Guide to Quality Assurance for NQ Appointees and Nominees
Publication date: November 2016
Publication code: AA7132
Published by the Scottish Qualifications Authority
The Optima Building, 58 Robertson Street, Glasgow G2 8DQ
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The information in this publication may be reproduced in support of SQA qualifications. If it is reproduced, SQA should be clearly acknowledged as the source. If it is to be used for any other purpose, then written permission must be obtained from SQA. It must not be reproduced for trade or commercial purposes.
© Scottish Qualifications Authority 2016
Contents
1Verification of National Qualifications
1.1Introduction
1.2Overview of the quality assurance model
1.3The purpose of verification
1.4Timing of verification
1.5Verification process
1.6Sampling required for external verification
Generating the evidence sample — Round 1
Generating the evidence sample — Round 2
1.7Evidence requirements
2Working with SQA and your team
2.1Quality assurance teams
2.2Training
2.3Leading, managing and supporting your team
3Prior verification
3.1Monitoring process for principal verifiers, deputy principal verifiers and team leaders
4Visiting verification
4.1Information and forms required for visiting verification
4.2Contacting the centre
4.3Preparing for the visit
4.4Undertaking the visit
4.5Administrative procedures following visiting verification
4.7Monitoring information for principal verifiers, depute principal verifiers and team leaders
5Event verification
5.1Carry out verification
5.2Recording verification outcomes
5.3Monitoring information for principal verifiers and depute principal verifiers and team leaders
6Writing external verification reports
6.1Information for principal verifiers and depute principal verifiers
7Verification key messages (VKMs) report
7.1Verification key messages report sections
7.2Note for writers
8Follow-up activity
9Appeals
10Reporting concerns about malpractice and welfare of candidates
10.1Welfare of candidates
11Understanding Standards
11.1Uses of evidence for training and Understanding Standards purposes
11.2Developing and submitting commentaries
12Information and contacts
Sources of information
Useful contacts
Appendix A: Outline of main activities and key performance measures
Principal verifier
Depute principal verifier
Team leader — event verification
Team leader — visiting verification
Outline of nominee role and selection criteria
Appendix B: Undertaking verification activities
Appendix C: Decision making in verification flowchart
Appendix D: External verification report quick guide
1Verification of National Qualifications
This information is for principal verifiers, deputy principal verifiers, team leaders, visiting verifiers and nominees.
1.1Introduction
This document contains guidance you will need to effectively fulfil your responsibilities as an SQA appointee or a nomineeinvolved in the verification process.
For session 2016–17, in response to feedback, SQA has developed three approaches to unit assessment to support re-assessment and recording and to reduce workload for teachers and lecturers. Information on which approach applies to which subjects can be found in NQ Next Steps — Guide to what this means for teachers and lecturers. The qualifications manager will advise on implementation of the approach for your subject, but it is expected that a pragmatic approach will be taken to verification — and feedback to centres on theinterpretation and implementation of the changes will be supportive and developmental.
Please familiarise yourself with the guide and use it as a reference throughout the verification process. We have included links to other relevant information, and advice on who to contact, should you have any questions or queries.
We appreciate your support in carrying out these processes, and look forward to continuing to work with you.
1.2Overview of the quality assurancemodel
SQA and centres running SQA qualifications have a shared responsibility for quality assuring the internally assessed elements of the National Qualifications. SQA works in partnership with local authorities and centres to support teachers and lecturers throughout the assessment cycle tounderstand and apply assessment standards correctly.
The quality assurance arrangements:
ensure continued credibility of National Qualifications
facilitate the partnership approach of Curriculum for Excellence
support sharing of knowledge and understanding of national standards
build long-term quality assurance capacity
increase confidence in assessment judgements
support flexible delivery of National Qualifications
1.3The purpose of verification
SQA is responsible for the maintenance of national standards for all National Qualifications. Prior verification and external verification are the means by which SQA quality assures internal assessment within centres.
The role of verifiers is not to re-assess candidates’ work, but to consider if the centre’s assessment approach is valid and if assessment judgements have been made reliably.
1.4Timing of verification
Prior verification is an on-demand service, with some verification activity occurring throughout the year, but with reduced activity during the rounds of external verification.
There are two rounds of external verification:
Round 1 / February / unit verification — event, postal and visitingRound 2 / March–May / unit and course verification— visiting
May / unit and course verification — event and/or postal
1.5Verification process
The verification process is evidence based — ie will involve a review of materials either submitted to SQA or observed in centres.
During the process, you will be reviewing two main aspects:
Is the approach to assessment valid?
Are the assessment judgements reliable?
—In unit verification, this will involve looking at pass/fail assessment judgements.
—In course verification, this will involve looking at the awarding of marks based on SQA marking instructions.
A further aspect of the verification process and review of evidence is the identification of good practice, exemplification and action points to address any developmental areas. Overall, there are six outputs from verification activity:
confirmation of the validity of the approach to assessment
confirmation of the reliability of assessment judgements
confirmation of the effectiveness of internal quality assurance
identification of good practice
provision of developmental advice
identification of materials which exemplify national standards
1.6Sampling required for external verification
Centres will receive specific direction from SQA about how to generate the sample of assessment evidence for external verification.
