Level 3 Award 6317 - 301 Workbook v2 March 2024

UNIT 1
Level 3 Award Understanding the Principles

and Practices of Assessment 6317 - 301
Version 2 - March 2024

Welcome to your qualification and your guided learning materials
These learning materials are designed to increase your knowledge, whilst at the same time helping
you to take notes, make comments and refect on the requirements of your qualifcation.There can be
no standard delivery model for a vocationally related award as each candidate will require varying
amounts of time and support to complete their programme.This workbook has indicative learning of
approximately 25 hours, and will be supplemented by direct support/learning/training from your
trainer and assessor. If further support is required, your trainer or assessor will be only too pleased
to assist - You are not alone in your studies!
How to use this study pack
The learning materials you have been provided with

contain:
• A self-assessment for each unit that helps you identify

things you already know and things you must learn.
• Activities to assist you in understanding topics and to
identify how these relate to your own work role.
• Opportunity to explore topics in depth. The workbook
will guide the training you complete with your assessor
and will be supplemented and supported by examples
of best practice, and a comprehensive resource library
to ensure you can maximise your new learning as a
practising assessor.
Welcome to your journey on becoming a

competent Assessor with MBTC.
Self Assessment
The self-assessment is designed to allow you to quickly identify areas of your knowledge which you
would like to enhance, study further, or allow you to prioritise your learning by tackling those areas
you are unsure of first.
Once you have completed the self-assessment you will be able to start your learning with the areas
you have identified, or you may choose to follow the learning materials in numerical order. The learning
materials are designed to be completed in any order without prior experience and at a pace you are
content with. Good luck with your studies and we would like to wish you every success in utilising
your new-found knowledge.
Learner Name:
Trainer Name:
Assessor
Name:
1
Check the listed tasks or responsibilities below and gauge your knowledge and understanding of each
unit, low, medium or high. This will allow you to direct your learning energy to those areas needed the
most.
Units of Learning
Unit Activity Low Medium High

Unit 1 1. Understand the principles and requirements of assessment
2. Understand different types of assessment method
3. Understand how to plan assessment
4. Understand how to involve learners and others in assessment
5. Understand how to make assessment decisions
6. Understand quality assurance of the assessment process
7. Understand how to manage information relating to

assessment
8. Understand the legal and good practice requirements in

relation to assessment
Now you have identified the areas which are low, medium or high you are ready to begin your learning
journey.
2
• High – You may wish to read through the information quickly to check there are no new areas of
knowledge you could use in your work.You may find the activities and knowledge assessment easier in
these areas
Medium – Read all of the information well and ensure you gain a detailed understanding of new areas
to you. Complete the activities in detail for those areas you are unsure of.
• Low – Focus your learning energies in these areas. Read the information carefully, complete the
activities and ask for assessor support if you have difficulty. Ensure you have all the knowledge needed
before progressing onto the candidate knowledge assessment pack.
the unit activities have been completed and you have enhanced your
Once
knowledge and understanding you should answer the questions in the candidate
knowledge assessment pack.
Opptuniies for Development

Remember, when completing the workbook activities provide as much detail as
possible, these will help you address the assessment criteria during the assessment
process.
Any areas of the workbook you are unsure of leave blank and request assistance from
your trainer/assessor.
3
The Regulated Qualifications Framework (RQF)
The RQF
From October 2015, all qualifications are held within the Regulated Qualifications Framework (RQF).
The RQF provides a single, simple system for cataloguing all qualifications regulated by Ofqual. It’s like
a bookcase in a library, with qualifications indexed by their ‘level’ and ‘size’. Qualifications at any specific
level can be very different from one another, for example in their content and purpose. Ofqual maintain
a register that provides more detail on each qualification (https://register.ofqual.gov.uk/).
Qualification Levels
Qualification levels indicate the difficulty and complexity of the knowledge and skills associated with
any qualification. There are eight levels supported by three ‘entry’ levels. While most qualifications will
be assigned a single level some, such as GCSEs, can span more than one.
Qualification Size
Qualification size refers to the estimated total amount of time it could typically take to study and
be assessed for a qualification. This can be anything from a matter of hours to several years of study
and different students can take different amounts of time to study for the same qualification. Size is
expressed in terms of Total Qualification Time. The part of that time typically spent being taught or
supervised, rather than studying alone, is known as Guided Learning Hours.
Qualifications can sit at different levels, but require similar amounts of study and assessment time.
Equally, qualifications at the same level can take different amounts of study and assessment time.
Total Qualification Time (TQT)
Total Qualification Time (TQT)

Any qualification which an Awarding Organisation makes available or proposes to make available, must
assign to that qualification a number of hours for:
• Total Qualification Time (which includes, assessment, invigilation and self study)
• Guided Learning (included within the Total Qualification Time and completed whilst in the direct
supervision of a tutor or by electronic means simultaneously)
For every hour applied to a qualification this will equate to a tenth of that total time if a credit value is
applied, e.g. 100 hours = 10 credits.
4
Which organisations are involved in the delivery?
Office of the Qualifications and Examinations Regulation (Ofqual), Qualifications Wales and
the Council for the Curriculum, Examinations and Assessment (CCEA)
The qualifications regulatory bodies responsible for overseeing national qualifications,
examinations and assessments in England, Wales and Northern Ireland.
Standards Setting Body (SSB) or Sector Skills Council (SSC)

Organisations responsible for developing national occupational standards and qualifications.
Sector Skills Councils (SSCs) are independent, employer-led organisations which seek to build a
skills system that is driven by employer demand. SSCs apply to specific economic sectors.
Regulated Qualifications Framework (RQF)

Framework for creating and accrediting qualifications in England and Northern Ireland. Wales has
its own Credit and Qualification Framework.
Awarding Organisations
Organisations approved by the qualifications regulatory bodies to award qualifications. All learners
register for a qualification with an awarding organisation and are awarded credits upon successful
completion.
External Quality Assurer (EQA)

The person appointed by the awarding organisation to monitor the work of the approved centre.
The EQA acts as the link between the awarding organisation and the approved centre by working
closely with the internal quality assurers and centre manager to ensure that quality of assessment
and internal quality assurance meets the national standards.
APPROVED ASSESSMENT CENTRE

(MANAGED BY A CENTRE CO-ORDINATOR OR MANAGER
1. Who is your SSB or SSC?
2. Who is your Awarding Organisation?
3. Who is your EQA?
5
UNIT 1 Understanding the Principles and Practices of Assessment
Level 3
Unit Aim
Credit value: 3
The aim of this unit is to assess a learning and
Total Qualification Time: 30 development practitioner’s knowledge and
understanding of the principles and practices of
Guided Learning Hours: 24 assessment.
This unit is divided into 8 Learning Outcomes (LOs)

On completion of this unit a learner should:
1. Understand the principles and requirements of assessment

2. Understand different types of assessment method
3. Understand how to plan assessment
4. Understand how to involve learners and others in assessment
5. Understand how to make assessment decisions
6. Understand quality assurance of the assessment process
7. Understand how to manage information relating to assessment
8. Understand the legal and good practice requirements in relation to assessment
Learning outcomes and assessment criteria
In order to pass this unit, the evidence the learner presents for assessment needs to demonstrate they
can meet all the learning outcomes for the unit. Learners must address all questions in the knowledge
assessment and make them available for quality assurance purposes.
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1 Understand the principles and requirements of assessment
Outcome 1 – Assessment Criteria
1.1 - Explain the functions of assessment in learning and development

1.2 - Define the key concepts and principles of assessment
1.3 - Explain the responsibilities of the assessor
1.4 - Identify the regulations and requirements relevant to assessment in own area of practice
Unit Introduction
Assessment is the process by which the educator appraises the knowledge, understanding and skills
of their students. Assessment policies and procedures therefore need to be a cornerstone of the
educators’ approach to assuring the academic standard or award. Assessment also plays a key role
in the student learning process, and consequently is crucially important to the quality of the learning
opportunities. Consequently, the following principles of assessment underpin a comprehensive range of
assessment policies, procedures and practices.
Assessment can focus on the individual learner, the learning community (class, workshop, or other
group of learners), the institution, or the educational system as a whole. Educational assessment
encompasses theoretical and practical study including case studies, portfolio studies, exploratory or
experimental work and practical skills. In vocational assessment, learning outcomes in achievement and
satisfaction are measured against the national standards.
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ACTIVITY 1 (AC 1.1)
What are the functions of assessment?
To determine students’ level (of knowledge, understanding, ability) at beginning of course

(initial assessment)
To enable students to identify and express learning needs
To aid the assessor in structuring course contents
To enable the assessor to judge student progress through formative and summative
assessment
To enable students to judge their own progress
To provide a context for feedback on student performance through performance reviews,

feedback and target setting
To contribute to quality assurance and develop best practice
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Key Principles
ACTIVITY 2 (AC 1.2)
Good practice in assessment is based on the following principles:
Assessment starts with the job – assessing evidence resulting from the main tasks the
candidate carries out in their normal workplace role.
Assessment is holistic – rather than taking a unit by unit approach, looking at each of the
assessment criteria in turn, you encourage candidates to use evidence across as many units of the
award as possible.
Assessment is judging whether evidence meets the standards – your job is to decide
whether your candidates’ evidence meets the standards.
Assessment means using a variety of assessment methods – knowing how different

assessment methods work together. Over reliance on a particular method or using only one
method can lead to unreliable decisions, based on looking at only one aspect of the candidate’s
competence.
Assessment is fair and consistent and part of the quality assurance process – showing the
internal quality assurer (IQA) how you’ve arrived at your decisions. Comparing your assessment
practice with that of other assessors and agreeing to change the ways you do things if necessary.
Assessment uses policies and procedures that minimise bureaucracy – collecting and
presenting evidence in a way that makes it as easy as possible for you to carry out assessment
and record your decisions. Wherever possible and practical, seeing and assessing the evidence in
the place where it occurs naturally – in the workplace.
Assessment decisions are based on the evidence – keeping a record of all decisions in the
portfolio, which should contain:
• The assessor’s decisions – stating who assessed what and when, what the decision was and
the rationale for this, and stating where to find the evidence that underpins the decision
• Evidence of competence only.
9
There are a number of ‘assessment’ terms that will appear in this workbook. Listed below are common
interpretations of some of these terms:
Assessment - a working definition of assessment for learning
The term ‘assessment’ refers to all those activities undertaken by assessors, and by their learners in
assessing themselves, which provide information to be used as feedback to modify the teaching and
learning activities in which they are engaged.
Assessment for learning:

