Guidance

DAO internal quality assurance policy

Updated 17 November 2022

Introduction

The Defence Awarding Organisation (DAO) is an awarding body approved and regulated by the Office of Qualifications and Examinations Regulation (Ofqual) with authority to accredit courses onto the Regulatory Qualification Framework (RQF). It provides the opportunity for Defence organisations to offer recognised qualifications either as single unit qualification or multiple units that build towards a higher level qualification.

The DAO was founded in support of the principles of Defence Direction and Guidance for Training and Education (JSP 822), to provide opportunities to gain nationally recognised qualifications through the accreditation of education, training and experience. The DAO enables Defence to continue to develop a strategic approach to accreditation by ensuring a close fit with external developments and coherence, both within and across the Services, whilst ensuring quality but minimising cost to Defence.

Centres

Once a Defence training facility is established as a DAO centre, there are certain criteria that have to be followed to remain compliant. After recognition, the Centre will receive regular assurance visits to support and monitor the implementation of the awarding process within the Centre. These visits are conducted by the DAO’s team of External Quality Assurers (EQAs).

Assessment of vocational based qualifications in the RQF

DAO supports the use of non-bureaucratic assessment methods, ie learners should not be expected to generate portfolios containing substantial amounts of paperwork, however, the assessor needs to view evidence in terms of:

• validity
• authenticity
• currency
• sufficiency.

Wherever practicable, the emphasis should be on naturally occurring evidence and making reference to that evidence in support of their claim for competence. The assessor may wish to support this evidence by using techniques such as a professional discussion recorded electronically, witness testimony from line managers etc. It is the Centre’s responsibility to provide assessment services that are lean and cost effective, including the use of Recognition of Prior Learning (RPL) where this is appropriate.

All staff undertaking assessment and quality assurance activities must:

• hold the appropriate qualifications, or
• be working towards those qualifications, with work countersigned by a suitably qualified person
• undertake CPD.

Internal quality assurance

A requirement of the Regulatory process and a DAO condition for Centre Approval is that the Centre operates a robust internal quality assurance (IQA) system to maintain the consistency and accuracy of assessments.

The key features of an effective IQA system are that it must:

• be planned, to cover a representative sample of assessments
• include the monitoring of assessments and a way of standardising assessment judgements
• sample assessments at various stages, from a ’formative’, ‘interim’ and ‘summative’ basis, therefore giving feedback to assessors on an ongoing basis (not at the end of the accreditation process)
• support and develop the assessment team
• be accurately recorded to provide a clear audit trail
• be carried out by suitably qualified and occupationally competent staff

To guide/support the assessment team in the Centre; it is essential that a sufficient number of assessments are sampled. To sample all assessments may not be practical in terms of resources and could undermine the trust and confidence of the assessors. Over a period of time, typically 6 to 12 months, the IQA strategy must be based on sampling all:

• assessors
• learners
• units
• assessment methods
• types of evidence
• assessment records
• assessment locations

The IQA process implemented must include observation of all stages of the assessment process, from Induction, Initial Assessment Planning through to final feedback.

Roles

The key roles at a Centre are Assessors, Internal Quality Assurers, Internal Quality Assurer Co-ordinator and Centre Co-ordinator/Manager. The roles of the Assessor and Internal Quality Assurance Team are explained in the following paragraphs.

Assessors

The role of an assessor is to:

• ensure that each Learner is aware of their responsibility in the collection and presentation of evidence
• agree and record assessment plans with each Learner
• fully brief Learners on the assessment process
• observe Learners’ performance in the workplace and/or in simulated situations, and/or conduct other forms of assessment in accordance with the qualification requirements
• ensure that assessment of performance by observation is unobtrusive
• judge the evidence and record assessment decisions against the standards/syllabus
• provide Learners with prompt, accurate and constructive feedback
• manage the system of assessment from assessment planning through to making and recording assessment decisions
• assess evidence of Learner competence against the national standards of occupational competence within the qualification
• ensure validity, authenticity, currency and sufficiency of evidence
• maintain accurate and verifiable Learner assessment and achievement records
• confirm that Learners have demonstrated competence/knowledge and have completed the required documentation
• agree new assessment plans with Learners where further evidence is required
• make themselves available for discussion with the Internal Quality Assurer / Qualification Co-ordinator and/or External Quality Assurer
• demonstrate commitment to anti-discriminatory practice and equal opportunities
• ensure that any third-party involved in the assessment give informed consent, especially if there is any risk of intrusion into areas of privacy and/or confidentiality
• ensure maintenance of confidentiality for sensitive information.

