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Professional Qualifications

Unit 1 – Understanding the principles and practices of externally
assuring the quality of assessment

Assessment criteria

1.1 Analyse the functions of external quality assurance of assessment in learning
and development

1.2 Evaluate the key concepts and principles of external quality assurance of
assessment

1.3 Evaluate the roles of practitioners involved in the quality assurance process

1.4 Explain the regulations and requirements for external and internal quality
assurance in own area of practice

2.1 Evaluate the importance of planning and preparing external quality assurance
activities

2.2 Explain what an external quality assurance plan should contain

2.3 Summarise the preparations that need to be made for external quality assurance
activities, including:

• information collection
• communications
• administrative arrangements
• resources

2.4 Explain how to adapt external monitoring and evaluation approaches to meet
customer need without compromising quality standards

3.1 Explain the procedures for externally monitoring and evaluating internal quality
assurance arrangements and practices

3.2 Interpret the requirements for externally monitoring and evaluating internal
assessment arrangements and practices

3.3 Evaluate different techniques for externally sampling evidence of assessment,
including those that use technology

© SL Training and Development Page 1 External Quality Assurance

Assessment criteria

4.1 Critically compare the types of feedback, support and advice that internal
assessment and quality assurance staff may need to maintain and improve the quality
of assessment

4.2 Evaluate standardisation requirements relevant to the external quality assurance
of assessment

4.3 Explain the importance of providing feedback, support and advice to internal
assessment and quality assurance staff that is consistent with standardisation
requirements

4.4 Explain the relevant procedures to follow when there are disputes concerning
quality assurance and assessment

5.1 Evaluate the requirements for information management, data protection and
confidentiality in relation to external quality assurance

6.1 Evaluate legal issues, policies and procedures that are relevant to external quality
assurance, including those for health, safety and welfare

6.2 Critically compare different ways in which technology can contribute to external
quality assurance

6.3 Evaluate requirements for equality and diversity and, where appropriate,
bilingualism, in relation to the external quality assurance of assessment

6.4 Explain the value of reflective practice and continuing professional development in
relation to external quality assurance

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Principles of external quality assurance

Understanding the context and principles of external quality assurance

This unit is based on the key functions and principles of external quality assurance and
the regulations you need to follow as an External Quality Assurer (EQA). It also helps
you identify other types of practitioners you may work alongside or interact with in an
external quality assurance role.

Within this unit you will learn about:

ü The function of external quality assurance within learning and
development

ü Principles of external quality assurance
ü The roles of practitioners within quality assurance
ü Planning external quality assurance
ü Evaluating the quality of assessment and internal quality assurance
ü How to improve the quality of assessment
ü Regulations within your area of practice

Why should EQA take place?

EQA is the monitoring of the assessment and internal quality
assurance (IQA) systems which support the learner journey
throughout their time with an organisation / centre.

It should take place to ensure the learners have received a
quality service and that assessment and IQA has been correct
and fair.

The functions of EQA

This is to:

• uphold credibility (of the qualification and Awarding Organisation)

• ensure accuracy and consistency of Assessor and IQA decisions

• ensure quality throughout the learner journey

• support and advise centre staff

Quality assurance should be carried out from commencement to the completion of the
learner journey. If there is no external formal examination taken by learners, there has
to be a system of monitoring the performance of Assessors and IQAs. If not, centre staff
might make incorrect judgments or pass someone who has not met the requirements
because they were biased towards them.

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Key concepts of EQA
These include:
• accountability
• assessment strategies
• risk factors
• evaluation
• sampling
• transparency
• VACSR

An EQA is accountable to the Awarding Organisation and any external bodies such as
Ofqual.

Following the assessment strategy for your subject to ensure you are carrying out
your EQA role correctly.

Taking risk factors into consideration when planning EQA activities, such as: Assessor
and IQA expertise, competence and qualifications, confidence and competence, whether
new, experienced, qualified or working towards an Assessor / IQA Award. Other risk
factors include if assessments are carried out at different locations, if the standards are
recently revised or new.

Evaluation of the quality assurance methods and systems used in centres, as well as
evaluation of the EQA process. All aspects of the EQA cycle should be evaluated on a
continuous basis.

Sampling should include aspects which have been assessed but not internally quality
assured, as well as aspects which have been both assessed and internally quality
assured. Aspects sampled should include formative and summative assessment and IQA
decisions and records.

