaching programmes There is a system for developing coherent teaching programmes and for their evaluation, which should include evaluation by learners/consumers. Criterion 2 Financial, administrative and physical resources Adequate and appropriate financial and administrative resources will be maintained to enable all necessary activities to be carried out. Adequate, appropriate and accessible physical resources will be available for supporting students to meet the required standards. Criterion 3 Staff selection, appraisal and development A teaching staff with the necessary knowledge and skills will be maintained through staff selection, appraisal, and development. Criterion 4 Student entry There is a system for establishing and clearly publicising student entry requirements that include no unreasonable barriers. Criterion 5 Student guidance and support systems Students have adequate access to appropriate guidance and support systems. Criterion 6 Off-site practical or work-based components There are arrangements for ensuring that any off-site practical or work-based components are fully integrated into the relevant programmes. Criterion 7 Assessment There is a system for ensuring that assessment is fair, valid, and consistent. Criterion 8 Reporting There is a system for providing students with fair and regular feedback on progress and fair reporting on final achievements, with an associated appeals procedure. There is a reliable system for archiving information on final student achievements. Industry or sector-specific requirements for consent to assess Criterion 1 Development and evaluation of teaching programmes The applicant organisation must have policies and procedures to ensure that: programmes are designed and delivered that meet the needs of students, employers, and industry;

9 9 regular formal advisory links with industry are created and maintained at the appropriate level. This includes consultation with InfraTrain; feedback on training delivery and materials is obtained from trainees and industry representatives, and this input informs the development and review of programmes; programmes contain a policy on the safety of students and tutors; a holistic and integrated approach to curriculum design, delivery, and assessment is employed. Unit standards that state NZ Transport Agency involvement: Applicant organisations must have policies and procedures to ensure that NZ Transport Agency requirements, in relation to NZ Transport Agency Approved Course Provider status, are met. Criterion 2 Financial, administrative and physical resources The applicant organisation must have policies and procedures to ensure that it has, or has access to, the necessary training resources, up-to-date equipment and facilities necessary to support teaching towards and assessment against unit standards in the scope of the application. Examples include access to on-site operational equipment and heavy machinery, indoor teaching facilities, library, studios, learning resource spaces, and laboratories or workshops. The applicant organisation must have policies and procedures to ensure that: sufficient safety equipment and facilities are available relative to the number of students and the unit standards being assessed against; the requirements of the Health and Safety in Employment Act 1992 and other relevant safety guidelines and regulations are satisfied when providing practical training or assessments. Applicant organisations must show evidence of their capacity to meet these regulations and guidelines; for example, documented safety procedures, advice to students regarding hazards, and reporting procedures for health and safety incidents. Criterion 3 Staff selection, appraisal and development The applicant organisation must have policies and procedures to ensure that all teaching and assessing staff, whether employed or under contract, meet the following minimum requirements: all staff teaching and/or assessing against unit standards hold credit for the relevant unit standards they are teaching and/or assessing against, or have demonstrated a higher level of knowledge and skills in the infrastructure industry; all teaching staff hold or are working towards a qualification in the delivery of adult education and training, or have demonstrated equivalent knowledge and skills; all staff assessing against unit standards must hold unit standard 4098, Use standards to assess candidate performance, or have demonstrated equivalent knowledge and skills; all staff with responsibility for internal and/or external moderation are competent in moderation practice which is demonstrated through having credit for unit standard

10 , Moderate assessment, or being able to demonstrate equivalent knowledge and skills; staff demonstrate current competence within their discipline; all staff have the opportunity to keep updated with the latest developments in technology, industry practice, and legislative requirements. The applicant organisation must have policies and procedures to ensure that if no person meeting the above criterion is available, teaching and assessment will not proceed. Criterion 6 Off-site practical or work-based components The applicant organisation must have policies and procedures to ensure that access to appropriate equipment, resources and workplace environments is provided. Where students are required to receive training in an off-site situation, applicant organisations must have policies and procedures to ensure that a written agreement or contract between the applicant organisation and the organisation providing the service is established. This agreement/contract must clearly state: the nature of the training and/or work experience the students are to receive; responsibilities for the health and safety of students; the time and frequency of the students attendance; the name and relevant details of the student(s) attending the organisation providing the service; a procedure to provide support mechanisms to both the student and the organisation providing the service for the duration of the training; responsibilities and procedures for the assessment and reporting of credits. Criterion 7 Assessment InfraTrain supports best practice in assessment. The applicant organisation must have policies and procedures in place to support an integrated method of assessment based on an evidence collection model. The applicant organisation must have policies which specify whether it will use selfdeveloped assessment resources or whether it will use InfraTrain developed assessment resources. Where self-developed assessment resources will be used, the applicant organisation must have policies and procedures to ensure that these resources are moderated and approved by InfraTrain prior to use, The applicant organisation must have policies and procedures for the use of assessment materials for unit standards that state NZ Transport Agency involvement. Where the outcome of the assessment is used to obtain a driver licence endorsement, only assessment material that has been approved by the NZ Transport Agency and InfraTrain may be used. Charges may apply for the supply of approved resources. Non-compliance with requirements for maintaining consent to assess

