Centre guide for Learning and Development Awards Centre guide (7318 and 7319) Guidance for Assessors and Internal Verifiers www.city-and-guilds.co.uk November 2004
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Centre guide for Learning and Development Awards Centre guide (7318 and 7319) Guidance for Assessors and Internal Verifiers 08.04/F00038501/ST82042
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Contents 05 Introduction 16 Assessment of performance and knowledge in the workplace 17 Simulated working conditions 17 External quality control through independent assessment 18 Occupational competence requirements for centre staff 19 Accreditation of prior learning 19 Accreditation of prior achievement 19 Assessment 19 Assessors 19 Independent assessors 20 Advice on assessing competence 21 Different assessment methods and types of evidence 21 The quality of evidence 22 Internal verification 23 Glossary of terms 27 Appendices 28 A Exceptions table 29 B Occupational competence of assessors 30 C Occupational competence of internal verifiers 31 D Occupational competence of assessors and internal verifiers for the Health and Safety D unit 32 E Occupational competence of advisers, assessors and internal verifiers for the units imported from management standards 34 F Accreditation of prior achievement 35 G Key Skills signposting for Learning and Development standards 37 Pro-formas 39 Independent assessment report 41 Assessment declaration 43 Contact details page 45 Personal action plan 47 Witness status list
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Introduction This Centre Guidance pack sets out the requirements of City & Guilds Learning and Development Awards. These awards are based on the agreed national occupational standards for learning and development (revised in 2002). The revised standards are used to make up three S/NVQs in Learning and Development, one at level 3, one at level 4 and one at level 5 (7319). These are titled: S/NVQ in Learning and Development Level 3 S/NVQ in Learning and Development Level 4 S/NVQ in Learning and Development Level 5 (7319) In addition there are 3 other S/NVQ awards based on these standards, two at level 4 and one at level 3, which have been developed specifically for practitioners delivering government funded workbased learning. These are titled: S/NVQ in Direct Training and Support Level 3 S/NVQ in Co-ordination of Learning and Development Provision Level 4 S/NVQ in Management of Learning and Development Provision Level 4 Certificate Awards in Learning and Development A range of smaller clusters of units from the Learning and Development standards, that are valuable to employers and practitioners, have been developed. These clusters of Learning and Development units are therefore grouped as Certificates. Some of these Certificates have been developed as part of the work to raise minimum standards of trainers delivering Government Funded Work-based Learning. These Certificates, along with the full S/NVQs, are recognised by Government as the way forward to raise the quality of training in the workplace. These are titled: Certificate in Initial Assessment and Support of Learners Certificate in Review and Assessment of Learning Certificate in Basic Skills Development in the Workplace Certificate in Basic Skills Support in the Workplace Certificate in Mentoring in the Workplace Certificate in Coaching learners in the Workplace Certificate in Training and Presenting in the Workplace Certificate in Skills Training in the Workplace Certificate in Workplace Learning Centre guide for Learning and Development Awards (7318 and 7319) 05
Scottish/National Vocational Qualifications (S/NVQs) S/NVQs are part of a framework of national awards covering a wide range of occupations at all levels. Each sector/industry has agreed national occupational standards for people who work within it. These standards define the skills, knowledge and understanding required at each S/NVQ level. The achievement of an S/NVQ is based on the demonstration of competence in the workplace against these occupational standards, and on the assessment of work performance and related knowledge. NVQs are accredited by the Qualifications Curriculum Authority (QCA) and are part of the national qualifications framework. The qualifications are delivered and monitored by awarding bodies, such as City & Guilds. An S/NVQ is a qualification comprising of a collection of several units of competence. A unit of competence describes what you are expected to do in a particular function of your job. It is a collection of common skills. A unit can be achieved over a period of time and single units (which are not full S/NVQ awards in their own right) can be recognised with individual certificates. Units are made up of one or more elements of competence which relate to more specific activities required to carry out the function covered by the unit. Each element contains performance criteria and underpinning knowledge against which the assessor must judge a candidate s performance. S/NVQ levels explained There are five levels in S/NVQs, covering standard to complex working roles. The following definitions of S/NVQ levels provide a general guide: Level 1 Competence which involves the application of knowledge and skills in the performance of a wide range of varied work activities, most of which may be routine and predictable. Level 2 Competence which involves the application of knowledge and skills in a significant range of varied work activities, performed in a variety of contexts. Some of the activities are complex or non-routine, and there is some individual responsibility or autonomy. Collaboration with others, perhaps through membership of a work group or team, may often be a requirement. Level 3 Competence which involves the application of knowledge and skills in a broad range of varied work activities performed in a variety of contexts, most of which are complex and non-routine. There is considerable responsibility and autonomy, and control or guidance of others is often required. 06 Centre guide for Learning and Development Awards (7318 and 7319)