Assisting transparency to ensure that everyone who is involved in the assessment, IQA
and EQA process clearly understands what is expected and can see there is nothing
untoward taking place. EQA reports should be shared with the centre and the Awarding
Organisation.

VACSR - validity, authenticity, currency, sufficiency and reliability of evidence provided
and the assessment decisions made.

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Key principles of EQA
Principles are functions which are based upon the concepts, for example, how the EQA
rationale is put into practice.
They include:
• competence
• communication
• continuing professional development (CPD)
• equality and diversity
• ethics
• record keeping
• risk ratings
• SMART action planning

Competence – ensuring own EQA competence, skills and knowledge is up to date, not
only regarding the EQA role, but also regarding subject knowledge of the qualification or
standards being quality assured.

Communication – ensuring this takes place regularly with centre staff and Awarding
Organisation staff.

Continuing professional development (CPD) – maintaining currency of knowledge
and performance to ensure EQA practice is up to date.

Equality and diversity – ensuring all activities embrace equality, inclusivity and
diversity, represent all aspects of society and meet the requirements of the Equality Act
2010.

Ethics – ensuring the EQA process is honest, moral and takes into account
confidentiality and integrity.

Record keeping – ensuring accurate records are maintained throughout the EQA
process. Records should also remain secure and confidential and only shown to those
with a legitimate interest.

Risk ratings – identifying whether a centre is low, medium or high risk – the Awarding
Organisation will give guidance towards this.

SMART – ensuring all action points are specific, measurable, achievable, realistic and
timebound.

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Role & responsibilities of an EQA
These include:
• following Awarding Organisation and regulatory body requirements
• communicating with the Awarding Organisation and centres
• arranging and carrying out quality assurance activities
• ensuring centre staff interpret, understand and consistently apply the correct
standards and requirements
• monitoring and sampling the full learner journey from commencement to completion
• identifying concerns, issues and trends
• advising, supporting and providing developmental feedback to centre staff
• completing and maintaining records and reports
• taking part in continuing professional development (CPD)

Working with others
As an EQA you will spend a large amount of your time working along whilst planning and
visiting centres. However, you will be part of an external quality assurance team for the
Awarding Organisation you work for. This will include other EQAs from your specialist
area (and other vocational areas) and Awarding Organisation staff. People you could
work with (each Awarding Organisation could name the roles differently) include:
• Other EQAs (full time, part time, freelance), Examiners, Approvals Advisors
• Lead EQAs
• Awarding Organisation staff (Quality Assurance, Compliance, Qualification Developers
and Writers, Product Development, Business Development)

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The EQA cycle

Depending upon the subject you will externally quality assure, you will usually follow the
external quality assurance cycle. The cycle will continue to ensure the assessment and
IQA process is constantly monitored. Records of all activities and decisions must be
maintained throughout to satisfy your awarding organisation and the regulatory
authorities e.g. Ofqual.

Product
or

Service

Evaluation Planning

Decision Activity
and

Feedback

Identify the product or service – ascertaining what is to be externally quality assured
and why. The criteria will need to be clear, i.e. units from a qualification (product) or
aspects of the learner journey such as induction, initial assessment, tutorial reviews etc
(service). EQAs might also carry out approval and advisory visits, besides compliance
visits.

Planning – devising a sample plan to arrange what will be monitored, from whom and
when. Planning the dates to observe Assessor / IQA practice, talk to learners and
witnesses etc. Information will need to be obtained from the centre staff to assist the
planning process, and risks taken into account such as assessor and IQA knowledge and
experience.

Activity – carrying out the EQA activities such as sampling learners’ work, observing
assessor and IQA practice, sampling assessor and IQA records and decisions. Centre
staff should comply with the required assessment strategy and be consistent in their
role. Concerns, issues, trends, complaints and appeals should be monitored.
The EQA activities could be carried out during a visit to the centre or remotely and
should ensure quality and compliance of all aspects. Activities might also include
approving centres to offer qualifications and making decisions to release certification
(knows as Direct Claims Status). Awarding Organisations will give advice regarding the
activities the EQA will perform.