• Comprises two phases - initial or diagnostic assessment and formative assessment
• Assessment can be based on a variety of information sources (e.g., portfolios, works in progress,
teacher observation, conversation)
• Verbal or written feedback to the student is primarily descriptive and emphasizes strengths,
identifies challenges, and points to next steps
• As tutors check on understanding they adjust their instruction to keep students on track
• No grades or scores are given - record-keeping is primarily anecdotal and descriptive
• Occurs throughout the learning process, from the outset of the course of study to the time of
summative assessment.
The tutor will work with the student to understand what he or she already knows about the topic as
well as to identify any gaps or misconceptions (initial/diagnostic assessment). As the unit progresses,
the tutor and student work together to assess the student’s knowledge, what he or she needs to learn
to improve and extend this knowledge, and how the student can best get to that point (formative
assessment). Assessment for learning occurs at all stages of the learning process.
Assessment as learning
• Begins as students become aware of the goals of instruction and the criteria for performance
• Involves goal-setting, monitoring progress, and reflecting on results
• Implies student ownership and responsibility for moving his or her thinking forward (meta cognition
– how to use particular strategies for learning or problem solving)
• Occurs throughout the learning process.
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Assessment of learning
• Assessment that is accompanied by a number or letter grade (summative)
• Compares one student’s achievement with standards
• Results can be communicated to the student
• Occurs at the end of the learning unit.
Diagnostic assessment (referred to more often as ‘initial or pre-assessment’)

Diagnostic assessment is used to determine a student’s learning style or preferences in order to
determine how well a student can perform a certain set of skills related to a particular subject or
group of subjects.
• Assessment made to determine what a student does and does not know about a topic.
• Occurs at the beginning of a unit of study
• Used to inform instruction: makes up the initial phase of assessment for learning.
Formative assessment
• Assessment made to determine a student’s knowledge and skills, including learning gaps as they
progress through a unit of study
• Used to inform instruction and guide learning
• Occurs during the course of a unit of study
• Makes up the subsequent phase of assessment for learning.
Summative assessment
• Assessment that is made at the end of a unit of study to determine the level of understanding the
student has achieved
• Includes a mark or grade against an expected standard.
11
Among the most comprehensive listing of principles of assessment for learning are those written by
the UK Assessment Reform Group (ARG). Their principal focus is on crucial aspects of assessment for
learning, including how such assessment should be seen as central to classroom practice, and that all
tutors should regard assessment for learning as a key professional skill.
The UK Assessment Reform Group identifies -
Principles of assessment for learning:
The provision of effective feedback to students.
The active involvement of students in their own learning.
Adjusting teaching to take account of the results of assessment.
Recognition of the profound influence assessment has on the motivation and self-esteem of candidates,
both of which are critical influences on learning.
The need for students to be able to assess themselves and understand how to improve.
12
Remember that the purpose of assessment is to identify learner progression
ACTIVITY 3 (AC 1.2) and create feedback which is then used to improve learners’ performance
against specified criteria. There are 3 main types of assessment which should
be deployed during a period of learning and development. These include:
1. Initial or Diagnostic Assessment which establishes the existing or developing

level of skill and knowledge of learners and helps identify how each learner learns
(learning styles).
Task: From you experience provide at least 2 examples of initial assessment:
2. Formative Assessment is conducted throughout a learning and development

programme and ensures learning and growth is taking place.
Task: From you experience provide at least 4 examples of formative

assessment:
3. Summative Assessment includes Oral, written and practical assessment

instruments for collecting evidence to determine the extent to which learners
demonstrate competence against set criteria.
Task: From you experience provide at least 4 examples of summative

ACTIVITY 4 (AC 1.4)
assessment:
13
The Assessment Cycle
AC 1.3
When understanding the responsibilities of the assessor it is helpful to consider the assessment cycle which defines
the key stages of assessment. At each phase of the cycle the assessor will carry our specific functions and tasks to
support learner progression. The assessment cycle phases include:
Initial Assessment – ascertaining information regarding your learners: for example, any specific assessment
requirements they may have or any further training and support that they may need. This information can be
obtained in a range of ways, for example, application forms, interviews, diagnostic tests and discussions. This
process might not always be carried out by you but the information obtained must be passed on to you. Initial
assessment is known as assessment for learning, because it helps prepare learners for assessment and identifies
their potential.
Assessment Planning – agreeing suitable types and methods of assessment with learners, setting appropriate
target dates and involving others as necessary, such as colleagues, witnesses or workplace supervisors.
Assessment Activity – using relevant approaches and activities, for example, observation, questioning,
assignments or gathering appropriate evidence of competence. Assessment can be formative (usually ongoing and
informal to check progress e.g. a discussion) and/or summative (usually at the end and formal e.g. a test).
Summative assessment is often known as assessment of learning because it counts towards the achievement of
something.
Assessment Decision and Feedback – making a judgement of success or otherwise or allocating a grade and
advising how to achieve a higher grade in future. Providing constructive and developmental feedback and agreeing
upon any further action that may be necessary.
Review of Progress – reviewing progress and achievement and discussing any other issues that may be relevant to
the learning and assessment process. The cycle can then begin again with an initial assessment regarding the next
area to be assessed. Records should be maintained throughout all aspects of the assessment cycle and quality
assurance activities should take place on an ongoing basis.
14
AC 1.3 Explain the Responsibilities of the Assessor
The main role of an assessor is to plan and carry out assessments according to the qualification
requirements, or those of any other criteria to be assessed.
Being an Assessor requires you to take an interest in the progress of your learner and support
them throughout their qualification. You will need to provide them with goals and record their
achievements along the way.
The key responsibilities of an assessor can be generally classified into 3 discrete areas
including:
To the Learner
• Making learners aware requirements of the standards they are working toward.
• Making learners aware of relevant policies and procedures.
• Reviewing learner progress.
• Negotiating and agreeing assessment plans.
• Supporting learners with special assessment requirements.
• Dealing with sensitive issues in a supportive manner.
• Giving constructive and developmental feedback to learners.
• Identifying and dealing with any barriers to assessment or learning.
• Making best use of different assessment types and methods.
• Making fair and consistent judgements based on assessment requirements.
To the Organisation
• Following relevant organisational policies and procedures.

• Attending standardisation, moderation and other relevant meetings.
• Implementing action points that have been stated by IQA/EQA recommendations.
• Liaising and collaborating with others involved in assessment process.
• Checking authenticity of witness testimonies.
• Completing and maintaining safe and secure records.
• Standardising practice with other assessors.
• Maintaining your own occupational Competence and Professional Development (CPD).
To the Awarding Organisation (AO) / Regulating Body
• Meeting Awarding Organistion (AO) and regulatory authority’s requirements.
15
AC 1.3 Learner Activity
Assessor Personal SWOT Analysis

Refer to page 15 (Assessor Responsibilities) and conduct a personal SWOT analysis. Be
practical, and honest in your assessment to reliably inform your CPD.
Strengths: What do you do well? What do others Weaknesses: What could you improve? Where
see as your strengths? what resources do you do you have fewer resources and less support?
have access to? What are others likely to see as your
weaknesses?
Opportunities: What opportunities are open to Threats: What potential threats could set you
you? What support do you have? How can you back with your development? What threats do
turn your strengths into opportunities? your weaknesses expose?
16
Responsibilities of the assessor
If you are working with National Vocational Qualifications (NVQ) or Competence Based Learning
(CBL) you will need to familiarise yourself with the following:
Unit 1 - Understanding the principles and practices of assessment (this workbook)

Unit 2 - Assess occupational competence in the work environment
Unit 3 - Assess vocational skills, knowledge and understanding (out of the work environment)
Unit 4 - Understanding the principles and practices of internally assuring the quality of assessment

(your internal quality assurer)
Unit 5 - Internally assure the quality of assessment (your internal quality assurer)
The assessor is expected to make judgements by using the relevant assessment criteria to decide
whether each candidate has met the prescribed standards or criteria. Assessors record the results and
feed back to candidates, both orally and in writing.
Regulations and requirements relevant to assessment

Based on new occupational standards, the new qualifications now have a single unit devoted to
knowledge, containing vital information about the principles and practice of good quality assessment.
The other units reflect the different roles much better than the previous qualifications, and offer
increased flexibility in the way vocational achievement can be assessed and demonstrated. There is a
unit for those who work with learners who perform in the working environment, and a unit for those
who work with learners to assess their vocational skills and knowledge (through assignments, for
example) in a non-work environment. Assessors who do both can undertake both these units.
The new qualifications have been developed as a result of the revised National Occupational Standards
(NOS) for learning and development. The new standards reflect current practice in learning and
development, and describe what a person needs to do, know and understand in order to carry out
their learning and development role in a consistent and competent way.
ACTIVITY 4 (AC 1.4)
Who are the regulatory bodies relevant to assessment in your own area of practice?
17
Qualifications at a glance
Level 3 Award in Understanding the Principles and Practices of Assessment

This award consists of a knowledge-based unit and is aimed at those wanting to gain an
understanding without the need to practise.
Unit 1
Understanding the
Principles and Practices
of Assessment
Level 3 Award in Assessing Competence in the Work Environment

This award is for Assessors who assess occupational competence using naturally occurring
evidence from work
Unit 1 Unit 2
Understanding the Assess Occupational
Principles and Practices Competence in the Work
of Assessment Environment
Level 3 Award in Assessing Vocationally Related Achievement

This award is for assessors who assess vocational skills, knowledge and understanding in other
environments
Unit 1 Unit 3
Understanding the Assess Vocational
Principles and Practices Skills, Knowledge and
of Assessment Understanding
Level 3 Certificate in Assessing Vocational Achievement

This certificate is for Assessors who do both
Unit 1 Unit 2 Unit 3

Understanding the Assess Occupational Assess Vocational
Principles and Practices Competence in the Work Skills, Knowledge and
of Assessment Environment Understanding
18
Who’s who in delivery?
Office of the Qualifications and Examinations Regulation (Ofqual), Qualifications Wales and
the Council for the Curriculum, Examinations and Assessment (CCEA)
The qualifications regulatory bodies responsible for overseeing national qualifications,
examinations and assessments in England, Wales and Northern Ireland.