Level 4 Competence which involves the application of knowledge and skills in a broad range of complex, technical or professional work activities performed in a wide variety of contexts and with a substantial degree of personal responsibility and autonomy. Responsibility for the work of others and the allocation of resources is often present. Level 5 Competence which involves the application of skills and a significant range of fundamental principles across a wide and often unpredictable variety of contexts. Very substantial personal autonomy and often significant responsibility for the work of others and for the allocation of substantial resources feature strongly, as do personal accountabilities for analysis and diagnosis, design and planning, execution and evaluation. Centre guide for Learning and Development Awards (7318 and 7319) 07
Qualification structure for S/NVQs in Learning and Development Level 3 in Learning and Development 11 units 7 Mandatory units G3 L3 L5 L6 L9 L16 L18 Evaluate and develop own practice Identify individual learning aims and programmes Agree learning programmes with learners Develop training sessions Create a climate that promotes learning Monitor and review progress with learners Respond to changes in learning and development Plus 2 Optional units from: L10 Enable learning through presentations L11 Enable learning through demonstrations and instruction L12 Enable individual learning through coaching L13 Enable group learning Plus 2 Optional units from: L4 Design learning programmes L7 Prepare and develop resources to support learning L14 Support learners by mentoring in the workplace L15 Support and advise individual learners L20 Support competence achieved in the workplace L23 Support how basic skills are delivered in the workplace L24 Support people learning basic skills in the workplace A1 Assess candidates using a range of methods A2 Assess candidates performance through observation 08 Centre guide for Learning and Development Awards (7318 and 7319)
Level 3 in Direct Training and Support 9 units 6 Mandatory units G3 L3 L5 L6 L9 L16 Evaluate and develop own practice Identify individual learning aims and programmes Agree learning programmes with learners Develop training sessions Create a climate that promotes learning Monitor and review progress with learners Plus 2 Optional units from Set A: L10 Enable learning through presentations L1 Enable learning through demonstrations and instruction L12 Enable individual learning through coaching L13 Enable group learning Plus 1 Optional units from Set B: L14 Support learners by mentoring in the workplace L15 Support and advise individual learners L20 Support competence achieved in the workplace Al Assess candidates using a range of methods H+S D Review health and safety procedures in the workplace Alternatively 3 from option A and none from option B. Centre guide for Learning and Development Awards (7318 and 7319) 09
Level 4 in Learning and Development 12 units 8 Mandatory units G2 G3 L4 L5 L8 L9 L17 Contribute to learning within the organisation Evaluate and develop own practice Design learning programmes Agree learning programmes with learners Manage the contribution of other people to the learning process Create a climate that promotes learning Evaluate and improve learning and development programme Either L3 or L2 L3 L2 Identify individual learning aims and programmes Identify the learning and development needs of the organisation Plus 4 Optional units from: L7 Prepare and develop resources to support learning L13 Enable group learning L14 Support learners by mentoring in the workplace L15 Support and advise individual learners L16 Monitor and review progress with learners L18 Respond to changes in learning and development L19 Provide learning and development in international settings L21 Plan how to provide basic skills in the workplace L22 Introduce training for basic skills in the workplace A1 Assess candidates using a range of methods A2 Assess candidates performance through observation V1 Conduct internal quality assurance of the assessment process 10 Centre guide for Learning and Development Awards (7318 and 7319)
Level 4 in Management of Learning and Development Provision 8 units 6 Mandatory units L1 L2 L17 C13 (M SC) P2 G3 Develop a strategy and plan for learning and development Identify the learning and development needs of the organisation Evaluate and improve learning and development programme Manage the performance of teams and individuals Develop a strategy and plan to provide all people resources for the organisation Evaluate and develop own practice Plus 2 Optional units from: L3 Identify individual learning aims and programmes L4 Design learning programmes L7 Prepare and develop resources to support learning L8 Manage the contribution of other people to the learning process V1 Conduct internal quality assurance of the assessment process H+S D Review health and safety procedures in the workplace B3 (MSC) Manage the use of financial resources Level 4 in Co-ordination of Learning and Development Provision 7 units 6 Mandatory units L3 L4 L5 L8 L17 G3 Identify individual learning aims and programmes Design learning programmes Agree learning programmes with learners Manage the contribution of other people to the learning process Evaluate and improve learning and development programme Evaluate and develop own practice Centre guide for Learning and Development Awards (7318 and 7319) 11
Plus 1 Optional units from: L2 Identify the learning and development needs of the organisation L7 Prepare and develop resources to support learning L9 Create a climate that promotes learning L15 Support and advise individual learners L16 Monitor and review progress with learners Vi Conduct internal quality assurance of the assessment process H+S D Review health and safety procedures in the workplace Level 5 in Learning and Development (7319) 12 units 8 Mandatory units New unit reference G2 G3 L1 L2 L18 P8 A7 (MSC) Unit title Contribute to learning within the organisation Evaluate and develop own practice Develop a strategy and plan for learning and development Identify the learning and development needs of the organisation Respond to changes in learning and development Develop a strategy and plan for the promotion of equality of opportunity and diversity Establish strategies to guide the work of your organisation Either B5 or B3 B5 (MSC) B3 (MSC) Secure financial resources for your organisation s plans Manage the use of financial resources 12 Centre guide for Learning and Development Awards (7318 and 7319)