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Decision and feedback – making a judgment as to whether the Assessors / IQAs have
performed satisfactorily and made valid and reliable decisions. Giving developmental
feedback as to what was good or what could be improved. Agreeing action points (if
necessary) with appropriate target dates. Completing the awarding organisation’s report
and identifying a risk rating of low, medium or high.

Evaluation – reviewing the whole process of EQA to determine what could be improved
or done differently. Partaking in the Awarding Organisation’s review and appraisal
processes.

The cycle will then begin again with an identification of what needs to be monitored and
when. Throughout the cycle, standardisation of practice between external quality
assurers should take place; this will help ensure the consistency and fairness of
decisions and support to centres. Records must be maintained of all EQA activities. All
EQAs should maintain their Continuing Professional Development (CPD) and follow legal
and organisational requirements.

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Regulations, Policies and Procedures
EQAs need to follow Awarding Organisation’s policies and procedures, which should
include:
• access and fair assessment
• appeals and complaints
• confidentiality of information
• copyright and data protection (GDPR)
• equality and diversity
• health, safety and welfare
• malpractice and maladministration

Ofqual Requirements
The Regular (Ofqual) sets out clear requirements for Awarding Organisations to ensure
they remain compliant with the requirements of being an approved Awarding
Organisation. There requirements are set out in the General Conditions of Recognition.

The General Conditions of Recognition cover the following key areas such as:
• governance
• the Awarding Organisation and Ofqual
• requirements for regulated qualifications
• design and development of qualifications
• appeals and certificates
• interpretation and definitions

www.gov.uk/ofqual

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Planning external quality assurance

Factors to consider when planning EQA activities
Ahead of any EQA activity (face to face or remote), the planning stages are vital.
The Awarding Organisation will have processes an EQA must follow when planning EQA
activities, all linked around the following:

Who will be quality assured?
What will be quality assured?
When will it be quality assured?
Where will it be quality assured? Why will it be quality assured?
How will it be quality assured?
This will help you consider the factors you need to take into account when planning
activities with a centre:

What activities will be carried out, when and where? Who you will need to observe or
interview?

What records you will need to complete?
Why you are doing certain activities?

How you will carry out the activities?
How you will make your decisions, complete your report and give feedback to staff?

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EQA strategy

An EQA strategy should take into account all aspects of the assessment and internal
quality assurance process from learners commencing to when they complete at a centre.
You should follow all your Awarding Organisation’s requirements, which will include
having a strategy for each centre you support and monitor. Your strategy will give a
structure to the planning process.

The EQA strategy is the starting point for all the activities and sampling which you will
carry out. It should be a written statement based on any possible risk factors. Having a
strategy will help you plan what will be monitored and ensure that the centre’s quality
assurance systems are fit for purpose.

The strategy might be produced by your Awarding Organisation or it might be your
responsibility to write it.

The EQA strategy should take into account factors such as:

• assessment methods (are they safe, valid, fair and reliable, are they complex and
varied, do they include initial assessments, online assessments, witnesses testimonies?)

• what has been assessed i.e. the qualification or criteria (are IQAs / Assessors familiar
with these, are standards about to be revised?)

• availability of IQAs / Assessors for observations (some Assessors could be located at a
distance; can activities take place remotely via the internet/e-portfolios?)

• experience, workload and caseload of Assessors (consider staff turnover)

• number of learners to Assessors (allocating learners to Assessors should be fair,
Assessors should not be overloaded)

• number of Assessors to IQAs (should also be fair)

• units (IQAs / Assessors might interpret them differently, or learners might have
problems achieving them)

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Managing risk
When planning, an EQA must consider the following key aspects:

• IQA and Assessor knowledge and competence (of their role and the qualification
requirements) and turnover of staff
• caseloads and pressures of work upon staff e.g. expected targets
• reliability of witnesses
• numbers of learners and how quick (or how long) they take to complete
• use of technology and its reliability in assessment and IQA
• possible plagiarism by learners
• use of appropriate holistic assessments and recognition of prior learning (RPL)
• changes to qualifications, standards, documents, policies and procedures, and records
• achievement of previous action points
• risk rating of the centre

This will help you to decide what to sample e.g. more of an aspect where there could be
a risk.