Sector Skills Councils (SSCs) are independent, employer-led organisations which seek to build a
skills system that is driven by employer demand. SSCs apply to specific economic sectors.
Regulated Qualifications Framework (RQF)

Framework for creating and accrediting qualifications in England and Northern Ireland. Wales has
its own Credit and Qualification Framework
Awarding Organisations
Organisations approved by the qualifications regulatory bodies to award qualifications. All learners
register for a qualification with an awarding organisation and are awarded credits upon successful
completion.
External Quality Assurer (EQA)

The person appointed by the awarding organisation to monitor the work of the approved
centre. The EQA acts as the link between the awarding organisation and the approved centre by
working closely with the internal quality assurers and centre manager to ensure that the quality of
assessment and internal quality assurance meets the national standard.
THE APPROVED ASSESSMENT CENTRE (MANAGED BY A CENTRE

CO-ORDINATOR OR MANAGER)
Internal Quality Assurer (IQA)

The person appointed by the approved centre responsible for ensuring the quality and consistency
of the assessment process.
Assessor
This is you, the person appointed by the approved centre and responsible for working with the
learner to advise and assess them.
Candidates/Learners
Individuals registered with an awarding organisation and working towards achieving the units/
qualifications.
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Learning Log
Section of Session Key Learning Point
20
2 Understand Different types of assessment method
2.1 - Compare the strengths and limitations of a range of assessment methods with reference to
the needs of individual learners
Assessment may be carried out in many varied ways:

Unit 2 Methods
• Observation of performance (Mandatory)
• Examining products of work (Mandatory)
• Questioning the learner (Mandatory)
• Discussing with the learner
• Use of others - witness testimony
• Looking at learner statements
• Recognising prior learning
Unit 3 Methods (Performance evidence of three required)

• Assessment of the learner in simulated environments
• Skills tests
• Oral and written questions
• Assignments
• Projects
• Case studies
• Recognising prior learning
There are a number of assessment methods commonly used in competence based vocational
qualifications. Some of these methods are also used in other types of qualification. Commonly used
assessment methods include:
Observation of performance (and examining products of work) - assessing

practical competence
This is considered the main method by which competence should be assessed and involves either
observation of performance or examination of the end product. Many people in work will have been
involved in informal assessment of performance by observing and making judgements about how
effectively someone is doing his or her job. Tutors will be used to watching how an individual trainee
learns or behaves, and will make mental notes on areas of strength and areas where the trainee may
need help. These observations also need to be recorded in writing or by electronic recording devices,
these findings must be linked to the necessary learning outcomes or assessment criteria.
21
Use of technology during observation
Arguably, the most appropriate way of assessing learners’ competence is to observe them in action.
Observation is the main method to use when assessing work-based competence. Most awarding bodies
specify observation as a primary or mandatory method for assessing competence within their schemes.
Using technology such as video, photography or audio equipment can be useful as long as you check
first that the candidate is comfortable with its use.
Questioning the Learner

The use of questions, either written or oral is the main method for establishing whether the candidate
has knowledge and understanding across a range of contexts and contingencies. This is vital, as without
knowing what exactly he or she is doing, why and what the possible alternatives are, there is little
possibility that an individual will be able to transfer any skill from one situation to another.
There are limits to what an observation can tell the assessor about how much someone actually
understands about what he or she is doing. An observation is at a particular time and place, in a
particular environment, under a particular set of circumstances.
For example, the assessor could observe an engineer operating some machinery. The observation may
not enable him or her to tell whether that person could cope if a fault occurred with the machine
or if he or she were working on a different type of machine, or if he or she were working in a busy
environment with a lot of time pressure to complete a particular piece of work. Well constructed and
relevant questioning can find out this information from the candidate.
It is important to remember that observing someone do a given task or activity does not necessarily
mean they understand why they are doing it, for example, a caterer may wash their hands before
entering the food preparation area, so one may assume they have a basic understanding of food hygiene.
However, it may be they are simply copying the other caterers they have observed washing their hands.
In another situation the caterer may not think it necessary to wash their hands because they do not
make the connection or understand the concept of food hygiene and are unable to transfer this rule
across to another situation. Another example could be assessing someone’s written work. We may be
satisfied it is the person’s own work, but we don’t know if they are able to understand the content,
structure sentences or if they have used a dictionary or a spell check on a computer to produce the
text.
The definition of knowledge should include a deeper understanding of the knowledge aspects related
to the element plus a broader ability to transfer and make connections between ideas and practice.
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Questioning techniques
Assessors can use various types of question in different ways, depending on the sort of information you
need from your candidate. These could be:
• Open questions – Can be used to encourage candidates to give a detailed explanation or when
you want more than a one-word answer.
• Closed questions – Require a short or one-word answer such as ‘Yes’ or ‘No’.
• Check facts – ensure that you have understood correctly – take control of the situation
• Probing questions – Are follow-up questions to ask when you need to find out more.
You can use them to:
- Extract more detailed information about the candidate’s knowledge and understanding
- Probe broad statements a candidate may have made previously
- Get beyond any rehearsed answers to questions.
• Hypothetical questions – Are those that use or imply the words ‘What if..?’ You can use them
to establish your candidate’s ability to cope with contingencies, rare and unusual occurrences,
or emergency situations. It essential to these in some assessment strategies when performance
evidence is unlikely to be evident.
Discussing with the learner

A conversation in which the learner describes and reflects on their performance and knowledge in
relation to the requirements of the standards.This method can be used to check the validity and
reliability of a learner’s evidence. Can often be used to cover a range of activities and units.An effective
way to check ‘deep’ rather than superficial learning.
Use of others - Witness testimony

Another person’s account of what a learner has done, usually to confirm their competency of areas
difficult to assess or to confirm activities are completed consistently over a period time.Witness
testimony can also be used in conjunction with RPL to verify a learner’s claim to existing knowledge
and skills.
Learner Statements
The learner’s account of what they have been doing in relation to the standards to be achieved. To support
consistent performance over time, or for evidence of reflection on, and improvements in, performance.
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Recognising Prior Learning (RPL)
It is important to take account of your candidate’s existing competencies before they start their
programme. If they show they are already competent, they needn’t undergo unnecessary training or
evidence collection to achieve the standards. However, you still need to use the main methods of
assessment when assessing evidence of your candidates’ competence.
Recognition of Prior Learning (RPL) is about recognising any existing experience and knowledge the
candidate may bring with them. This forms part of the initial assessment and the assessment planning
process. RPL is about you, the assessor, recognising and validating the candidate’s previous achievements
using the main methods of assessment, providing they meet the standards.You may decide it’s quicker
and more efficient to gather current evidence if your candidate works under similar conditions.
Where the learner chooses to claim credit using the RPL route, you will assess whether or not their
evidence meets the standards they are claiming credit for, using the assessment methods and processes
you would normally use.
RPL Flowchart
Provide Information and advice

about claiming RPL/credit Assessor
Pre-assessment - gathering
evidence and giving information
Provide documentation in Learner
support of the claim
Assess the evidence

Provide Feedback
Award RPL/Credit
Appeals - if required
Simulation
Using a replica of the work environment to assess competence. When it is impossible or unsafe for the
learner to perform in a real-life work environment.
Guidance from Awarding Organisations or Sector Skills Councils (SSCs) should be sought before using
Simulation. Guidance may include information such as:
• When simulation is used, those who assess the learner should be confident that the simulation
replicates the workplace to such an extent that learner’s will be able to fully transfer their
occupational competence to the workplace and real situations.
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Written Questions
Using a range of questions to find out whether a learner has the necessary knowledge.
Assignments, Projects, Case Studies

Assessing the outcomes of assignments, projects and case studies that a learner has undertaken as part
of their vocational learning against specified criteria. These methods can be used in conjunction with
questioning or discussion (if these methods are used as part of the learning process then they do not
provide evidence of competence).
Assessment of written submissions

When written work is submitted you must feedback to the learner on the quality of their responses.
The following stages in the learning journey should be considered:
Teaching and Learning
During teaching and learning, you are using your best professional judgement about the nature, quantity
or level of feedback.
• Identify areas for learner progression, including stretch and challenge.

• Set ‘dry run’ or ’mock’ tasks and scenarios to help learners understand what level they have
reached and prepare for assessment.
• Feedback on how to improve knowledge, skills, understanding, behaviour, approach, grammar etc.
During Assessment
While learners are working on an assessment, you can continue to give general feedback and support,
particularly around the development of knowledge, understanding and skills.
• Guidance on how to approach the knowledge and skills requirements.

• Guidance on appropriate behaviour and approach, confirmation of deadlines etc.
• Confirmation of which criteria the assessor
Following Assessment
On the assessment record, you should give clear feedback on the criteria the learner achieved
(explaining your decisions) and on the criteria not achieved (and why), although you should not provide
a list of instructions on how to get a higher grade.
• Which assessment criteria the learner has achieved and what the learner has done well.
• Which assessment criteria the learner has not achieved and what was missing.
• Information or guidance available to the learner they could have drawn on (e.g. research notes;
handouts; resources in assignment brief etc.)
• General behaviour and conduct, approach, grammar etc.
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Strengths and limitations of assessment methods
It is important to remember that a candidate needs to know how well they are doing. A candidate
cannot get any feedback from an assessor until they have given him or her something to assess,
whether this is a workplace assessment, test answers or a piece of written work.
All of the previously mentioned methods can assess knowledge from a simple to a complex level.
However, it is evident that those requiring more complex responses will be far more useful in
establishing whether the candidate actually understands and can apply the knowledge he or she is
demonstrating.
The more complex the activity the greater possibility there is of showing competence against a
number of different elements and the more opportunity there is for demonstration for other skills. An
assignment for example, would also enable candidates to demonstrate a variety of key skills, including
communication, working with others and problem solving. If it involved analysis of data, candidates
could also cover application of number, and if the results were produced using a computer then
information technology would also be covered.
In workplace assessment, qualifications have explicit knowledge and understanding requirements which
must be assessed. The questions start with ‘operative verbs’ which must be addressed with the correct
level of detail. For example a question starting with ‘Explain’ will require a detailed response and may
offer some examples in support of the response.
The more complex methods of testing knowledge such as assignments can pose difficulties for the
assessor. The material produced by the candidate is more individualised and there is far more in
the way of information and ideas to disentangle; hence the demands on the assessor to have very
clear ideas of what will or will not be acceptable and what is or is not relevant are far greater. Such
assessments have obvious advantages, in that the candidates have a full opportunity to express
themselves if appropriate. However, the potential for subjective and unfair assessments can be
considerable. It is important that the assessor has a clear marking scheme prior to the assessment
being distributed to candidates, and that both assessor and candidates know the marking criteria. This
helps the assessor to mark objectively and the candidates to meet the criteria.
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Assessment may take place in one or more of the following formats:
Formative assessment
Carried out throughout the course (or at various stages); can be used as a diagnostic aid applied by the
student for purposes of self-assessment or by the tutor in order to provide feedback (assessment for
learning).
Summative assessment
Usually carried out at the end of the course; may be performance-based and may result in award of a
grade (assessment of learning).
Objective assessment
Consists of pre-determined, measurable, ‘right’ answers (may be written, numerical, multiple choice, etc.
and could be conducted online).
Subjective assessment
Requires an element of judgement by the assessor.
Criterion referenced
Assessment is made against a set of pre-determined criteria.
Norm referenced
Assessment is made by comparing a student’s performance with those of the peer group.
Synoptic assessment
Synoptic assessment can be defined as an assessment that encourages students to combine elements
of their learning from different parts of a programme and to show their accumulated knowledge and
understanding of a topic or subject area.
ACTIVITY 5 (AC 2.1)
List the assessment methods you propose to use and identify their strengths and
weaknesses.
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Learning Log
28
3 Understand how to plan assessment
3.1 - Summarise key factors to consider when planning assessment
3.2 - Evaluate the benefits of using a holistic approach to assessment
3.3 - Explain how to plan a holistic approach to assessment
3.4 - Summarise the types of risks that may be involved in assessment in own area of

