A Good Practice Guide on Assessment for Assessors

Introduction and Scope

This is good practice guide on assessments has been put together to assist new and existing
assessors understand the requirements of conducting assessments in NVQ ‘s

The principles that are embodied in this document can be applied to VQ's. Where a decision
is taken to use this guidance for other VQs the reader is recommended to also review
requirements that are specific to that award and Standards.

Throughout this document reference is made to the `Standard’, where such references are
made this should be interpreted as referring to the requirements of the Awarding Body.

The use of this document on its own for the assessment of candidate’s work is not sufficient
and the relevant sections of the Standards must be used. In addition, it is also possible and
likely that the Awarding Body will also have produced additional guidance on the assessment
process that must be followed.

This document is not and should not be used as a substitute or replacement of the need to
refer to refer to other existing published materials on the Assessment process’s for NVQ’s.
This document can however be used to supplement and support such publications.

To provide additional support and guidance several examples of materials that can be
supplied to candidates to assist them in understanding the requirements of the Standards are
provided in the Appendices. There is no actual requirement to use any of the attached
materials and assessors are actively encouraged to develop their own additional materials to
assist candidates in the development of their own portfolio’s.

While it is not the actual intention to provide the whole of this document to all candidates
some assessors may find that there may be merit is giving a copy to individual candidates.
The key thing to remember is that all new candidates will already have a significant amount of
background reading to do already.

For ease of use and reference this document has been separated into the key areas of the
assessment process. While it is hoped that assessors will read this document in its entirety
from cover to cover initially, the intention is that it will be used more as a reference document.

All the views expressed in this document have been distilled information and process’s that
have been explored over the last 25 years of assessing and verifying NVQ in a wide range of
subjects. This experience has led to the belief that while the principles of assessing VQ’s at
any level remain the same, with the Levels 4 to 7 Awards there are significantly different
approaches that must be considered in order to ensure that candidates gain the maximum
learning benefit from completing this level of awards.

These principles are explained in more detail within the various sections of this document.

While this document does provide comprehensive guidance on the assessment process
assessors are still actively encouraged to challenge all the suggested approaches. This must
be regarded as a living document and not a ridged model.

If you feel that improvements in any part of the document can be made, please feel free to
discuss them with the GRS Group HSEQ Specialist.

It is worth remembering that assessors are the guardians of the Standard who should be
constantly looking to maintain and where appropriate improve on the robustness of the
assessment process.
.

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Contents

1.0 PRINCIPLES OF ASSESSING EVIDENCE 4

Validity 4

Sufficiency 4

Authenticity 5

Currency 5

Transferability 5

2.0 PROCESS OF ASSESSMENT 5

Introduction 5

Were does assessment begin? 5

What are the stages in the assessment process? 6

3.0 INITIAL ASSESSMENT 6

Candidate selection 7

Development planning 8

Opportunities to put these skills and knowledge into practice and to provide 9
experience across the totality of the functional standards and the range

4.0 FORMATIVE ASSESSMENT 9

Portfolio Building 9

Contents Page 10

Introduction to the portfolio 10

Evidence matrix 10

Organisational context 10

Narrative 10

Supporting Evidence 12

5.0 PRODUCTS OF ACTIVITIES 12

Observation 12

Work based assignments 13

Simulation 13

Questioning 13

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Witness testimony 13

6.0 SUMMATIVE ASSESSMENT 14

Assessment planning 15

Assessing the portfolio of evidence 15

Providing Constructive Feedback 16

7.0 QUALITY ASSURANCE OF ASSESSMENT 16

Awarding Bodies 16

External Verifiers 17

Approved Centres 17

Internal Verifiers 17

Assessors 17

Advisors 17

8.0 HELPFUL HINTS IN ASSESSMENT 18

Assessors must avoid 18

9.0 THE BENEFITS AND PITFALLS OF COMPETENCE BASED ASSESSMENT 19

10.0 GETTING TO KNOW THE STANDARDS 20

Interpreting the Functional Standards 20

11.0 APPENDICIES 21

Layout of Portfolio’s – A General Guide for Candidates 22

Writing a Narrative or a Storyboard - A Guide for Candidates 25
Example Storyboard 27
Example Element Summary Sheet 33
Example NVQ Progress Sheet 35
Example Assessment Plan 36
Example Candidate Feedback Form 37
Standardisation Requirements 38
References and further reading 39

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1.0 PRINCIPLES OF ASSESSING EVIDENCE

Regardless of the subject matter being assessed there are several exempted principles that
apply to the assessment of any evidence. Evidence needs to be:

 Valid

 Sufficient

 Authentic

 Current

 Transferable.

When assessing evidence or advising candidates on the collection of evidence assessors

need to keep these principles firmly in mind

Validity

Assessors need to ensure that the evidence being presented is appropriate and relevant to
the unit, element and performance criteria being assessed. Evidence which comes from real
working environments which reflects both the candidate’s performance and their knowledge
and understanding is highly valid evidence.

Evidence from simulations, role-play is, case studies etc have a lower level of validity and can
only be used as additional evidence where there is insufficient evidence from performance
above.

Note: Within a significant number of Standards simulations is not regarded as being valid
evidence and therefore it cannot be accepted under any circumstances.

Sufficiency

Accepted principles governing sufficiency of evidence state that the overall evidence
presented for each element should:

 Include performance evidence for each element.

 Demonstrate that the candidate has the knowledge and understanding specified for
the element and is able to apply it

 Satisfy all performance criteria consistently.

 Cover all aspects of the range of each element as specified in the evidence
requirements

 Ensure that the candidate’s competence is current the time of assessment

 Conform to the specified evidence requirements.

Sufficiency does not necessarily imply quantity in fact a small amount of high-quality
performance evidence is likely to be sufficient in many cases, to allow the assessor to judge
its relevance to the standards and its currency, authenticity, and transferability.

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Authenticity

Assessors need to be sure that the evidence presented is the work of the candidate. There
are two questions to be considered when checking the evidence is authentic.

 Is this the candidates own work?

 If produced as part of a team activity, what part did the candidate play?

If the activity is part of the candidate’s responsibility, but the evidence is not produced directly
by them, the assessor needs to be clear about who and what is being assessed.

Currency

Assessment is concerned with demonstrating where the candidate is competent now and is
likely to continue to be so in the future especially when encountering new situations.
Therefore, where possible, performance evidence should be drawn from current activities.

Commonly, however candidates request the assessment of historical evidence by a process

usually known as the accreditation of prior learning (APL) or the accreditation of prior
achievement (APA). This can result in good performance evidence if handled sensitively and
is used constructively in the assessment of candidates who have changed employers.

In cases where historical evidence is being considered the following questions need to be
asked:

 Why is there no current evidence?

 Is the candidate currently involved in the task?

 Is the historical evidence still valid?

The assessment process must ensure that evidence presented demonstrates current
competence. If employment practices, legal requirements and expectations have changed
significantly the performance demonstrated through the historical evidence may not prove
current competence.

Transferability

The assessor needs to be satisfied that the candidates’ performance is not limited to only one
context or occasion. It is important that the evidence put forward by candidates gives the
assessor a picture of their ability to apply knowledge and understanding and the overall
competence across and between different contexts and situations.

The awards of NVQs and SVQ’s are to National Standards and reflect that the candidate is
the holder of a transferable competence.

2.0 PROCESS OF ASSESSMENT

Introduction

Were does assessment begin?

Competency-based assessment is about making a holistic decision as to whether a candidate

is competent, although formal assessment takes place at the point at which the candidate
submits his/her portfolio of evidence. Good practice and experience suggest that informal
assessment should be carried out at various stages and starts with a review of a candidate’s
current position and needs.

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What are the stages in the assessment process?

The assessment process may be seen as having three stages.

1 Initial Assessment (informal)

The process used to identify appropriate vocational qualification candidates,

their levels and training and development needs.