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There are many risk factors to take into consideration when planning EQA activities. For
example:

• Assessor expertise, knowledge and competence, whether new, experienced, qualified
or working towards an Assessor / IQA Award. Staff should have appropriate job
descriptions and development plans

• Assessors (or Teachers / Trainers) who assess the same subject but with different
groups of learners

• whether the learners have been registered with the Awarding Organisation (an EQA
should not sample from a learner who is not registered)

• work load and case load of staff

• language barriers

• locations of learners and Assessors / IQAs

• type of qualification or programme being assessed, problem areas or units

• assessment methods and types of evidence provided by learners

• whether evidence and records are manual or electronic

• authenticity of learners’ work

You should also consider any risks of their own role i.e. making an invalid decision or
giving inappropriate feedback because they are not up to date with the qualification or
Awarding Organisation requirements.

An EQA may be alerted to other elements of risk within a centre due to:

• lack of communication from the centre

• persistent postponement or re-scheduling of planning EQA visits

• significant changes in staff not communicated with the Awarding Organisation

• significant changes to the centre not notified

• requested information not received by the due date, or incomplete

• inconsistencies with the information the Awarding Organisation holds with those
supplied by the centre

• documents from the centre are not clear or show serious anomalies

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Planning EQA activities

You will need to liaise with your Awarding Organisation to ascertain the dates for
sampling and the type of activity i.e. an advisory or approval visit, a sampling visit or a
remote activity. They should give you training in each of these aspects.

Before you can create a sample plan, you need to obtain certain information from your
centres. There may be a form that your Awarding Organisation supplies you with for this
purpose. The information should be obtained prior to creating a sample plan and should
be requested and received within an appropriate timescale.

This information should include:

• Centre details (contact name, location, access arrangements)

• Staff details (names, job roles, experience, qualifications, allocation to learners etc)

• Learner details (numbers, any particular requirements, locations)

• Dates of learner starts, enrolments, completions and certifications

• Qualification details (titles, levels offered, assessment methods used - holistic, RPL)

• IQA sample plan (learners, units, dates)

• Assessment tracking (learners, units, dates)

• Scheme of work if the programme is taught

When planning a visit, you need to consider aspects such as:

• arrival times, duration of visit and activities, transport, parking, access to centre
premises and staff etc

• what will be sampled e.g. learners’ work, assessment planning, decisions, feedback,
records, policies and procedures

• what will be observed e.g. training, assessment, internal quality assurance practice,
decisions and feedback

• who will be interviewed e.g. learners, assessors, internal quality assurers and
witnesses (if applicable)

• time for the completion of the report, giving feedback and discussion of any risks,
action points and target dates

• time for supporting and advising centre staff

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When deciding what to sample, you need to consider:

• IQAs and Assessors – their qualifications, experience, workload, caseload, locations

• learners – any particular requirements, ethnic origin, age, gender, locations

• units/learning outcomes – any problem areas

• assessment methods – observation, questions, witness testimonies, tests, RPL,
products etc

• VACSR:

• Valid – the work is relevant to the assessment criteria
• Authentic – the work has been produced solely by the learner
• Current – the work is still relevant at the time of assessment.
• Sufficient – the work covers all the assessment criteria
• Reliable – the work is consistent across all learners, over time and at the

required level

VACSR also relates to IQAs and Assessors’ decisions and records.

EQA activities are not just about sampling assessed work, it should include observing
IQA and Assessor practice, talking to learners and others involved (e.g. witnesses)
sampling assessed work, the decisions made, and the records completed. Whichever
methods are chosen, they should be fit for purpose and ensure that something from
each IQA and Assessor is sampled over time.

The size of the sample will be based on risk and the EQA strategy. If RQF units are being
recognised as RPL, any rules of combination (if applicable) will need to be taken into
account regarding credits and levels.

You should always remain professional and not let any personal issues affect the
sampling process or the activities carried out. For example, you should not expect a
centre to do something that is not a requirement e.g. create and use a particular form or
carry out an observation of a learner a particular number of times. When asking a centre
to do something, it must always be official, i.e. it’s written down in regulatory
requirements, Awarding Organisation documents, qualification handbooks etc.

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Using technology as part of the EQA process

Technology can be used to support and enhance the EQA process, technology is
constantly evolving and new resources are frequently becoming available. It is crucial to
keep up to date with new developments and you should try to incorporate these within
the EQA process. It’s not only about your centre’s IQAs, assessors and learners using it,
but how you can use it to carry out your EQA activities.