responsibility
3.5 - Explain how to minimise risks through the planning process
Key factors to consider when planning assessment

Ensure that your plans are realistic and cost effective for the candidate, this means choosing the best
assessment method for the circumstances. Make the most of your assessment visits by identifying
assessment opportunities well in advance and confirming these with the learner. Assess ‘holistically’
using a variety of methods and evidence to cover different units and making the most of every
assessment opportunity.
Most candidates will undertake a period of learning before they are ready to tackle assessment, but it
is a good idea to have an overview of the assessment requirements before they start, so they can see
how their learning applies not just to their work role but also to the assessments.
Normally, a candidate’s assessment will be ‘continuous’, as there will be a number of occasions on

which they meet with the assessor for the purpose of checking work-based competence. There will
also be a summative assessment when all the candidate’s claims to competence are checked through
and the complete units are finally signed off.
ACTIVITY 6 (AC 3.1)
What considerations will you make when planning assessment?
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Minimising risks through planning and using a holistic approach to assessment
In an effort to encourage a holistic approach to assessment, you should look at each of the assessment
criteria and establish where candidates can ‘map’ across evidence in as many of the qualification units as
possible. This enables the candidate and assessor to cover multiple parts or whole units as they occur
naturally during the assessment process.
To minimise any potential risks, this should be done in the first phase of the assessment planning
process. It is the assessor’s job to help the candidate gain an overview of the qualification they are
hoping to achieve and to plan the most effective route to achieve it. Ideally, the candidate should have
been recruited onto the right programme in an effort to maximise potential success.
• Ensure you have an overview of all the relevant core and optional units within the qualification
• Identify what the learner does on a day-to-day basis within their workplace, listing their main
functions and responsibilities, then try and group these into key activities
• Now link the units in the qualification to the key activities
• You may find that any specialist activities that the learner carries out are linked to optional units
• Mandatory units contain generic competencies that underpin most of what the learner does and
will probably occur naturally from carrying out the activities linked to the optional units.
Agree an individual learning plan (ILP) with the candidate, containing learning targets, learning methods,
resources, assessment methods and time-scales where appropriate.
The following guidelines will help you when planning, assessing and reaching a judgement:
• Plan assessment activities with candidates
• Use a variety of assessment methods and justify their use
• Use criteria concerning the validity, authenticity, currency and sufficiency of evidence when
reaching a judgement (see section 5)
• Make safe and reliable judgements
• Give constructive feedback to candidates
• Use feedback on performance to plan learning
ACTIVITY 7 (AC 3.2 & 3.3)
How can you plan and use a holistic approach when assessing learners?
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Considerations when Planning (5Ws&H)
It is important to ensure learners are provided the correct levels of information to help them prepare
for assessment. The following approach will assist you in ensuring you provide the information in a
structured way.
• Who - the name of the learner to be assessed

• What - the activity the learner will be doing in the workplace
• When - the date and time
• Where - the location of the activity
• Why - the units being covered by this assessment
• How - The most effective assessment methods for the activity and related evidence
•Discuss the appeals process with the learner at each assessment
Planning an observation
The key to observation is to plan with your candidate and outline what you plan to observe, along
with the date and time, but to be flexible on the day depending on what the candidate faces at work.
You also need to plan around the whole activity and include evidence that will become available after
the observation so that the candidate can arrange for you to have access to this. Before you start, it is
important to try and put the candidate at ease by carefully explaining what you will be doing.
Whilst the observation is taking place, choose a suitable point at which to question the candidate. If
they’re moving around or tackling a number of tasks, it makes sense to question them as they’re going
along, otherwise they may forget what they were doing and why.
Ensure that:
• All the assessment criteria for the task has been covered
• The underpinning knowledge and understanding have been covered (by questioning or other
methods)
• That the candidate performs consistently to the standards
Technology and the assessment process

A variety of activities can be completed online, both individually and as a group with other candidates.
These can be submitted to the assessor online for assessment and feedback as the course progresses.
At the end of the course, the work can be submitted in the form of an electronic portfolio for
summative assessment.
The assessor can go online with candidates and get them to send their evidence electronically if
appropriate. It is important to remember, the use of the computer is as a means of communication, not
an assessment method in itself. This form of technology is useful for candidates to transfer evidence
electronically to the assessor for immediate feedback or support.
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Planning a discussion
Before carrying out a professional discussion you will need to plan it so that the candidate agrees with
the timing of it and what they want to achieve. This planning stage is crucial and requires time and
effort from both assessor and candidate.You need to plan with the candidate what they will be talking
about and identify anything they need to bring with them to support their claim to competence.
Ensure that:
• You have checked the evidence requirements and assessment strategy to ensure everything is
covered
• Discussion with the learner is the appropriate method
• The candidate is ready to be assessed
• You have agreed a time and place to meet
For most candidates, discussion is something of an ordeal. They may be very good at their jobs but
not confident about talking to an assessor. When you begin, it is important for your candidate to feel
relaxed, so build this into your practice. One way of doing this is to talk to your candidate beforehand
about what to expect.
The assessor’s role is to keep up the pace of the discussion, and to steer it where necessary. This
means encouraging your candidate to keep talking when they’re on the right track. Keep them focused
on the standards and move them on when they’ve covered the topic in enough depth.
ACTIVITY 8 (AC 3.4 & 3.5)
What are the types of risk when planning the assessment of learners?
How can you minimise these risks through effective planning?
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Setting targets
It may be necessary for assessors to give candidates advice, when they cannot prove their competence
on how they can develop the necessary skills or provide more evidence.
This means:
• Advising candidates on learning targets
• Being involved in planning how to achieve these targets
• Modifying learning targets as a result of any progress reviews and assessments carried out.
Assessors need to know how to give constructive feedback on existing levels of competence and what
candidates need to do to be fully competent.
Use the ‘SMART’ acronym to help you set effective learning targets.
Specific? They define clearly what is to be done
Measurable? You are able to measure whether or not they have been achieved
Achievable? They are realistic and the candidate can achieve them
Realistic? They are worth doing and relevant to the standards
Time-bound? The target contains a time limit.
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ACTIVITY 9 (AC 7.2)
Think of a SMART target you could set a learner
Specific -
Measurable -
Achievable -
Realistic -
Time-bound -
Example
Provide a copy of meeting minutes you have produced in support of your department which show
attendees, discussion points and any actions. These will need to be available for assessment on 10
December (our next scheduled visit)
Breakdown of Objective
Specific - says what the learner needs to provide (meeting minutes)
Measurable - states what is to be included; attendees, discussion points and actions
Achievable - one of the learner’s job roles is note taking and distribution of minutes
Realistic - the learner provides administrative support to the department and the task is relevant
to their job role
Timely - learner to have the documentation ready for 10 December (next assessor visit)
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Learning Log
35
4 Understand how to involve learners and others in assessment
4.1 - Explain the importance of involving the learner and others in the assessment process
4.2 - Summarise types of information that should be made available to learners and others

involved in the assessment process
4.3 - Explain how peer and self-assessment can be used effectively to promote learner

involvement and personal responsibility in the assessment of learning
4.4 - Explain how assessment arrangements can be adapted to meet the needs of individual

learners
The importance of involving the learner in the assessment process

It’s important that learners feel relaxed about sharing their thoughts and feelings with you. Part of your
role as an assessor is to create a climate where the learner can reflect freely, and this means building a
relationship of trust between the two of you.
Going straight to targets and action plans isn’t helpful; you need to allow the process of reflection to
unfold during your discussions with learners. From their point of view, it may be the first time they’ve
spoken to someone else about what they’ve been doing.You’re helping them see the progress they’ve
made and think critically about how they got there.
• It is essential the learner is clear about what is being assessed and the processes involved. He or
she must feel they have been involved in the planning process and must clearly understand what will
happen.
• If the learner or anyone else involved in the process is not familiar with the assessment location,
try to visit it beforehand.
• Try to give the learner some control over the conditions, e.g. ask the learner’s opinion on the best
place for the assessor to stand or sit and, if feasible, respect his or her wishes.
• If the learner’s work involves interacting with clients or colleagues, keep out of their way and
keep workspaces clear. Avoid becoming involved in the assessment process.
• When clients are involved, make sure the learner knows that the needs of the client should take
precedence over the needs of the assessor. Make sure that anyone else involved is informed and
reassured about the presence of an assessor.
• Ensure that all external visitors to the learner’s workplace (e.g. assessors,verifiers) comply with
the requirements of the organisation and with relevant legislation, such as the Health and Safety at
Work Act.
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The assessment process involves in-depth planning with learners. Once the key activities have been
identified, decisions can be made and discussed with the learner about the following:
• Who - the name of the learner to be assessed

