Management of SQA s Quality Assurance Standards. Matthew McCullagh Quality Manager. Barbara Irvine Quality Enhancement Manager.

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2 Management of SQA s Quality Assurance Standards Matthew McCullagh Quality Manager Barbara Irvine Quality Enhancement Manager Welcome 欢迎

3 Tuesday 2 nd September Welcome 9.15 Introduction 9.45 Management of successful assessments Break Management of successful assessments Lunch 1.00 Management of Internal Quality Assurance standards 2.45 Break 3.00 Management of Internal Quality Assurance standards 4.30 Completion of Action Plan 5.00 Close

4 SQA s Approach to QA SQA launched it s approach to Quality Assurance in China in August Today is about helping you Consolidate your knowledge of SQA s Approach to Quality Assurance Identify areas of your Quality Systems which may require review Support you in the delivery of SQA qualifications Help you to understand how to prepare for successful systems verification

5 Support available On line guidance is available for centres Assurance

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

7 SQA s Approach to Quality Assurance: The Four Processes Systems Approval Qualification Approval Systems Verification Qualification Verification

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

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

10 Good Practice and Guidance As part of the verification visit, you should identify to SQA Quality Assurance staff any good practice you feel that is evident in the centre. Systems Verifiers will also give advice and guidance to help centre staff improve the delivery of our qualifications This is a mandatory part of the role of Systems Verifier and the Qualification Verifier

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

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

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

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

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

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

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

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

19 Questions

20 Approach to Quality Assurance Welcome Back 欢迎回来

21 Quality Systems Why is it important to have good quality systems in place? What constitutes a Quality System?

22 Quality System Documented policies and procedures Quality Manual Paper v electronic system Security of Quality Manual How do you effectively communicate changes in policies and procedures to staff and/or students? How do you review/update your Quality System?

23 Internal verification Documented three stage process - Pre Delivery - During Assessment - Review Should underpin your centres programme of delivery Ensures standardisation of approach and consistency across all SQA qualifications delivered in your centre

24 Pre Delivery Basically a check that you have everything in place to delivery a particular qualification/unit Qualified staff in place who know the unit they are delivering Resources reference and learning materials Assessment materials that have been checked by assessors and internal verifiers Evidence this using pre-delivery checklist

25 During Assessment Internal verifiers are in place to support assessors Confirm assessor decisions are correct and there is a consistent approach when more than one assessor per unit Arrange standardisation meetings Observe assessors and provide feedback on performance

26 During Assessment (2) Maintain records of assessment and internal verification i.e. Master folder containing - validated assessment materials - checklists/marking schemes - student records - records of all sampling activity - records of observations on assessment - feedback to assessors - minutes of standardisation meetings

27 During Assessment (3) Consider where to direct internal verification effectively risk/proportionality What factors might influence this decision?

28 Review What went well? What did not go so well? Were the materials in use fit for purpose? Is recording documentation completed and fit for purpose? What do we need to change? Follow documented process to ensure relevant policies and procedures are updated to reflect any changes made

29 Inductions Staff Induction Student Induction Both are very important and do not necessarily only take place at beginning of course/session

30 Induction (2) Content very important Staff and Student handbooks are important documents Generic handbook for general centre information Subject specific information on student s particular HND Standard presentations Induction checklists Feedback from candidates

31 Appeals process Difference between Appeal against assessment decision and a complaint Two separate processes Appeals are healthy in a centre why?

32 Appeals Process Appeal is a three stage process - stage 1 speak to assessor how recorded? - stage 2 refer to internal verifier - stage 3 independent party/appeals panel within centre Recording documentation

33 Malpractice Very important to have transparent, clear policies and procedures in place in relation to malpractice Two types of malpractice - student malpractice - centre malpractice involving staff

34 Malpractice - Student Provide student with clear definitions of what constitutes malpractice in plain language they understand Explain investigation process should any student malpractice be suspected Provide details of possible consequences to student if they are found to be involved in any malpractice activity induction handbook

35 Malpractice - Centre Provide staff with clear guidelines on what constitutes malpractice in plain language they understand Explain investigation process should any member of staff be suspected of being involved in malpractice act. Provide details of possible consequences to staff if they are found to be involved in any malpractice activity

36 Data Processes Important to have clearly documented procedures to ensure - accurate and complete data is sent to SQA - data is sent in to meet published deadlines - proper recording documentation is in place and is fully completed and signed off - once units are internally verified submit results to SQA (part of your plan) - audit trail in place

37 Questions