Communication through e-mail or web-based platforms can simplify the contact process
between the EQA and centre staff. There will be times when people are not available at
the same time when an EQA activity is taking place.

If you are monitoring the decisions staff have made based on electronic learner
evidence, you need to be sure the work does belong to the learner and the assessor has
confirmed the authenticity of it. Using video conferencing or other methods could help
you communicate with learners and others.

Examples for EQAs include:
• communicating via e-mail, Skype, or particular website platforms or networking sites
• accessing an electronic sample remotely online rather than visiting the centre
• accessing the Awarding Organisation’s website to access documentation
• completing an online report
• partaking in video conferencing for example EQA or centre meetings and
standardisation activities
• electronic record keeping

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Carrying out external quality assurance activities

EQA activities
When externally quality assuring, you are making decisions based upon several
activities, such as:

• observing an IQA giving feedback to their Assessor
• observing training delivery, and assessment practice and feedback
• talking to staff, learners and others such as witnesses
• sampling learner work which has been assessed formatively and summatively, and
which has and has not been internally quality assured

There are other activities you could carry out depending upon the situation and time e.g.

• observing a standardisation meeting

• reading minutes of meetings

• looking at induction records, tutorial reviews and evaluations

• reviewing statistics (such as number of starters and completers, the amount of time
taken between learners starting and completing, the time taken between learners
commencing and being registered with the Awarding Organisation)

• looking at relevant policies and procedures

• ascertaining complaints and appeals against the centre

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Making decisions

When externally quality assuring you are making decisions on the quality of assessment
and internal quality assurance.

Sampling assessed work – you need to sample according to your plan, however, you
can sample more if you need to. As an EQA, you are not re-assessing or re-marking, but
checking the assessment and IQA decision is correct. You need to confirm the process
was fair, safe and ethical:

• fair – the assessment type and method was appropriate to all learners at the
required level, is inclusive, i.e. available to all, and differentiates for any particular
needs

• safe - the methods used were ethical, the work can be confirmed as authentic,
confidentially was taken into account, learning and assessment was not
compromised in any way, nor was the learner’s experience or potential to achieve
(safe in this context does not relate to health and safety)

• ethical – the assessment took into account confidentiality, integrity, safety,
security and learner welfare

Reviewing all the assessment and IQA documentation will help you gain a clear picture
of how the centre operates. If witnesses are used, you should contact a sample of them
to confirm their authenticity and that they understand what their role entails. If a
qualification relies heavily on the use of witness testimonies as evidence, then you will
need to ascertain how the centre supports the witnesses.

You need to ensure that all supporting tracking dates and records are sampled.

Records should be maintained of everything you sample, and the Awarding Organisation
report should be completed with your findings.

You should check that an assessment plan and appropriate feedback records have been
completed correctly. Check they are legible and confirm what has been achieved. You
should compare different Assessors’ records to ensure they are completing them in a
standardised way. Some Assessors might be very brief with their comments and others
quite comprehensive. If this is the case, then the Assessor who only writes brief
comments might not be fully supporting their learner. This would be an action point for
the centre to address.

Due to the fact you are only sampling, there will be some areas that get missed, this is a
risk as you can’t sample everything from everyone at the centre. If you find a problem
when sampling, or have any concerns, you will need to increase your sample size.

You need to build up your confidence in your centre and never assume everything is fine
as even experienced IQAs and Assessors could become complacent. You can always
carry out an additional random sample and ask to see an aspect of IQA and/or Assessor
practice which isn’t on your original plan.

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Records should be maintained of everything you sample, and the awarding organisation
report should be completed with your findings.

Observing practice – a good way of ensuring assessment and IQA practice is adequate
is to see this in action. Not only will this give you the opportunity to see the decisions
made, but you will also be able to talk to the staff and learners afterwards.

Using a checklist will help you to see what you need and document what you have
observed and discussed. Observing an IQA give feedback to an Assessor will help you
confirm centre practice. It might also be possible to observe the IQA observing their
assessor (with the learner), however, this might put pressure on all concerned –
particularly the learner.

If what you see meets the requirements of the qualification, you can document this in
the Awarding Organisation report. If not, you need to explain to the centre staff what
needs correcting and set an action point – again, this must be added to the report.