• What - the activity the learner will be doing in the workplace
• When - the date and time
• Where - the location of the activity
• Why - the units being covered by this assessment
• How - The most effective assessment methods for the activity and related evidence
• Discuss the appeals process with the learner at each assessment
Arrange a review date to follow the assessment, to tidy up loose ends and to plan for the next phase
of assessment. Continue planning in this way, by identifying the relevant optional units and gradually
covering the mandatory units.
ACTIVITY 10 (AC 4.1 & 4.2)
What is the importance of involving others in the assessment of your learners?
What information should be made available to your learners?
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Effective use of peer and self-assessment
The use of questionnaires and check-lists are an effective method of self- assessment. They involve
asking the candidate direct questions about themselves or their performance.You can use them to:
• Identify tasks that candidates have done before or relevant experiences from their past
• Gauge whether or not candidates have access to particular opportunities(such as those necessary
to gain a particular National Vocational Qualification or Competence Based Qualification)
• Give candidates the opportunity to assess their own strengths, weaknesses and support needs
across a range of skills and abilities.
Self-assessments are straightforward to design. The key is to be clear about areas where you want the
candidate to self-assess. Try to make it as easy as possible for the candidate, by being specific and asking
direct questions.
Strengths of self-assessment questionnaires:
• They are reasonably easy to construct and use

• You can gain a great deal of information relatively quickly
• Candidates are actively engaged in assessing their own needs
• You can design them to be occupationally specific
• They are a good starting point for exploring further needs.
Weaknesses:
• Candidates who are eager to present a positive self-image may overrate their abilities
• Research has shown that higher-ability learners’ self-reports are more reliable than those of
lower ability learners
• Research has shown that females tend to under-report abilities while males tend to over-report
abilities.
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Peer-assessment
Involving learners in peer-assessment through providing opportunities to assess each other’s work can
help to develop independence from the tutor and, if done in a constructive and cooperative way, can be
a rewarding experience. However, if handled badly, peer-assessment can sometimes be a demotivating
and damaging experience for particular learners. Tutors can help to make peer-assessment a positive
experience in the following ways:
Give plenty of opportunities for learners to become aware of good practice in assessing and giving
feedback. This can be done through tutors presenting a model of such good practice themselves, but
also by drawing learners’ attention to the principles of giving constructive feedback.
• Give some opportunities for practice in giving helpful feedback under supportive and controlled
conditions, before allowing full peer-assessment to take place.
• Set down clear ground rules for peer-assessment.
• Carefully choose the composition of the pairs or groups that will peer-assess.
• Create structures for giving feedback that build-in comments on strengths as well as areas for
improvement.
• Ensure that feedback focuses on the work and not the person.
• Praise and value good skills in peer-assessment and giving feedback.
Provide one example of how you can use peer-assessment, and one example of
self- assessment in your practice.
Peer-assessment:
Self-assessment:
TIVITY 11 39
Meeting the needs of individual learners
Learners are all individuals with individual needs. As more people are encouraged to become learners,
you will have to identify what additional support may be necessary in order to give each learner the
best possible opportunity to achieve their chosen qualification or targets.
You need to find out what learning methods your candidates have found helpful and enjoyed in the past,
as well as the things they may have found difficult.
ACTIVITY 12 (AC 4.4)
Provide one example of meeting a learner need.
Your learners will have different reasons for wanting to learn – some positive, some negative. Either
way, their motivation will affect their approach to learning. Knowing what motivates your learners can
help you plan learning that is relevant and more likely to engage them.
Research shows that learners who have their own, positive reasons for wanting to learn – who are
intrinsically motivated – are more likely to succeed and retain what they have learned.
The following is a statement from a learner who is motivated to learn for its own sake or because they
really want to learn:
“I need to get a job.That’s why I have started this back-to-work course”.
The following is a statement from a learner who has a negative reason or condition imposed on them
for needing to learn:
“I’m a real technophobe but I knew if I didn’t learn how to use the internet my business would suffer”.
As a tutor, you are likely to have to deal with learners who have negative as well as positive motivation.
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There is no magic switch for turning people on to learning; they may be on your programme because
they have to be there.
There are things you can do to maintain motivation during your sessions. The following is a list of some
situations where you may encounter poor or flagging motivation, the reason for it and what you can do
about it.
Problem: Your group starts to show signs of bad behaviour

Possible reason: Teaching methods need to be changed
Try: Varying the pace and methods of delivery
Problem: Candidate is disengaged from learning

Possible reason: They don’t see the relevance of what you’re doing
Try: Finding something that interests the learner and using this as a focus for learning
Problem: A candidate who has previously done well now seems to befalling behind
Possible reason: They may have a personal problem
Try: Find out what the problem is and set aside individual catch-up time
Problem: Some members of the group are easily bored

Possible reason: They aren’t being challenged
Try: Setting additional extension activities to keep learners busy
Problem: Some candidates don’t seem to finish their work

Possible reason: The work is too hard - they are distracted by others in the group
Try: Setting them something you know they can achieve, give plenty of encouragement – ask
them to move places
Another good way to look at learner motivation is to identify ‘what’s in it for me?’ for the learner.
Getting learners to identify the benefits of learning for themselves is often a good way to switch them
on to learning. Learners are not always motivated by the same things that drive you, their teacher/
trainer, or by learning for its own sake, but they might be motivated by what’s in it for them. For
example, a candidate in accountancy learning how to budget finances will be able to manage their own
money better with the skill, so they can plan their personal finances more accurately each month.
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Write below an assessment problem you have encountered, the possible reason,
and what you did to resolve it:
Problem:
Possible reason:
Action taken:
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Learning Log
43
5 Understand how to make assessment decisions
5.1 - Explain how to judge whether evidence is:

• Sufficient
• Authentic
• Current
5.2 - Explain how to ensure that assessment decisions are:

• Made against specified criteria
• Valid
• Reliable
• Fair
Reaching a judgement
By using an appropriate range of assessment methods, the assessor should be in a position to make
judgements about the learner’s competence against the standards (specified criteria). The Internal
Quality Assurance process will using the following criteria to measure your judgements.
When assessing identify the following:
Valid
Is the evidence valid? Does it meet the assessment criteria requirements of the standards?
Validity has a particular significance in Competence Based Learning (including NVQs) because what
is being assessed is the evidence presented. If the evidence is not valid, i.e. it is not an appropriate
means of demonstrating competence, and then the candidate will have to be reassessed using different,
or additional and more relevant, evidence. It is important to grasp that no evidence is automatically
valid or not valid. It is the candidate’s interpretation of that evidence and how he or she justifies its
relevance that makes it valid.
Authentic
Is the evidence authentic? Has the learner produced the evidence?
Determining whether performance evidence is genuine will obviously be reasonably straightforward
if the assessor is observing the candidate actually doing something at work. However, the assessor
has to be sure that any end product presented by the candidate as ‘one I made earlier’ really has been
produced by that candidate and a certificate of authenticity is provided by the candidate. Assessors
will also have to decide whether witness statements are genuine, and will need to look at original
certificates where candidates are claiming that they have prior qualifications.
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Current
Is the evidence current? Has it been produced recently and is the learner still able to
demonstrate competence?
The evidence can prove that the candidate is up to date on current methods and equipment required
in the appropriate occupational area.
Every occupational area is different, and some change more rapidly than others. However, as a general
rule, areas that deal primarily with people can use evidence that dates back over a greater number of
years than occupational areas where rapid changes in technology are likely to make skills obsolete –
even those acquired even a few years before.
Reliable
Is the evidence reliable? Does the judgement confirm the candidate’s performance is of a
consistent standard in a range of different contexts?
The same assessor should make the same judgement about the candidate on a number of different
occasions – other assessors would make the same judgement about the candidate. Subjective
assessment can cloud the objectivity of an assessment i.e. where a candidate is considered ‘good’ or
‘poor’ by the assessor and all evidence is judged on that basis, as opposed to being judged on its own
merit. An assessor must be aware of where he or she might be biased or have personal preferences,
plus a strict adherence to the requirements of the elements being assessed.
Sufficient
Is the evidence sufficient? Is there enough evidence to prove that the learner has demonstrated
competence over time and in a range of contexts?
Insufficient evidence does not usually mean too little evidence, but too little evidence of the
appropriate kind. This can result from a ‘shopping trolley’ approach to the assessment, where all sorts
of documentary items are collected in the vague hope that they will provide something of substance.
If being assessed is to be meaningful for candidates, an essential part of the process is the thought
required in discussing their own performance and in working out what they need to do, make or
explain to demonstrate competence appropriately. Without this identification, candidates will remain
unaware of what it is that they do or know that enables them to perform a particular work role.
Additionally as an assessor we should consider the following to ensure our learners are provided
similar levels of access and consideration:
Fair
Is the assessment type appropriate to all learners at the required level, is it inclusive, i.e. available to all,
and differentiates for any particular needs?
Safe
Are the methods used ethical, the work can be confirmed as authentic, confidentiality 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).
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ACTIVITY 14 (AC 5.1 & 5.2)
Considering VCARS in your own practice, explain how your assessment will meet
these requirements?
V
Reporting your judgements
The assessor needs to report back formally on the judgements they have made as part of their centre’s
internal quality assurance and quality procedures. This allows everyone to keep track of candidates’
achievements and provides a written record of all assessment decisions.
Reports are important for the following reasons:

• For confirming to the candidate what they have achieved
• For auditing and quality-assurance purposes
• To provide a written record in cases where an appeals procedure is invoked.
Use of feedback when making assessment decisions
An important stage in the learning process is giving candidates feedback on their performance
and on the assessment decisions the assessor has made. Effective feedback provides the basis for
adjusting performance and planning the candidate’s next steps, and enables the assessor to update the
assessment plan. Feedback should be used to help revise learning targets, and to plan for future learning
and development needs as necessary.
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Feedback to learners
Feedback to learners makes use of appropriate approaches e.g. timing and location for feedback
negotiated with the learner. Feedback should be linked to assessment opportunities making use of the
range of available evidence.
Learners should be given the opportunity to provide feedback themselves whilst assessor feedback
should focus on identified criteria and standards. This involves the learner being actively involved in the
feedback process and using it as an opportunity for self-assessment. Try to avoid personal issues or bias
in your use of feedback. One model commonly used to provide feedback is the praise sandwich.
Praise Sandwich
Praise Development Praise