2. Formative Assessment (informal)

Ongoing assessment that provides advice and guidance to the individual

candidate on their development and feedback about the evidence being
gathered

3. Summative Assessment formal

Final assessment of the candidate’s competence. This will be demonstrated

from the submission of a portfolio of evidence.

Experienced advisers and assessors recognise the importance of, and pay due regard to,
each of the three stages thereby minimising the need for further work at the final stage.
a de-motivating and costly exercise for all involved.

These guidelines reflect this approach as good practice and consider fully each stage of the
process.

3.0 INITIAL ASSESSMENT

Candidate selection

Any program will start with the recruitment and selection of candidates. It is critical for the
success of the program to help candidates select the right level of qualification.

As with all VQs it is the candidates job role which determines the level that a candidate can
achieve. Although candidates may seek to work at the `highest level’, if the job itself is not at
this level the candidate cannot achieve the award unless special working arrangements can
be made. Unit certification is, however, an option, and this is available to all candidates on
request.

Helping candidates select the right level means that assessors and advisers must:

 Be clear about the requirements of the Standard at each level.

 Gain an understanding of the parameters of the candidate’s job.

 Agree that best fit, i.e., the most appropriate level.

Many candidates’ jobs fall between levels and the agreed best fit needs to take account of:

 Where the bulk of the candidate job lies now and in the short to medium-term future

 The workplace development opportunities available to the candidate

 The candidate's desire to achieve units or a full of VQ.

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Tools that you can use to select candidates and agree the right level include

 Unit summaries

 Checklists, supplied by the Awarding Body

 Job descriptions and CVs

 Organisation charts

 Definitions for each level, e.g., scale of budgets, scope of the decision-making, size,
and structure of the team

 Training needs analysis

 Swot analysis.

This stage of the process is about asking where the candidate is now in terms of his or her
competence?

Specifically, this involves establishing:

 Gaps in their job role or experience

 The gaps in their knowledge

The initial assessment of current competence, including identification of gaps, allows VQ

providers, employers, and candidates to plan how these gaps can be filled, through training
and development activities and workplace opportunities.

Initial assessment of the candidate’s current competence should involve looking at.

 The actual tasks the candidate is, or has been, involved with and their level of
performance i.e., by initial of assessment against the Standards

 The candidate’s knowledge and understanding against the knowledge and

understanding specification.

 The candidate’s personal effectiveness.

There are a number of tools that can be used to carry out this initial assessment. These
could be used in combination and include:

 Checklists

 Knowledge and understanding specification.

 Self assessment

 Interview and or discussion with the candidate

 Review of recent performance reviews or appraisals

 Computer-based assessment systems.

Whatever tools are used, a picture will emerge of:

 Any gaps in the candidate’s experience

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 Any gaps in the candidate’s knowledge

 Their Strengths and weaknesses

Development planning

Initial assessment provides a preliminary picture of the areas in which candidate is.

1. Able to gather evidence of competence

2. In need of further development

The outcome of (1) allows an assessment plan to be drawn up and agreed.

The outcome of (2) allows a development plan to be drawn up and agreed.

It is quite common for candidates to combine these in an overall action plan for assessment
and development by the end of the initial assessment stage.

NOS Unit SFJAE2 Evaluate, and Develop Own Practice can be used by candidates to fulfil
the outcomes required from points one and two above.

They are a number of ways in which candidates can acquire these including:

 Short courses

 Training programmes

 Coaching

 Workshops

 Open learning

 Reading material

Opportunities to put these skills and knowledge into practice and to provide experience
across the totality of the functional standards and the range.

This can be done via:

 Job enhancement

 Work placements

 Workplace projects

 Assignments

 Case studies

 Secondments

 Simulations (not allowed within a significant number of Schemes)

At this stage the action assessment plan is likely to be broad based.

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4.0 FORMATIVE ASSESSMENT

In working towards achieving the objectives set out in the action plan, the candidate will be:

 Gaining skills and knowledge

 Putting these into practice in the workplace

 Starting to generate evidence of their competence.

Throughout this part of the process candidates need feedback on their progress. This can be
achieved in a variety of ways:

 Through regular meetings with the adviser and the assessor

 Through reviews and assessments with in-house staff e.g., mentors, line managers

 Through self assessment against the Standards

 Through submission of work with oral and written feedback and recommendations
from the adviser and/or assessor

 Through peer review

Although feedback can come from a variety of people, formative assessment must be given in
the context of the Standards. Whoever provides formative assessment must therefore be
familiar with the requirements of the assessment process and the Standards.

It is extremely de-motivating to candidates if the feedback given at this stage does not
ultimately generate positive assessment decisions at a later stage.

A key function of formative assessment is to provide guidance, feedback and direction on

evidence gathering and portfolio building. This includes:

 Providing constructive feedback to candidates on their development

 Agreeing and reviewing targets and timescales (the experience of many providers
shows that candidates respond positively to agreed programme timescales and
targets; many providers set the program timescale of 12 to 18 months for completion
of the Level 4 & Level 7 Awards.

 Motivating candidates

It may also include involvement in organising training and development opportunities for the
candidate both at work and elsewhere.

Portfolio building

The most common method of presenting evidence is through a paper-based portfolio. It is

recognised that there are other methods that can be used for the demonstration of
competence. Alternative methods of presenting evidence can and may be requested by
candidates and this may include the use of audio tapes, Video evidence and direct
observation (very limited opportunities at Levels 4 to 7 due to the academic content of the
Standards).

Experience has shown candidates who were given clear direction on how to build their
portfolio make better progress than those who are not.

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This direction should cover the presentation, layout, and content of the portfolio

As a minimum portfolio should include:

 Candidate details

 Contents page

 An Introduction to the portfolio

 Evidence matrix

 Organisational context

 Narrative otherwise referred to as storyboards or reflective accounts.

 Supporting evidence

Contents Page

This guides the assessor through the portfolio structure.

Introduction to the portfolio

This describes how the candidate has compiled portfolio and how the referencing system
works-remember it is not the role of the assessor to locate a candidate’s evidence. The
assessor, IQA and EV must be able to track the evidence unaided.

One simple approach that can be adopted is the two-folder approach; one folder contains the
narratives and the other supporting performance evidence. The latter can be numbered
sequentially starting with evidence 1 and simply referenced to the narrative. This approach
avoids any complicated cross-referencing.

Evidence matrix

A matrix that shows a list of the evidence items submitted and to which element each item
refers provides a useful overview of the range of evidence being presented. Element
Summary sheets are ideal for this process, and they also allow the candidate to check their
own progress before submitting it for assessment.

Organisational context

This will include the following details:

 The organisation and its background, including an organizational chart.

 The candidate’s department or division,

 The candidate's job role and could include a preliminary self-assessment, CV and
details of relevant external interests which could generate performance evidence.

Narrative

Various terms exist to describe the reflective report that candidates need to make to discuss
performance against the Standards. These include storyboards, personal report etc. In this
document the term narrative will be used throughout.

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For the candidate demonstrate his/her competence he/she needs to articulate:

 What they do

 How much of the evidence is their own work.

 Why they do it

 How they do it

 How they apply knowledge and understanding

 What they would do differently next time and why

 What Standard(s) it relates to

 The outcomes

The primary mechanism for doing this is the narrative. Experienced assessors consider the
narrative to be the strongest evidence in the portfolio. It is a combination of an explanation of
the contents of evidence with the reflective report on the actions taken and the outcomes. It
therefore gives the assessor a fuller and more rounded view of the candidate’s knowledge
and understanding and competence than the products of performance alone.

The combination of narratives and product performance give a powerful indication of

competence.

Narratives on their own are not sufficient to infer of competence because the candidate needs
to show that what they have said happened has occurred. This is achieved by the candidate
supplying supporting performance evidence.

