Internal Quality Assurance - Course Manual Canvas

Professional Qualifications
Level 4 Internal Quality Assurance

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

Assessment criteria

1.1 Explain the functions of internal quality assurance in learning and development

1.2 Explain the key concepts and principles of the internal quality assurance of
assessment

1.3 Explain the roles of practitioners involved in the internal and external quality
assurance process

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

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

2.2 Explain what an internal quality assurance plan should contain

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

• information collection

• communications

• administrative arrangements

• resources

3.1 Evaluate different techniques for sampling evidence of assessment, including use
of technology

3.2 Explain the appropriate criteria to use for judging the quality of the assessment
process

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Assessment criteria

4.1 Summarise types of feedback, support and advice that Assessors may need to
maintain and improve the quality of assessment

4.2 Explain standardisation requirements in relation to assessment

4.3 Explain relevant procedures regarding disputes about the quality of assessment

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

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

6.2 Evaluate different ways in which technology can contribute to the internal quality
assurance of assessment

6.3 Explain the value of reflective practice and continuing professional development in
relation to internal quality assurance

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

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Principles of internal quality assurance

Understanding the context and principles of internal quality assurance

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

Within this unit you will learn about:

ü The function of internal quality assurance within learning and
development

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

Quality assurance can be defined as a system to monitor and
evaluate a product and/or a service.

It should identify and recommend measures to make
improvements to standards and performance, or at least
maintain the status quo if everything is working well.

Internal quality assurance (IQA) relates to the monitoring of
all the teaching, learning and assessment activities which
learners will undertake.

The activities should form part of an organisation’s overall quality assurance system.
Quality assurance is different to quality control which seeks to find problems. Quality
assurance seeks to avoid problems, stabilise, and improve products and services.

Why should IQA take place?

IQA is the monitoring of the assessment processes and 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 has been correct and fair.

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The functions of IQA
This is to:
• uphold credibility (of the qualification / programme)
• ensure accuracy and consistency of Assessor decisions
• ensure quality throughout the learner journey
• support and advise Assessors

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. If not, centre staff might make incorrect judgments or pass someone who has
not met the requirements because they were biased towards them.

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

An IQA is accountable to the organisation they work or / on behalf of, and any
external bodies such as Awarding Organisations or Accreditation Bodies.

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

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Taking risk factors into consideration when planning IQA activities, such as: Assessor
and expertise, competence and qualifications, confidence and competence, whether new,
experienced, qualified or working towards an Assessor 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 /
organisations, as well as evaluation of the IQA process. All aspects of the IQA cycle
should be evaluated on a continuous basis.

Sampling should include aspects which have been assessed where decisions have made
by an Assessor. Aspects sampled should include formative and summative assessment
and decisions and records.

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

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

Key principles of IQA

Principles are functions which are based upon the concepts, for example, how the IQA
rationale is put into practice.

They include:

• competence

• communication

• continuing professional development (CPD)

• equality and diversity

• ethics

• record keeping

• risk ratings

• SMART action planning

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

Communication – ensuring this takes place regularly with centre staff and the
Awarding Organisation / Accreditation Body.

Continuing professional development (CPD) – maintaining currency of knowledge
and performance to ensure IQA 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 that the IQA process is honest, moral and takes into account
confidentiality and integrity.

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

Risk ratings – identifying whether an Assessor 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.

Role & responsibilities of an IQA

These include:

• following centre / organisation and Awarding Organisation / Accreditation Body
requirements

• communicating with Assessors, other IQAs, centre / organisation staff and the
Awarding Organisation / Accreditation Body

• arranging and carrying out quality assurance activities

• ensuring centre Assessors 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 Assessors

• completing and maintaining records and reports

• taking part in continuing professional development (CPD)

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Working with others

As an IQA you will spend a large amount of your time working along whilst planning,
carrying out IQA and supporting Assessors. However, you will be part of an internal
quality assurance team for the centre / organisation you work for. This will include other
IQAs from your specialist area (and other vocational areas) and centre / organisation
staff.