The approaches to sampling described below will be used at verification events. For visiting verification, the visiting verifier assigned by SQA to undertake the visit will discuss and agree the sample with the centre as part of the planning process, but sampling will follow the same approach.
Generating the evidence sample — Round 1
If a centre is selected for verification in Round 1, for each selection they will need to prepare a sample of candidate evidence for oneof the following:
Units at National 1 and 2
Centres presenting candidates at both National 1 and National 2 will need to prepare a sample of evidence for 12 candidates, split evenly between the two levels.
Centres presenting candidates at only one level (eg National 2 only) should prepare a sample of evidence for 12 candidates.
Units at National 3, 4 and 5
Centres presenting candidates at all three levels (N3, N4 and N5) will need to prepare a sample of evidence for 18 candidates, split evenly between the three levels.
Centres presenting at two levels (eg N3 and N4) will need to prepare a sample of evidence for 12 candidates, split evenly between the two levels.
Centres presenting candidates at only one level (eg N5 only) should prepare a sample of evidence for 12 candidates.
Units at Higher and Advanced Higher
Centres presenting candidates at both Higher and Advanced Higher will need to prepare a sample of evidence for 12 candidates, split evenly between the two levels.
Centres presenting candidates at only one level (eg Higher only) should prepare a sample of evidence for 12 candidates.
NotesIf a centre is presenting at one level and there are fewer than 12 candidates, then evidence for all candidates at that level should be provided.
If a centre is presenting at two levels and there are fewer than six candidates at any level, evidence for all candidates at that level should be provided. Where possible, evidence for additional candidates should be provided at the other level to make up an overall sample of 12.
If a centre is presenting at three levels and there are fewer than six candidates at one of the levels but at least 12 candidates overall, then no further candidate evidence is required.
Generating the evidence sample — Round 2
If a centre is selected for verification in Round 2, for each selection they will need to prepare a sample of candidate evidence for oneof the following:
Internally assessed components of course assessment (IACCAs)at National 5, Higher and Advanced Higher
Centres presenting candidates at all three levels (National 5, Higher and Advanced Higher) will need to prepare a sample of evidence for 18 candidates, split evenly between the three levels.
Centres presenting at two levels (eg N5 and Higher) will need to prepare a sample of evidence for 12 candidates, split evenly between the two levels.
Centres presenting candidates at only one level (eg N5 only) should prepare a sample of evidence for 12 candidates.
National 4 added value unit
Centres selected for verification of a National 4 added value unit should prepare a sample of evidence for 12 candidates.
Individual unit at any level
Centresselectedfor verification of an individual unit should prepare a sample of evidence for 12 candidates.
NoteIf a centre is presenting at one level and there are fewer than 12 candidates, then evidence for all candidates at that level should be provided.
If a centre is presenting at two levels and there are fewer than six candidates at any level, then evidence for all candidates at that level should be provided. Where possible, evidence for additional candidates should be provided at the other level to make up an overall sample of 12.
If a centre is presenting at three levels and there are fewer than six candidates at one of the levels, but there are at least 12 candidates overall, then no further candidate evidence is required.
1.7Evidence requirements
You can find detailed guidance on evidence required for external verification of units and IACCAs at under the ‘External verification’ tab.
Guidance on the provision of interim evidence has been updated for 2016–17. Complete unit evidence should always be provided for verification where it is available. Interim evidence should be provided for verification where complete unit evidence is not yet available.
Where interim evidence is provided the centre must:
have made sufficient assessment decisions to allow you to make an informed judgement about whether the centre is assessing in line with national standards
include all assessment standards so far assessed in the unit being verified
The Guide to Interim Evidence explains what is meant by ‘sufficient’.
Evidence required for external verificationFor the centre / 1 / Evidence of the centre’s internal quality assurance processes.
For each candidate in the sample / 2 / Details entered on the Verification Sample Form and candidate evidence flyleaf, and on the centre’s candidate assessment record or equivalent.
3 / The assessment or other stimulus that generated the judged candidate evidence.
4 / The candidate’s evidence with the assessment judgement(s).
2Working with SQA and your team
This information is for principal verifiers,depute principal verifiers, team leaders, visiting verifiers and nominees.
SQA Qualifications staff
The qualifications manager and qualifications officer are responsible for setting and maintaining the overall assessment standardsfor the subject. They will be your points of contact if you have any subject-specific enquiries.
SQA Operations staff
Operations staff areresponsible for the organisation and delivery of quality assurance. The teams you may come across during the planning and implementation of verification activity are:
NQ Verification Team — allocating and monitoring prior verification requests, managing verification selections, managing invitations for visiting verification, publishing outcomes and reports, dealing with centre enquiries and the payment of fees, release and expenses.
Events ManagementTeam— managing invitations for event verification, scheduling and providing administrative support to verification events.
