Unit 3 Internal Quality Assurance - Course Manual Canvas

Professional Qualifications
Level 4 Leading Internal Quality Assurance

Unit 3 – Plan, allocate and monitor work in own area of responsibility

Assessment criteria
1.1 Explain the context in which work is to be undertaken
1.2 Identify the skills base and the resources available
1.3 Examine priorities and success criteria needed for the team
1.4 Produce a work plan for own area of responsibility
2.1 Identify team members’ responsibilities for identified work activities
2.2 Agree responsibilities of SMART (Specific, Measurable, Achievable, Realistic and
Time-bound) objectives with team members
3.1 Identify ways to monitor progress and quality of work
3.2 Monitor and evaluate progress against agreed standards and provide feedback to
team members
4.1 Review and amend work plan where changes are needed
4.2 Communicate changes to team members

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Planning, allocating and monitoring IQA activities

Plan, allocate and monitor work in own area of responsibility

This unit is based on the key principles of taking a quality assurance lead role and also
managing a team of internal quality assurers, through planning, allocating and quality
monitoring a range of quality assurance activities.

Within this unit you will learn about:

ü Work plans for internal quality assurance
ü Allocating work to members of the team
ü Agreeing responsibilities and setting targets
ü Monitoring the work of a team
ü Reviewing progress
ü Managing and adapting to the requirements of a team

The Lead Internal Quality Assurer (IQA) role and responsibilities

A Lead Internal Quality Assurer (Lead IQA) will work in a particular sector, based on
expertise, and take responsibility for managing the work of a team or group of IQAs
including quality assuring their work through monitoring and reviews of performance. A
Lead IQA could be involved in the development of quality systems and process and will
manage quality assurance processes set by an organisation – training provider, college,
employer training department or even an Awarding Organisation (AO) or End Point
Assessment Organisation (EPAO).

Some responsibilities include:

ü training new IQAs including assessing their competence against organisational and
national standards. Carrying out an induction to ensure they are suitably prepared
to carry out an IQA role

ü supporting and advising IQAs on organisational process for the delivery,
assessment and management of qualification and also relevant sector specific
matters and general quality assurance principles

ü monitoring the performance of a team of IQAs and reporting on findings

ü overseeing internal quality assurance processes, conducting sampling and
monitoring activity across centres

ü overseeing the standardisation of assessments that are centre assessed and that
standards are consistent with qualification specifications

ü contribute to programme / course and assessment developments within their area
of expertise and competence

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A Lead IQA must have up to date sector occupational competence and expertise in
assessment principles and practices in the sector. However, a Lead IQA might take the
management responsibility for a number of IQAs or teams of IQAs across different
vocational sectors, these IQAs would have relevant sector experience. In addition, they
will be an experienced IQA with a passion for quality assurance and strong leadership
skills to manage an IQA team.

A Lead IQA will be responsible for maintaining standards for qualifications (regulated or
non-regulated) across a range of levels

As part of the role a Lead IQA will work with a variety of people – mainly other IQAs, but
also Quality Managers, Quality Departments, Assessors, Teachers / Trainers and
organisational managers. The Lead IQA is usually the link between a centre and the
External Quality Assurer from an Awarding Organisation or Accreditation Body.

In addition, a Lead IQA will need to provide high levels of customer service (to a range
of stakeholders both internally and externally) and support to Assessors, Teachers /
Trainers.

A Lead IQA will be someone who has a positive approach, excellent people, diplomacy
and influencing skills and be flexible in their approach to fulfil the role requirements.

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The context in which a work plan will be produced

The context in which a Lead Internal Quality Assurer (LIQA) might work could be an
Awarding Organisation approved centres, such as a college or training provider. Aspects
that the Lead IQA might manage include a qualification sector (vocational area/s), a
suite of qualifications, a team of IQAs, a programme of professional development and
CPD for a team of IQAs and liaison with the External Quality Assurer (EQA).

Creating a work plan will ensure that the Lead IQA is focussed on meeting certain
activities by planning relevant objectives that the IQA team must meet.

The team of IQAs being managed might be based at different locations with different
contracts and job descriptions, therefore this could affect the way they are managed
(e.g. full time, part time, employed / workers, freelance / self-employed).

A Lead IQA will need to know who all of their IQA team members are, where they are
based, the type of contract they are working under, their experience, speciality area/s
and should maintain contact with each individual. With some IQA teams being spread
remotely there will be occasions when they might not all be able to get together at the
same time for a meeting, update or important announcement, therefore using electronic
methods of communication can help manage the information sharing process. Formal
meetings can be supported by less formal methods, such as messaging groups.

