Scope

An important aspect of the reform of apprenticeships is the end-point assessment (EPA). The purpose of the end-point assessment is to test that an apprentice is fully capable of doing their job before they receive their apprenticeship certificate. It also helps to demonstrate that what an apprentice has learned, can be applied in the real world.

Introduction

• The EPA is undertaken by an independent end-point assessment organisation (EPAO) such as Wisdom House. EPAOs are responsible for designing, administering and marking assessments.
• It is important to ensure that apprentices are assessed consistently and fairly. As an EPAO we have policies, procedures and systems for controlling the quality of our assessments. These systems are known as Internal Quality Assurance (IQA). IQA involves ensuring that assessors are qualified and trained, that grading is applied consistently and that assessment instruments such as test questions or practical tasks are robust.
• The External Quality Assurance (EQA) provider monitors the performance of different EPAOs, the effectiveness of the apprenticeship standard and assessment plan; checking it is reliable, rigorous and fit-for-purpose.

The Policy

• 2 EPA Monitoring, Moderation, Standardisation of Assessment Decisions
• 2.1 Monitoring Assessor Practice and Decisions
• The competence of Independent End-Point Assessors will be monitored by their respective TDM/Internal Quality Assurers within the Centre Licence Agreement. The competence of Internal Quality Assurers will be monitored by the relevant External Quality Assurance bodies for the apprenticeship standard.
• Such monitoring which will include regular programmed sampling of all aspects of end-point assessment and will lead to one of the following outcomes:
• Confirmation that the Independent End-Point Assessors competent.
• The Independent End-Point Assessors receive constructive feedback and suggestions for improvements through centre visits and Wisdom House Bulletins
• The Independent End-Point Assessors are advised to seek additional training and maintain their registered status (if applicable) in their EPA role within the Licence Agreement.
• The TDM/IQA will advise NET to arrange for the Independent End-Point Assessors to be retrained in their EPA role.
• The TDM/IQA will advise the EPAO that, in the best interests of the EPAO, the Independent End-Point Assessors who carry out end-point assessment should be suspended with immediate effect. This outcome should rarely occur and may require further investigation.
• 2.2 Communication Requirements for Independent End-Point Assessors
• Assessment of Apprentices – A focal point for communication is the interface between Independent End-Point Assessors and apprentice during the end-point assessment process. This provides an opportunity for discussion of the quality of both the EPA concerned and the whole EPA process.
• Apprentice and Employer Feedback – Apprentice and Employer feedback regarding all issues associated with EPA and the assessment process is valuable and should be both encouraged and responded to.
• Independent End-Point Assessors – Independent End-Point Assessors have an obligation to inform their Internal Quality Assurers of shortfalls in the quality of the delivery of the end-point assessment system and the Internal Quality Assurance system which can be communicated through Wisdom House directly.
• 2.3 Undertaking EPA Assessment Decisions Consistently
• Wisdom House is committed to maintaining consistency across all end point assessments and the achievement of comparable outcomes across each of the apprenticeship standards. To this end, Wisdom House employs various quality and assessment methods for ensuring consistency in assessments decision through monitoring how end-point assessments are planned, conducted and reviewed.
• The Internal Quality Assurance Manager (IQAM) will conduct end-point assessment monitoring/sampling visits which will form the basis of a performance review to monitor that the assessment process and assessment decisions of the Independent End-Point Assessors are addressing the requirements and expectations of the employers and apprentices by being valid, accurate, reliable, and comparable and of high-quality. As part of this process, the TDM/IQA will sample Independent End-Point Assessors monitor their performance, and recommend targeted training, standardisation, and or additional actions where appropriate, to address any deficiencies that are identified within the Licence Centre.
• 2.4 Monitoring and Moderating Standards of Achievement
• The Technical Development Managers/Internal Quality Assurers are to observe Independent End- Point Assessors conducting actual end-point assessments. This is to be done with sufficient frequency to ensure that end-point assessment procedures are being carried out consistently and correctly, usually at least twice a year per Independent End-Point Assessors through monitoring and other visits. Internal Quality Assurers are also required to sample a proportion of assessments by the apprentice, through validation of completed assessments. The frequency and size of the sample will be decided by the Internal Quality Assurers/system and will be risked based.
• The IQAM has agreed an Internal Quality Assurance sampling strategy with all TDM/Internal Quality Assurers which identifies the frequency of sampling and observation relative to the requirements of the apprenticeship assessment plan and experience of the Independent End-Point Assessors.
• 3 EPA – Improving the Quality of Assessment Practice
• Effective Internal Quality Assurance plays a vitally important role in achieving and maintaining reliable end-point assessment practices.
• 3.1 Internal Quality Assurance – Areas of Involvement the EPA TDM/Internal Quality Assurers are involved in:
• Operating and evaluating internal assessment and quality systems:
• o Sampling EPA assessment
• o Internal auditing
  o Recording processes
  o Standardising EPA assessment decisions.
• Supporting Independent End-Point Assessors
• Monitoring the quality of Independent End-Point Assessors:
• o Ensuring that Independent End-Point Assessors adhere to the apprenticeship assessment plan
• o Monitoring EPA assessment
  o Monitoring apprentice’s evidence
  o Recording and reporting contributing to a Quality Assurance sampling strategy.
• • Meeting external quality assurance requirements.
• Such quality assurance depends in part on sound documentation. The EPAO will provide documents or systems for use by Internal Quality Assurers.
• 3.2 Quality Monitoring Strategy
• This quality model is based around the concept of developing a Quality Monitoring Strategy (based on the risk of things going wrong, what has been previously looked at in the past), undertaking the monitoring activity, pulling together and recording what was found during the activity, identifying actions, feeding back to the moderation process, others in the team and using the results to improve and confirmation checks of those improvements.
• This document sets out the policy and process of how it will be deployed and provides guidance to those involved in the quality assurance of End Point Assessment. This Quality process was developed for Internal Quality Assurance (IQA) of New Apprenticeships End Point Assessment. The quality assurance model on the next page defines the process across a range of elements that provide a focus for IQA activities. The IQA process follows a process cycle and often referred to as ‘Plan, Do, Check, and Act’ (PDCA).