Your internal quality assurer needs to understand how and where you are keeping your records and
may need to be able to access them if you are absent.You need to give particular thought to back-up
systems in case of loss or theft of assessment records.
Assessors need to:

• Consider the environment (class, individual etc.)
• Be balanced
• Set actions against criteria
• Be supportive
• Ask for their feedback too
• Avoid personal issues or bias
• Provide negotiated discussion (not all one way)
• Focus on positive outcomes and how they can be met
• Set realistic targets
• Offer opportunities for development
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Arrow Method???
Another consideration when providing feedback is Medals and Missions pioneered by author Geoff
Petty (http://geoffpetty.com/for-teachers/feedback-and-questions/).
Feedback should be informative, rather than evaluative. For example, informative feedback could be ‘you
have provided a wide range of safety considerations in your work area which has included personal and
workplace safety’.This informs the learner what they have done well (informative). Evaluative feedback
could be ‘well done’.The learner knows they have performed well, but they don’t know why.The medals
and mission approach can help you structure your feedback.
When providing feedback to learners consider their submission in two parts:
1. Task - How have they addressed the assessment criteria and have they met it in full.
2. Process - How has the learner approached the question? Have they researched it well, is the
response ‘cut and paste’ from the internet, are they demonstrating competency in their ability to
use information provided in the learning to formulate a coherent response? If the learner is not
demonstrating these abilities, then feedback should also include how to approach a question and
how to research effectively.
Medals
This is information about what a student has done well, e.g. ‘Your paragraphs and punctuation are good’
or ‘that’s good evidence’ written in the margin next to a well- made point by the student. Grades and
marks are measurements not medals. Medals are information about what exactly was done well.
Missions
This is information about what the student needs to improve, correct, or work on. It is best when it
is forward looking and positive. e.g. ‘try to give more examples to support your views’ or ‘ensure you
address the operative verb in the question fully’. Again, measurements such as grades do not usually
give this information.
Clear goals
The medals and missions need to be given in relation to clear goals usually best given in advance. Goals
might include assessment criteria such as ‘use work-based examples of how you have dealt with a
difficult customer and how the issue was resolved’ or ‘explain your company policy for dealing with a
difficult customer’.
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Giving feedback online
Start with the positive. What has the candidate done well?
Say what didn’t go so well. If the candidate has not reached the required standards, you need to
explain your decision.
Be specific about how you arrived at your assessment decision. Do this by explaining how and what
the candidate did to meet the standards in question.
Keep to the point and write in short, clear sentences. This is especially important for written feedback
(via email or similar). Use bullets or numbered lists if you have a number of points to make, or for
action points.
Use ‘you’ when writing your online feedback. Avoid the passive – ‘it was noted...’ as this can sound
overly formal.
Select one of the following and provide and example of how you could use it in
your own practice.
Praise Sandwich
Online
Arrow Method
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Learning Log
50
6 Understand quality assurance of the assessment process
Outcome 6 - Assessment Criteria
6.1 - Evaluate the importance of quality assurance in the assessment process
6.2 - Summarise quality assurance and standardisation procedures in own area of practice
6.3 - Summarise the procedures to follow when there are disputes concerning assessment in

own area of practice
The importance of quality assurance and standardisation in the assessment

process
An important part of the role as an assessor is contributing to quality assurance processes.
This isn’t something that happens just to satisfy the internal quality assurer or awarding organisation; it
is fundamental to ensuring that standards of assessment are maintained and improved upon over time.
The main ways to contribute to quality assurance are by:
• Attending team meetings regularly

• Contributing to standardisation meetings
• Keeping up to date with professional practice.
Assessors need to:
• Ensure that assessment records are accurate and up to date, and can be followed by an audit
• Contribute to standardisation arrangements so that assessment decisions are in line with others
• Give accurate and timely information on assessments
• Contribute to the agreed quality-assurance process.
51
Taking part in meetings
Assessors need to play an active part in both team and standardisation meetings. The main point of
meetings such as these is to standardise assessment practice among you and your colleagues so that all
assessment decisions are applied consistently.
Team meetings are about sharing assessment practice and identifying and solving problems within the
centre or your occupational sector.
Standardisation meetings involve looking in depth at the particular units or elements within a specific
scheme, to identify the evidence produced by the candidates and the assessment methods used. This
enables assessors and internal quality assurers to determine:
• What evidence they expect candidates to produce to meet the particular standards in question
• The best methods to use when assessing this part of the standards
• That all assessors are asking for similar things and are assessing with same rigour across all
candidates.
State how you could contribute to your organisation’s quality assurance:
An internal quality assurer will set the agenda and lead these meetings, and take responsibility for
distributing minutes of any decisions made or changes to assessment practice to team members.
52
Procedures to follow when there are disputes concerning assessment
Each organisation should have its own complaints and appeals procedure, and both candidate and
assessor should be familiar with this. In addition, awarding bodies will have their own complaints and
appeals procedures, which should also be understood by candidates and assessors. These will be used if
matters cannot be resolved locally.
The procedure for complaints and appeals must meet the requirements of the awarding organisation
and must be followed where necessary. The organisation’s own complaints and appeals procedure
needs to be checked against that of the relevant awarding organisation, to see whether any adjustments
need to be made. There needs to be clear procedure for recording complaints and their outcome, and
how the organisation or individual would action a complaint that needed referral.
Smart Training Solutions - Appeals Procedure
If you are not happy with the assessment decision carried out by your trainer/assessor, you may wish to
discuss the possibility of appealing against the decision.
Step 1 - the assessor: If you do not agree with an assessment decision, an appeal can be made through
your trainer/assessor immediately afterwards. All reasonable steps should be taken to resolve the
situation through discussion with your trainer/assessor who will answer any questions and give further
advice on any additional evidence which needs to be provided.
The trainer/assessor’s decision should be made within 10 days of the appeal being raised.
Step 2 - the internal quality assurer: If you are still dissatisfied and it has not been possible to resolve
the situation through discussion the appeal can be referred, in writing, to your internal quality assurer
who will independently assess the decision by considering the evidence contained within your portfolio
and also by questioning the trainer/assessor about your performance.
The internal quality assurer’s decision will be made within 10 days of the appeal being raised.
Step 3 - the appeals committee: If you are still dissatisfied, or the internal quality assurer has not
been able to resolve the situation your appeal can be raised with the Appeals Committee consisting
of the internal quality assurer, trainer/assessor, and another qualified trainer/assessor from the same
vocational area and (perhaps) yourself.
The committee’s decision will be made within 14 days of the appeal being raised.
Step 4 - the awarding organisation: If you are still dissatisfied with the outcome of the steps above, you
may contact the awarding organisation who will investigate your concerns further.Your internal quality
assurer will provide you with the contact details of your awarding organisation.
53
Where is your appeals policy located and what are the stages in the process?
54
Learning Log
55
7 Understand how to manage information relating to assessment
7.1 - Explain the importance of following procedures for the management of information
relating to assessment
7.2 - Explain how feedback and questioning contribute to the assessment process
The importance of following procedures for the management of information

relating to assessment
Recording progress
It is essential to record the progress of your candidates so that:

• There is a clear audit trail for verifiers (quality assurers) to follow
• Candidates know what they have achieved
• Assessors are clear at all times just how much each candidate has achieved.
The way an assessor records candidate achievements can make all the difference to their progression.
Candidates need feedback and although assessors are usually very good at giving oral feedback, for a
variety of reasons, are less consistently good with written feedback.
Your centre will probably have documentation that has been approved by the awarding organisation
on which you should keep your records. If you don’t like this documentation, you should talk to your
internal quality assurer before using something you have devised yourself, just in case there are quality
reasons why you must used standardised documentation.
The basic written records you should keep relating to assessment:

• Interview – including details of original certificates seen, and vocational background
• Initial assessment – including details of functional skills assessments(where necessary) and learning
styles
• Assessment plans – for individual assignments or individual units
• Action plans – for bridging gaps in knowledge, skills or understanding
• Formative feedback – following the review of draft written assignments or following individual
observations and assessment activity
• Summative feedback – following each completed piece of work assignments, the requisite number
of observations, a full unit of learning
• Tracking document – to show the stage that each candidate has reached at any point in time
•Data on your learners – numbers enrolled, numbers retained at census points, numbers achieving.
56
Keeping your records
Assessors need to keep their records in an easily accessible but secure location. The two ways of doing
this are paper based, in locked cabinets, and with password protected computerised records. There
are now many e-portfolio systems on the market. If you are assessing candidate work, it too must be
kept securely. Make sure, when candidates hand in work for assessment, that they ask for and are given
a receipt and that the centre keeps copies of these. If candidates’ work is lost, it will be the quality of
your written records that can save them from having to repeat everything.
Your internal quality assurer needs to understand how and where you are keeping your records and
may need to be able to access them if you are absent.You need to give particular thought to back-up
systems in case of loss or theft of assessment records.
What procedures do you follow to mange information?
List the IT systems you use to manage learner information, and explain how they
contribute the assessment process.
57
Learning Log
58
8 Understand legal and good practice requirements in relation to
assessment
8.1 - Explain legal issues, policies and procedures relevant to assessment, including those for

confidentiality, health, safety and welfare
8.2 - Explain the contribution that technology can make to the assessment process
8.3 - Evaluate requirements for equality and diversity and, where appropriate, bilingualism in

relation to assessment
8.4 - Explain the value of reflective practice and continuing professional development in the

assessment process
Legal issues, policies and procedures relevant to assessment
Under the Health and Safety at Work Act 1974 you have a legal responsibility to ensure that you
protect the health, safety and welfare of all your learners. That said, you must consider carefully what
information you collect and the reasons why.
Ask yourself:
• What are the health and safety reasons for collecting information?
• Do we really need to know this information?
• What are we going to use this information for?
• What actions will result from having gathered it?
• Who is going to process it and how long is it going to be securely stored?
• Do we comply with the requirements of the Data Protection Act 2018?
• Do learners know why the information is being collected?
Identify your organisations policies for health and safety, confidentiality and
welfare. Provide a brief description of their content.
59
Health and safety in the workplace
Assessing the health and safety suitability of a workplace and employer is less about inspection and
checking documentation and more about your approach. It is vitally important to engage with the
employer, using good communication and interpersonal skills. When assessing a small-sized employer,
you need to pay particular attention to the needs of that employer and the business, which may not
have the sophisticated systems of a larger organisation.
If you are kept waiting in reception, take the opportunity to visit the toilet and see what the welfare
facilities are like. This will tell you a lot about health and safety standards. Clean and tidy toilets show
that an organisation takes pride in keeping the place in good order. This pride is likely to spill over into
health and safety.
What to look out for
There are certain things to notice that will show whether a workplace is a well-managed, safe and
healthy environment. These should include:
Fire and emergency arrangements

