Contents: Identifying Past Experiences and Achievements which Contribute to the Assessment Process Planning for Learners with Special Needs Reasonable Adjustments Identifying Reasonable Adjustments Ensure that the Adjustment is in Accordance with Active IQ Guidelines Making Reasonable Adjustments External Theory Assessment Procedures Regulations for External Theory Assessment Arrangements for the Invigilation of External Written Assessment Assessment Accommodation and Equipment Procedures for Examination Papers Compliance with Regulations Assessing Product Evidence How to Carry Out the Observed Assessment What is Feedback?
Why Give Feedback? Barriers to the Feedback Process Writing Feedback Learner Guidance 24 25 26 28 30 31 33 33 33 37 39 40 41 42 47 48 48 48 49 www. activeiq. co. uk © Active IQ 2011 Syllabus www. activeiq. co. uk Level 3 Award in Understanding the Principles and Practices of Assessment Accreditation Number: (QCF) 501/0167/5
Active IQ Level 3 Award in Understanding the Principles and Practices of Assessment Qualification Accreditation No: 501/0167/5 Course Code: Q3ASS1 INTRODUCTION This qualification is intended for those who wish to gain an understanding of the principles and practices of assessment without any requirement to practice as assessors. Guided learning hours: 24 Notional learning hours: 30 3 None None Credit: 3 Minimum credit to be achieved at the level of the qualification: Requirements other than the award of credit which needs to be met before the qualification is awarded: Exemptions:
ENTRY REQUIREMENTS • This qualification is open to all (learners must be 19 years old or over) and have occupational and technical competence in the areas that they wish to assess TARGET LEARNERS: •This qualification is aimed at learners who wish to widen their career pathway and skill set within their chosen sector AIM/OBJECTIVES: • The objective of this unit is to assess the candidate assessor’s knowledge and understanding of the principles and practices that underpin assessment.
PROGRESSION: This qualification provides progression to the following additional assessing qualifications: • Active IQ Level 3 Award in Assessing Competence in the Work Environment • Active IQ Level 3 Award in Assessing Vocationally Related Achievement • Active IQ Level 3 Certificate in Assessing Vocational Achievement Alternatively, it provides progression to Level 4 qualifications in internal quality assurance for learners who wish to further their knowledge and skills and become internal or lead internal verifiers.
www. activeiq. co. uk © Active IQ 2011 4 LINKS TO NATIONAL OCCUPATIONAL STANDARDS Learning and Development NOS Standard 9: Assess learner achievement. REQUIREMENTS FOR ASSESSORS All those who assess these qualifications must: • already hold the qualification (or previous equivalent qualification) they are assessing and have successfully assessed learners for other qualifications;
If assessing quality assurance roles, they must have experience as a qualified quality assurance practitioner of carrying out internal or external quality assurance of qualifications for a minimum of two assessors • have up-to-date working knowledge and experience of best practice in assessment and quality assurance • hold one of the following qualifications or their recognised equivalent:
• the Level 3 Award in Assessing Competence in the Work Environment or • the Level 3 Certificate in Assessing Vocational Achievement, or • A1 Assess candidate performance using a range of methods, or • D32 Assess candidate performance and D33 Assess candidate using differing sources of evidence. • show current evidence of continuing professional development in assessment and quality assurance.
QUALIFICATION STRUCTURE AND UNIT CONTENT This qualification comprises of 1 mandatory unit: Unit 1- Understanding the Principles and Practices of Assessment Successful achievement of the whole unit must be achieved for the full qualification. www. activeiq. co. uk © Active IQ 2011 5 Unit 1 D/601/5313 Level: 3 Unit Title: Understanding the Principles and Practices of Assessment Credit Value: 3 1. Understand the principles 1. 1 explain the functions of assessment in learning and development and requirements of 1. 2 define the key concepts and principles of assessment assessment 1. 3 explain the responsibilities of the assessor 1. 4 identify the regulations and requirements relevant to assessment in own area of practice 2. Understand different types of assessment method 3. Understand how to plan assessment 2. 1compare the strengths and limitations of a range of assessment methods with reference to the needs of individual learners 3. 1 summarise key factors to consider when planning assessment 3. 2 evaluate the benefits of using a holistic approach to assessment 3.
