assessment guidance for mentors expert witness · pdf fileassessment guidance for mentors ....

Assessment Guidance for Mentors

Expert Witness Advisors (EWA)

Assessors and Internal Verifiers

A.G. Revision D – October 2013

UPSTREAM OIL & GAS INDUSTRY TECHNICIAN

TRAINING PROGRAMME (UOGITTP)

Amendments From Revision C to D: October 2013 Page Amendment

Page 6 Removed paragraph regards SQA document

Page 6

Added bullets ;- “be a discipline expert with typically a minimum of 2 years relevant experience” “register or be registered with OPITO (Appendix 4)” “participate in briefing session with Assessor”

Page 7 Changed defined competence of an assessor to align with new OPITO Assessment Strategy

Page 9 Changed defined competence of an Internal Verifier to align with new OPITO Assessment Strategy

Page 9 Bolding of “ during Interim reviews”

Page 9 Addition of “Interim Verification Reports and Internal Verifier Final Summary Reports must be included and examples can be found in appendices 12 and 13”

Page 15 Changed from “ minimum of 5years” to “minimum of 2 years” Page 15 Added same bullets as page 6

Appendix 12 Addition of an exemplar Interim Verification Report

Amendments From Revision B to C: October 2012

Page Amendment

Front Cover UOGITTS Tag line & Opito logo added Contents

Added Assessor and IV's final summary reports to Appendix 11 and 12

Page 5 Added Appendix references for Exemplar EWA observation report and EWA summary feedback report

Page 7 Added bullet - Provide "An Assessors Final Summary Report" (Appendix 11)

Page 8 Added "and complete an IV Final Summary Report" (Appendix 12)

Page 10 Added Assessor and IV's Final Summary Reports and amended the appendixes accordingly

Page 13 Addition of 7.7 Final Summary Report section

Page 22 Signature changed for consistency (David Gannon not Jones). Changed dates to align

Page 23 Changed 26(1)/26(1) to 26(1)/27(1)

Page 29 Signature change as to keep an electrical assessor and not the mechanical one from earlier examples

Changes Made By: J Fraser

Changes Checked By: F Tyreman

11th October 2013

19th October 2012

©OPITO 2 of 37

Contents 1.0 Introduction ...................................................................................................................................................... 4

2.0 Roles of Key Personnel ................................................................................................................................... 5

2.1 Mentor ......................................................................................................................................................... 5

2.2 Expert Witness Advisor (EWA) .................................................................................................................... 6

2.3 Assessor ...................................................................................................................................................... 7

2.4 Internal Verifier ............................................................................................................................................ 9

2.5 OPITO Reviewers ........................................................................................................................................ 9

3.0 Assessment Organisational Chart ................................................................................................................. 10

4.0 Assessment Materials ................................................................................................................................... 10

5.0 Planning the Training .................................................................................................................................... 11

6.0 Delivering the Training .................................................................................................................................. 12

7.0 Assessing Competence ................................................................................................................................. 12

7.1 Observation ............................................................................................................................................... 12

7.2 Product Evaluation .................................................................................................................................... 13

7.3 Questions .................................................................................................................................................. 13

7.4 Personal Statements ................................................................................................................................. 13

7.5 Witness Testimonies ................................................................................................................................. 14

7.6 Simulation .................................................................................................................................................. 14

7.7 Final Summary Reports ............................................................................................................................. 14

Appendix 1 - Expert Witness Advisor Strategy Document ........................................................................................ 15

Appendix 2 - Trainee Technician Assessment and IV .............................................................................................. 17

Appendix 3 - Assessor Information Form .................................................................................................................. 18

Appendix 4 - Expert Witness Registration Form ....................................................................................................... 19

Appendix 5 - Internal Verifier Information Form ........................................................................................................ 20

Appendix 6 - Exemplar Assessment Plan ................................................................................................................. 21

Appendix 7 - Exemplar Trainee Personal Statement ................................................................................................ 22