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Remote sampling – is becoming more common due to the introduction of a wider
range of e-portfolio systems and web-based platforms for assessments, with centres
using these tools as part of their assessment and internal quality assurance function.
Remote sampling can reduce the amount of time spent travelling and impacting on
centre staff / resources.

Each Awarding Organisation will have their own arrangements and procedures for
agreeing and conducting remote sampling with centres.

Carrying out a remote sample has its drawbacks as you can’t ask for additional records,
observe practice or talk to anyone face to face whilst doing it. All you can do is sample
what the centre has sent you (hoping you have received what you requested). You
should always be very specific with what you ask for and explain how you expect to
receive any packages and when. If you are sampling electronic files, ensure you have
the necessary access and passwords. EQA’s are not always familiar with e-portfolio
systems, this could lead to problems with the sampling process due to a lack of
understanding of the system used. A centre should have information / user guides /
support available to an EQA who uses their platform.

You should telephone your contact at the centre to discuss the sample and ask questions
to clarify any concerns.

There are also other issues such as the sample not arriving by the due date, the package
being left with a neighbour who has since gone out, misunderstandings regarding what
was asked for, and items getting lost in the post. Electronic portfolios may make the
process easier and rule out problems with using postal services.

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Making decisions based on risk

You need to decide if your centre is low, medium or high risk – based on your sample.
Some Awarding Organisations grade centres based on a scoring scale, which ever
system you use it is important that you consider the risk of the whole centre when
making your decision. You can recommend a high-risk rating, but the Awarding
Organisation will make the final decision – it’s best to talk to them before completing
your report to discuss any serious findings.

Placing a centre on sanctions or changing their status to a high-risk rating can affect
their operation i.e. they may lose registration and/or certification rights (Direct Claim
Status). You might feel pressured during a centre visit not to place the centre on a
higher risk rating, you must always remain objective and ensure you do everything ‘by
the book’.

Awarding Organisations will give guidance as to how to make a decision which results in
a low, medium or high-risk rating being attributed to a centre. RAG (red, amber, green)
ratings are often applied in the same principle.

• Low means a centre can register and certificate their learners

• Medium means they can register their learners, but not claim certificates
(depending on the Awarding Organisation sanctions) and could require further
monitoring within a shorter than normal timeframe

• High means they cannot register any more learners or claim certificates for
existing learners. High risk can also mean a centre having their approval
withdrawn from offering a particular qualification. Extra or closer monitoring of the
centre will also be in place

Examples of each level:

• Low – centre is complying with all awarding organisation and qualification
requirements. There might be some minor issues that need addressing therefore
an appropriate action plan can be agreed with the centre

• Medium – some non-compliance e.g. insufficient assessment and IQA records

• High – serious non-compliance e.g. insufficient staff, no quality assurance
system, inaccurate data

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Each Awarding Organisation will have examples of what contributes to the risk ratings in
their quality assurance documents (or centre manuals). These are usually accessible via
their website or EQA area for resources.

Risks to consider include:

• lack of communication by the centre with the EQA between visits

• lack of IQA and assessor knowledge and competence (of their role and the qualification
requirements) and turnover of staff

• caseloads and pressures of work upon staff e.g. expected targets

• reliability of witnesses

• numbers of learners and how quick (or how long) they take to complete

• use of technology and its reliability in assessment and IQA

• possible plagiarism by learners

• poor use of appropriate holistic assessments and recognition of prior learning (RPL)

• staff not being fully aware of changes to qualifications, standards, documents, policies
and procedures, and records

• non-achievement of previous action points set by the EQA

There are many risk factors to take into consideration when making a decision
and giving feedback. However, you will need to give your centre a low, medium or high
risk overall. This decision should be based on all aspects sampled and be objective not
subjective. Personal aspects should not come into it. Awarding Organisations will give
guidance as to how to reach a decision regarding low, medium and high risks. If you are
in any doubt, give them a call during the visit to discuss your findings.

You should also consider any risks of your own role, i.e. making an invalid decision or
giving inappropriate feedback because you are not up to date with the qualification or
Awarding Organisation's requirements.

You must make a decision as to whether the centre could potentially damage the
credibility, integrity and validity of the qualification and of the Awarding Organisation.
Learners should not be disadvantaged due to the centre’s errors. You should support the
centre to put things right through clear action points, or the Awarding Organisation
might place the centre on further sanctions.