People you could work with (each centre / organisation could name the roles differently)
include:

• Other IQAs (full time, part time, freelance, associate)

• Lead IQAs

• External Quality Assurers (EQAs) from the Awarding Organisation / Accreditation Body

• Centre / organisation staff (Quality Assurance, Compliance, Programme Managers,
Operational Managers, Administration, Business Development)

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The IQA cycle

Depending upon the subject you will internally quality assure, you will usually follow the
internal quality assurance cycle. The cycle will continue to ensure the assessment
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, Institute for Apprenticeships.

Product
or

Service

Evaluation Planning

Decision Activity
and

Feedback

Identify the product or service – ascertaining what is to be internally 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).

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

Activity – carrying out the IQA activities such as sampling learners’ work, observing
assessor practice, sampling assessor records and decisions. Assessors should comply
with the required assessment strategy and be consistent in their role. Concerns, issues,
trends, complaints and appeals should be monitored.

The IQA activities could be carried out during a visit to the Assessor or remotely and
should ensure quality and compliance of all aspects. Activities might also include
speaking to learners.

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Decision and feedback – making a judgment as to whether the Assessors 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 IQA records and identifying a risk
rating of low, medium or high.

Evaluation – reviewing the whole process of IQA to determine what could be improved
or done differently.

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

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Regulations, Policies and Procedures
IQAs need to follow centre / organisation 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 Qualification 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, these are the guidelines that set how an Awarding
Organisation externally quality assures a centre / organisation.

In addition, other regularity bodies, such as the Institute for Apprenticeships, National
Governing Bodies, etc, will also have processes in place for external quality assurance.

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Planning internal quality assurance

Factors to consider when planning IQA activities
Ahead of any IQA activity (face to face or remote), the planning stages are vital.
Your centre / organisation will have processes an IQA must follow when planning IQA
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 an Assessor:

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 the
Assessor?

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IQA strategy

An IQA strategy should take into account all aspects of the assessment and process from
learners commencing to when they complete their qualification / programme /
Apprenticeship. You should follow all your centre / organisation requirements, which will
include having a strategy for each Assessor you support and monitor. Your strategy will
give a structure to the planning process.

The IQA 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 Assessors are
supported and the consistency of assessment is maintained.

The strategy (per Assessor) might be produced by your centre / organisation or it might
be your responsibility to write it.

The IQA 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 / standards or criteria (are Assessors
familiar with these, are standards about to be revised?)

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

• experience, workload and caseload of Assessors

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

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

• Assessor knowledge and competence (of their role and the qualification requirements)
• caseloads and pressures of work upon staff e.g. expected targets
• The requirements of the Assessment Strategy – qualifications / End Point Assessment
• numbers of learners and how quick (or how long) they take to complete
• use of technology and its reliability in assessment
• 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 set following IQA sampling
• risk rating of the Assessor

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

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

• Assessor expertise, knowledge and competence, whether new, experienced, qualified
or working towards an Assessor Award.

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

• work load and case load of Assessors

• language barriers

• locations of learners and Assessors

• type of qualification, standard 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 / Accreditation Body requirements.

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Planning IQA activities
You will need to liaise with the Assessor to ascertain the dates for sampling and the type
of activity i.e. sampling, a physical visit or a remote activity.
Before you can create a sample plan, you need to obtain certain information from your
Assessor or centre / organisation, this will detail the learners and the qualification, units,
standard or programme they are being assessed against. The information should be
obtained prior to creating a sample plan to help inform your sampling strategy.
This information could include:

• 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)
• Assessment schedule / 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 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, decisions and feedback
• who will be interviewed e.g. learners, employers 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 the Assessor

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When deciding what to sample, you need to consider:

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

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

• units / learning outcomes, standards – any problem areas

• assessment methods – observation, written / oral questions, witness testimonies,
tests, RPL, product evidence, showcase, professional discussion, 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 Assessors’ decisions and records.

IQA activities are not just about sampling assessed work, it should include observing
Assessor practice, talking to learners and others involved (e.g. employers, 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 Assessor is sampled over time.