Plus 4 Optional units from: L4 Design learning programmes L8 Manage the contribution of other people to the learning process C13 (MSC) Manage the performance of teams and individuals A8 (MSC) Evaluate and improve organisational performance P13 Design, deliver and evaluate changes to organisational structure C11 (MSC) Develop management teams L17 Evaluate and improve learning and development programmes Mini Awards, Certificate Awards in Learning and Development Certificate in Initial Assessment and Support of Learners 4 units 3 Mandatory units L3 L5 G3 Identify individual learning aims and programmes Agree learning programmes with learners Evaluate and develop own practice Plus 1 Optional unit from: L14 Support learners by mentoring in the workplace L15 Support and advise individual learners L16 Monitor and review progress with learners Certificate in Review and Assessment of Learning 3 Mandatory units L16 Monitor and review progress with learners G3 Evaluate and develop own practice A1 Assess candidates using a range of methods Certificate in Basic Skills Development in the Workplace 3 Mandatory units L21 Plan how to provide basic skills in the workplace L22 Introduce training for basic skills in the workplace G3 Evaluate and develop own practice Centre guide for Learning and Development Awards (7318 and 7319) 13
Certificate in Basic Skills Support in the Workplace 3 Mandatory units L23 Support how basic skills are delivered in the workplace L24 Support people learning basic skills in the workplace G3 Evaluate and develop own practice Certificate in Mentoring in the Workplace 4 Mandatory units L14 Support learners by mentoring in the workplace L15 Support and advise individual learners L16 Monitor and review progress with learners G3 Evaluate and develop own practice Certificate in Coaching Learners in the Workplace 4 Mandatory units L12 Enable individual learning through coaching L15 Support and advise individual learners L16 Monitor and review progress with learners G3 Evaluate and develop own practice Certificate in Training and Presenting in the Workplace 4 Mandatory units L4 Design learning programmes L6 Develop training sessions L13 Enable group learning G3 Evaluate and develop own practice 14 Centre guide for Learning and Development Awards (7318 and 7319)
Certificate in Skills Training in the Workplace 4 Mandatory units L4 Design learning programmes L6 Develop training sessions L11 Enable learning through demonstration and instruction G3 Evaluate and develop own practice Certificate in Workplace Learning 4 Mandatory units L9 Create a climate that promotes learning L1 1 Enable learning through demonstration and instruction L20 Support competence achieved in the workplace G3 Evaluate and develop own practice Note: If the A and V units are used as part of the optional units in an award, the candidate and the centre must meet ALL the requirements as specified in the Assessment Guide for A and V awards. Centre guide for Learning and Development Awards (7318 and 7319) 15
Assessment The learning and development national occupational standards are subject to the Learning and Development Assessment Strategy. This sets out the requirements for the assessment of these standards and provides information on: assessment of performance and knowledge in the workplace use of simulation use of external quality control measures occupational competence of assessors and verifiers. All those involved in the assessment and verification of the learning and development national occupational standards MUST implement the assessment strategy, and this City & Guilds assessment guide presents the detail of the assessment strategy, with further advice and guidance for those working as assessors or internal verifiers in City & Guilds approved centres. Three important assessment criteria are presented in the assessment strategy. These are: The standards require evidence of consistent occupational competence, as defined by the standards, through relevant work activities A variety of assessment methods should be used to confirm competence, as defined in the standards The assessment of knowledge should be integrated with the assessment of performance wherever possible and appropriate. Assessment of performance and knowledge in the workplace Candidates must have been assessed against all performance criteria and all knowledge items in the standards. All evidence must be derived from performance within the workplace, with the exception of a limited few performance criteria for which it is recognised that performance evidence might not easily be obtained. These few exceptions are shown in the exceptions table with acceptable forms of assessment attached to them. (see Appendix A) Note: This appendix is NOT relevant to the assessor and verifier awards 16 Centre guide for Learning and Development Awards (7318 and 7319)
Simulated working conditions The assessment strategy for learning and development standards makes a very clear statement which prevents any form of simulation being used in the assessment process. This is: Performance of real work activities in the real working environment means that none of the performance criteria in the standards require the use of simulations. Occasionally it might be appropriate for simulation to be used in centres as part of a training activity. Note: No simulation or products of simulation may be used in the assessment process. External quality control through independent assessment It is now a requirement in all S/NVQ assessment strategies that there should be some part of the assessment process which is subject to a measure of external assessment. There are different ways in which this could happen but so far as the learning and development standards are concerned the way of meeting this requirement is by using independent assessment. This is described below: Independent assessment... will