Given that the narratives will form the backbone of the portfolio, it is essential that everyone
involved is clear at the outset about:

 Their purpose

 How they will be structured

 Their relationship with supporting evidence

It can take a while for the full meaning behind the statements in the Standards to become
clear. It is therefore helpful if advisors/or assessors provide a structure for candidates writing
narratives.

Candidates who have gone through the process of portfolio building say that the most difficult
part of the process of writing a narrative is knowing where to start. All candidates should
therefore be supplied with a typical narrative that they can use to understand and
subsequently structure their own narratives.

It is also worth remembering that with the Level 4 & 7 Awards a high level of written
communication skills needs to be clearly demonstrated by the candidate.

The candidate’s provision of a good quality narrative will assist them in demonstrating this
important skill.

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Supporting evidence

Assessors have found that it is unhelpful to try to qualify how much evidence is sufficient.
They have moved away from being over prescriptive e.g., insisting that two pieces of
evidence are required for each performance criteria it is the quality of the evidence which is
important rather than quantity.

Experience shows that good practice in portfolio building starts with the narrative. As the
candidate describes in detail is their job role and addresses standards, the supporting
evidence to be used becomes apparent.

Any portfolio will include a variety of forms of evidence. Evidence incorporates the narrative
and documentation by the supporting evidence. Witness testimony if used effectively can be
a powerful support to the authentication of competent performance. The main sources of
evidence are.

 Narrative

 Performance evidence including products of activities, observation, work-based

assignments, questioning, and witness testimony.

Within a significant number of a higher level NVQ awards simulation is not regarded as being
valid evidence that candidates and therefore it must not be presented or accepted as suitable
evidence by any assessor.

5.0 PRODUCTS OF ACTIVITIES

Products of work include forms of written material such as:

 Action plans

 Budgets, cash flow projections

 Reports

 Correspondence, internal memos, copies of e-mails

 Policy statements, development plans

 Operational plans

 Monitoring of records, logbooks quality control reports

Candidates should also be actively encouraged to include photographic evidence that is

relevant to the work being presented.

This type of evidence together with the narrative is likely to make the bulk of the portfolio.

Observation

Although many aspects of the candidate's job are not readily observable, direct observation
remains an excellent method of providing evidence. Whoever is carrying out the observation
be it a line manager, peer, advisor and or assessor they need to be:

 Occupationally Competent i.e., a holder of the NVQ in the subject being assessed.
 Fully conversant with the Standards
 Experienced in the assessment and verification process

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In addition, they must be able to:

 Plan with the candidates to ensure that normal work is not disrupted by the
assessment process.

 Record the performance.

 Ensure that the performance meets the Standards by feedback and questioning.

It is the record of performance together with record of the feedback that becomes the
evidence for the portfolio.

Work based assignments.

These may be used where the candidate's job does not provide the opportunity to
demonstrate their competence across the totality of the Standards. The most accepted
scenario for their use is to seek supplementary evidence of either competence across the full
range or to test underpinning knowledge and understanding.

Assignments must be designed to meet the requirements of the Standards and must provide
adequate supplementary evidence in this way. Only if they are reports of real work-based
projects are they acceptable as primary evidence of performance.

Simulation

Within the vast majority of Standards simulation is not permitted and therefore cannot be
regarded as valuable valid evidence

Questioning

Where questions are used to establish clarity of the candidate’s evidence and knowledge,
both the questions and the candidates’ responses to the questions must be recorded by the
assessor. A copy of this information must be included in the candidate’s portfolio as evidence.

Witness testimony

Witness testimony is a valuable source of supporting evidence when adequately all the
authenticated. It should include:

 The author's signature address and telephone number

 The authors relationship to the candidate

 A description of the activity undertaken and how it relates to specific performance

criteria and range within the element being assessed

 An indication of the content within which the activity it.

The assessor will also need to be able to identify the expertise of the witness in terms of

 Occupational competence

 Familiarity with the Standards

On no occasion must witness testimony be accepted as the only source of evidence.

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6.0 SUMMATIVE ASSESSMENT

Summative assessment is the final and mandatory stage in the assessment process. It
involves making a judgment and a decision on the candidates claim to competence. This is
achieved by comparing evidence of their performance against criteria set out in the
Occupational Standards.

Good practice in summative assessment should include:

 Assessment planning - agreeing with the candidate how and when the assessment
will take place.

 Assessing the portfolio of evidence

 Assessment interview - interviewing the candidate.

 Recording the assessment and the assessment decision

 Providing constructive feedback to the candidate

 Liaising with the IQA Verifier

 Assessment of individual Elements and Units as required.

Theoretically, candidates can submit evidence for assessment when they feel they are ready.
In practice this may not be cost-effective and formal agreement with the assessor will be
required. Candidates can submit evidence for a single Element, a Unit, or for the whole VQ.

The typical process for assessment of the VQ’s takes account of the fact that candidates are
in positions of responsibility, and this includes responsibility for their own self-development
and self-management.

The candidates themselves are responsible for gathering and assembling their claim to
competence together in an accessible form. Candidates need guidance to do this
successfully, but it is not the assessor's responsibility to gather evidence or establish its
relevance to the Standard.

Assessment of candidates usually has two stages:

 Desk assessment of the prepared claim.

 Assessment interviews through which the assessor infers competence through

allowing the candidate to provide further verbal evidence to fill any residual gaps in
the portfolio evidence.

It is only by using this combination that an assessor can reach the assessment decision.

While observation of performance at work as a means of assessing managers is acceptable

for parts of the award, most of the award will not be and cannot be regarded as being either
practical or cost effective.

There would be little point in observing a candidate writing or developing a Health & Safety
Policy or any other documented report. However, there may be value in making up part of an
audit team as an observer to see the candidate carry out an audit or inspection of the
workplace.

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It is worth remembering that if the decision is made to observe the candidate it is essential
that the assessor does not interfere or influence the process under which the candidate is
undertaking the observed assessment.

Assessment planning

This involves agreeing with the candidate:

 What is to be assessed?

 Where and when the assessment is taken place

 Who will be involved?

 How the assessment will happen, including timescales, i.e., turn around and actual
assessment time.

It can be done formally in writing or by verbal agreement, but assessor and the candidate
must be clear and agree on these points.

Assessing the portfolio of evidence

The first questions for the assessor working with an individual's portfolio are as follows.

 Can I find my way around this portfolio?

 Do I understand how it has been put together e.g., element by element?

 Are there narratives and supporting evidence?

 Can I see how the narratives and evidence are linked and how they relate to the
Standards?

Assuming that you can find your way around portfolio, the next stage is to actually assess the
work against the Standards.

This involves:

 Confirming which Elements are to be assessed and the order in which you will do it.

 Ensuring you have adequate supplies of assessment documentation.

 Deciding where to start i.e., by reading the narrative and in looking at the evidence or
vice versa.

 Making judgments about whether the narrative and supporting evidence meet the
requirements of the Standards including performance criteria range and knowledge
and understanding.

When examining the evidence, the assessor needs to apply the principles of
assessment by confirming that the evidence is valid, sufficient, authentic, current, and
transferable.

Useful indicators include dates on documents, signatures, and the nature of the
evidence by the quality rather than quantity. Although each performance criteria
should be evidenced, experience in assessment suggests that a given piece of
evidence may cover several performance criteria.

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 Identifying where the gaps are - this could be in terms of performance criteria range
and all knowledge and understanding and establishing how these can be addressed.

Options here include.

Seeking additional performance evidence

Written questions to be completed by the candidate.

Questioning at assessment interview

 Providing feedback and informing the candidate of what happens next. This
feedback can be written or oral perhaps requiring additional evidence and confirming
assessment interview details.

Throughout assessment assessors need to record all decisions including comments, gaps
and fuller evidence required. They need to ensure that records meet the requirements of the
internal and external verification process.

Providing Constructive Feedback

Throughout summative assessment, the assessor needs to ensure that constructive feedback
is provided to the candidate.