The Lead IQA is essentially a manager. As a manager, the Lead IQA is managing a team
of IQAs within their organisation, so will take some form of line management
responsibility. A Lead IQA could be employed – full time, part time or operate on a
freelance basis. They must be familiar with and committed to the vision and mission of
the organisation they work for and their IQA team should also know how their role fits in
to the overall organisational requirements.

Management skills

The aim of a Lead IQA should be to carry out their own work effectively and ensure the
work of their IQA team is carried out effectively too. A Lead IQA will be an experienced
practitioner who is likely to have undertaken a management role in previous roles.

The starting point will be the job description or role specification. This should state what
a Lead IQA is expected to do, enabling them to create a work plan and put it into action.
The skillset for a Lead IQA will need demonstrate various skills such as time and people
management, communication and delegation. The role is also fundamental to supporting
IQAs within the team and ensuring all quality processes are consistent within an
organisation.

There are a wealth of management theorists such as Armstrong, Kiersey and Myers
Briggs, along with group formation theorists such as Adair, Coverdale, Belbin and
Tuckman that can be applied to the management process.

Kiersey Temperament Theory - www.kiersey.com
Myers Briggs Type Indicator - www.myersbriggs.org
Tuckman - http://www.infed.org/thinkers/tuckman.htm

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Resources: physical and human

A Lead IQA should know the resources and staff that are available and if there are any
financial constraints, funding or budgets to be adhered to, this could impact on where an
IQA is based in relation to the role they do and Assessors they support.

Physical resources could include everything needed to perform the role e.g. access to
electronic systems / online platforms, centre documentation and quality assurance
policies, templates, pro-formas, equipment, computers and other mobile devices.

Human resources include the IQAs in a team, what their skills and experiences are, their
qualifications, where they are located and what roles they will perform, will they only
carry out IQA duties? It is good practice for IQAs to maintain assessing responsibilities
so they might have a number of learners they support as an Assessor.

They will also include other staff who are perhaps in a support or administrative role,
this will usually be a team based at the main head office of the training provider or
college, e.g. quality and compliance department.

Each organisation offering qualifications or accredited programme are required to keep a
list of staff within the delivery, assessment and IQA teams and where they are located,
have copies of their CVs which reflect their skills and qualifications, and know what their
strengths are. This will be valuable when new qualifications are developed, ensuring
suitable qualified and experienced IQAs are allocated to support teams of Assessors and
Teachers / Trainers.

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Producing a work plan

Producing and using a work plan will help to organise the various activities a Lead IQA
will need to carry out to meet the requirements set by the organisation they work for
and the expectations of an Awarding Organisation or Accreditation Body. A work plan
can be devised for annual, monthly and weekly tasks, is a visual reminder of what needs
to be done and by when and can be shared with the IQA team. A Lead IQA might create
a work plan for themselves that is specific to the goals they need to achieve, and one for
various team members if they are delegating tasks to them.

Activities to plan could include:

ü staff training and induction plan
ü IQA team meeting plan (this could be different vocational areas / teams)
ü standardisation plan
ü work monitoring plan (monitoring of IQAs and activities completed)
ü an observation plan (observing an IQA whilst conducting the IQA process)
ü staff appraisal schedule
ü monthly 1-1 meeting plan

A work plan can simply be a table which can be used to add activities for an objective,
the shaded areas in the example show the month in which the planned activity will be
carried out, the date is then added when it has been carried out. Evidence should always
be maintained to demonstrate meeting the success criteria. Tools and software are
available that can make sharing any plans or schedules with a remote based team.

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Information needed to produce a work plan

To create a work plan the following will need to be considered:

ü priorities (objectives, activities and expected success criteria)
ü resources (physical and human)
ü internal and external organisational requirements
ü relevant policies and procedures
ü financial details and budget constraints
ü key performance indicators (KPIs) and service level agreements (SLAs)

Using a work plan

Once a work plan has been created, objectives and activities added, it can be used to
track when tasks have been completed and any key milestones met. The activities
should lead to an improvement in quality and standards of the internal quality assurance
process. A key objective for a Lead IQA will be to ensure that the team of IQAs they are
responsible for are standardised in their approach to internal quality assurance and
support their allocated Assessors or Teachers / Trainers accordingly. In addition, the
Lead IQA will be working to ensure that all Awarding Organisation or Accreditation Body
standards are being met.

The work plan can be updated and amended at any time to take into account any
changes or unforeseen events, for example an external inspection by the Awarding
Organisation or Accreditation Body and any resulting action plan or series of
recommendations.

The work plan can be produced, shared and updated electronically, or it can be printed
and displayed as a visual reminder.

Monitoring and reviewing the activities will ensure appropriate progress is made towards
agreed targets. Records should always be maintained and kept for regulatory audit
purposes. Regular audits will be carried out by Awarding Organisations or Accreditation
Bodies, the Lead IQA will be a key person involved in these audits.