3 explain how to plan a holistic approach to assessment 3. 4 summarise the types of risks that may be involved in assessment in own area of responsibility 3. 5 explain how to minimise risks through the planning process 4. 1 explain the importance of involving the learner and others in the assessment process 4. 2 summarise types of information that should be made available to learners and others involved in the assessment process 4.
3 explain how peer and self-assessment can be used effectively to promote learner involvement and personal responsibility in the assessment of learning 4. 4 explain how assessment arrangements can be adapted to meet the needs of individual learners 4. Understand how to involve learners and others in assessment 5. Understand how to make 5. 1 explain how to judge whether evidence is: assessment decisions •sufficient • authentic • current 5.
2 explain how to ensure that assessment decisions are: • madeagainstspecifiedcriteria • valid • reliable • fair 6. Understand quality assurance of the assessment process 6. 1 evaluate the importance of quality assurance in the assessment process 6. 2 summarise quality assurance and standardisation procedures in own area of practice 6.
3 summarise the procedures to follow when there are disputes concerning assessment in own area of practice 7. 1 explain the importance of following procedures for the management of information relating to assessment 7. 2 explain how feedback and questioning contribute to the assessment process 6 7. Understand how to manage information relating to assessment www. activeiq. co. uk ©
Active IQ 2011 8. Understand the legal and good practice requirements in relation to assessment 8. 1 explain legal issues, policies and procedures relevant to assessment, including those for confidentiality, health, safety and welfare 8. 2 explain the contribution that technology can make to the assessment process 8.
3 evaluate requirements for equality and diversity and, where appropriate, bilingualism in relation to assessment 8. 4 explain the value of reflective practice and continuing professional development in the assessment process Worksheet or Professional Discussion Assessment This qualification is comprised of the following unit: www. activeiq. co. uk ©
Active IQ 2011 7 Specific Assessment Guidance www. activeiq. co. uk Level 3 Award in Understanding the Principles and Practices of Assessment Accreditation Number: (QCF) 501/0167/5 Qualification Overview and Unit Assessment Guidance This unit is assessed via a worksheet or professional discussion This worksheet is within the learners L. A.
P and consists of 26 questions. There is a maximum of 77 marks to be achieved. The learner must achieve 66 or more to pass; however a minimum of 1 mark must be achieved for each question unless otherwise stated below • a minimum of 4 marks must be achieved for question 2 • a minimum of 10 marks must be achieved for question 5 • a minimum of 3 marks must be achieved for question 16 • a minimum of 4 marks must be achieved for question 17 • a minimum of 3 marks must be achieved for question 23 www. activeiq. co. uk © Active IQ 2011 9 Unit number: D/601/5313 Sample answers for – Understanding the principles and practices of assessment Worksheet 1.
Explain the functions of assessment in learning and development Assessment is an informed decision as to whether another person is competent or not yet competent, based on a range of relevant evidence and the required standards Assessment is to judge the performance of learners in education and training so that qualifications may be awarded 2 marks 2. Define the following four key concepts and principles of assessment Validity Assessment should be explicitly designed to measure learner achievement of the intended learning outcomes, and all intended learning outcomes must be assessed in a summative manner in addition to ongoing formative assessment.
Assessors must always ensure what has been planned to assess is relevant to the learning outcomes that will be assessed. For example, evidence of work carried out in a kitchen would be inappropriate evidence for someone working in a gym environment. Authenticity Always ensure that the evidence is the learner’s own work.
Check handwriting, signatures and question the learner on the content of the evidence. Alternatively, ask the learner’s line manager or colleague to authenticate the evidence. Photocopies should not be accepted and work must be completed in pen as opposed to pencil. All IT produced evidence should be authenticated with a signature and date it was produced.
Reliability Assessors need to ensure that the level of consistency that is necessary for assessment is reliable, in that the same result would be achieved if the assessment was repeated. Assessors need to ensure that judgements are made on an objective basis that promotes a clear basis for assessment of learner performance.
Based on the requirements of the learning outcome/s assessors need to set clear expectations for the learner, detailing what is required of them in order to meet the outcomes. Sufficiency An assessor must ensure there is sufficient evidence to be able to make an informed judgement/ assessment decision. For example, seeing someone cash up a till correctly on one occasion, may not prove they can do it consistently over a period of time.