In other words, with all their communications with the candidate the assessor should ensure
that:

 Emphasis is on the positive aspects.

 Feedback is specific.

 The candidate is encouraged to self-assess.

 Areas of weakness and tackled and suggestions on how to address them are offered.

 Next actions are agreed.

7.0 QUALITY ASSURANCE OF ASSESSMENT

QCA have defined clear parameters for responsibilities of the key components of quality
assurance through a hierarchy consisting of Awarding Bodies, External Verifiers, Approved
Centres, IQA Verifiers, Assessors and Advisers.

Their roles in the process can be summarised as follows:

Awarding Bodies

Awarding Bodies are responsible for verifying that assessments in an Approved Centre are
carried out systematically, validly and to National Standards. This is affected firstly by an
explicit system of central approval and thereafter by an External Verifier who is appointed by
Awarding Body.

The Awarding Body will wish to support centres in various ways and has an appeals
procedure to allow centres to distribute decisions if appropriate.

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External Verifier

External verifiers check the internal systems of the approved centre and sample assessment
practices and decisions. They act as the main link between the Centre and the Awarding
Body and as such, provide support and feed back to the Centre to help them develop its
internal quality systems.

They verify assessment practice and centre procedures and maintain records of visits and
provide feedback to the Awarding Body.

External verifiers are authorised to recommend withdrawal of approval when circumstances

merit this. External verifiers are required to be occupationally competent and to gain
certification to the National Standards for Assessment and Verification Unit D35 or V2.

Approved Centres

Approved Centres take charge of delivering assessments on the day-to-day basis and they
should have effective internal procedures to ensure quality and consistency of assessment.

In order to do this, they are responsible for providing sufficient competent assessors and IQA
verifiers, ensuring that IQA Verifiers have appropriate access to assessors, assuring that
development needs are systematically reviewed, there is a staff development programme and
there are effective procedures for internal verification of the VQ’s.

Internal Quality Assurance Verifiers

IQA Verifiers are responsible for advising assessors and for maintaining the quality of
assessment. They confirm assessor’s decisions that candidates are competent or otherwise
through systematic sampling of assessments. They maintain and monitor arrangements for
processing assessment information and verify assessment practice.

IQA verifier's sample all forms of assessment of all assessors ensuring cross verification of
assessment, peer assessment etc and act where assessment is unsatisfactory.

They act as the main link between the Centre and the External Verifier. Appropriate
occupational competencies required by IQA Verifiers, together with certification to the
National Standards for the Assessment and Verification Unit D34 that has now be replaced by
the V1 Award.

Assessors

Assessors are responsible for carrying out the summative assessment. They do this by
agreeing and reviewing the assessment plan with the candidate, judging the evidence, and
providing feedback and making the assessment decision using different sources of evidence.

The evidence to be judged may be either performance evidence or knowledge evidence and it
may be judged by observation, portfolio, or other methods. Occupational competence is
essential together with certification to the National Standards for assessment and verification
formerly D32 and D33 the have now been replaced by the A1 & A2 awards.

Advisers

Advisers help candidates to identify relevant achievements and may undertake formative
assessment. They are usually involved in agreeing that candidates overall action plan for
development and assessment and help them collect on present evidence in an appropriate
way for assessment.

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 A Good Practice Guide on Assessment for Assessors

Again, occupational competence is essential and certification to the National Standards for
assessment and verification Units D32 and/or D33/A1 and D36 is recommended however this
is currently not mandatory.

8.0 HELPFUL HINTS IN ASSESSMENT

There must be flexibility in assessment so that different combinations of evidence may be

generated efficiently and cost effectively to suit individual circumstances. This can involve a
holistic approach to Elements and Units.

Although competency-based assessment takes account all the performance criteria, a

judgement of competence must be made at element level. It should be accepted that the
better the quality of evidence that more likely it is to cover several elements and even units.

 The evidence presented must be judged to confirm that it meets the National
Standards and must meet all performance criteria that are relevant.

 It is usually only contingency performance criteria that may not be relevant to every
performance.

 The evidence must be sufficient to cover the full range of evidence requirements
including knowledge and understanding specified in the Standards.

 Assessments must be based on individuals’ evidence and not on comparison or

contrast between candidates or any other form of subjective review.

 Evidence must be traceable to its source.

 Evidence must be gathered in realistic conditions and valid assessment methods

must be used.

 The evidence and assessment methods used must allow the assessor to distinguish
between portfolios that meet the Standards and those that do not.

 Assessors must not add irrelevant requirements to the demands made on candidates
i.e., demands that are not included in the Standards.

 The assessment process must be open to verification by the assessors and/or

advisers must ensure that candidates portfolios are easily and cost effectively
verifiable.

 All assessments must be fair and free from overt or covert discriminatory practices
about gender, race and/or creed and pay due attention to the special needs of
candidates with disabilities.

Assessors must avoid:

 Letting one piece of good evidence/poor evidence cloud judgments about the rest

 Identifying with candidates

 Stereotyping of candidates

 Assessing progress rather than achievement and outcomes of performance

 Answering questions asked by themselves.

 Becoming bored or rushing the assessment process.

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9.0 THE BENEFITS AND PITFALLS OF COMPETENCE BASED ASSESSMENT

Benefits of competence-based assessment are that it:

 Focuses on the individual’s job within the organisation.

 Provides a structured process for developing managers.

 Is cost-effective.

 Offers certification.

 Is open and flexible.

 Complements other activities.

The way which candidates are guided to use the Standards is critical. If driven by the sole
aim of achieving a qualification the following problems tend to arise:

 Candidate de-motivation /frustration

 A sense of this is just being a paper chase.

When the emphasis and focus is on individual development and improvement of practice
through naturally occurring work processes and not contrived situations, results are much
better.

Programmes that are designed to be developmental clearly require that the guidance starts at
the beginning of the programme and continues throughout. This means a partnership
between the candidate; employer and the assessor are invaluable.

Pitfalls of Competence Based Assessment

 Risk of ineffective direction and advice

 Problems with understanding the Standards.

 Risk of systems becoming unwieldy and bureaucratic

 Evidence driven syndromes and consequently de-motivating and non-developmental.

 Time-consuming and therefore costly for both the candidate, employer, and provider

Successful programs have overcome the pitfalls associated with competency-based

assessment by finding ways of making the process of work are all involved. These include:

 Determining where the emphasis of the programme should be on development or

certification.

 Helping the candidates to know the Standards by interpreting them, specifying the
knowledge, and understanding and defining the role of personal competence.

 Selecting candidates effectively helping candidates choose the right level.

 Advising on how to build a portfolio.

 Supporting candidates effectively

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10.0 GETTING TO KNOW THE STANDARDS

In order to assess the competence of the manager assessors need to

 Be qualified to appropriate TDLB Units D32/D33 or A1

 Be occupationally competent.

 Have in-depth knowledge of the Standards.

Knowing the Standards means understanding the requirements of the Standards and being
capable and able to interpret the actual requirements.

Interpreting the Functional Standards

Getting to know the functional standards means more than simply reading them. It involves a
process of familiarisation and interpretation i.e., asking what the Standards mean what they
require the candidate to do.

Most candidates find the Standards difficult to work with initially and needed help in
understanding them. It is critical that the adviser or assessor are capable and able to offer
this help.

For each Unit or Element, the adviser/assessor needs to ask him/herself.

 What does this part of the standard mean?

 Can I communicate its meaning to someone else?

 How would I tackle this Element?

 How does it relate to my candidates work context?

This process may result in the production of:

 Individual candidate guidance notes

 Individual questions candidates

 Individual workplace activities

11.0 ADDITIIONAL HELP & GUIDANCE

The following parts of this good practice guide have been developed to provide further
guidance and support for assessors at all levels of Award.

Lower-Level Awards (Levels 1 & 2)

It is worth remembering that at levels 1 & 2 in particular the likelihood is that the assessor will
have to provide substantial guidance and support for candidates in the formulation of their
portfolio.