require candidates to present a balance of evidence which must include a substantive component which has been assessed by someone who is independent from the candidate Substantive is defined here as a primary piece of outcome evidence for one or more units of competence. Independence is defined here as a competent job holder who is qualified as an assessor but will not act as the candidate s primary assessor. Centres must nominate a suitable person to act as the independent assessor for each candidate who is experienced as an assessor of these standards. The independent assessor must be a qualified assessor and competent job holder who has the relevant occupational competence to judge the candidate s work. The candidate s primary assessor cannot also act as the independent assessor for the candidate. Negotiation must take place with the candidate on outcome evidence which will meet the substantive definition given above. For full multi-unit awards this means evidence for a minimum of one unit of the award. For the assessor and internal verifier awards, which consists of only one unit, a suitable piece of outcome evidence has been identified. Centre guide for Learning and Development Awards (7318 and 7319) 17
The primary assessor is responsible for managing the process and supporting the candidate throughout the whole of their award, eg action and assessment planning, questioning and observation, where appropriate. The independent assessor will make the summative assessment decision of the evidence supplied by the candidate, in relation to the part of the qualification for which s/he is responsible. The candidate s primary assessor will make the summative decision for all of the other elements within the award. The internal verifier should ensure that the independent assessor is included within their sampling plan. An independent assessment report form is provided in each City & Guilds candidate pack. This is designed to formalise and standardise the reporting of the independent assessment. NB: Where a candidate is working on the mini/certificate awards, independent assessment will not be required. If the candidate then goes on to complete the full S/NVQ award, independent assessment will be required in order for the candidate to receive a full S/NVQ certificated. Where the A and V units appear in the mini awards, independent assessment is required. Occupational competence requirements for centre staff In recent years the Qualifications Curriculum Authority (QCA) has required standard setting bodies to produce assessment strategies which awarding bodies must implement. The Learning and Development Assessment Strategy, therefore, includes the requirements for the occupational competence of assessors and verifiers. Centres must ensure that their assessors and internal verifiers meet these requirements, or have continuous professional development (CPD) plans to enable them to meet the requirements in the near future. Note: see NVQ Code of Practice 2001 for further information on assessors and verifiers of NVQs (available from QCA). Awarding bodies, through their external verifiers, will monitor centres to ensure that the requirements for the occupational competence of those who assess and verify in centres are being met. Full details of the occupational competence requirements are provided in this pack as appendices, as follows: Appendix A Exceptions Table, page 26 Appendix B Occupational competence of assessors, page 27 Appendix C Occupational competence of internal verifiers, page 28 Appendix D Occupational competence of those who assess and verify the Health Appendix E and Safety D unit, page 29 Occupational competence of those who advise, assess and verify units imported from the management standards, page 30 Appendix F Accreditation of prior achievement, page 32 Appendix G Key Skills signposting, pages 33-34 18 Centre guide for Learning and Development Awards (7318 and 7319)
Accreditation of prior learning If a candidate already has some competence in the units of the award this may be evidenced to the assessor by demonstration in the workplace or by showing work products and using questions. This is often referred to as accreditation of prior learning. The assessor must be sure that competence is current, and will only be able to accept evidence which is recent, ie created within the last 3 years. In addition any claim for accreditation of prior learning will be subject to some form of testing to ensure that the candidate still has the claimed competence. Evidence which a candidate may have already gathered towards the old training and development units, if it is still recent, may be transferred into the portfolio for the new learning and development units, but must be matched against the criteria in the new standards. This will be treated in the same way as any other prior learning evidence. Accreditation of prior achievement Where candidates already hold units of the national standards, accreditation of prior achievement may be possible but only in multi-unit awards. (See Appendix F for further details). Note: this appendix is NOT relevant to the assessor and verifier awards Assessment Assessors Assessors are responsible for planning assessments with candidates, making assessment decisions, providing feedback to candidates and giving guidance on further actions. Detailed plans and records should be kept on all these activities. In addition assessors should play a part in assuring quality within the centre in which they operate. Each candidate should be allocated at least one assessor who is qualified and occupationally competent. This person will be known as the candidate s primary assessor. In addition each candidate should be allocated an independent assessor (see section on independent assessors below). Independent assessors An independent assessor, who is not the candidate s primary assessor, must assess a substantive component of the candidate s evidence. An independent assessment report form is provided in the candidate pack for use by the person selected to be the independent assessor. The centre will select a suitable person to act as the independent assessor. This must he someone who is a qualified assessor and meets the requirements of an assessor as defined in the assessment strategy. Centre guide for Learning and Development Awards (7318 and 7319) 19