However, if observed on a regular basis or if credible witness testimonies have been gained, an assessor can be assured there is sufficient evidence to sign off those criteria / learning outcomes. 4 marks (a minimum of 4 marks required) www. activeiq. co. uk © Active IQ 2011 10 3.
Explain three responsibilities of an assessor • the primary role of an assessor is to make an informed assessment decision as to whether another person is competent or not yet competent, based on a range of relevant evidence and the required standards • the assessor should provide an independent, unbiased evaluation and should treat all learners equally • they must be technically competent within the subject area and be familiar with the qualification, the learning outcomes and evidence requirements that the learner is being assessed against in order to ensure consistent, fair, reliable and valid assessment decisions are made 3 marks 4.
Outline three regulatory requirements that are relevant to assessment. • Requirements set by awarding organisations (AO) (e. g. Active IQ) – Once a qualification syllabus and assessment strategy is approved, it is the responsibility of the AO to ensure that training providers, tutors and assessors abide by the qualification specification / syllabi. You cannot change the assessment methods in any way.
Training providers must have an Internal Verifier strategy which shows they will ensure qualifications are delivered and assessed in line with the qualification specifications. The Internal Verifier is responsible for liaising with the AO who will appoint an External Verifier who will visit the training centre and check that the regulatory requirements are being met • Requirements set by Skills Active – the Sector Skills Council (SSC) for the Active Leisure, Learning and Wellbeing Sector. Skills Active’s role is to create a framework of qualifications, training and continuous professional development based on industry requirements and standards.
It must ensure that employers and learners can access the right qualifications, based on those national occupational standards that have been designed by employers and SSCs, ensuring their workforce is appropriately trained and qualified • Requirements set by OfQual – the Office of Qualifications and Examinations Regulation – Ofqual are responsible for: • maintaining standards in qualifications and assessments.
• raising awareness of any issues while maintaining public confidence in the qualifications system • ensuring the qualifications industry is as efficient as possible Ofqual will regulate qualifications and the awarding bodies or organisations that award them against nationally established regulatory criteria. Requirements set by legislation e. g. • Health and safety • Equality and diversity • Data Protection 3 marks www. activeiq. co. uk © Active IQ 2011 11 5.
Complete the following table comparing the strengths and limitations of a selection of assessment methods Assessment method Observation Strength Most authentic and reliable form of evidence as the assessor can see the skills the learner has within a suitable environment.
Good way to assess knowledge and previous experiences Learner can show evidence of workplace products and these can then be left in the workplace Limitation Often difficult to arrange and learner may give exemplary performance as they know they are being watched Learner may be nervous especially if being recorded with a dictaphone Assessor will need to signpost work evidence Evidence may not have been produced by the learner Often take a long time to complete There needs to be enough detail in the testimony and the witness needs to be occupationally competent.
Professional discussion Examination of product Case study Witness testimony Learners can include great detail to meet assessment criteria Witnesses can carry out observations and write testimonies that relate to assessment criteria Witnesses may be more experienced than assessors for certain criteria Learners can write statements to show how they meet the specific assessment criteria Personal statement Can take a long time to do and difficult for speakers of other languages and learners with additional learning needs 12 marks (a minimum of 10 marks required) 6.
Briefly summarise four key factors to consider when planning an assessment • the learner must be involved in the planning for assessments and they must agree with the plan • plans must be clear and must cover as many criteria/learning outcomes as possible – holistic assessment • plans should cover a variety of different assessment methods • plans must include agreed assessment dates, signatures, details of any other people involved and any actions that need to be completed 4 marks www. activeiq. co. uk © Active IQ 2011 12 7.
Outline three advantages of using a holistic approach to assessment • less work for the learner and assessor • more criteria can be covered in one assessment • the assessment can be planned to cover a variety of assessment methods 3 marks 8.
Explain how to plan a holistic assessment Consider the learner’s real life work environment and discuss with the learner the assessment criteria that need to be covered. Find out the most naturally occurring evidence that may be available. Plan to observe the learner and follow this up with a professional discussion to meet any additional assessment criteria. Also plan to look at any product evidence that naturally occurs during the observation. Also plan to talk to customers / managers. This will cover all assessment criteria and a variety of assessment methods 3 marks 9.