Some assessors will even develop the whole portfolio for their candidates. This approach is
quite acceptable, but the assessor must remember that the evidence included in the portfolio
must belong to and be directly related to the candidate.

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 A Good Practice Guide on Assessment for Assessors

With craft and practical level 1 & 2 Awards a significant number of candidates will not want to
develop reflective account. Since there is no specific requirement in the Standards for such
an account to be included this approach is also acceptable.

With lower-level awards most of the evidence required by the candidate to meet the
requirements of the Standard will result from direct observation in the workplace. This method
is quite acceptable and can be very cost effective.

During any observation there will always be opportunities for the assessor to ask appropriate
questions. The key point to remember here is that any questions that are asked must be
relevant to the actual Element or Unit that is being assessed.

To help ensure consistency of assessment assessors can use pre standardised assessment
check sheets that have been developed around the specific requirements of the Standard.
The use of these will help to ensure that the key parts of any work being undertaken have
been assessed against the requirements of the Standard. The outcomes of these also provide
the basis for the provision of structured feedback to individual candidates.

Higher Level Awards (Levels 3, 4, 5, 6 & 7)

Generally, higher Level Awards are taken by persons who already hold a management
position. Such positions generally require them to have reasonable organisational and written
communications skills. This in turn means that the development of their portfolios should be
reasonably straightforward providing that they are given appropriate support and guidance
from their assessor.

When assessing higher level NVQs, the use of a reflective account can be considered as best
practice and very helpful in the assessment process. Reflective accounts provide the
candidate with the opportunity to explain their thought processes and reasons for including
evidence. These accounts also present the opportunity for the basis of a professional
discussion between the assessor and the candidate.

The key to a good quality portfolio at the higher levels is to provide good clear advice and
support to candidates at the start. This process can be achieved by showing a candidate a
completed portfolio but taking care to explain that the format used is only a suggestion and if
a candidate wishes to develop their portfolio in a different way that is quite acceptable.

12.0 THE APENDICIES

Part 1 of the appendices to this document provides some general examples of ways that
items can be used by assessors and candidates to assist in the development of portfolios.

Part 2 addresses some of the key Centre Documents that are currently used by GRS for the
Awards that are delivered.

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 A Good Practice Guide on Assessment for Assessors

Appendix 1
Introduction

This note is to guide you in creating and presenting your Portfolio, used by an assessor to
assess your competence against specified standards, in connection with a National
Vocational Qualification.

In general, there is no specification for a portfolio with which you must conform although
awarding bodies, organisation’s, assessors, and verifiers may have their own ideas of what
they would like to see.

You must keep in mind that you, as the candidate, are responsible for your portfolio, for what
you claim, for what you do not claim (omissions), and for how you present and justify your
claims.

You cannot expect the assessor to search through an unorganised mass of papers and other
evidence in the hope that something appears which shows that you are indeed competent.

The main thing to remember is that the organisation of your portfolio does not need to be
perfect, simply good enough to tell the assessor what they need to know.

Most assessors will be more than satisfied if they can find their way around your portfolio
easily, understand your evidence and the claims that you make for it, and can relate that
evidence to the requirements of each element - performance criteria, range statement,
knowledge specification and evidence requirements.

If you base your endeavors on the guidelines suggested here, you will not go far wrong.

Presentation

The preferred way of presenting your portfolio material is to use suitable ring binders and
tabbed dividers to make things easier to find. (Make sure that your ring binders will not open
and deposit the evidence in a jumbled heap on the floor). Alternatively, you may wish to use
an electronic format, but the same principles apply.

If you use plastic sleeves to contain your evidence, try to limit what you put into each sleeve
to one or two sheets, so that the assessor can read as much as possible without removing it.
The more sheets you put in one sleeve, the more likely it is that they will become muddled or
even mislaid.

The Portfolio

The portfolio itself consists of:

 A cover or title page

 A table of contents

 The candidate profiles.

 Storyboards and claims summaries

 An index of evidence

 the evidence, properly referenced.

It should also include copies of your assessment plan(s) and any other relevant paperwork.

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 A Good Practice Guide on Assessment for Assessors

Use labeled, tabbed dividers to separate the various sections and the evidence, making it
easier for you and for your assessor to find your way around.

It is a promising idea if the cover or title page contains the following information:

 Your name, including your forenames (not just your initials)

 Your candidate reference number (if you have one)

 A telephone number and an address at which you can be contacted.

 Your advisor’s name (if you have one) and his/her telephone number.

 The standard and unit (or units) against which you are claiming competence.

 The date of the submission

The Table of Contents should clearly list each section and item in your portfolio and say
where it can be found.

Your Candidate Profile consists of three parts.

 A brief curriculum vitae which concentrates on those past experiences and

appointments which are relevant to your present claims.

 A description of your present or recent work activities from which your evidence
comes. This could be a job description.

 A list of any training or development activities which you have undertaken,

particularly, but not exclusively, those which are relevant to the competencies which
you are claiming.

The next section consisting of a storyboard and claims summary for each element is, in many
ways, the most important part of the portfolio, even though it is not mandatory. Without it, the
assessor may have great difficulty making sense of your claims and understanding what your
evidence is, and how it relates to the requirements of that element.

Storyboards, sometimes called a Personal Report or narrative, relate what you do, or have
done, to the requirements of that element and to the evidence that you are presenting. This
not only helps the assessor to get an immediate grasp on how all your evidence hangs
together but will show him/her that you know what you are doing.

It also allows you to address contingencies and range items which you have been unable to
cover with performance evidence.

There are various formats for storyboards, including a simple narrative form and a
questionnaire-style - the choice is yours.

Your claims summary (Element Summary Sheets) should state the units and elements
where you claim to be competent, and they justify those claims by reference to the evidence
that you are presenting.

This is mostly readily done using the provided evidence summary sheets. In addition to the
use that the assessor will make of them, you can use them to check that you have covered
the element's requirements adequately and that you have made full use of all the evidence
that you have collected.

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 A Good Practice Guide on Assessment for Assessors

Evidence: There are two key aspects to presenting evidence.

Firstly, seek quality evidence, that is, an item or group of items of evidence which address not
only most, but not all the performance evidence for other elements and units. Use the
evidence summary sheets to check out the relevance of every item against the requirements
of each element.

Secondly, make sure that each item of evidence is clearly and uniquely referenced. The
easiest way of doing this is to keep all the evidence in a separate section by itself and to
number each item in a simple numerical sequence, 1,2,3, and so on. If necessary, split up the
larger items into sub-items, i.e., 1/1, 1/2, 1/3 etc. or number each page.

If your evidence is not obvious or straightforward, it may help your assessor to come to grips
with the evidence if each item is fronted with an introductory sheet, stating what the evidence
is, its date (to establish currency), where it came from and how it relates to the elements for
which it is relevant.

Remember that in addition to performance evidence, you can include evidence of knowledge
and understanding; for example, written assignments, learning journals, completed
questionnaires, course certificates, etc. - anything provided it is relevant, necessary, and you
cross-referenced it to the appropriate unit and element.

At the beginning of the evidence section include an index of evidence. This should include the
reference number, title, and a very brief description of the evidence. This ensures that any
misplaced evidence can be put back into its correct position.

What you do not need!

You do not need to:

 type your portfolio; it can be hand-written, but make sure that it is legible.

 rewrite untidy genuine evidence to make a tidy (but false) copy.

 strive for perfection; just make it good enough.

 pad it out with unnecessary evidence; go for quality evidence, not quantity.

 use whole comprehensive reports where selected extracts will do.

 include copies of the standards.

Finally, do not risk your portfolio in the post. If there is no alternative to the post, send a copy
by recorded delivery. If it was to get mislaid, many months of work may disappear!

A storyboard (narrative) is an excellent way of presenting evidence that is simple, logical,

and straightforward. It demonstrates to the assessor that you know and understand what the
standard requires of you and thereby contributes to his/her assessment of your underpinning
knowledge and understanding.