Advice on assessing competence Formal assessment will take place when the candidate and assessor feel that the candidate is ready. Assessments should occur at frequent intervals, and during an assessment the assessor may ask questions to confirm the candidate s knowledge and understanding of certain points. The independent assessment is likely to take place towards the end of a candidate s programme. Assessment should be pre-planned and negotiated with the candidate. After judgements are made the candidate should receive feedback and guidance. Although there are different sources of evidence and different methods of assessing performance evidence is seen as the primary source for making a judgement of competence against the standards. However, it is required that a variety of assessment methods be used to confirm competence. (Some suitable assessment methods and sources of evidence are listed below.) It is important that all of assessment evidence comes from competent performance in the candidate s workplace, ie when carrying out real workbased activities. Materials created during training are not allowed to be used as evidence of competence and simulation is not allowed. Performance evidence must be produced to meet all the performance criteria in an element. The performance evidence will show the assessor that a candidate has some of the required knowledge, but a candidate may also evidence some of the required knowledge by reporting on their evaluations of systems and processes. All the knowledge items listed for the unit as a whole must be evidenced. You will find details of the agreed common evidence requirements in the candidate pack. This is the minimum that is acceptable. Depending in the candidate s experience and circumstances the assessor should negotiate with the candidate to determine whether this will be sufficient or whether there is a need to provide more evidence of competence. 20 Centre guide for Learning and Development Awards (7318 and 7319)
Different assessment methods There are different ways of judging competence, different methods of assessing and different forms of evidence that can be presented. These are listed as follows, and descriptions and more detailed explanations can be found in the candidate packs. Note: guidance booklet on assessing Assessing NVQs (March 1998), available from QCA Assessor observation reports The assessor must produce a report of every assessment observation, and a copy of this will become a piece of evidence in the candidate s portfolio. Questioning is often necessary as a result of an observation, and question and answers should be recorded for verification purposes. Work products The assessor must agree the use of a witness prior to an observation taking place. Witness testimonies The assessor must agree the use of a witness prior to an observation taking place. The assessor should establish the authenticity of testimonies, in some cases by contacting the witness if he or she is not known to the assessor. Questioning The assessor may ask questions as part of other assessment activities, or may use written questions or tests as a method in their own right. Verifiers will need to see the actual questions, the answers supplied by the candidate, and the assessor s decision on their value in order to make verification judgements. Professional discussion The assessor should pre-plan and agree any discussion sessions which are to be used as assessment opportunities. There must be a detailed record of these discussions for verification purposes, this may be a written report or an audio or video recording. Note: where taped recordings are used the verifiers will need to have a summary of the discussion details of where to locate particular evidence on the tape. The quality of evidence Evidence must be valid, authentic, current and sufficient. Valid means appropriate and relevant to the element or unit being claimed Authentic means that it is the candidate s own work Current means that what is being claimed is not out of date and is fairly recent Sufficient means that the candidate can perform consistently to the required level, over a period of time. Centre guide for Learning and Development Awards (7318 and 7319) 21
Internal verification The centre is responsible for verifying the assessment process and ensuring that assessor decisions are reliable. This is done by internal verifiers, and it should happen at regular intervals during a candidate s progress towards an award so that any incorrect decisions or inconsistencies may be put right as soon as possible. Internal verifiers should also make a final or summative check on each candidate s assessments prior to claiming a certificate on their behalf. Internal verifiers should also support assessors, monitor the quality of their performance and arrange for standardisation of assessment. In addition internal verifiers should operate and evaluate the centre s quality assurance systems, and ensure that the centre meets the quality requirements of external auditing organisations. Full and detailed plans and records should be made of all aspects and stages of internal verification. Note: guidance booklets on internal verification Internal verification of NVQs A Guide for Internal Verifiers (March 1998), available from QCA Joint Awarding Body Guidance on Internal Verification of NVQs (2001), available from the City & Guilds The NVQ Code of Practice (2001), available from QCA. 22 Centre guide for Learning and Development Awards (7318 and 7319)