Outline two risks that an assessor needs to consider when planning an assessment • the assessor needs to consider any health and safety implications of their plan – e. g.observing learners in a pool plant room or on poolside – all procedures need to be adhered to • assessors need to ensure their learners are not disadvantaged in any way and be aware of any special considerations or equal opportunity issues that may arise 2 marks 10. Considering the risks at Question 9, how can an assessor reduce these through the planning process? • ask the learner’s manager if an observation can be carried out.
Obtain the relevant safety and emergency procedures for the area • assess any additional learning needs the learner has and implement any support that is needed, discuss equal opportunities with the learner 2 marks 11. Why is it important to involve the learners in the planning process? The learner needs to understand what the assessment process entails and they need to know what is required of them.
If they are involved with the planning they may have ideas of what evidence is available to meet the required criteria 1 mark www. activeiq. co. uk © Active IQ 2011 13 12. Why is it important to involve others in the planning process? Give two examples of who you could include It is essential to involve others in the planning process to get different points of view on the learner’s performance– especially if they work with or see the learner regularly in the workplace.
A manager or customers can be involved on the assessment process to provide supplementary evidence to support the assessment process 3 marks 13. What types of information should be available to learners and others involved in the assessment process?
Copies of the units, learning outcomes and assessment criteria that are being assessed Learning agreements / Individual learning plans An outline of the learners / employer and assessors responsibilities Copies of assessment plans – dates for assessments Evaluations of assessments 2 marks 14. Explain the importance of self-evaluation and peer evaluation in the assessment process An essential part of being an efficient and professional assessor is the ability to evaluate their own performance. Self-evaluation allows us to identify ways in which future assessments can be improved and to explore ways to progress planning and assessment skills.
Part of the evaluation should also look at how safe and effective the planned assessments were in relation to the aims. Reviews should include feedback from the learners to determine how well the planning and assessments matched their needs and motivational requirements.
Assessors can identify key areas for improvement when evaluating their own performance, and select just one or two areas that they can work on. Feedback from your peers is another useful and constructive means of progressing assessment skills. An experienced assessor or IV can offer suggestions to further improve assessment techniques and identify strengths within the role. All aspects of the evaluation should be recorded in order to assist continued professional development. 2 marks www. activeiq. co. uk © Active IQ 2011 14 15. Give two examples of how assessment arrangements could be adapted to meet the needs of individual learners • agreeing that a learner can keep writing to a minimal when they have dyslexia and struggle with the written word.
An assessor can rely mainly on observation and professional discussion methods when this is the case (this will need to be agreed with the AO) • if a learner has a disability, for example, that means they are in a wheel chair , adapting the assessments to ensure that the learner is not disadvantaged in any way. Include the learner in the planning process. If the learner is studying for a gym qualification it may be that the learner is observed on the adapted equipment in the gym and the observation checklist is adapted for this (this will need to be agreed with the AO using their reasonable adjustment policy) 2 marks 16. How would you judge evidence to ensure it was sufficient, authentic and current?
Sufficient: there needs to be evidence from more than one occasion and over a period of time to show sufficiency (Suggest 1 month between observations / assessments) Authentic: the learner needs to have signed (validated) the evidence and explained it to the assessor to prove that it has been produced by them Current: the evidence needs to have been produced recently (the AO will have guidance on how current evidence needs to be) and usually within the last year. Old evidence cannot be used to show current competency. 3 marks (a minimum of 3 marks required) www. activeiq. co. uk © Active IQ 2011 15 17. How would you ensure that assessment decisions are: made against specified criteria, valid, reliable and fair?
Made against specified criteria: the assessor needs to have a copy of the units / learning outcomes and assessment criteria they are assessing against and to ensure that they understand these criteria. They also need the evidence requirements and any additional guidance from the AO. The assessor needs to be occupationally competent and recognise what evidence is needed to meet the requirements within the qualification Valid: assessment decisions need to be recorded against the criteria and signed and dated. The correct assessment method needs to be chosen by the assessor to assess competency. The validity of the assessment decision is down to the competence of the assessor.