11 11 Where there is evidence of non-compliance with the requirements for consent to assess, the QAB (NZQA or CUAP) will seek remedial action. In cases where this action is ineffective and non-compliance continues, or in cases of repeated noncompliance, the QAB will take action that can ultimately lead to the withdrawal of consent to assess. Implementation InfraTrain is able to provide sufficient trained participants to service the requirements of processes for granting consent to assess. Moderation Requirements (MR) A centrally established and directed national external moderation system has been set up by InfraTrain. Introduction The purpose of the Moderation Requirements (MR) is to provide details on the national external moderation system, developed by InfraTrain to ensure that assessment decisions of TEOs and schools with consent to assess are consistent with the national standard. All TEOs and schools with consent to assess against the standards in this CMR must meet the requirements for moderation outlined in this MR. Moderation System InfraTrain has a Qualifications and Quality Manager who is responsible for administering its national external moderation system and conducting national external moderation. The Qualifications and Quality Manager will engage sector moderators as required for the industry sectors covered by this CMR. The national external moderation system is activity driven and designed to complement the nature, structures and partnership of organisations with consent to assess and industry sectors. The InfraTrain moderation system is comprised of: Pre-assessment moderation of self-developed assessment resources; Post-assessment moderation of assessment decisions; Moderation visits. Organisations with consent to assess intending to assess against standards in the scope of this CMR must advise InfraTrain of the person to contact for moderation by 28 February each year. Organisations with consent to assess must advise InfraTrain in writing one month in advance if they are assessing against unit standards in any domains that they have not assessed in the previous 12 months.

12 12 InfraTrain will moderate all of its unit standards over a five year period. A copy of the five year cycle is available in the InfraTrain website ( InfraTrain may consider reducing the moderation requirements for an organisation with an NZQA External Evaluation Report which results in a Category 1, Highly Confident, rating and/or with a history of good national external moderation results. Pre-assessment moderation InfraTrain encourages open communication with organisations with consent to assess, and recognises the academic autonomy of organisations to assess against the standards using self-developed assessment materials (other than for standards where the purpose of the assessment is the attainment of a driver licence endorsement). InfraTrain provides NZ Transport Agency approved assessment resources for those unit standards, which can be purchased from InfraTrain. To ensure assessment to national standards and consistency of assessment decisions, organisations with consent to assess are required to submit all selfdeveloped assessment materials to InfraTrain for pre-assessment moderation and approval prior to use. Following approval, if the assessment material is in any way altered, it must be resubmitted to InfraTrain for pre-assessment moderation and approval prior to use. All submissions for pre-assessment moderation must be accompanied by the preassessment moderation coversheet and checklist which can be downloaded from the InfraTrain website ( All submissions must be made at least six weeks before intended use to allow for the pre-assessment moderation and approval processes. InfraTrain does not charge for the first quality assurance cycle of pre-assessment moderation; however second and subsequent quality assurance cycles will be charged at a rate of $75 per hour plus GST. An organisation with consent to assess may invite InfraTrain to undertake a visit for pre-assessment moderation if there are several unit standards to be moderated at the same time. This provides an opportunity for the moderator and the organisation to discuss the assessment materials and context of assessment; and provides immediate moderation feedback to the organisation. InfraTrain may charge the organisation for travel and accommodation expenses, but no charge will be applied for the moderator s time for the first moderation cycle. InfraTrain has developed assessment materials which are available from the ITO at a cost to organisations with consent to assess, and have been moderated prior to release. Organisations with consent to assess are invited to provide feedback about the InfraTrain assessment materials to the Qualifications and Quality Manager following internal pre-assessment and post-assessment moderation. Post-assessment moderation

13 13 Each year InfraTrain will moderate a sample of assessments against unit standards from organisations with consent to assess. Post-assessment moderation may be conducted in the following ways: by postal submission of requested assessed samples at a group-moderation workshop, or during a moderation visit. InfraTrain will, by 31 March each year, advise the moderation contact person for each organisation with consent to assess of the method selected for postassessment moderation for the year. Unit standards are selected for moderation using the NZQA quarterly report results data which accurately reflects sector activity. The selection of unit standards for moderation will take into account: high-use unit standards low-use unit standards high risk unit standards identified by industry the number of assessments completed by the organisation with consent to assess for each unit standard the five-year moderation cycle. Organisations with consent to assess are required to keep completed assessments and corresponding evidence for a period of 12 months from the time the assessment is reported. If there is an unresolved appeal, then the completed assessment and corresponding evidence must be kept until the appeal is resolved. Note: All completed assessment documentation for unit standards used for driver licence endorsements, must be kept for a period of 18 months to meet NZ Transport Agency requirements. The number of samples requested for moderation will be determined from the volume of assessment being carried out by the organisation with consent to assess against the unit standards selected; however a minimum of three samples per unit standard selected will be requested. All submissions for post-assessment moderation must be accompanied by the postassessment moderation coversheet and checklist (available for download from Copies of moderation reports will be provided to organisations with consent to assess within one month of completion of the moderation activity. When this date falls after the end of the academic year, reports are provided by the end of January in the following academic year. Postal Submission