Appendix 8 - Exemplar Expert Witness Advisor Observation Report ....................................................................... 24

Appendix 9 - Exemplar Expert Witness Advisor Summary Feedback Report .......................................................... 25

Appendix 10 - Exemplar Assessor Observation Report ............................................................................................ 26

Appendix 11 - Exemplar Assessor Final Summary Report ....................................................................................... 27

Appendix 12 – Exemplar Interim Internal Verifier Report .......................................................................................... 28

Appendix 13 - Exemplar Internal Verifier Final Summary Report ............................................................................. 29

Appendix 14- Exemplar Witness Testimony ............................................................................................................. 30

Appendix 15 - Exemplar Record of Questions & Answers .......................................................................................... 31

Appendix 16 - Guidance on Requirements for Contents of Trainee Maintenance Technician Portfolios ................. 33

Appendix 17 - Guidance on Requirements for Contents of Trainee Process Technician Portfolios ........................ 35

Revision D – October 2013 ©OPITO 3 of 37

1.0 Introduction

Throughout the two year work placement of the Trainee Technician Training Programme, trainees are required to gain experience of the various work activities which occur within their specific discipline (Mechanical/Electrical/Instrument/Production) on the Installation. During this time, trainees must record the activities they have been involved in and, by this means, build up a portfolio of work experience evidence. This ensures that trainees follow their training plans as well as playing a significant part in the Assessor’s decision as to the competence of the trainee.

Assessment is about measuring a candidate’s competence against a national standard and collecting evidence that proves the standard has been met.

As a Mentor, Expert Witness Advisor, Assessor or Internal Verifier, you have a key part to play in the training or assessing process and the purpose of this document is to help you understand how you can play your part to the full.

The workplace is a new experience for most Trainees and they may well be overwhelmed by the sights and sounds of the working environment. The role of experienced colleagues in the workplace is to try to ensure that the transition from training centre to the workplace is as smooth as possible, allowing trainees to settle quickly in to this new environment. In this way trainees will feel at ease with more experienced colleagues and be able to achieve their full potential in the workplace.

It is important that Mentors, Expert Witness Advisors, Assessors and Internal Verifiers understand the requirements of the Training and Assessment Programme and the specific SVQ Unit Standards on which the competences to be achieved are based.

Trainees are provided with TWO handbooks i.e. ‘Programme Operation’ and ‘Building your Evidence Portfolio’. These handbooks provide detailed information of the Training and Assessment Programme and give guidance on how the evidence of competence should be generated and presented to an Assessor. Mentors, EWAs, Assessors and Internal Verifiers should refer to the trainee’s copies of these handbooks as necessary. Trainees are also provided with a CD which contains the ‘Unit Standards’ for the both the Process Engineering Maintenance and Process Operations: Hydrocarbons Level 3 SVQs

Assessors have to interpret standards and judge candidate performance competently and consistently. They would normally be involved at all stages of the assessment from the planning and timing discussions that take place in the early stage of the assessment process, reviewing of evidence which is generated as part of that process, through to the feedback that is given to candidates after their assessment has been completed. Assessors have to determine that sufficient evidence exists for the performance evidence and knowledge evidence requirements of the assessment routes.

Assessors will require support and input from Mentors and some cases, Expert Witness Advisors (EWAs) to assist them make appropriate assessment decisions. This document will provide detailed guidance on the roles and responsibilities of Mentors, Expert Witness Advisors, Assessors and Internal Verifiers.

Internal verification is necessary to ensure the integrity of the assessment process has not been compromised in any way. Internal verifiers ensure consistency of the assessment process by the assessor for different types of candidate and ensure standardisation of assessment between assessors. Internal Verifiers must be fully familiar with the standards against which assessments are to be carried out, the awarding bodies systems and criteria for qualifications.

OPITO reviewers are also involved in providing guidance and support to trainees as they progress through their training and assessment programme.