• 3.3 Developing a strategy
• Plan the internal quality assurance of assessment
• A Strategy document will be designed for the development of a Strategic Plan and includes a range of documents or signposting to audit systems, to record quality assurance actives across elements of the End-Point Assessment.
• The following information provides guidance for Internal Quality personnel who may be involved in monitoring End-Point Assessments. Minimum value is to ensure consistency can be measured through moderation and monitoring.
• In the initial planning and moderation of End-Point Assessment the EPAO specific minimum measures as set out below to be reviewed over 12 months.
• Independent End-Point Assessor qualification entry checks = 100%
• Standardisation =minimum 1 per year for TDM/IQA and IEPA
• Monitoring & Moderation = 10% of assessment decisions per month
• End-Point Assessment Site visits = 2 per Centre to carry out Audit and monitoring
• Apprentice Interview = 10% (minimum 3)
• A planned approach to sampling is important because it enables aspects to be covered and recorded. Certain features and aspects of the delivery/assessments should be taken into account when planning the sample, such as those indicated below and will be recorded appropriately.

• The actual size of the sample above the minimum depends on the degree of confidence and potential risk the TDM has. For example, a large sample should be examined if…
• first time to deliver a particular End-Point assessment (EPA)
• problems have been identified, e.g. inconsistency, actions
• appeals
• When a new Independent End-Point Assessor first begins to deliver the EPA, the TDM/IQA will sample a high number of the assessments before approved as competent. As the Independent End-Point Assessor becomes more experienced and confident that assessment is being carried out consistently, the level of monitoring will be reduced. However, a representative sample of assessment decisions, across the standards delivered against will be undertaken.
• The main aim when planning a sample is to make sure that all members of the team are included. The sample should contain a larger proportion of inexperienced staff than those who are more experienced.
• 3.4 Independent End-Point Assessor
• The EPAO defines an Independent End-Point Assessor as a person who has no past or present association with the apprentice(s).
• When it is identified there is a potential relationship through their family, work colleagues, training and development delivery staff and training provider that may place any doubt or influence on their assessment decisions this must be declared. For example, a conflict of interest could be:
• A family relation
• A person involved in mentoring the apprentice
• A person involved in training or developing the apprentice
• A training provider delivering aspects of the apprentice training, development and assessment services
• An assessor
• This list is not exhaustive, and each case must be considered and managed by the EPAO Internal Quality Assurance representative.
• Prior to any assessment taking place Wisdom House must ensure they have validated the credentials of the Independent End-Point Assessor. This will include holding a register of those who are authorised by Wisdom House to carry out End-Point Assessment on behalf of the EPAO through the Licenced Centre. The registration detail will include:
• Occupational competence background validation (such as ECS card)
• Qualification verification (uploaded certificates)
• Safeguarding confirmation (DBS requirements)
• Management of conflicts of interest
• Current CPD record (If applicable)
• Standardisation attendance
• Quality of assessment decisions.
• Each Independent End-Point Assessor profile will have operational risk indicators and will be visible on the Wisdom House admin system that will inform Wisdom House of the Independent End-Point Assessor operational viability to conduct End Point Assessment based around ongoing monitoring of their skills, practice, attendance at standardisation and quality of their assessment decisions.
• It will be the responsibility of the internal quality assurance team to:
• Confirm the information submitted by the Independent End-Point Assessor that they have the appropriate occupational competence background to assess the apprentice at the required level is correct. This may be by using current qualifications, organisational endorsement or personal statements validated by the authorised by Wisdom House.
• Check the information submitted by the Independent End-Point Assessor that they have the appropriate Safeguarding checks confirmed and these will be validated by Wisdom House.
• To confirm the information submitted by the Independent End-Point Assessor in relation to any conflict of interest reported. Wisdom House may seek advice on individuals where with appropriate management of the conflict may be managed and this agreement will be monitored by Wisdom House.
• To check information submitted by the Independent End-Point Assessor they have the appropriate current CPD recorded or planned, to assess the apprentice at the required level.
• This may be by using current records of completed or planned CPD, organisational endorsement or personal statements validated by Wisdom House.
• • To check information submitted by the Independent End-Point Assessor they have the appropriate current Standardisation attendance recorded or planned in relation to the apprenticeship standards and assessment plan. This may be by using current records of completed or planned standardisation, organisational endorsement or personal statements validated by Wisdom House.