Although you can recommend sanctions, it is the Awarding Organisation who makes the
final decision, usually through their Quality Assurance or Compliance teams

© SL Training and Development Page 22 External Quality Assurance

Malpractice and maladministration
This could include learners plagiarising each other’s work, assessors signing off units
which are incomplete, IQAs completing records for aspects they have not sampled.
If you suspect malpractice contact your Awarding Organisation immediately and discuss
how to approach it with the centre.

Other areas where malpractice and maladministration could be found are:

• an IQA overruling an assessor (due to pressures to meet targets) when the assessor
did not pass the learner
• minutes of meetings being produced when they did not actually take place
• standardisation records being completed for activities that did not take place
• dates of commencement not agreeing with what learners tell you
• assessment records being signed off when assessments did not take place
• poor processes for registering and certification learners
• inadequate processes for the administration of external assessments / exams

You should familiarise yourself with the Awarding Organisation malpractice and
maladministration policies and procedures.

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Agreeing action points

Even if your centre is low risk, you might have identified some areas for development.
This could be the way they complete their records, a policy which needs updating, or a
handbook which is out of date. You should agree SMART action points with centre staff
and clearly document these in your report.

Example action point:

The IQA must hold regular standardisation meetings with all Assessors. This is to ensure
all units of the qualification are standardised during a yearly cycle. The IQA must keep
the EQA up to date with progress by e-mailing the records to them.

Feedback should be given throughout the sampling process e.g. after an observation
during a visit, as well as at the end of the visit or the remote sample. Feedback should
be based on what was sampled. It can be used to confirm competence, motivate and
encourage people. It can also be used to highlight areas for development and agree
action points.

You should give on-going feedback at each opportunity; this can highlight good practice
and be used as a basis to discuss areas for concern. Always remain professional when
giving feedback and remain objective, do not let personal factors influence decisions.

The advantages of giving feedback are:

• it creates opportunities for clarification, discussion and progression

• it emphasises progress rather than failure

• it can boost confidence and motivation

• it identifies further development and learning opportunities and / or actions required

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Feedback

Feedback should be given throughout the sampling process e.g. after an observation
during a visit, as well as at the end of the visit or the remote sample. Feedback should
be based on what was sampled. It can be used to confirm competence, motivate and
encourage people. It can also be used to highlight areas for development and agree
action points.

You should give ongoing feedback at each opportunity, this can highlight good practice,
and be used as a basis to discuss areas for concern. Always remain professional when
giving feedback and remain objective, do not let personal factors influence decisions.

The advantages of giving feedback are:

• it creates opportunities for clarification, discussion and progression
• it emphasises progress rather than failure
• it can boost confidence and motivation
• it identifies further development and learning opportunities and / or actions

required

Be honest, unambiguous, factual, constructive and detailed with your feedback. Directly
state what was good practice and/or what needs to be changed and why. Be positive
and developmental focussing on how the centre can improve, this is an opportunity to
support them to improve and centres usually want this guidance. Finally, ask questions
to check they understand what you are saying and agree with the feedback and any
actions you have provided.

You must document your feedback keep records as these ensure all EQA activity is
documented, a centre might appeal against an EQA decision therefore record keeping is
crucial. Each Awarding Organisation has their own EQA report system and you should be
fully aware of their requirements for report writing and feedback.

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Record Keeping

Records must be maintained to satisfy the awarding organisation and the regulatory
bodies e.g. Ofqual. It’s important that EQA records, either manual or electronic, show a
full audit trail of what has been monitored. For example, a report with a record of what
you sampled, who you met, who you observed, the decisions you made etc.

If records are not kept, there is no proof the EQA process took place. This includes your
own records as well as the reports you complete. The report will be supplied by the
Awarding Organisation, however, other records such as a log of contact / communication
with centres might not.

There may be a standardised approach to completing the records and reports, for
example, the amount of detail which must be written, whether the records should be
completed manually or electronically, whether they should be written in the first or third
person, and how they are completed, i.e. written, word processed or online.

You should document all communication with the centre between visits, as well as
keeping records of what was carried out during an advisory visit, an approval visit or a
monitoring activity.