Revision D – October 2013 4 of 37 ©OPITO

2.0 Roles of Key Personnel

2.1 Mentor

MENTORS have a key role in the training process acting as the direct training supervisor for trainees.

Mentors should use their knowledge and experience of the tasks and equipment that trainees will be working on to provide advice and guidance as they progress through their training and assessment programme. Mentors should hold regular meetings with their trainees to discuss any issues arising and to review their progress against the agreed plan.

One of the initial tasks of Mentors is to help their trainees produce a Training and Assessment Plan incorporating a planned schedule for completion. Where possible this should be done in conjunction with the trainee’s assessor. The training plan will allow comparisons to be made between the actual progress over the training period against the agreed planned schedule. It will also allow Mentors the opportunity to check that their trainees are achieving their targets and plan the remaining training activities accordingly. Mentors should work with the trainee’s assessor, especially in the latter stages of the training period, to carry out regular reviews of the training plan and make appropriate adjustments where necessary.

Mentors are also required to sign off the ‘Personal Statements’ written by the Trainee after a training or assessment activity has taken place. These ‘Personal Statements’ are simply written accounts of the activity with which the Trainee has been involved and provide details of the nature of the activity and the extent and level of involvement of the Trainee. Trainees are also required to provide copies of any documentary evidence such as logs, permits, risk assessments, isolation certificates, etc. that support their specific involvement in the activity.

By signing a trainee’s personal statement, Mentors are confirming that it is an accurate account of the trainee’s involvement in the activity. Mentors are also confirming that the Trainee has completed the relevant task to the required standard and has gained the experience stated in the ‘Personal Statement’.

Mentors should also work with the trainee’s assessor to advise when they consider that a trainee has demonstrated sufficient skill and experience to be assessed against specific units.

In summary, the key responsibilities of Mentors are to:

• Ensure that trainees have undergone site safety and relevant emergency response training • Ensure that trainees have knowledge of the general rules and practices applying to the facility • Induct trainees in the safety procedures and culture of the facility • Understand the requirements of the training and assessment programme • Plan with the Trainee a programme of training to cover a suitable range of activities across a

range of appropriate equipment/systems/processes • Ensure that suitable and appropriate tasks are assigned to trainees • Ensure that trainees are given instruction in the skills and knowledge applying to the activities

and equipment/systems/processes in question • Supervise the work of trainees, ensuring that they work safely and are not exposed to any

unnecessary risk • Provide guidance to trainees on the content and accuracy of ‘Personal Statements’ and sign

them off when complete • Be responsible for deciding when trainees are able to carry out activities unsupervised and

when they are ready for formal assessment • Maintain a close and effective relationship with the trainees’ assessors


• Ensure that the welfare needs of trainees are met throughout the placement period • Provide OPITO with information on progress of trainees as and when required

Trainees will meet regularly with a Training Reviewer appointed by OPITO (see section 2.5). These meetings are extremely important and give opportunities for the progress of training to be reviewed by a person external to the workplace. Mentors should be encouraged to participate in these review meetings and to contribute to the discussions on the progress of trainees. The option of conference call or similar facility should be considered to allow the mentor to participate in these meetings.

2.2 Expert Witness Advisor (EWA)

Where it is not possible or practical to have an assessor available in the same location as a candidate, an EXPERT WITNESS ADVISOR (EWA) may be utilised to assist in on-the-job observation for a candidate. Mentors may also act as Expert Witness Advisors.

Sponsoring organisations are required to provide Expert Witness Advisors (EWA) who are occupationally competent and who will work with the trainee and assist with the process of observing the trainee in the work place.

The Expert Witness Advisor should only be used if it is not reasonably practical for an Assessor to be present during an observation. The Assessor however is still responsible for all assessment activities and will use the Expert Witness Advisor report as an important piece of evidence in judging competence of trainees. It is expected that an EWA would participate in a briefing session to ensure that they are familiar with the Standard(s) being assessed and that they understand their role to observe the Candidate and record observations and comments – details of briefing sessions must be available for review by External Verifiers/Auditors at External Verification visits/audits.