• Are fire doors marked and clear?
• Are fire signs and notices displayed?
• Are fire routes free from obstruction?
• Can you see fire fighting-equipment placed around the premises?
Floors and stairs

• Are they sound, level and free from obstruction?
• Are treads sound?
• Are there any tripping or slipping hazards?
Welfare facilities
• Are they present?
• Are they clean and tidy?
The state of the premises

• Are fixtures and fittings in a good state of repair?
• Is the workplace clean and tidy?
• Is the lighting and general atmosphere good?
Safety signs and notices

• Is there a health and safety law poster?
Equipment and clothing

• Are employees wearing any necessary personal protective equipment (PPE) and clothing?
• Electrical equipment (any damage or disrepair?)
• How people are moving around the workplace and interacting with each other.
60
It is important to ensure the welfare, confidentiality and the health and safety of your learners. In order
to do this, it is appropriate to find out about the learner, including his or her:
• Age
• Experience
• Medical conditions
• Additional needs
• Programme/initiative
• Learning objectives
• Risk relevant to the learner and the learner’s environment
• Induction, supervision, prohibitions, personal protective equipment and clothing, hours and breaks,
risk and risk management.
For more detailed information visit these websites:

www.dfes.gov.uk
www.hse.gov.uk
www.nebosh.org.uk
www.thenetrisk.com
Equality and diversity in relation to assessment

It is essential to ensure that your assessment activities and learning plans comply with current
legislation.
The two main areas of legislation that apply to assessment concern equality of opportunity and use of
information.
Legislation concerning equality of opportunity
The Equality Act 2010 amends and replaces the following:

• The Sex Discrimination Act 1975
• The Race Relations Act 1976
• The Race Relations (amendment) Act 2000
• The Disability Discrimination Act 1995 as amended by the Special Educational Needs and
Disability Act 2001
Sex discrimination
The Sex Discrimination Act 1975 (as Amended by the Equality Act 2010) makes it unlawful to
discriminate on grounds of sex in employment, education and advertising, or when providing services.
• Direct - because of someone’s sex
• Indirect – because conditions have been set that appear to apply to everybody, but really
discriminate against one sex
• Victimisation – when a person is discriminated against for taking action under the act.
61
In planning and implementing the assessment process, it is essential to ensure that assessment activities
are fair to both genders.
This means:
• Asking the same or similar questions of both males and females
• Not using tests or assessments that unfairly disadvantage one group or individual
• Ensure that entry requirements do not require skills, qualifications or knowledge that may
disadvantage one gender over another.
Racial discrimination
The Race Relations Act 1976 (as amended by the Equality Act 2010) prohibits direct or indirect racial
discrimination on account of a person’s race or ethnic origin. As with the sex discrimination legislation,
it is important to be aware of both direct and indirect discrimination.
• Direct racial discrimination means treating someone less favourably because of his or her race,
colour, ethnic origin or nationality
• Indirect racial discrimination is the setting of conditions which, while seeming to apply to
everyone, actually discriminate against certain people.
The introduction of new legislation – the Equality Act
The Equality Act became law in October 2010, replacing the previous Acts and regulations that
formed the basis of anti-discrimination law in Great Britain. These included the Equal Pay Act 1970,
the Sex Discrimination Act 1975, the Race Relations Act 1976, the Disability Discrimination Act 2005
and the Special Educational Needs and Disability Act 2001. It also replaces the three major statutory
instruments protecting against discrimination in employment on grounds of religion or belief, sexual
orientation and age.
This new legislation requires equal treatment in access to employment as well as private and public
services, regardless of the ‘protected characteristics’ of age, disability, gender reassignment, marriage
and civil partnership, race, religion or belief, sex, and sexual orientation.
In the case of disability, employers and service providers are under a duty to make reasonable
adjustments to their workplace to overcome barriers experienced by disabled people. With limited
exceptions the Act does not apply to Northern Ireland.
Legislation against discriminatory practice has come a long way since the 1970’s, when it was
introduced. It is no longer enough to say you have procedures in place; the general duty to promote
equality is a positive one, requiring you and your organisation to be pro-active in seeking to avoid
unlawful discrimination before it occurs.
62
Key Points
•The Equality Act applies to all sex discrimination in the workplace, such as selection for a job,
training, promotion, terms of employment, work practices, dismissal or any other disadvantage such
as sexual harassment.
•Responsibility for sex discrimination usually lies with the employer, but if an employee or worker
is found to have discriminated, then the employer will be liable for them as well.You or your
organisation may not intend to discriminate, but this is not regarded as justification should you be
taken to a tribunal.
•Employers must act on any recommendations made by an employment tribunal, for the benefit of
all employees, not just the claimant.
To ensure you comply with the law you should:
• Take account of the cultural difference in body language in assessment interviews

• Ensure that any tests or assessments do not disadvantage one group or individual over another
because of the way they are designed, administered or scored
• Review all tests, assessments, documents and interviews for culturally free language – for example,
the use of ‘jargon’ or ‘local lingo’ could discriminate against those whose first language is not English.
• Ensure work place assessment is completed in English, Welsh or Gaelic (in Northern Ireland) as
listed in Ofqual’s General Conditions of Recognition
The Race Relations (amendment) Act 2000 strengthens and extends the scope of the 1976 Race
Relations Act, and places a duty on the public sector actively to promote equality of opportunity.
Discrimination on disability grounds
The Disability Discrimination Act 1995 (as amended by the Equality Act 2010) aims to end the
discrimination that many disabled people face. The Act gives disabled people rights in the areas of
education, employment, access to goods, facilities and services and in the buying and renting of land or
property. In education and training, this applies to admissions procedures as well as to access to leisure
facilities and accommodation.
The Act describes disability as:

‘A physical or mental impairment which has a substantial and long-term effect on a person’s
ability to carry out normal day-to-day activities.The disability is to have lasted or be likely to last
12 months or more. If a person has had a disability within this definition, they are protected from
discrimination even if they are no longer disabled.’
The key principle of the Act is that you have a duty to be anticipatory. In assessment this means:
• You know how to make reasonable adjustments to tests or assessments you currently use, so that
they would be accessible by someone with visual or hearing impairment, for instance
• You ensure that the learning plan is based upon a learner’s individual needs rather than designed
around what is available.
63
Human rights
Article 8 of the human Rights Act 1998 concerns the right to respect for private and family life. It
means that everyone has the right to respect for their private life, their family life, their home and their
correspondence. Public authorities cannot interfere with this right, except:
‘As is necessary in a democratic society, for the protection of health or morals, or for the protection of the rights
and freedoms of others’.
When gathering information for assessment, you need to:
• Be clear about your reasons for asking for personal or sensitive information
• Making sure that if you ask for health information it is in order to protect the health of the
individual or that of other candidates/employees.
The law is to do with balancing the rights of individuals against protecting the rights and freedoms of
others.
Safeguarding
The Safeguarding Vulnerable Groups Act 2006 applies to children and vulnerable adults. The definition
of a vulnerable adult is quite wide and includes anyone over 18 if they:
• Are in residential accommodation or sheltered housing

• Receive domiciliary care or any form of healthcare
• Are detained in lawful custody
• Are under the supervision of the courts
• Receive welfare service of a prescribed description
• Receive payments under the Health and Social Care Act 2001
• Require assistance in the conduct of their own affairs
The Act contains provision for the vetting and barring of individuals wishing to work with these groups,
including specific requirements for them to register with the Disclosure and Barring Service who
conduct Criminal Records Bureau Checks (CRB).
What this means in practice
The act applies to you if you have frequent contact with children or vulnerable adults in your role as an
assessor or teacher, such as those on apprenticeships (under 18) or prisoners.
64
Preventing Extremism and Radicalisation (Government Prevent Guidance)
Statutory guidance issued under section 29 of the Counter-Terrorism and Security Act 2015 provides
the requirement for certain learning institutions to make arrangements for Prevent Duties to be
undertaken by its staff.
Further details regarding the requirements under the Counter Terrorism and Security Act 2015 can
be found by following the link.
What are British values?

These are defined as: ‘Democracy, the rule of law, individual liberty and mutual respect and tolerance
for those with different faiths and beliefs.’
Mutual respect and tolerance includes encouraging students to respect other people with particular
regard to the protected characteristics of the Equality Act [2010]
What is extremism?
Extremism is defined in law as: ‘vocal or active opposition to fundamental British values, including
democracy, the rule of law, individual liberty and mutual respect and tolerance for those with different
faiths and beliefs. We also include in our definition of extremism calls for the death of members of our
armed forces, whether in this country or overseas.’
The Prevent Duty Guidance outlines the need for staff, board members, learners, volunteers,
contractors or other relevant party to report any concerns regarding extremism.
You can access free Prevent on-line training by following the link http://www.foundationonline.org.uk/
and creating an account.
Legislation concerning the use of information
•The General Data Protection Regulation (GDPR) 2016/679 and the Data Protection Act 2018
The General Data Protection Regulation (GDPR) (EU) 2016/679 is a regulation in the EU and its
contents are included in the Data Protection Act 2018 in the UK. It aims to provide privacy for all
individuals within the European Union and the United Kingdom. It also addresses the export of
personal data outside the EU. The GDPR aims primarily to give control to citizens and residents over
their personal data and to simplify the regulatory environment for international business by unifying the
regulation within the EU.
The GDPR extends the scope of EU data protection law to all foreign companies processing data of
EU residents. It provides for a harmonisation of the data-protection regulations throughout the EU,
thereby making it easier for non-European companies to comply with these regulations; however, this
comes at the cost of a strict data-protection compliance regime with severe penalties of up to 4% of
worldwide turnover or €20 million, whichever is higher.
It was adopted on 14 April 2016, and after a two-year transition period, became enforceable on 25
May 2018. The GDPR controls how personal information is used by organisations, businesses or the
government.
65
All the information you obtain as a result of assessment is covered by the Regulation, including:
• Individual learning plans