Reliable: assessors need to ensure that they are following the same learning outcomes and assessment criteria for all learners and that if the assessment was repeated the same criteria are used. Feedback should always relate to the assessment criteria and not be the assessor’s own opinion. Fair: the assessor needs to ensure that all learners have been assessed in the same manner (apart from learners who may require any reasonable adjustments) against the same standards and that any appeals or grievances have been addressed following the correct procedure. The IV will ensure this is in place and judge assessors accordingly. 4 marks (a minimum of 4 marks required) 18. Explain the importance of quality assurance of the assessment process All assessors must work to a standardised level of assessment practice.
The Internal Verifier will provide regular standardisation training activities for the team of assessors to encourage standardisation of assessment practice and qualifications. An IV needs to feel confident that if any of the team of assessors were to assess a learner, they would all make the same assessment decision. 2 marks 19. Outline the quality assurance procedures that are in place in your own area of practice IV observations of assessments IV interviews learners IV samples in line with the IV strategy, all assessment decisions across all learners and across all units and assessment methods. IV leads standardisation training IV liaises between the training provider and AO 3 marks www. activeiq. co.uk © Active IQ 2011 16 20.
Outline the procedure if there are disputes concerning the assessment process An appeals procedure generally comprises the following four stages: Stage 1 – the learner should make the appeal through the centre’s appeals system via the IV or centre contact. If the appeal is unresolved at this level, the learner should be advised of the next stage for appeal. Stage 2 – the centre should contact the AO’s EV who will attempt to resolve the appeal. If the EV fails to resolve the appeal, the learner should be advised of the next stage for appeal. Stage 3 – a written appeal should be made by the learner directly to the AO.
They will then carry out an investigation and respond to the learner in writing within a set time frame, as set out in their appeals procedure. Stage 4 – The learner will be offered a formal appeals hearing. This is generally conducted within 6 weeks and is conducted by the appeals panel which usually comprises: • an independent appeals board member • a Director of the AO • the lead verifier of the AO • a senior management representative from the centre • a chairperson employed by the AO 3 marks 21. Why is it important to follow procedures for the management of information relating to assessment? It is important that assessors ensure that information is accurate and secure (in line with data protection) to ensure there is a clear audit trail.
Assessors should have a method for record keeping and have copies of all important information. The learner should always have a copy of all their assessment results, which are also held in the centre files. The IV will also check to ensure the paperwork has been completed in line with the AO’s requirements. All documentation relating to the delivery and assessment of qualifications must be made available for inspection by the EV or regulatory authorities and therefore it is important that this can be located with ease. 1 mark www. activeiq. co. uk © Active IQ 2011 17 22. How does feedback and questioning contribute to the assessment process?
Feedback – Effective feedback is essential in assessment practice. It should aim to give the learner clear and constructive guidance on what has been achieved and areas which require further development. Feedback should be used to: • influence learners to do something differently, or to change their approach • recognise and reward effort • improve the quality of the work they do • build and maintain relationships • influence motivation • manage performance Learners are more likely to be motivated to change and / or improve performance if the assessor shows they have seen, heard and understood them and are offering to support them as they change.
Learners need clear and unambiguous information to help them meet or surpass the learning outcomes. Questions – The use of questions (oral or written) is the main method for establishing whether the learner has the knowledge and understanding required to underpin a particular qualification or unit of qualification. This is vital as, without knowing what exactly he or she is doing, or why and what the possible alternatives are, there is little chance that a learner will be able to transfer any skills from one situation to another. Questions, should be recorded, signed and dated by both parties, to authenticate and validate the evidence. 4 marks 23.
Explain how you would address the following legal requirements regarding information collected during the assessment process (use knowledge of your workplace policies and procedures in your answer) Confidentiality: As an assessor it is important to understand the need for strict security of learner data and assessment results. Assessors have a responsibility to ensure the security and confidentiality of assessment materials and records, including examination questions papers, examination scripts, records of marking, and portfolios of evidence, before, during and after the assessment has taken place. Any breach in security must be reported to the AO immediately.