The following extract from the EWA Strategy document ( Appendix 1) provides a summary of the assessment process with EWA involvement.

1 Observations would be carried out by an Expert Witness with a qualified Assessor continuing to be responsible for assessment planning, providing feedback and for all other assessment activities e.g. review of paperwork, knowledge questioning.

2 An Expert Witness would be required to:

• be a discipline expert with typically a minimum of 2 years relevant experience • register or be already registered with OPITO (Appendix 4) • Participate in briefing session with Assessor • agree a time with the Candidate for the observation to take place and advise the Assessor; • observe the Candidate carrying out normal work tasks/activities ( Appendix 8); • record details of each task/activity observed and confirm its completion according to the

required standard; • authenticate any supporting documentation/job paperwork (for example, a Candidate’s name

may not always appear on the job paperwork so his/her involvement should be confirmed); • comment on the Candidate’s technical ability, knowledge of equipment, team work, safe

working practices, etc.; • make a recommendation to the Assessor on the Candidate’s ability to carry out the

task/activity,( EWA Final Summary Report Appendix9)

3 The Assessor will review all the evidence provided by the Candidate, including the observation by the Expert Witness, and make a judgement on the competence of the Candidate.


2.3 Assessor

ASSESSORS of the appropriate discipline will be provided in the workplace wherever possible by the sponsoring organisations to support and assess trainees working towards their SVQ Level 3. Where assessors cannot be provided in the same workplace as the trainee, sponsoring organisations may consider utilising the services of third party external assessors, who with the assistance of an EWA, carry out assessments of trainees for their SVQ Level 3.The Sponsor, with assistance from OPITO, should ensure that 3rd party Assessors are familiar with the overall assessment and training strategy and with the specific requirements that apply to UOGITTS trainees.

The OPITO Assessment and Verification Strategy requires that Assessors must meet the following requirements:

• be technically competent in the discipline being assessed – this could be demonstrated in a number of ways, for example: they are an experienced practitioner or supervisor in the same discipline; they have been assessed as competent for the relevant Standard(s) and/or have achieved an

equivalent qualification; they have previously performed or supervised the activities defined in the Standard(s) and can

demonstrate that they have maintained their technical expertise and knowledge of current processes and practices;

• hold (or be working towards) a recognised Assessor’s qualification (e.g. L&D9DI, L&D9D, A1, A2, D32, D33).

Assessors must also have extensive knowledge of the tasks and equipment the Trainee will be working with. Assessors who are not normally employed in the same location as the trainee should make every effort to familiarise themselves with the specific requirements of the worksite to which the trainees is assigned. E.G. permit process; procedure use; safety standards; work management; reporting etc. Assessors in these circumstances should seek assistance and input from the EWA to provide ‘location specific expert knowledge’ to support 3rd party assessors by way of observations, testimonies and authentication of documentary evidence provided by trainees.

The assessor’s role is to assess the evidence that Trainees provide whilst carrying out their work and to make a judgement on whether or not they have met the appropriate Standards. Assessors will also question the Trainees on various aspects of the plant/equipment and activities, to ensure that they have sufficient knowledge and understanding of the underpinning principles and concepts on which the Standards are based. The following bullet points and example questionnaires provided in Appendix 12 provide further guidance on assessing knowledge and understanding of trainees.

• Knowledge & Understanding (K&U) are key components of the assessment process however it is unlikely that observing performance will provide sufficient evidence in this area.

• Where the trainee’s K&U is not apparent from performance evidence then it must be assessed by other means and be supported by suitable evidence.