The following is a glossary of terms as defined by Employment NTO. Glossary of terms Action plan: An agreed set of learning and training activities for an individual candidate based on a review of the requirements of the standards contained within a recognised award. It should contain a structured programme of learning experiences within an agreed time frame. Assessment plan: A detailed statement of how and when specific outcomes in the standards will be assessed and by which method(s). It must also provide a clear set of actions to be carried out by the candidate, assessor(s) and any others involved in the process with a timescale attached to each activity. This will be agreed between the candidates and their assessor. Assessment record: A record of which outcomes have been assessed with an indication of the success or otherwise of the outcome. The record must provide details of the candidate and the assessor and the outcomes assessed by which method. The record may be a standardised pro-forma issued by an awarding body, an internal record devised by an organisation or an individual assessors record system. Element/component of an award: A discrete assessable outcome or group of outcomes drawn from a set of national standards within the national qualifications framework. In S/NVQs, this is usually a unit of competence. It must represent a substantive outcome rather than a set of sub-activities and relate to a primary function within the qualification. Endorsed assessment plan: A candidate assessment plan which has been counter-signed and approved by a recognised assessor. The endorsement can relate to both the initial agreed plan and to all/any subsequent modifications to the plan in the light of progress and assessment activities. There should be a clear indication of how and why the original plan has been altered and a new set of agreed actions with a timescale produced. External auditing and sampling: An agreed set of activities by which internal assessment decisions are monitored, and checked for intra-assessor and enter-assessor accuracy and consistency. It also includes the review of internal standardisation processes to ensure the quality of assessment decision and support provided to assessors and others. It is normally a formalised process defined by an awarding body recognised by the Regulatory Authorities or other appropriate agency. It will contain procedures for identifying the frequency, level and coverage of the sampling of assessment decisions within and between recognised centres. Centre guide for Learning and Development Awards (7318 and 7319) 23
Internal quality assurance and standardisation of assessment: An agreed set of activities by which internal assessment decisions by different assessors are monitored and reviewed. This includes specific arrangements for ensuring the selection of suitable assessors, their induction and training in relation to specific standards and their use of appropriate assessment methods which are valid in relation to the standards being assessed. It will also include specific arrangements for the standardisation of assessment decisions between different assessors and monitoring the consistency of a single assessor s judgements over time and with a number of candidates (if appropriate). The overall quality assurance system must be endorsed by the organisation and be acceptable to the body responsible for external quality assurance of the assessment process. Professional discussion: A structured review of practice conducted between an assessor or verifier and a person making a judgement on their competence which identifies and explores key aspects of competence not readily manifested by product evidence. The specific areas of activity to be explored must be clearly identified and agreed in advance as must the methods by which the discussion will be conducted. This could be via a presentation followed by questioning, what-if questioning to cover contingencies or the use of scenarios to explore practice (or other forms of mutually agreed processes). The common evidence requirements clearly state which aspects of competence are to be covered by each professional discussion and these must form the basis of the exchange. The purpose of the discussion is to probe the level of competence of the individual and to be certain that their actions are based on a firm understanding of principles which support practice. Thus the questioning will normally centre on the reasons for selecting specific actions, the alternatives considered and the factors taken into consideration as well as an evaluation of successes and failures and learning points for the future. The outcomes of the professional discussion should be captured by means of audio/videotape, written summaries and evidence of structured questioning (eg question checklist or structured interview schedule). Progress reviews: Formal or semi-formal meetings between assessors and candidates to identify progress within an agreed action plan and achievements against an agreed assessment plan. They should identify areas of success and identify where additional learning and training opportunities are needed and how they will be provided, by whom and when. They also provide opportunities to identify the next stages in the assessment process and the re-development of an assessment plan for the completion of the qualification. 24 Centre guide for Learning and Development Awards (7318 and 7319)
Sampling framework/strategy: The methods to be used by external verifiers to monitor the quality of assessment decisions and internal quality assurance within a recognised centre using agreed procedures set down by an external awarding body. It will provide details of the level, nature and frequency of external reviews of assessment decision, by assessor, by type of evidence, by numbers of candidates and by type of centre, depending upon the requirements of the qualification. It will meet the requirements for sampling imposed by appropriate external agencies and the specific monitoring regimes set down by a recognised awarding body. Systems documentation: These documents are used by an assessment centre for recording all appropriate assessment decisions and internal quality assurance auditing processes. This will include records of candidates, their action plans, their assessment plans and the outcomes of progress reviews. It will also include details of assessor selection, induction, standardisation and support as well as the written outcomes of internal quality auditing and reviews. The documents used within the system can be designed by the recognised assessment centre or be those required and produced by recognised awarding bodies. Centre guide for Learning and Development Awards (7318 and 7319) 25