The purpose of the storyboard is to explain to the assessor what you do to comply with the
requirements of each of the Performance Criteria (PC) and range statements in every
element. At the same time, it allows you to introduce into your explanation evidence which
illustrates and validates what you are explaining and justifies any claims you make. However,
you do not begin writing by considering any evidence that you might already have collected;
for the time being forget about the evidence!

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Preparing to write

Begin by reading the title of the unit and the element and clarifying in your own mind exactly
what the activity is which it specifies. Now read each of the performance criteria in turn and
ask yourself:

 What is it that this Performance Criteria expects me to do and why?

 What do I do when I am doing this activity which satisfies this requirement?

To begin with, you might find it helpful to make a list of your responses.

If you feel that there is a degree of uncertainty or ambiguity about what the Performance
Criteria requires, look at the Range items. If there are performance criteria which have never
occurred for you then note how you intend to manage such situations when they do occur.

The list of responses which you have made forms rough notes around which you can
construct a descriptive narrative explaining what you do to conduct the activity described by
the title of the element.

Writing the Narrative

When writing, it will help the assessor to find things, if you keep each paragraph short and
limited to a single idea, situation of circumstance.

Since you are describing what you do, write in the first person (I) and present tense. Make
quite clear what you do as opposed to what is done, otherwise the assessor is bound to ask,
"But who did this?" just to confirm in his/her mind that it was you and not someone else.

If the activity does involve you collaborating with other people in, say a teamwork situation,
explain what you do and where it fits into the work of the team as a whole.

Maintain a logical flow, so that the assessor can follow exactly what it is that you do and the
order in which you do it.

Explain how you accomplished what the performance criteria demands. For example, if it
says that you should welcome customers politely in the approved manner do not write " I
welcome customers in the approved manner" that does not tell the assessor anything except
perhaps that this is an area in which you need to be questioned about! Explain what the
approved manner is and what you do to be polite.

Where there are diverse ways of doing things, or different equipment, which can be used,
explain that, and explain why you chose one rather than the other. In this way you are
providing the assessor with evidence of your underpinning knowledge and understanding
which s/he needs to judge your competence.

It is appropriate to explain how things might go wrong and what you do then, either to put it in
writing, or to alert other people; (What other people). Once again, you are demonstrating your
knowledge and understanding.

Bring in aspects from the Range to ensure that you are covering those items as well.

Once you have completed the narrative to your initial satisfaction, read it through again and
check it against the performance criteria. Does it address all the various aspects of a criterion
and the related range items?

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Bring in the evidence.

When you are finally satisfied with the narrative read it through again, this time asking
yourself what evidence you could or have generated to:

 Provide examples of that about which you have written;

 Provide proof that you do, or have done, what you claim.

Some of the evidence may already be available but some, which might include witness
testimony and/ or checklists, you may need to generate quite specifically to demonstrate or
prove a particular point.

Once you have the item of evidence, give it a reference number and file it. Refer to it in the
appropriate place in the narrative.

Doing it in this order, i.e., first the storyboard and then the evidence, helps to ensure that the
evidence you use is entirely relevant and appropriate to the element and what is required to
prove competence.

Cross-referencing

By building the evidence around the narrative, which you have written around the
performance criteria and the range, it is now straightforward enough to link them together
using a cross-referencing grid.

The need for additional evidence

In addition to the evidence which you have collected and presented as a result of writing the
storyboard, you may need further evidence to satisfy the evidence Requirements for the
element, or to satisfy the need for sufficiency of evidence.

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 Example Storyboard

NOTE EACH CANDIDATE WILL PRODUCE DIFFERENT EVIDENCE AND THEREFEORE

THIS EXAMPLE IS TO BE USED AS GUIDACE ONLY

ELEMENT: 1 CONTRIBUTE TO IMPROVEMENTS IN PRACTICE

As part of my normal duties as a Safety and Environmental Advisor with my company I conduct
site Safety Inspection & Audits on Operational sites. These are conducted so that any issues that
require improved control about safety and environmental issues are identified.

Following each of the site audits I draft a short report on the site and include a section that
recommends any improvements that may be required. These reports are then sent to the relevant
personnel within the organisation with a copy also going to the Trade Union Representative for
the Company.

As evidence I have included a selection of recent audit reports which highlight a wide variety of
complex health & safety issues. These are contained in my portfolio on pages 1 to 45 inclusive.
Some photographic evidence relating to these inspections is also included as supporting
evidence. Other examples are available for inspection if required.

In May 2020 following a meeting with the District General Manager for the Wessex Region I sent
him an email which dealt with a proposed Environmental Audit for his site. This together with
other relevant supporting documents that I produced is included as evidence in my portfolio on
pages 46 to 56 inclusive.

During the first quarter of 2021 I was the Project Manager responsible for conducting a Health,
Safety and Environmental Review of a N Other Companies Operations.

The principal objectives of this work were to:

i) Establish if non-compliance with legislation and internal policies and procedures was taking
place

ii) Identify issues that may require action in the form of new management procedures

iii) Identify training needs for site personnel and managers.

Prior to the commencement of this work, I produced a briefing note which was subsequently
circulated to the relevant Managers in advance of the main event.

A copy of this briefing paper is included as supporting evidence under pages 57 to 65 of my

portfolio.

At the end of the review, I collated the information and produced a report that contained
recommendations for the improvement of working methods and practices.

These recommendations were included so that a clear program of risk reduction and
improvement in health and safety practice in the company could be introduced. Copies of the two
reports on the review that I produced are included as evidence on pages 66 & 67 (each of the
reports is contained in a single plastic wallet).

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 Example Storyboard
Following the review, I produced a business plan for the South Area on Waste Management. A
copy of this is included as supporting evidence on page 68 (report contained in single plastic
wallet).

I have included a cross-section of other evidence that demonstrates that my contribution to Health
and Safety has been achieved by methods other than auditing.

Page 69 Copy of an email and attachment that I sent to relevant Managers about HSE
recommendations that I felt were relevant.

Page 70 A copy of a reply from the above email.

Page 71 A copy of the email and attachments I sent out about Construction Safety and Clients
Responsibilities.

Page 72 Copy of memo and attachments that were sent out for comment about risk assessment.

Other examples are available if required.

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 Example Storyboard

NOTE EACH CANDIDATE WILL PRODUCE DIFFERENT EVIDENCE AND THEREFEORE

THIS EXAMPLE IS TO BE USED AS GUIDACE ONLY

ELEMENT 2 ASSESS EXTERNAL IMPROVEMENTS IN PRACTICE

In support of this element the evidence already submitted under Element 1 of this portfolio is to be
considered. In addition, I have included a variety of additional evidence in this Element to support
my demonstration of competence.

For me to ensure that my skills and expertise remain current and relevant I have developed an
external network of contacts. These have been developed via my attendance of numerous
seminars and external events and through my membership of the IEMA, IOSH and through my
Registration as an EARA Registered Principal Environmental Auditor.

A summary of continuing professional development (CPD) undertaken by me between June 2020

and December 2021 for external events is included as supporting evidence on pages 73, 74 &
75. This evidence only covers external events during the period June 2020 and December 2021.
Full details of each of the events can be submitted if required.

In addition to my attendance of seminars and workshops I also read and subscribe to numerous
trade publications. A cross-section of these publications is included as supporting evidence in my
portfolio on pages 76 to 85 inclusive. Note this is not intended to be an exhaustive list.

EXAMPLE OCCASION ONE

In the December edition of Croner’s Construction Briefing there was an article dealing with
asbestos in the construction industry.
This article dealt with the publication of EH 71, Working with Asbestos Cement and Insulating
Board, which has been published by HSE Books.

As I deal with this subject in my role within my organisation, I sent for a copy and evaluated its
contents against the organisations existing working instructions.