The size of the sample will be based on risk and the IQA 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 an
Assessor 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 an
Assessor to do something, it must always be official, i.e. it’s written down in regulatory
requirements, centre processes / procedures, the qualification handbook or assessment
strategy etc.

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Using technology as part of the IQA process

Technology can be used to support and enhance the IQA 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 IQA process.

Communication through e-mail or web-based platforms can simplify the contact process
between the IQA and Assessors.

If you are monitoring the decisions Assessors 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 IQAs 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 centre / organisation internal system to access documentation
• completing online IQA reports
• partaking in video conferencing for example IQA or centre meetings and
standardisation activities
• electronic record keeping

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Carrying out internal quality assurance activities

IQA activities
When internally quality assuring, you are making decisions based upon several activities,
such as:

• observing an Assessor giving feedback to their learner
• observing training delivery and assessment practice
• talking to learners and others such as witnesses or employers
• sampling learner work which has been assessed formatively and summatively

There are other activities you could carry out depending upon the situation and time e.g.
• observing an Assessor team meeting
• reading minutes of meetings
• looking at induction records, tutorial reviews and evaluations
• dealing complaints and appeals against assessment decisions

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Making decisions

When internally quality assuring you are making decisions on the quality of assessment.

Sampling assessed work – you need to sample according to your plan, however, you
can sample more if you need to. As an IQA, you are not re-assessing or re-marking, but
checking the assessment 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 documentation / electronic records will help you gain a
clear picture of how the Assessor conducts their assessments. 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 Assessor 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 an IQA 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 Assessor 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 every Assessor. 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 Assessor and never assume everything is
fine as even experienced Assessors could become complacent. You can always carry out
an additional random sample and ask to see an aspect of Assessor practice which was
not on your original plan.

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Records should be maintained of everything you sample, and the IQA report should be
completed with your findings. Your records will be scrutinised by the Awarding
Organisation / Accreditation Body.

Observing practice – a good way of ensuring assessment 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 Assessor and learner afterwards.

Using a checklist will help you to see what you need and document what you have
observed and discussed. Observing an Assessor give feedback to a learner will help you
confirm practice.

If what you see meets the requirements of the qualification / standard, you can
document this in an IQA report. If not, you need to explain to the Assessor what needs
correcting and set an action point – again, this must be added to the IQA 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 Assessors
using these tools as part of their assessment function. Remote sampling can reduce the
amount of time spent travelling and impacting on IQA staff resources.

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 Assessor has provided to you (hoping you have received what you requested,
so planning is important for remote sampling). If you are sampling electronic files,
ensure you have the necessary access and passwords.

You could arrange a telephone call with your Assessor to discuss the sample and ask
questions to clarify any concerns, this will also give you an opportunity to provide
feedback.

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Making decisions based on risk

You need to decide if an Assessor is low, medium or high risk – based on your sample.
Some centres / organisations grade Assessors based on a scoring scale, which ever
system you use it is important that you consider the risk of the Assessor (if any) when
making your decision.

You might feel pressured whilst completing IQA activities, you must always remain
objective and ensure you do everything in line with centre policies and procedures.

Your own organisation 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 assessment is consistent, and the Assessor is performing well

• Medium means that the Assessor is still developing their assessment practice and
may have actions in place for improvement or they could be more experienced at
assessment having moved from high risk.

• High means the Assessor needs more support, could be making inaccurate
assessment decisions or is demonstrating poor practice. Extra or closer monitoring
of the Assessor will also be in place

Each centre / organisation will have examples of what contributes to the risk ratings in
their quality assurance documents (or centre manuals). Risks to consider include:

• lack of communication from the Assessor – with learners, the IQA or centre /
organisation staff

• lack of Assessor knowledge and competence (of their role and the qualification
requirements)

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

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

• use of technology and its reliability in assessment

• possible plagiarism by learners

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

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

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

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There are many risk factors to take into consideration when making a decision
and giving feedback. However, you will need to give your Assessor 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. You will give guidance as to
how to reach a decision regarding low, medium and high risks.