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Appendices Appendix A Exceptions table Appendix B Occupational competence of assessors Appendix C Occupational competence of internal verifiers Appendix D Occupational competence of assessors and internal verifiers for the Health and Safety D unit Appendix E Occupational competence of advisers, assessors and internal verifiers for the units imported from the management standards Appendix F Accreditation of prior achievement Appendix G Key Skills signposting Centre guide for Learning and Development Awards (7318 and 7319) 27
Appendix A Exceptions table Element/criterion Preferred form of assessment L5.1 h) Assessor questioning using hypothetical context L5.2 d) Assessor questioning using hypothetical context L6.1 c) Assessor questioning as to alternatives considered L7.1 e), f) Candidate presentation of ILT alternatives considered L7.2 h) Assessor questioning of selection of materials against equality and diversity criteria L7.2 i) Assessor questioning on checks conducted to ensure training facilities meet HSEP requirements L8.3 e) Assessor questioning using hypothetical context L9.3 c), d), e), f) Assessor questioning using hypothetical context L12.2 b) Candidate presentation of ILT alternatives considered L13.1 e), g) Assessor questioning using hypothetical context L1 5.2 d) Candidate presentation of ILT alternatives considered L15.2 h) Assessor questioning using hypothetical context C 13.1 h) (MSC) * Assessor questioning using hypothetical context *Special note: In one of the full multi-unit awards there is one unit (which is imported from the management standards) where the use of simulation is allowed for one performance criterion. This is unit C13 and performance criterion (h). However, to avoid the inclusion of simulation in the learning and development award it is required that, for candidates who do not have performance or product evidence for this criterion, it should be treated in the same way, as the exceptions listed in the exceptions table in the assessment guide. C13(h) has, therefore, been added to this exceptions list. 28 Centre guide for Learning and Development Awards (7318 and 7319)
Appendix B Occupational competence of assessors Assessors All assessors selected by centres must have sufficient occupational competence to ensure an up-to-date working knowledge and experience of the principles and practices specified in the standards they are assessing. Sufficient occupational competence is defined as: having held a post for a minimum of one year within the last two years which involved performing the activities defined in the standards as an experienced practitioner; or being an experienced trainer or instructor of at least one year s standing in the competence area of the standards; And for both of the above: having demonstrated updating within the last year involving at least two of the following activities: work placement; job shadowing; technical skill update training; attending courses; studying for learning and development units; study related to job role; collaborative working with Awarding Bodies; examining; qualifications development work; other appropriate occupational activity as agreed with the internal verifier. All assessors will have a sound working knowledge of the content of the standards they are assessing and their assessment requirements. All assessors will either: hold the relevant qualification for assessors of national occupational standards or have a development plan indicating progress towards that qualification. Note: Assessors of Assessor-candidates are required to have achieved their relevant Assessor unit(s) before they can start to assess Assessor-candidates. Similarly, Assessors of Internal and External Verifier candidates need to have achieved their own Assessor and Verifier Units before they can start to assess Verifier-candidates. Centre guide for Learning and Development Awards (7318 and 7319) 29
Appendix C Occupational competence of internal verifiers Internal verifiers All internal verifiers will have sufficient experience of having conducted assessments of the specific national occupational standards they are verifying or in an appropriate and related occupational area. Sufficient occupational competence is defined as: having been an assessor for the standards being assessed, or for a set of standards in a related occupational area, for a minimum of one year within the last two years; and having demonstrated updating within the last year involving at least two of the following activities: attending Awarding Body verification training courses; studying for learning and development units; study related to job role; collaborative working with Awarding Body; qualifications development work; other appropriate occupational activity as agreed with the external verifier. All internal verifiers will have direct responsibility and quality control of assessments of the occupational standards or the quality assurance of the assessment process within an assessment centre which has been approved by an Awarding Body. All internal verifiers will have a sound working knowledge of assessment and verification principles as defined in the national standards for internal quality assurance and the particular internal verification requirements. All internal verifiers will either: hold the relevant qualification for internal verifiers of national occupational standards or have a development plan indicating progress towards the qualification. Note: Internal Verifiers of Assessor-candidates are required to have achieved their Internal Verification unit before they can start to internally verify Assessorcandidates. Similarly, Internal Verifiers of Internal and External Verifier candidates need to have achieved their own Assessor and Verifier Units before they can start to internally verify Verifier-candidates. 30 Centre guide for Learning and Development Awards (7318 and 7319)