Having evaluated the document and the organisations current work instructions I established that
the current internal procedure required up dating in line with EH 71.

Supporting Evidence

Page 86: Copy of the Croner Construction Safety Briefing for December

Page 87: Copy of the invoice addressed to me from HSE Books for EH 71

Page 88: Copy of HSE Guidance Note EH71

Page 89: Copy Notes for guidance that I produced on Asbestos.

Page 90: Copy of the email I sent to line Managers with reference to the notes for Guidance.

EXAMPLE OCCASION TWO

In November 2021 following details that were sent to me in the post I contacted Croner
Publications about their new publication entitled `Croner’s Substances Hazardous to the
Environment'.

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 Example Storyboard

On 10 December I received this publication on a 10-day trial. During the 10 days I reviewed and
evaluated the contents of the publication.

Having reviewed the content I decided that the information while comprehensive was not suited to
the needs of my company and so I subsequently returned the publication to them.

Following this review of the publication I sent out a general interest email to members of the team
and to my line manager informing them that I did not feel the publication offered value for money
for our business.

Supporting Evidence

Page 91: Copy of a letter from Croner’s confirming my interest.

Page 92: Copy of a letter confirming my acceptance of the publication.

Page 93: Copy of the email I sent out to other members of the team.

EXAMPLE OCCASION THREE

In the February 2021 issue of a Tolley publication that I subscribe to there was an interesting
article that dealt with Rope access (abseiling) equipment for construction work and maintenance.

Within my company, by virtue of the nature of our work a considerable amount of our work is
conducted at heights and in awkward places. Now a lot of sites on existing structures are
accessed by a combination of fixed climbing equipment and rope access.

As a result of this article, I sent a letter to the IRATA Secretary asking for further details of their
Industry Code of Practice and Training Standard.

Following my review of the information sent to me I reviewed it and subsequently drafted a short
paper on it. This paper recommended the adoption of this Code of Practice and put forward a
method of converting it into a safe system of work for my company.

Supporting Evidence

Page 94: Copy of the article.

Page 95: Copy of a letter to IRATA Secretary

Page 96: Copy of faxed reply together with relevant details.

Page 97: Copy of the report I sent to my line manager and other relevant staff on the COP.

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 Example Storyboard

NOTE EACH CANDIDATE WILL PRODUCE DIFFERENT EVIDENCE AND THEREFEORE

THIS EXAMPLE IS TO BE USED AS GUIDACE ONLY

ELEMENT: 3 PROMOTE THE ADOPTION OF RELEVANT IMPROVEMENTS IN PRACTICE

In support of this Element the evidence already submitted under the previous two Elements is to
be considered as supporting my competence. In addition, I have included two additional
examples of occasions where I have promoted the adoption of relevant improvements in practice
to support my demonstration of competence.

EXAMPLE OCCASION ONE

As part of the process of continuing professional development being undertaken by Mr. Derek
Prior, Project Engineering Manager, and Mr. Chris Raven, Planning Engineer, I conducted a short
theoretical training session followed by a practical demonstration on dealing with environmental
spills and risk assessment associated with this topic.

This presentation and training session took place on 13 June 2022 at the Slough District Office of
.

In advance of the briefing and practical demonstration, I prepared a set of course notes for both
the group members. The briefing notes and the flow diagrams used by me both during the briefing
and practical sessions were given to the team members and copies are included as supporting
evidence on pages 98 to 110 inclusive.

At the end of the practical training, I set the team eleven multiple choice questions on dealing with
spills and potential environmental problems. The purpose of this paper was to establish that the
group had a basic understanding of how and why they should deal with spills. The paper set on
this subject is included as supporting evidence on pages 111 to 115 inclusive.

I was able to provide both the team members with positive feedback on their relevant
performances both as a team and as individuals. The notes that I used for this feedback are
included on page 116 as supporting evidence.

As supporting evidence of the above there is a witness statement from Mr. Prior and Chris Raven
included on pages 117.

Summary of additional supporting evidence:

Page 118: The background details relating to the promotion.

Page 119: Blank copy of the questions I devised and set for the candidates.

Page 120: Completed answer sheets for the above questions.

Footnote: The materials used in this presentation were developed by me and subsequently used
for the training of other staff & operatives.

EXAMPLE OCCASION TWO

On 15 August 2022, I had a meeting with David Nimmo, Manager Network Support to discuss
with him the promotion of various Safety & Environmental issues. Prior to the meeting that was at
my request, I sent him an email that set out an intended agenda.
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 Example Storyboard

At the meeting I presented him with a strategy paper dealing with Safety & Environmental training
and awareness.

Supporting evidence

Pages 121 & 122 Copy of the memo and agenda that I sent to David Nimmo

Pages 123 to 128 Copy of the strategy paper that I produced and presented.

Page 129 A signed witness statement from David Nimmo confirming that the above information is
accurate and correct.

As additional supporting evidence of my competence in this element I have included other

examples of how I have promoted the adoption of improvements in practice.

Page 130 Details a course program that I developed and introduced on Accident Prevention

Pages 131 and 132 Copies of Safety notes I produced and circulated to the business.

Pages 133 to 140 inclusive Training materials I developed and delivered on working at heights.

Regarding evidence confirming items 130 to 140, this information can be supplied if required.

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 Level 6 NVQ in Occupational Health & Safety Practice Scheme
Element Summary Sheet

Unit: HSP5 Develop & Maintain Individual & Organisational Competence in Health & Safety Matters

Element 1 Conduct Health & Safety Competence Needs Analysis

Item of Evidence Ref Related to Performance Criteria Comments

1 2 3
Toolbox Talk Attendance sheet 2 X This example of staff training identifies a particular subject
related to activities on site.
41 X X This printout provides an example of analysing the
JIB Qualification print out competency of the individual.

JIB Grading Definitions 42 X X X To analyse an operative’s competency, it is

necessary to know what grades need to be achieved.
This provides the information required for all grades
of electrician.
43 X It was identified that training was required to enable
IPAF Training certificate operatives to use this type of plant.
44 X It was identified that training was required to enable
PASMA training certificate operatives to use this type of plant.
45 X I identified that supervisors required a higher standard of H
SMSTS Training confirmation & S training, and this course met my requirements.
letter & certificate

I have reviewed the above evidence with the candidate, and I am satisfied that sufficient evidence has been collected to demonstrate competence
for this Element.

Assessors Signature ……………………………………………. Date …………………………………

I can confirm that I have received feedback from the above-named reviewer, and I am satisfied with the outcome.

Candidate’s Signature ……………………………………………. Date …………………………………

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 Example Element Summary Sheet

Unit: HSP5 Develop & Maintain Individual & Organisational Competence in Health & Safety Matters

Element 2 Identify & Meet Health & Safety Training Needs

Item of Evidence Ref Related to Performance Criteria Comments

4 5 6 7
Asbestos Awareness 46 X X I identified that this type of training was essential for
certificate all site operatives.
Asbestos Building Projects 47 X X It became apparent that this type of training was
training confirmation letter required for work to proceed on site. I arranged
for this training for one of my clients.
Staff Training matrix 48 X I compiled this matrix for all employees to keep
track of all training that has been achieved and is
outstanding.
Emergency First Aid 99 X X I identified that this type of training was essential for
Certificate all site operatives.

24 X X I identified that it was necessary for one of the

Nebosh Construction Directors to attend a Level 3 course.
Certificate

Site Induction attendance 4 X X X This type of training is delivered to operatives and

form (sample) visitors to meet basic awareness of the hazards on
site.

I have reviewed the above evidence with the candidate, and I am satisfied that sufficient evidence has been collected to demonstrate
competence for this Element.