• It will be the responsibility of the TDM/IQA to moderate the outcomes of the End Point Assessment across each standard and from those quality assurance arrangements report and update the Independent End-Point Assessor quality performance indicator against their profile.
• When preparing for the sample:
• Check progress and previous records to decide which Independent End-Point Assessor/sites
• are to be sampled
• Agree with those involved in the arrangements for the monitoring activity if appropriate
• The following will be needed:
• Apprenticeship Standards & assessment plans
• Recording and reporting document
• 3.5 Moderation
• Moderation is the process through which the consistency of assessments made by the Independent End-Point Assessor is monitored to make sure it meets required standards and through which adjustments to results are made, where required, to ensure that results are based on the required standard.
• The TDM/IQA will regularly undertake moderation (validation) of assessments to ensure that the End Point Assessment is consistently applied by Independent End-Point Assessor across apprentices and compare the findings across different Licenced Centres. As part of the Moderation process TDM/IQA will ensure that any such moderation, which it undertakes, confirm that it is able to make any necessary changes to End Point Assessment decisions where appropriate.
• 3.6 Plan for Standardisation Events
• A function of the Internal Quality assurance process is to ensure standardisation becomes a natural occurrence starting with all new Independent End-Point Assessor to ensure they are familiar with the EPAO procedures. This is achieved by compulsory attendance of assessor training/standardisation prior to any Independent End-Point Assessor operating within a Licenced Centre. Standardisation of assessment practices and outcomes will be observed and monitored over a given period to make sure they are consistent and look for improvements to be made.
• The TDM/IQA must have these planned in as part of their strategy and form part of the Assessor induction/standardisation.
• TDM/IQA standardisation is planned at least annually, to monitor performance of the Centres and team to ensure consistency in the approach and recording.
• 3.7 Internally evaluate the quality of assessment
• Sample the effectiveness and consistency of End Point assessment practices
• When sampling internal assessment decisions, the TDM/IQA undertaking the quality assurance should consider opportunities to:
• Observe assessors making decisions
• Interview Independent End-Point Assessor
• Interview apprentice (health safety and welfare check)
• Study the collection of evidence (the portfolio) which has been assessed by the Independent
• End-Point Assessor/Technical Experts (if applicable)
• Carry out an occupational competence check
• Carry out safeguarding checks.
• Monitoring practices by observation provide an opportunity to examine how the End-Point Assessment is being delivered and can provide opportunities to identify inconsistencies and share good practice during standardisation activities which is covered by planned or drop in monitoring/auditing visits.
• It is good practice to interview Apprentices to gain direct feedback about the experience as the end user of the service. When interviewing apprentices, it is important to reassure them that it is the process of End-Point Assessment that is being sampled, not the individual apprentice and it must be conducted sensitively according to any particular needs they may have.
• Safeguarding policies should promote and enforce safeguarding procedures. Wisdom House has a duty and responsibility to provide a service to Apprentices that protects them from harm. Internal Quality Assurance checks should be included in the plan to ensure this is being managed appropriately. However due to the demographic age range of apprentices taking this assessment the risk is low due to candidates not being able to meet the gateway requirements under 18 years, but the candidate may be considered to be a vulnerable adult so the policy applies.
• Health safety and welfare is about making an apprentice feel safe, and it is the duty of all members of the assessment team, so the apprentice feels respected, has dignity, independence, individuality, choice, and confidentiality which is monitored by the TDM/IQA during centre visits.
• 3.8 Internally maintain and improve the quality of assessment
• Following the monitoring activity, the TDM/IQA will revisit the original centre strategy document to see if things went according to plan and to record what happened and where the evidence of having undertaken the activity is recorded.
• An action plan for improvement will be developed to identify and outline a plan for the implementation of any improvements required which will be recorded and maintained on Wisdom House systems. This will be followed by standardisation to the appropriate Independent End-Point Assessor of any changes in process and practices if required.
• The IQM Manager will conduct an audit of the process for each EPA that Wisdom House delivers and suitable documents are provided. The results of this audit will be fed back to the team meeting and any improvements or actions to be implemented as part of the continuous improvement.
• 3.9 Maintain records of IQA activity
  • The IQA will need to maintain records of the quality monitoring that they are undertaking. Quality assurers are required to use the forms provided by Wisdom House to record quality assurance activity and the records must be accurate and up to date and made available if requested.
  • Wisdom House is responsible for retaining the records of Internal Quality Assurance activities and made available to the External Quality Assurance Organisation when requested.