14 14 Organisations with consent to assess which are required to submit assessment samples for postal moderation, will be notified in writing at least six weeks in advance of the postal moderation submission due date. Group Moderation workshops InfraTrain may at its discretion establish, or recognise existing, moderation groups focused on specific groups of unit standards, industry sectors and/or groupings or organisations with consent to assess. Workshops will be facilitated by InfraTrain and industry sector specialists. Participants will be required to bring selected assessment samples and candidate evidence for group moderation. InfraTrain will provide participating organisations with details of the workshop a minimum of six weeks in advance. Details will include location, date and time, and unit standards selected for moderation. Feedback will be provided to participants at the end of the workshops and a detailed report will be provided within one month of the workshop completion. Organisations with consent to assess are required to meet the travel and accommodation costs of their own assessors at the workshops. However, there is no charge for attendance at the workshop. Moderation visits A sample of organisations with consent to assess will be selected each year for onsite moderation visits. Any organisation with consent to assess may be selected for a moderation visit. The selection of organisations will take into account the nature of the organisation s consent scope, level of current activity and their moderation history. Moderation visits will be conducted by members of the InfraTrain Quality Team and/or infrastructure industry sector specialists. The focus of the moderation visit is for InfraTrain to evaluate assessment practice and assessor decisions for validity and consistency with the national standard. This may include: sampling of assessment evidence interviewing assessors observation of assessment activity check of assessment equipment and assessment environments to ensure they meet the assessment conditions discussion with management for feedback on the moderation visit, and any requirements and recommendations for improvements to assessment practice. Organisations with consent to assess that are selected for a moderation visit will be advised in writing, and a date for the visit is to be scheduled within two months from

15 15 the date of the advice at a time mutually agreed between the moderator and the organisation with consent to assess. An overview of the moderation visit findings will be discussed with the organisation with consent to assess through an exit meeting at the completion of the moderation visit and a final written report will be provided within one month of the visit. Note: Those organisations which engage with this CMR only for the purpose of NZ Transport Agency endorsed unit standards are not automatically included in moderation visits since the NZ Transport Agency carries out audit visits regularly for these organisations. If there is any evidence of non-compliance identified during the moderation process, then InfraTrain may follow-up with moderation review visits for these organisations. Reporting InfraTrain is responsible for evaluating the effectiveness of its national external moderation system, and for providing an annual report to NZQA. Each year InfraTrain will review the effectiveness and efficiency of the moderation system by evaluating the activities of the previous year. This review will identify improvements to the system and provide data for the annual report to NZQA. Organisations with consent to assess will receive a written report for each moderation activity within one month of the completion of the moderation activity. InfraTrain welcomes feedback from organisations with consent to assess to assist with the continual improvement of the national external moderation system. Contact the InfraTrain Qualifications and Quality Manager if you would like to provide any feedback. Quality@infratrain.co.nz. Funding The development, implementation and administration of the national external moderation system will be funded through: the National Moderation Transfer from NZQA; organisations with consent to assess (organisations with consent to assess are responsible for the costs incurred by their participation in moderation, such as the cost of their employees or representatives time and travel to attend moderation group workshops); industry contributions. No charges are applied to participant organisations with consent to assess undertaking normal moderation activities, including visits. However, there will be a charge of $75 per hour plus GST for the second and subsequent cycles of preassessment moderation. If a moderation visit is prompted by non-compliance, InfraTrain will charge all costs associated with the visit to the organisation with consent to assess. Costs will be charged on the basis of:

16 16 $75 per hour plus GST; travel and accommodation expenses (actual and reasonable); mileage associated with the visit for the use of a private or company vehicle will be charged at the current published Inland Revenue rates. Non-compliance with moderation requirements Non-compliance in meeting the requirements of this moderation system will result in further action by InfraTrain. Ongoing unresolved non-compliance will be referred to the appropriate QAB (NZQA or CUAP). Ultimately the QAB may withdraw consent to assess. Where non-compliance is identified, the Qualifications and Quality Manager will provide the organisation with details of the non-compliance and expected corrective actions in writing, including timeframes for corrective action. A visit or further visits to the organisation may be required. InfraTrain reserves the right to charge organisations with consent to assess for costs relating to the resolution of moderation non-compliances. Charges are set out in the funding section. Appeals In the event of any unresolved dispute over the results of moderation, the case should be submitted in writing to the InfraTrain Qualifications and Quality Manager within 21 days of the moderation result being received. A standard appeal form is available from the InfraTrain website. The Qualifications and Quality Manager will acknowledge receipt of the appeal and agree a timeframe for resolution. If the organisation with consent to assess is not satisfied with the resolution, they may appeal to the CEO of InfraTrain in writing within 14 days of receiving the initial appeal result. The CEO will provide a written response within 14 days. All available documentation will be taken into consideration and the CEO s decision will be final and binding. DAS Registration Information Process Version Date Registration 1 October 1994 Review 2 January 1999 Revision 3 September 2003 Revision 4 October 2004 Revision 5 November 2007 Revision 6 December 2009 Review 7 May 2013 The next CMR review is planned for 2015.