• Information within the learning plan that is to be shared with third parties (for example, assessors
and verifiers)
• Application forms
• Interview records
• Test and assessment results and decisions
• Email communications containing personal information about specific learners.
To comply with the Act, take account of the following:
Everyone responsible for using data has to follow strict rules called ‘principles’. Article 5 of the GDPR
requires that information is:
• Processed fairly, lawfully and in a transparent manner

• Collected for specified, explicit and legitimate purposes and not further processed in a manner
that is incompatible with those purposes.
• Adequate, relevant and limited to what is necessary in relation to the purposes for which they are
processed.
• Accurate and, where necessary, kept up to date; every reasonable step must be taken to ensure
that personal data that are inaccurate, having regard to the purposes for which they are processed,
are erased or rectified without delay.
• Kept in a form which permits identification of data subjects for no longer than is necessary for
the purposes for which the personal data are processed;used in a way that is adequate, relevant and
not excessive.
• Processed in a manner that ensures appropriate security of the personal data,including protection
against unauthorised or unlawful processing and against accidental loss, destruction or damage, using
appropriate technical or organisational measures.
• Controlled by the data controller who shall be responsible for, and be able to demonstrate,
compliance with the principles.
There is stronger legal protection for more sensitive information, such as:
• Ethnic background • Health

• Political opinions • Sexual health
• Religious beliefs • Criminal record
Under the first principle of the regulation, learners have a right for their information to be processed
transparently, and by law you must tell them:
• What the information you collect will be used for

• Who will process it
• Who it will be passed to
• How long it will be retained.
66
What is the importance of equality and diversity in assessment?
What three languages are acceptable in vocational education?
67
Technology must be supported as it can make the assessment process very efficient. There are a couple
of things to remember however to ensure you capture evidence efficiently:
• Try not to make recordings more than 5 minutes long. This makes it difficult to link to the standards
and can be frustrating for the IV when it comes to finding evidence.
• Recordings must contain the following information:

o Your FULL name

o Centre name

o Learner FULL name

o The date

o Introduction to the standards to be covered (i.e. unit(s) or learning outcomes)

o An assessment decision (has the learner met the standards?)

• If a number of recordings are to be completed on one visit then it is acceptable for the assessor
to introduce the first recording fully, introduce the learner on subsequent clips and then identify the
number of recordings completed through the assessment plan in support of the visit (remember
evidence must be auditable and easy to locate). This will help the conversation flow rather than the
learner repeating their full details each time you start the recording.
• Recordings must be accurately referenced. If a recording covers more than one unit this must
be evidenced on paper explaining what standards were met at which point in the recording (some
assessors complete this by time, i.e. 0 - 30 seconds unit 1 1.1 – 1.3.
• If the evidence is focussed on one unit (this is common in some programmes) then the assessor can
introduce the unit to be assessed in the recording.
• Assessors sometimes feel it helps to use the standards within the specification to assist in accurate
recording of evidence against requirement. This is acceptable but be careful not to read the standards; it
is the evidence of ‘how’ the candidate met the standard which is important.
• As the assessor you are responsible for when it is appropriate to interact with the learner. If the
learner is concentrating fully on the job in-hand it is not appropriate to distract them (e.g. if driving
they may be negotiating busy road and traffic conditions).You may however find opportunity on a quiet
road with little traffic, you must decide on when and where it is suitable, be careful not to
unnecessarily distract a learner. If in doubt discuss it with your learner and ensure they are happy with
your assessment approach.
What guidance does your organisations IT policy contain for assessors and
learners?
68
Reflective practice and continuing professional development in the
assessment process
As a requirement of you assessing competence based qualifications (such as NVQs), you must
undertake annual CPD. This will keep you up to date with current practice, and is a vital way in which
you can contribute to the quality of assessment within your centre.You need to think in terms of:
• Reflecting on what went well, and what you could do better next time
• Maintaining your professional competence within the sector for which you are an assessor
What is the value of reflective practice?
69
Maintaining your professional competence
This involves proving that your competence has been maintained or enhanced by:
• Attending training courses

• Undertaking research, using the Internet or other publications, for example
• Joining professional bodies
• Subscribing to professional and/or trade journals
• Joining local groups such as chambers of commerce.
This means:
• Proving you are operating to the standards for the Level 3 Award in Assessing Competence in
either work or vocationally related achievement.
• Making sure that your occupational competence and experience are in line with your sector’s
relevant assessment strategies
• Knowing your sector’s occupational standards
Everything in the list above could be called ‘intentional learning’.You probably carry out a great deal of
unintentional learning such as browsing the internet, and reading books or newspaper articles, all of
which could be relevant to your professional development.You need to be aware of occasions such as
these and keep a record of them. Any records you keep need to show:
• What you did

• Dates and times
• What you learned
• Reflection from you on how the experience confirms or has changed your professional practice.
Discuss with your internal quality assurer about arranging training or further opportunities if necessary.
Remember CPD is your responsibility. With this in mind, you need to make it your business to contact
your awarding organisation and find out about any changes to standards and assessment strategies.You
may also wish to talk to your internal quality assurer or manager about your own career progression
and find out more about the qualifications available.
ACTIVITY 22 (AC ?.?)
List below how you maintain your competence and undertake CPD:
70
Learning Log
71
Abbreviations and terminology
Office of Qualifications and Examinations Regulation (Ofqual)
The Apprenticeships, Skills, Children and Learning Act 2009 (the ASCL Act 2009) established the Office
of Qualifications and Examinations Regulation (Ofqual) as the independent regulator of qualifications,
examinations and assessments in England.
Office for Standards in Education, Children’s Services and Skills (Ofsted)

Ofsted report directly to Parliament and are independent and impartial. They inspect and regulate
services which care for children and young people, and those providing education and skills for learners
of all ages.
Awarding Organisations (previously Awarding bodies) are responsible for awarding certificates
for those involved in competence based assessment and the internal and external quality assurance of
them. These qualifications replace the ‘A and V awards’.
Continuing professional development (CPD) is the process undertaken by trainers, assessors and
verifiers to ensure they are up to date with current professional practice, both within their sector and
as part of their training and/or assessment and verification.
Department for Education (DfE)

The Department for Education was formed on 12 May 2010 and is responsible for education and
children’s services.
Formative assessment is the process of assessing learners to inform and facilitate their progress
towards qualification. The results of formative assessment can be used to help set and revise learning
targets and plan what needs to happen next.
Summative assessment takes place when the learner is performing to the standards or targets they
are aiming to achieve. Summative methods include testing and observation of performance.
ILP: Individual learning plan or programme.

Sector Skills Councils (SSCs) are independent, employer-led organisations which seek to build a skills
system that is driven by employer demand. SSCs apply to specific economic sectors.
72
Indicative reading for learners:
www.et-foundation.co.uk
www.accreditedqualifications.org.uk
www.brainboxx.co.uk
www.ofqual.gov.uk
www.anngravells.com
www.readonpublications.co.uk
Reece, I and Walker, S (2006) Teaching Training and Learning, 6th edition, Business Education Publishers
Limited, Sunderland
Ecclestone, K (2005) Understanding Assessment and qualifications in Post Compulsory Education, 2nd
edition, NIACE, Leicester
Tummons, J (2005) Assessing Learning in Further Education: Meeting the National Occupational
Standards, Learning Matters, Exeter
Read, Hilary (2011) The Best Assessors Guide, Read On Publications Limited
Read, Hilary (2015) The Best Vocational Trainers Guide, Read On Publications Limited
Gravells Ann, (2012) Achieving your TAQA Assessor & Internal Quality Assurer Award
Pontin K (2012) Practical Guide to Quality Assurance, City and Guilds Institute, London.
73

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UNIT 1

Level 3 Award Understanding the Principles

Version 2 - March 2024

How to use this study pack

The learning materials you have been provided with

• A self-assessment for each unit that helps you identify

Welcome to your journey on becoming a

Unit Activity Low Medium High

2. Understand different types of assessment method

3. Understand how to plan assessment

4. Understand how to involve learners and others in assessment

5. Understand how to make assessment decisions

6. Understand quality assurance of the assessment process

7. Understand how to manage information relating to

8. Understand the legal and good practice requirements in

Opptuniies for Development

Total Qualification Time (TQT)

Standards Setting Body (SSB) or Sector Skills Council (SSC)

Regulated Qualifications Framework (RQF)

External Quality Assurer (EQA)

APPROVED ASSESSMENT CENTRE

1. Who is your SSB or SSC?

2. Who is your Awarding Organisation?

3. Who is your EQA?

This unit is divided into 8 Learning Outcomes (LOs)

1. Understand the principles and requirements of assessment

Learning outcomes and assessment criteria

Outcome 1 – Assessment Criteria

1.1 - Explain the functions of assessment in learning and development

To determine students’ level (of knowledge, understanding, ability) at beginning of course

To enable students to identify and express learning needs

To aid the assessor in structuring course contents

To enable students to judge their own progress

To provide a context for feedback on student performance through performance reviews,

To contribute to quality assurance and develop best practice

Good practice in assessment is based on the following principles:

Assessment means using a variety of assessment methods – knowing how different

• Evidence of competence only.

Assessment - a working definition of assessment for learning

Assessment for learning:

• No grades or scores are given - record-keeping is primarily anecdotal and descriptive

• Involves goal-setting, monitoring progress, and reflecting on results

• Occurs throughout the learning process.

• Assessment that is accompanied by a number or letter grade (summative)

• Compares one student’s achievement with standards

• Results can be communicated to the student

• Occurs at the end of the learning unit.

Diagnostic assessment (referred to more often as ‘initial or pre-assessment’)

• Occurs at the beginning of a unit of study

• Used to inform instruction and guide learning

• Occurs during the course of a unit of study

• Makes up the subsequent phase of assessment for learning.

• Includes a mark or grade against an expected standard.

The UK Assessment Reform Group identifies -

Principles of assessment for learning:

The provision of effective feedback to students.

The active involvement of students in their own learning.

Adjusting teaching to take account of the results of assessment.

1. Initial or Diagnostic Assessment which establishes the existing or developing

Task: From you experience provide at least 2 examples of initial assessment:

2. Formative Assessment is conducted throughout a learning and development

Task: From you experience provide at least 4 examples of formative

3. Summative Assessment includes Oral, written and practical assessment

Task: From you experience provide at least 4 examples of summative