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How to monitor progress and quality

It will be the responsibility of the Lead IQA to regularly monitor the progress of the IQA
team members to ensure they are performing satisfactorily. The performance indicators
will be in line with the organisation and any Awarding Organisation or Accreditation Body
objectives and external factors such as regulatory requirements.

The IQA team will need to be aware of what monitoring activities will be completed on
their work and the quality standards expected. As with all forms of monitoring or
assessment, the process must be transparent. Quality monitoring of IQAs not only
ensures internal process are being followed but also the Awarding Organisation or
Accreditation Body requirements are being met, but the IQA can receive feedback on
their performance or be supported to improve the quality of their work.

The monitoring process can be formally carried out:

ü observations of an IQA carrying out their role
ü holding meetings and standardisation activities
ü sampling of IQA reports and decisions
ü ensuring the objectives of job roles are met
ü taking feedback from the Assessors and Teachers / Trainers supported by the IQA

Monitor can also be carried out informally by talking to IQA team members and others.

When monitoring progress, a Lead IQA will be looking at the quality of work, for
example, the amount and type of feedback given to Assessors or how action plans are
structured. Relevant records / documentation should always be maintained of all formal
activities, which can then be used as a basis for improvement, aid standardisation and
provide an audit trail to evidence the quality monitoring process.

There will be internal and external policies, procedures and legislation which will need to
be followed, these will be devised by the organisation or be set by Awarding
Organisation or Accreditation Body and regulatory bodies (e.g. Ofqual). For example, the
organisation might require a Lead IQA to observe every IQA twice per year whether they
are experienced or not.

Other ways of monitoring progress and ensuring quality include:

ü interviews with centre staff – Assessors, Teachers / Trainers
ü quality checking completed IQA sampling plans and reports
ü staff appraisals or monthly 1-1 meetings
ü gaining feedback from staff surveys
ü analysing feedback from external quality assurance reports

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Maintaining standards and evaluating progress

Monitoring an IQA team members’ performance and progress will help ensure that
Assessors, Teachers / Trainers are receiving a good quality support and that regulatory
requirements are being upheld. It should also identify any concerns that can be dealt
with immediately to alleviate any aspects of malpractice, maladministration, complaints
or appeals. Standards might not be maintained due to a range of reasons – lack of
experience as an IQA, infrequent IQA activity (perhaps the IQA only has one allocated
Assessor who does not conduct many assessments), inadequate induction to the IQA
role, lack of knowledge, skills and/or understanding of the IQA role, insufficient training
or a lack of opportunities for training.

It is good practice to consult IQA team members regarding the ways monitoring of their
performance will be carried out and to agree the expected standards. The monitoring
must be clear, fair, consistent, transparent and supportive.

There also needs to be clear guidance based on what will happen if they don’t meet the
standards or are performing poorly. It could simply be a need for further training and
development, or it could be a more serious matter.

Identifying any issues early on can enable staff training and development to take place.
This issue can then be used to standardise practice between the IQA team.

For example, when the Lead IQA carries out monitoring checks these could include:

ü Completes and submits documentation / reports to you within expected
timescales

ü Responds to any communication in good time

ü Is fully conversant with, and follows, all organisation systems, necessary work
processes and documentation

ü Reads, understands and keeps up to date with all relevant documentation from
the organisation

ü Attends and actively takes part in standardisation / training events

Records of all activities carried out should be maintained as these will contribute towards
meeting the success criteria, i.e. proof of what has taken place.

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Unsatisfactory performance

Unsatisfactory performance might be a result of a lack of knowledge or skills on behalf of
the IQA team member. This could be their fault i.e. not being honest with regard to their
skills and knowledge when they applied for the position. It could be the fault of the Lead
IQA or the organisation by not conveying crucial information i.e. when a procedure has
changed.

There should be a policy within each organisation for dealing with unsatisfactory
performance, which might lead to disciplinary action if an individual does not conform. It
could escalate to disciplinary procedures or an annual contract not being renewed
(relevant to the vast array of freelance IQAs within the sector).

If the performance of an IQA is not up to standard, an informal discussion could take
place first to establish the reasons and then agree any necessary action. If the action
cannot be reasonably achieved due to individual circumstances, the IQA should be given
the opportunity of support such as further training or assistance. At this stage, the
monitoring of the individual IQA may increase (more sampling of completed IQA reports,
checks on KPIs / SLAs or more frequent observations of IQA practice). In more serious
circumstances the IQA could be offered a reduction in their workload, counselling or
stress management. The Lead IQA would need to follow organisational procedures,
consult with relevant Quality / Compliance and Human Resources departments and keep
full records of all discussions.