Assessors Signature ……………………………………………. Date …………………………………

I can confirm that I have received feedback from the above-named reviewer, and I am satisfied with the outcome

Candidate’s Signature ……………………………………………. Date …………………………………

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 NVQ Unit Progress Record
Qualification: Level 2 Removal of Hazardous and Non-Hazardous Waste (Construction)
Licensed Asbestos Removal
Candidate:

To achieve the whole qualification, you must prove competence in 5 mandatory Units. There are
4 optional Units that can also be undertaken but these are not compulsory for this Award
.
Unit Checklist

Mandatory VR 01 VR 02 VR 03 HWGS CM 10
03

Optional VR 250 CM 11 VR 392 VR 400

Mandatory Units achieved.

Unit Title Assessors Date
Number Signature

VR 01 Conform to General Workplace Safety

VR 02 Conform to Efficient Work Practices

VR 03 Move & Handle Resources

HWGS 03 Install & Remove Licensed Asbestos

Enclosures & Containment Areas

CM 10 Licensed Asbestos Removal

Optional Units achieved.

Unit Title Assessors Date
Number Signature

VR 250 Erect and Dismantle Access/Working

Platforms Equipment

CM 11 Repair and Encapsulate Asbestos Materials

VR 392 Operate Plant or Machinery for Accessing

VR 400 Operate Specialist Power Tools and

Equipment

Internal Verifiers Declaration

I can confirm that the assessment decisions identified above have been authenticated in
accordance with the requirements of the QCA Code of Practice and those of the Awarding Body.

Name: Signature: Date

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 Candidate Assessment Plan
Candidate Name: Joe Bloggs

Qualification: QUB 758 Lay Kerbs & Channels Awarding Body: CAA

Candidate Registration Date 08/06/22 Candidate Registration No 333312

Assessor AN Other
Date: Thursday 23 July 2022 Time: 08.00 Hrs Venue On Site at the John Radcliff
Hospital, Oxford

Any special assessment requirements (tick which applies) Yes No

If yes, describe the requirements.
How special requirements met

Unit(s) to be Assessed (minimum of one full unit)

VR 01 Conform to General Health & Safety
VR 02 Conform to Efficient Work Practices
VR 401 Set Out Secondary Dimensional Work Control
Method of Assessment (please tick those which apply)
Observation / Witness testimony
Examine product / Personal statement
Candidate questioning / Professional Discussion /
Planned Activity and evidence to be produced.
Candidate Name you are to be observed setting out a works area as part of the process for the
installation of kerbs and channels. As these works are taking place on the highway, I will also take this
opportunity to observe you setting out protection of the works site. In addition, if the opportunity arises, I
will also assess you unloading kerbs on the site. During the assessment I will ask you a series of verbal
questions that directly relate to the requirements of the above Units. Please feel free to provide any
supporting evidence that you believe will assist you in being able to demonstrate your competence in this
area. I would expect this assessment to take about 3 hours.
Are other people contributing to the evidence? Yes No
If answer yes, state who and status
Site Manager
Records to be completed by Assessor
Assessor tick Candidate tick
 Observation report /  Evidence reference sheet /
 Candidate feedback sheet /  Candidate Written Declaration /
 Professional discussion /  Other
 Unit Progress Record /
Arrangements for Reviewing this Plan

Following feedback to candidate if further assessment is required a dedicated revised action plan shall be
developed, discussed, and agreed between the candidate and the assessor.

NVQ Candidate Signature ___________________________ Date ________________

Candidate Assessor/Assessor Signature* __________________________ Date ________________

Independent Assessor Signature* ___________________________Date _______________

IQA Signature if sampled ___________________________ Date _______________

* Delete as appropriate

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 Candidate Feedback Following Observed Assessment

Candidate’s Name: Joe Bloggs

Qualification Title: Construction Operations –General Unit No: VR 43 Lay Domestic Drainage &
Construction NVQ L2 VR 360 Establish Work Area Protection

Following on from my observed assessment and my subsequent verbal feedback to you please accept this as a
formal record that seeks to capture the key points from my observation of you at South Cerney. First and
foremost, I am pleased to be able to confirm that you have demonstrated the skills that are required for the VR 43
and part of VR 360 well done. We will seek to close out the outstanding issues related to VR 360 during our next
planned assessment.

The main points that allowed you to confirm your competence against VR 43 was:

The area where the works were being carried out works were protected in an adequate way that took full account
of the site conditions. Very good pre-start preparation and examination of the work area

Good professional discussion on CAT & Genny where you clearly explained why you used the cable avoidance
tool. During this discussion you also provided a good explanation of the limitations of the equipment which would
not detect non metallic pipes or services

Good appropriate use of PPE used throughout the installation process i.e., hi-vis, safety boots and latex gloves
while carrying out final connections.

Good use of hand tools including inspection of items prior to use.

Good housekeeping demonstrated throughout whole of the process servicing process and site left in workmanlike
condition.

Good feedback from the site manager on your work to date

Good answers provided to verbal questions.

Additional evidence has been generated that will meet the requirements of other units namely VR01 & VR 02 well
done

I will carryout a further observation of you Placing and finishing concrete in the near future and I will liaise with
directly with you on this matter. As with this assessment I will make sure that you have an assessment plan in
advance of this event.

Candidates Comments:

Candidate’s signature________________________ Date_______________

Assessor’s Signature ________________________ Date_______________

Name (In BLOCK CAPTIALS) AN Other

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 What is Standardisation?

Benchmarking the recruitment of candidates, assessors, and verifiers (minimum requirements)

across the GRS Management NVQ Assessment Centre

Benchmarking the assessment process against the A1 standards across the GRS Management
NVQ Assessment Centre

Benchmarking assessment decisions against the appropriate NVQ standards across the GRS
Management NVQ Assessment Centre

Why is standardisation important?

Standardisation ensures that:

 All assessors carry out assessments to same standard.

 All candidates are treated fairly.

 Standards and evidence requirements are consistently interpreted.

 The qualification achieved is robust and valid.

 The quality and integrity of the qualification accomplish.

The GRS Management NVQ Assessment Centre is responsible for ensuring that standardisation
is evident through all assessment sites as per Awarding Body requirements (V1.1)

IQA Verifiers are responsible for facilitating standardisation opportunities for assessors (V1.2)

IQA Verifiers are responsible for standardisation in recruitment of candidates and assessors, and
assessor performance & development (V1.3)

Assessors are responsible for actively taking part in standardisation activities (A1.4)

Code of Practice (2006) – IQA’s will be responsible for ‘establishing procedures to ensure that all
assessors interpret the NOS in the same way’ (para 49) Assessment decisions are not consistent
– Sanction 2 (Appendix 3)

How does standardisation take place?

Assessors look at decisions made on evidence against standards.

Assessors come to an agreement on the decisions made.

Assessors interpret standards the same way.

Assessors look at problem units.

Assessors look at different methods of assessment.

Assessors record activities as CPD and carry out agreed actions.

Outcomes, decisions, and actions are recorded.

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 What is Standardisation?
The GRS NVQ Assessment Centre sets the Standardisation Strategy for IQA’s to follow therefore
all assessment sites will look at the same units within the same time frame. These decisions are
then brought to the IQA standardisation meetings, and an overall agreement is made.

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 A good Practice Guide on Assessment for Assessors

References and further reading.

600/2251/6 ProQual Level 3 Award in Assessing Competence in the Work Environment

600/2163/9 ProQual Level 4 Award in the Internal QA of Assessment Processes and Practice

601/4766/0 ProQual Level 3 NVQ Certificate in Occupational Health and Safety

603/3106/9 ProQual Level 6 NVQ Diploma in Occupational Health and Safety Practice

601/8513/2 CIWM WAMITAB Level 4 Non-Hazardous Treatment to Produce Soil

601/8518/1 CIWM WAMITAB Level 4 Competence for Contaminated Land Remediation

601/8502/8 CIWM WAMITAB Level 4 Managing Physical & Chemical of Hazardous Waste

601/8501/6 CIWM WAMITAB Level 4 Competence for Managing Non-Hazardous Open Landfill

_______________________________________________

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