Health and safety: An assessor should always carry out a risk assessment on their learners and the assessment environment. The assessor should be aware of the Health and Safety policies and procedures in the learners’ workplace and adhere to these. They should also look out for any new risks that may present themselves during the assessment process. These should all be documented. Welfare of the learner: This is prime consideration at all times. The assessor should risk assess and also utilise ways of discovering any support the learner may need (either questionnaires or verbal (recorded) questioning). If at any point the assessor thinks that the welfare of the
learner may be affected this should be reported to the relevant person within the training provider. An example of this would be bullying in the workplace. The confidentiality of the learner must always be considered. 3 marks (a minimum of 3 marks required) www. activeiq. co. uk © Active IQ 2011 18 24. Give two examples of how technology contributes to the assessment process The assessor can record professional discussions with a Dictaphone The assessor can send assessment plans and updated assessment records via e-mail or through an ICT based e-portfolio package 2 marks 25. What are the requirements for equality and diversity and, where appropriate, bilingualism, during the assessment process?
All training providers and workplaces will have a policy regarding equality Assessors should not treat one learner less favourably than another learner because of: • gender • marriage or civil partnership • gender reassignment • pregnancy and maternity leave • sexual orientation • disability • race • colour • ethnic background • nationality • religion or belief • age 2 marks www. activeiq. co. uk © Active IQ 2011 19 26. Why is continual professional development (CPD) and reflective practice important for an assessor? Importance of CPD: In order to progress your skills and career opportunities it is important that you are able to continually up-date and develop.
Personal development will not only enhance your skills to enable you to perform your job role more effectively, but it will also give you the opportunity to widen your career aspirations and prospects. Benefits of CPD: • build confidence and credibility, you can see your progression by tracking your learning • earn more by showcasing your achievements.
A handy tool for appraisals • achieve your career goals by focusing on your training and development • cope positively with change by constantly updating your skill set • be more productive and efficient by reflecting on your learning and highlighting gaps in your knowledge and experience • Importance of reflection on learning • to accept responsibility for your own personal growth • to help you see a clear link between the effort you put into your development activity and the benefits you get out of it • to help you see more value in each learning experience, by knowing why you’re doing it and what’s in it for you • to help you learn ‘how to learn’ and add new skills over time 2 marks.
RESULT /77 66 marks are required for a pass however a minimum of 1 mark must be achieved for each question unless otherwise stated below; • a minimum of 4 marks must be achieved for question 2 • a minimum of 10 marks must be achieved for question 5 • a minimum of 3 marks must be achieved for question 16 • a minimum of 4 marks must be achieved for question 17 • a minimum of 3 marks must be achieved for question 23 www. activeiq. co. uk © Active IQ 2011 20 General Assessment Guidance www. activeiq. co. uk.
Level 3 Award in Understanding the Principles and Practices of Assessment Accreditation Number: (QCF) 501/0167/5 Assessment Best Practice The Three Stages of Assessment Planning It is essential that all assessments are planned involving the learner. Learners need to know when the assessment will take place, where it will take place and at what time. The learner also needs to be fully informed of what is being assessed and what form this assessment will take. The vital element the learner needs to know is what they have to do to prepare and be ready for their assessment. E. g. practicing practical aspects or preparing planning documents, answering worksheets etc. The learner needs to agree the plan.
The plan needs to be in written format so that any changes and updates can be logged. Assessment Before an assessment the learner needs to be briefed on how the assessment will be run, e. g. how the practical observation will be carried out, theory exam procedures, open book exams etc so that they are clear on what is expected of them. This also gives an opportunity for any questions. The assessment is then carried out as agreed and planned. Feedback After the assessment takes place feedback should be given so the learner knows how they have done. This may be written and/or verbal. If they have referred on any aspects they will need a new plan to ensure they achieve. www. activeiq. co. uk © Active IQ 2011 22 Planning.
The assessment process starts with planning between the assessor and the Learners. The plan needs to clearly detail what is to be assessed, how it will be assessed and all parties involved. The Learners should have clear direction as to the evidence they need to present and be fully prepared for the assessment. The assessor should agree the plan with the Learner and explain the performance criteria against which they are to be assessed. The Learner must agree the plan and it must be signed and dated by both the assessor and the Learner to confirm agreement. On a fitness instructor course, for example, all the Learners will be required to present.