Appendix D Occupational competence of assessors and internal verifiers for the Health and Safety D unit In order to ensure a suitable level of occupational competence there are special additional requirements for those who assess and verify the Health and Safety D unit. These are: Either hold the Health and Safety D unit or hold a suitable qualification in Health and Safety, eg a NEBOSH certificate or an equivalent qualification which certifies that at least 80 hours of Health and Safety has been studied and that the holder has been formally examined by a recognised body, and at least two years full-time experience in Health and Safety work (or a pro-rate equivalence in part-time work) within the last five years. Centre guide for Learning and Development Awards (7318 and 7319) 31
Appendix E Occupational competence of advisers, assessors and internal verifiers for the units imported from the management standards Most of the units in the learning and development suite of awards are under the jurisdiction of the learning and development assessment strategy. These units are all coded either: L for learning A and V for assessment and verification G for generic, or H&S for health and safety P for personnel. However, there are 2 units which have been imported from the management standards and these are subject to additional assessment criteria from the management assessment strategy. Both these units are optional and only applicable to the Level 4 Management of learning and development provision award. The units with the relevant additional assessment criteria are supplied below: B3 Manage the use of financial resources C13 Manage the performance of teams and individuals For these 2 units the assessor should NOT be the person who has acted as adviser to the candidate the management standards are operated under a model which separates the adviser and assessor roles. Assessors for these 2 units must have the following, in addition to the requirements detailed on the assessor schedule in this guide: a suitable qualification in support of a management job at the appropriate level/specialism or training, development and experience as an adviser or assessor in the relevant managerial area and at least 2 years experience and working knowledge of the operational and assessment processed for management S/NVQs and at least 2 years relevant and credible management experience within the last 5 years and a good understanding of current management practice 32 Centre guide for Learning and Development Awards (7318 and 7319)
Advisers for these 2 units must have the following: a suitable qualification in support of a management job at the appropriate level/specialism or training, development and experience as an adviser or assessor in the relevant managerial area and a development programme or CPD portfolio showing experience and working knowledge of the operational and assessment processed for management S/NVQs, and suitable advisory/review units or awards and at least 2 years relevant and credible management experience within the last 3 years and a good understanding of current management practice Internal verifiers for these 2 units must have the following, in addition to the requirements detailed on the assessor schedule in this guide: a suitable qualification in support of a management job at the appropriate level/specialism and at least 2 years experience and working knowledge of the operational and assessment processed for management S/NVQs and at least 2 years relevant and credible management experience within the last 5 years and a good understanding of current management practice Centre guide for Learning and Development Awards (7318 and 7319) 33
Appendix F Accreditation of prior achievement If candidates already hold any of the old training and development units (which are similar to the ones which make up this award) they will not be able to claim accreditation of prior achievement as the old and new units differ slightly. However, some of the work done to achieve the old unit may still be relevant to the new unit, so this should be treated like current or recent experience and negotiated with the assessor for accreditation of prior learning for the relevant part of the new unit (see section on accreditation of prior learning on page 17.). If candidates already hold any of the revised national standards in learning and development which make up this award they will not be required to repeat them, instead they should submit the original unit certificates to the assessor who will request accreditation of prior achievement status for the units on their behalf. However, accreditation of prior achievement is only possible for full units from the revised national standards, and for which a candidate has a certificate dated within the last 3 years. The assessor must be sure that competence is current so any claim for accreditation of prior achievement may be subject to some form of testing to ensure that the candidate is still competent in the work of the unit. 34 Centre guide for Learning and Development Awards (7318 and 7319)
Appendix G Key skills signposting for learning and development standards Key Skills define those generic work-related skills that individuals need in order to he effective, flexible and adaptable workers. The Key Skills range from the equivalent of GCSE (D-G) to first degree. Key Skills are not the same as Basic Skills, which are used to determine the ability to read, write and speak English and use mathematics at a level necessary to function and progress at work and in society in general. Key Skills are available in England, Wales and Northern Ireland; Scotland uses Core Skills, which are compatible but slightly different. The attached table signposts the relevant Key Skills against each unit of competence within the Learning and Development Standards. The number in each box relates to the appropriate level of Key Skills. Unit numbers Communication Application of Number Information Technology L1 4 3 3 4 3 4 5 L2 4 3 3 4 3 4 5 L3 4 2 2 4 3 4 5 L4 4 3 3 4 3 4 5 L5 4 2 2 3 2 4 L6 3 2 3 3 2 3 L7 3 3 3 3 3 3 L8 4 2 2 4 2 4 L9 3 2 2 3 2 3 L10 3 2 2 3 2 2 L11 3 2 2 3 2 2 L12 3 2 2 3 2 2 L13 4 3 3 4 3 3 L14 3 2 2 3 2 3 L15 4 3 3 4 3 4 L16 4 2 3 4 3 4 Working with Others Improving Own Learning and Performance Problem Solving Personal Skills Centre guide for Learning and Development Awards (7318 and 7319) 35