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,
standard or Awarding Organisation / Accreditation Body requirements.

You must make a decision as to whether the Assessor could potentially damage the
credibility, integrity and validity of the qualification / standard / programme and of the
centre / organisation you work for.

Learners should not be disadvantaged due to any errors by the Assessor. You should
support the Assessor to put things right through clear action points, or the Awarding
Organisation / Accreditation Body might place sanctions on your centre / organisation
following external quality assurance.

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

Malpractice and maladministration

This could include learners plagiarising each other’s work or Assessors signing off units
which are incomplete. If you suspect malpractice you should address this with you’re
your Assessor immediately and notify the centre / organisation (Lead IQA, Centre
Manager, Quality Manager) you work for. Awarding Organisations / Accreditation Bodies
will be closely monitoring this aspect.

Other areas where malpractice and maladministration 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

• 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 your centre / organisation malpractice and
maladministration policies and procedures.

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Agreeing action points

Even if your Assessor is low risk, you might have identified some areas for development.
This could be the way they complete their records, a process that has been updated, or
a forthcoming change to the qualification / standard / programme. You should agree
SMART action points with the Assessor and clearly document these in your IQA report.

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 the Assessor. 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 of the Assessor

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

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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 Assessor can improve, this is an opportunity to
support them to improve. 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 IQA records as these ensure all IQA activity is
documented, an Assessor might appeal against an IQA decision therefore record keeping
is crucial. Each centre / organisation has their own IQA report system and you should be
fully aware of their requirements for report writing and feedback.

Record Keeping

Records must be maintained to satisfy the Awarding Organisation and the regulatory
bodies e.g. Ofqual, Institute for Apprenticeships. It’s important that IQA 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 and the decisions you made etc.

If records are not kept, there is no proof the IQA process took place, this will be
considered poor practice by the Awarding Organisation / Accreditation Body and could
lead to actions for your centre / organisation. This includes your own records as well as
the reports you complete.

There may be a standardised approach to completing the IQA 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.

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IQA records must be maintained to:

• satisfy the Awarding Organisation / Accreditation Body, i.e. you must be able to show
a valid audit trail for all your IQA activities

• keep track of communications with Assessors

• in case of complaints or appeals against your decision

• for standardisation and quality assurance purposes

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

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 IQA information and data you
use. You also have to ensure your Assessors are following confidentiality requirements
for their records.

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Evaluating your IQA practice and professional development

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

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

Your centre / organisation might ask for feedback from your Assessors regarding the
support you have given them. You should evaluate the full IQA process for you are
responsible for, this includes contact before, during and after sampling activities, along
with on-going support that you provide for your Assessors.

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Standardising practice

The IQA role can sometimes be an isolated role as you will be working alone for the
majority of the time; planning and carrying out IQA activity with your Assessors.

You need to ensure a standardised quality service is given to all your allocated
Assessors, the support you give to one Assessor should be similar to that you give to
another. You need to be fully aware of your centre / organisation policies and practices
i.e. following all legal and other relevant requirements.

You can standardise your practice in the following ways:

• communicate with other IQAs as to how they carry out their role and support their
Assessors
• compare decisions with other IQAs i.e. looking at anonomised documents and reports
as part of an IQA standardisation event
• carry out peer observations
• keep up to date with changes to qualifications / standards to ensure you interpret
them in the same way as other IQAs

You should ensure your Assessors 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 IQA, 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 IQA. 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 IQA. You will be expected to attend meetings, networking
and standardisation activities, or events organised by your Awarding Organisation /
Accreditation Body. 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 IQA 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, Accreditation Body or regulatory bodies if requested.
Reflecting upon IQA practice, taking account of feedback from others, evaluating
practice and maintaining CPD will all contribute to becoming a more effective IQA.

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

and quality assurance
www.sltraininganddevelopment.co.uk
info@sltraininganddevelopment.co.uk

SL Training and Development

@SL_Training

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