• Questioning can be a useful way of confirming what candidates know and understand. • Trainees have to show that they can meet the knowledge specifications for the SVQs. For

these SVQs, K&U is specified for each (Unit/PC). • Questions can be asked in a variety of forms, such as oral questions, short answer written

questions, and multiple-choice. • Assessors need to ensure that the method of questioning does not go beyond the

competence required for the SVQ and become a barrier to fair assessment. For example, some candidates will feel more comfortable with oral questions than written.


To assist in the decision-making process, assessors will be able to inspect the ‘Personal Statements’ written by the Trainee on completion of various work activities and the ‘Supporting Evidence’ (Witness Testimonies/Work Authorisations/Risk Assessments/Work Permits/Isolation Certificates/Daily & Handover Logs/Etc.) gathered in support of these activities. This documentation will be presented in an SVQ Portfolio which the Trainee will have compiled. This Portfolio will help the assessor establish an overall view of the level of competence of the Trainee in various aspects of their work.

Only when the assessor is satisfied that the Trainee has met all the performance criteria and knowledge requirements to meet the standards will they sign off the relevant assessment documentation.

Trainee Maintenance Technicians will be required to provide additional personal reports and assessment material for maintenance activities over and above that required for their SVQ. Trainees will retain this evidence in Section 2 of their Training Portfolio. Assessors will be required to review the evidence provided in Section 2 of the Training Portfolio and assess it to the same standard as the SVQ. The assessor and EWA (where applicable) will sign off this assessment material to confirm trainee competence as appropriate. A more detailed description of this process is provided in a document titled Guidance on Requirements for Contents of Trainee Maintenance Technician Portfolios. A copy of this document is provided in Appendix 13.

In summary, the key responsibilities of Assessors are to:

• Fully understand the Standard(s) for the relevant VQ(s) • Plan with the Trainee and the Mentor (and EWA where appropriate) when formal

assessment against the Standards of the SVQ is to take place • Formally assess the Trainee’s performance and knowledge for each task in their

assessment plan • Give feedback to the Trainee on their performance and knowledge • Decide whether or not the Trainee is competent against appropriate standards in a particular

task • Sign the assessment documentation for that task confirming that the Trainee is competent • Provide an “Assessors Final Summary Report” (Appendix 11)

In assessing the Trainee’s competence, assessors should use the following sources of evidence:

• Direct Observation of the Trainee carrying out the task. (This is considered to be the optimum method of assessment and should be carried out by the assessor wherever possible or by EWA where required)

• Inspection of the Trainee’s ‘Personal Statements’. • Direct Questioning of the Trainee to ensure that they have an understanding of the task in

question • Inspection of ‘Supporting Evidence’ gathered by the Trainee. • Evaluation of previous work the Trainee has carried out • Witness Testimonies provided by appropriately experienced/qualified person and aligned to

specific performance standards. It should be noted that the weight of the evidence will vary, depending on the knowledge and expertise of the person providing the witness testimony.

Only once the assessor has judged the Trainee competent in ALL the tasks required for the SVQ, will they sign-off the Unit Progress Record and Unit Achievement Records.


2.4 Internal Verifier

INTERNAL VERIFIERS (IV) will be provided by the sponsoring organisations to support assessors and carry out internal verification of trainee’s SVQ portfolios. Where a sponsoring organisation is unable to provide internal verifiers then third party internal verifiers will be appointed to carry out the internal verification process. Internal verifiers should be familiar with the specific requirements that apply to UOGITTS trainees.

The OPITO Assessment and Verification Strategy requires Internal Verifiers to:

• have sufficient occupational expertise in the broad discipline area covered by the relevant Standard(s) to permit valid judgements about assessments and appeal decisions – typically this would be demonstrated by the Internal Verifier having worked at either operational or supervisory level in the broad discipline area;

• hold (or be working towards) a recognised Internal Verifier’s qualification (e.g. L&D11, V1, D34). The role of the IV is to verify that the assessment process has been carried out correctly and with the rigour demanded by the scheme. This will be carried out during interim reviews of candidate portfolios and at the end of the training period, before the Trainee’s evidence is presented to the OPITO office for External Verification. Interim Verification Reports and Internal Verifier Final Summary Reports must be included and examples can be found in appendices 12 and 13

The main function of the IV is to review the SVQ Portfolio compiled by the Trainee, including all supporting evidence and assessment records, to ensure that the assessment process has been carried out in a proper manner and with the rigour demanded by the SVQ programme. They must also ensure that the integrity of the assessment process has not been compromised in any way.