EQA records must be maintained to:

• satisfy the awarding organisation, i.e. you must be able to show a valid audit trail for
all your activities

• keep track of communications with centres

• in case of complaints or appeals against your decision

• for standardisation and quality assurance purposes

• in case of malpractice in a centre e.g. plagiarism

• to monitor qualification activity within a centre

Records should always be accurate and legible and be kept safe, secure and confidential.
Most records can be kept manually or electronically, usually for three years.

Confidentiality should always be maintained regarding all EQA information and data you
use. You also have to ensure your centres are following confidentiality requirements for
their records.

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Evaluating your EQA practice and professional development

Evaluating your EQA practice
It is important to reflect on and evaluate your practice as an EQA, you might be a new
EQA or a vastly experienced EQA, regardless of experience it is vital that you can
recognise your own strengths and areas for development.

As an EQA you should evaluate your performance to ensure:
• a professional service is given to centres
• the EQA process is fair to all
• you are meeting Awarding Organisation and regulatory requirements
• you can learn from any incidents
• you can improve your practice

Your Awarding Organisation might ask for feedback from your centres regarding the
support you have given them. You should evaluate the full EQA process for you are
responsible for, this includes contact before, during and after visits / sampling activities.

It is important to give a good service to your centres, and to maintain and improve on
this where possible. However, the credibility of the Awarding Organisation must never be
compromised.

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Standardising practice

The EQA role can be an isolated role as you will be working alone for the majority of the
time; planning and carrying out centre visits.

You need to ensure a standardised quality service is given to all your centres, the
support you give to one centre should be similar to that you give to another. You must
not show any favouritism or do things which are not ‘by the book’. You need to be fully
aware of your Awarding Organisation’s policies and practices i.e. following all legal and
other relevant requirements. The Awarding Organisation should provide you with
guidance (either manual or electronic documents) and you should ensure you are
familiar with it. You must not ask a centre to do something which is not a requirement
just because you want them to do it.

You can standardise your practice in the following ways:

• communicate with other EQAs as to how they carry out their role and support their
centres
• compare decisions with other EQAs i.e. looking at anonomised documents and reports
as part of an Awarding Organisation event
• carry out peer observations (with the approval of the AO and centres)
• keep up to date with changes to standards to ensure you interpret them in the same
way as other EQAs

You should ensure centre staff are also standardising their practice in similar ways.

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Maintaining your professional development

As a professional, you need to continually update your skills and knowledge. This
knowledge relates not only to your subject specialism, but your practice as an EQA, and
your knowledge of assessment and internal quality assurance.

CPD can be formal or informal, planned well in advance or be opportunistic, but it should
have a real impact upon your job role and lead to an improvement in your practice. CPD
is more than just attending events; it is also using critical reflection regarding your
experiences which result in your development as an EQA. Opportunities for CPD are now
so varied and readily available, simple everyday sources such as social media can be
used as CPD by following and interacting with relevant organisations and individuals on
these platforms.

Keeping up to date with developments in your subject area, changes in legislation,
changes in qualification standards and developments with ICT will assist your knowledge
and practice. You also need to keep up to date with your Awarding Organisation's
requirements to operate as an EQA. You will be expected to attend meetings, networking
and standardisation activities organised by your Awarding Organisation. These might be
by attending an event and / or by online activities.

Feedback from others and your own reflections will help you realise what CPD you need
to undertake. You could shadow colleagues to observe how they carry out their EQA
role, join professional associations, and carry out internet research regarding your
specialist subject, assessment and IQA practice.

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Activities could include:
• attending events, meetings, standardisation activities and training programmes
• e-learning activities
• evaluating feedback from peers and others
• improving awareness of technology – e-portfolios, software
• joining professional associations or committees
• observing and shadowing colleagues
• returning to industry, voluntary work
• researching developments or changes to your subject and/or relevant legislation
• studying for relevant qualifications
• subscribing to and reading relevant journals, newsletters and websites

Records must always be kept of any CPD undertaken to be shown to your Awarding
Organisation or regulatory bodies if requested.
Reflecting upon EQA practice, taking account of feedback from others, evaluating
practice and maintaining CPD will all contribute to becoming a more effective EQA.

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SL Training and Development
Professional qualifications in teaching, training, assessment

and quality assurance
www.sltraininganddevelopment.co.uk
[email protected]

SL Training and Development

@SL_Training

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