External Assessment ServicesTeam— organising uplift and return of evidence samples to/from centres.
SQA Appointee Management staff
Appointee Management staff are responsible for managing the associated nomination, recruitment and contractual processes for nominees and appointees and organising training activities.
2.1Quality assurance teams
Subject-specific teams will be established, for eachverification group, to share knowledge and understanding of national standards, and to undertake external verification activities. The teams are made up of a principal verifier, depute principal verifiers (where appropriate), team leaders (where appropriate), visiting verifiersand/or nominees.
Throughout the year, teams will undertake various forms of activity that may require subject-specific assistance, or follow-up activity for centres. Activities will be allocated to team members througha scheme of delegation, to ensure that no one individual is over-burdened with activities. This will also help to ensure that centres receive feedback within the required/specified timescales.
2.1.1Principal verifiers/depute principal verifiers
One principal verifier is appointed for each verification group. The principal verifier will lead a team of quality assurance experts.
A depute principal verifierwill be appointed to deputise for theprincipal verifier in each verification group.
As leading subject specialists, principal verifiers and depute principal verifiersare integral to both the maintenance of the assessment standards in their verification group and the delivery of quality assurance.
Principal verifiers and depute principal verifiers will lead and manage a team of team leaders and/or visiting verifiersand nominees — with the support of SQA staff — to ensure that
(a) national standards are clearly communicated and maintained in their subject, and
(b) all tasks associated with the quality assurance of internally assessed National Qualifications are carried out under the conditions, timescales and arrangements set by SQA.
2.1.2Team leaders
Team leaders are required in most verification groups. They are appointees, providing leadership and support to a team of subject specialists involved in external quality assurance activities and, in addition to undertaking external quality assurance duties, will support the principal verifier/deputy principal verifier in:
communicating and maintaining national standards for the qualifications within their remit
overseeing quality assurance activities for internal assessments in their verification group by monitoring appointee activity for visiting verification andnominee activity at verification events — they may also undertake verification visits, postal verification, follow-up activity and prior verification where appropriate
ensuring all procedures at external quality assurance events are conducted in line with SQA requirements
ensuringaccuracy and consistency of decisions made byvisiting verifiers andnominees
2.1.3Visiting verifiers
A visiting verifier is responsible for supporting the principal verifier/DPV/TL in maintaining national standards for the qualifications within their remit by ensuring that all tasks associated with the relevant quality assurance activities are carried out within the conditions, timescales and arrangements set by SQA. Visiting verifiers will be responsible for:
communicating and maintaining national standards for the qualifications within their remit
monitoring, supporting and quality assuring the work of allocated centres
writing and submitting quantitative quality assurance reports on centre visits
assisting SQA in the review of national consistency in relation to internal assessments
2.1.4Nominees
The nominee role has dual responsibilities — some nominees will be required to undertake externalverification on behalf of SQA; all will be responsible for sharing information about national standards in their sectors.Nominees have been nominated through a managed process, by their school, college or local authority. The process supports geographic and sector representation.
Nominees deployed for externalverification activity will undertake event verification only (no prior verification, visits or follow-up activity) and will be supported by team leaders and principal verifiers/depute principal verifiers, who will closely monitor their activities and provide support and guidance where necessary.
2.1.5Team structures
Teams will vary in size and composition depending on the uptake of the qualifications and the planned verification type (visiting/postal/event, or a blend of these).
For subjects with a large uptake, teams will include:
principal verifier/depute principal verifiers
team leader(s)
nominees/visiting verifiers allocated to team leader(s)
For subjects with a low uptake:
principal verifier/depute principal verifiers
nominees/visiting verifiers allocated to principal verifier/depute principal verifiers
2.2Training
Training provided by SQA is a crucial element of the SQA partnership agreements with local authorities, schools, colleges and independent schools. Training will prepare appointees and nominees for the task of disseminating information and supporting colleagues in their local area. Using their knowledge and experience of internal assessment in their subject, they will provide vital support to colleagues across Scotland. Additional training will be provided to team leaders, visiting verifiersandnominees who are selected to assist with live verification activity.
Principal verifiers and depute principal verifiers will lead the training of teams at events and will be responsible for identifying any further training needs at these events, during verification activity, and through other forms of contact with the team. Further support and training may also be provided in the form of ‘double-bank’ visits in which visiting verifiers are accompanied on visits to centres.
2.3Leading, managing and supporting your team
This information is for principal verifiers, depute principal verifiers and team leadersonly.
It is important that all team members — in visiting and event activities — have a clear idea of the types of behaviours expected throughout the verification process and are motivated to work to the best of their ability and co-operatively with their colleagues.
Principal verifiers,depute principal verifiers and team leaders will lead and manage their team to:
motivate all members of the team to be wellinformed about the qualifications they are verifying and the processes and procedures they are involved in, to meet SQA’s requirements
ensure that all members of the team achieve high levels of consistency in making verification decisions
ensure that all members of the team understand how to record outcomes, complete external verification reports and develop report-writing skills to provide consistent, clear and constructive feedback to centre staff