Internal quality assurers

Internal Quality Assurers (commonly and previously known as internal verifiers) monitor the work of all assessors engaged in the assessment of the Regulated Award, at both the Centre and, where applicable, any approved satellite centres. The IQA will ensure that assessment processes and practices have been adhered to and assessment decisions are consistent across assessors. Internal Quality assurers are responsible for:

• ensuring that assessors follow the assessment guidance provided
• advising and supporting assessors to assist them in interpreting and applying the standards/syllabus correctly and consistently
• regularly sampling assessment activities, methods and records to monitor consistency of assessment decisions as specified by qualification documentation
• providing assessors with prompt, accurate and constructive feedback on their assessment decisions.
• undertaking an active role in raising issues of good practice in assessment
• ensuring that equal opportunities and anti-discriminatory practices are upheld in the assessment process.
• liaising with other staff members and the External Quality Assurer to implement the requirements of the assessment system
• ensuring that all Learners’ achievement records and Centre documentation are completed in accordance with requirements
• countersigning appropriate assessment documentation
• ensuring assessors have opportunities for updating and developing their vocational and professional competence
• supporting, countersigning, dating assessments and quality assuring judgements by assessors and Internal Quality Assurers not holding the appropriate assessor/Internal Quality Assurer qualifications as approved and specified by the Regulatory Authorities.

Internal quality assurer co-ordinator

An Internal Quality Assurer Co-ordinator (commonly referred to as the Lead Internal Verifier) is recommended where more than one Internal Quality Assurer is involved in the internal quality assurance process. The Internal Quality Assurance Co-ordinator is responsible for:

• liaising with the Centre contact
• maintaining regular contact with the Internal Quality Assurers whose work they co-ordinate
• ensuring that internal quality assurance is carried out efficiently and consistently across the range of qualification(s) with which they are involved.

Quality assurance requirements

Quality assurance is fundamental to all the DAO processes, products and services and as an awarding organisation, it is our implementation of quality that is monitored by the Regulator. Quality guarantees the integrity and value of qualifications and assessments throughout their life cycle. DAO ensures that quality is embedded in the design and delivery of qualifications and programmes, and work with Centres to ensure this.

Overall centre rating (risk status)

As part of the post-approval external quality assurance activities, Centres’ are monitored and awarded an Overall Rating, using a risk-based assessment strategy, and a confidence rating. There are 3 types of Overall Centre Rating that the Quality Teams can assign, based upon the Centre’s ability to meet the approval requirements, these are Green, Amber and Red, which equate to a Low, Medium and High risk-rating and correspond to a confidence rating.

Data requirements

Centres must have systems in place to securely collect and retain a range of accurate, up-to-date learner information, and can provide it when required by either the DAO or the Regulator.

Assessment decisions

Centres must set up and maintain reliable, auditable quality assurance systems for documenting and recording assessment decisions.

Learner data requirements

Centres must keep adequate records to track learner progress and allow for the independent authentication of certification claims, and external quality assurance. These records must include the following:-

a) A list of all learners registered for each qualification offered, including their:

• name of learner
• date of registration with the awarding organisation
• learner registration number
• Unique Learner Number (if applicable)
• Assessors’ and instructors’ name(s)
• Internal Quality Assurer’s name(s).

b) Learner assessment records detailing:

• who assessed what and when
• the assessment decision
• the assessment methods used
• the location and storage location of relevant supporting evidence.

c) Records of internal quality assurance activity detailing:

• who quality assured what and when
• the sampling strategy, including the sample selected and the rationale for choosing that sample
• details of Internal Quality Assurer standardisation meetings, along with any evidence of internal updating Assessor support meetings
• Assessor and Internal Quality Assurer competence, including copies of certificates, CVs and records of their continuing professional development, relevant qualifications and their monitored progress towards required qualifications
• records of certificates claimed – who claimed them and when
• records of learner appeals – who appealed, about what, when, and the outcome
• records of learner complaints – who complained, about what, when, and the outcome.

Guidance

As mentioned above, DAO supports the use of non-bureaucratic assessment methods and as part of this recognised Centre’s can, where appropriate use internally devised recording documentation, as long as the documentation supports the principles of sufficiency, validity, authenticity. However, for Centre’s who have not developed appropriate supporting documentation, there are several proforma’s detailed within the Guidance for DAO Centres, contained at Annex A, which the Centre might utilise or implement equivalent.

This Guidance for DAO Centres forms part of the DAO’s continued support of its approved Centre’s and was developed following feedback from both Centres and the EQA Team. The DAO have provided additional information together with suggested sampling strategies and recording documentation for Centre’s.

Review of the policy

The policy will be reviewed annually and it will be revised as necessary in response to customer feedback, changes in legislation and guidance from Ofqual.