Unsatisfactory performance of an individual IQA could reflect badly on the organisation
when monitoring occurs from the Awarding Organisation / Accreditation Body, and it is
possible that the Lead IQA could be questioned in relation to their role. It is therefore
important to identify any issues quickly, discover the causes and put an action plan in
place to rectify the problem.

Recruiting and retaining staff who have the necessary experience, knowledge and skills
will hopefully keep staff turnover low. However, there may be times when an individual
IQA does not perform satisfactorily and may have their employment terminated. Annual
reviews of performance can lead to a contract of employment being withdrawn or not
offered for a further year (this applies mainly to freelance IQAs).

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When standards are not maintained

The Lead IQA may find that an IQA member team is not maintaining standards. If so,
they must deal with the situation immediately before it escalates and becomes a major
issue i.e. impacting upon quality.

It could be there is a need for further training and development, or it could be a more
serious matter leading to disciplinary action.

Hopefully, based on the feedback and support provided the IQA team member will
improve, make progress and meet the standards required. There are many reasons why
someone might not be performing well and these should all be taken into consideration.
The Lead IQA will need to liaise with relevant personnel in their organisation such as
those in Human Resources to ensure any contracts or terms of employment / equality
legislation have not been breached. The Lead IQA may also consider speaking to their
EQA for advice in certain circumstances.

Providing feedback

Feedback provided during the monitoring process should be regarding the aspects
monitored, and not be critical of the person. It should be used to confirm competence,
motivate and encourage rather than apportion blame for any reason. It should be to help
an IQA develop their practice, and to maintain and improve the quality of the service
they provide.

It is beneficial for a Lead IQA to provide informal verbal feedback to IQAs whenever they
get the opportunity, this allows for relationships to be built and regular communication
to be maintained. Informal feedback can be given any time to help confirm practice and
development. It can enable individual IQAs to see what they are doing right and what
they can do to improve.

Formal verbal feedback could be given after an observation of practice or after sampling
completed IQA reports. This should always be followed up with written feedback. Formal
feedback should be given at an appropriate date, time and place, and in a constructive
and development manner.

Any reporting documentation and written feedback should be provided to an IQA
following monitoring. This acts as a formal record of feedback and any action required,
which you should always follow up.

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Keeping up to date

Part of the Lead IQA role is to keep up to date regarding what is happening in their area
of responsibility and within the organisation. When changes (to working practices or
qualifications) do occur, it is vital that they convey these changes and any relevant
information to the IQA team.

This also means keeping up to date with changes regarding the qualification or aspects
being assessed and quality assured. If an IQA team are working with regulated
qualifications, the Lead IQA will need to ensure they all read the latest updates from the
Awarding Organisation and disseminate information to their team. Any developments
should also be discussed at IQA team meetings and minutes should be maintained.

Examples which will necessitate a change / update to a work plan include:

ü an external quality assurance report requiring immediate action
ü an increase in learners and Assessor allocations
ü developments with resources i.e. new technology
ü financial or budget constraints
ü organisational developments
ü policy and procedural changes
ü qualification changes
ü staff turnover
ü targets not being met – KPIs / SLAs
ü changes to funding and how qualifications are funded
ü updated documentation

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Reviewing work plans

Work plans should be regularly reviewed to make sure that they are still fit for purpose
and updated to meet any changes and new circumstances.

For example, a Lead IQA should be made aware if an IQA leaves or cannot take on any
more work, they should be able to allocate another without disadvantaging the rest of
the team and maintaining levels of internal quality assurance support. If an IQA is due
to leave, there should be a succession plan in place to ensure the centres they monitor
are not left without any support, with recruitment of a suitable replacement (based on
location and expertise) in hand. *not all Lead IQAs have responsibility for allocating IQAs to Assessors.

Communicating changes

Communication is a two-way process and at some point a Lead IQA may have to
reallocate responsibilities from one IQA to another. This should be done by agreement
rather than by imposition, the Lead IQA should maintain the respect and support of all
IQA team members.

When amending plans, changes are more successful if the IQA team members are
included in process, such as the making of major changes, rather than imposing changes
upon them. As their job roles will directly be affected, discussing these and
communicating with them on an ongoing basis could help alleviate future problems.

Examples include:

ü e-mail e.g. to quickly pass on information to the full team
ü face to face e.g. meetings or staff appraisals
ü internal IT system e.g. updated documents, policies and procedures
ü newsletters e.g. bulletins and updates (hard copy or electronic)
ü notice boards e.g. displaying work plans and information for staff
ü telephone e.g. a call to check on a team member’s progress
ü written e.g. letters, memos, reports and minutes

Ultimately the Lead IQA is in place to support and manage a team of IQAs, the emphasis
should be on supporting and developing the team.

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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

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