When satisfied that proper assessment of all the evidence has been carried out and the decisions of the Assessor are correct, the IV must sign off all appropriate documentation contained in the trainee’s portfolio and complete an IV Final Summary Report ( Appendix 12). The SVQ Portfolio will then be submitted to the OPITO office and made available for External Verification.

NOTE: There is no requirement for IVs to carry out internal verification of any assessment material held in Section 2 of the maintenance trainee technicians Training Portfolio. The focus for internal verification must be on the evidence contained in the trainees’ SVQ Portfolios.

2.5 OPITO Reviewers

OPITO utilise their own reviewers to support trainees and review trainees’ portfolios as they have been doing since the Technician Training Scheme was introduced. Where reviewers identify discrepancies in Training or SVQ portfolios, they will in the first instance communicate with the sponsoring organisation’s OPITO Technician Training Scheme Focal Point. The Focal Point may then advise that the reviewer communicates direct with the assessor and EWA to resolve these issues. In certain circumstances it may also be decided that the reviewer should communicate directly to the trainee’s mentor or supervisor on other issues not necessarily related to the SVQ portfolio.

Mentors should be encouraged to participate in these review meetings and to contribute to the discussions on the progress of trainees. The option of conference call or similar facility should be considered to allow the mentor to participate in these meetings.

OPITO Reviewers should endeavour to provide Mentors with notice of planned review meetings.


3.0 Assessment Organisational Chart

It is essential that the Sponsor organisations document the actual training and assessment process to be followed for individual trainees. This can be done utilising the documents titled ‘Programme Operation Handbook’ and ‘Building Your SVQ Evidence Portfolio’ issued to trainees.

The following simplified organisation chart illustrates the interfaces and communication lines between the different roles in the assessment process and can be used by Sponsor organisations as a model for creating their own location specific version.

EWA/Mentor

EWA/Mentor

Candidate

Candidate

Assessor

Assessor

Candidate

Candidate

Internal Verifier

OPITO Reviewer

OPITO Reviewer

Mentor

Mentor

Candidates in some locations may not have regular, direct access to an assessor therefore they will be assigned an Expert Witness Advisor (EWA) who will provide an interface between the candidate and the assessor. (Refer to Section 2.2 for more detail on the EWA role). It is likely that the Mentor and the EWA will be the same person and this is reflected in the diagram. This diagram also illustrates that assessors may work with more than one candidate.

Coaching sessions should be held wherever necessary involving all parties concerned including trainees, mentors, EWAs, Assessors, Internal Verifiers and OPITO Reviewers. These coaching sessions should be specific to each sponsoring organisation so that local issues around communication between OPITO reviewers, assessors, EWA, supervisors, mentors, trainees and Internal Verifiers can be explored and addressed. These sessions can be run using conference calls, video conferencing or Net Meeting as appropriate. (Refer to additional guidance on coaching detailed in the EWA Strategy document in Appendix 1)

4.0 Assessment Materials

OPITO will provide the trainees with templates for all of the forms and reports that require to be generated as part of the assessment process. Examples of some of the wider used reports are provided in the Appendices to this document as follows:

Appendix 3 Assessor Information Form

Appendix 4 Expert Witness Registration Form

Appendix 5 Internal Verifier Information Form


Appendix 6 Exemplar Assessment Plan

Appendix 7 Exemplar Trainee Personal Statement

Appendix 8 Exemplar Expert Witness Advisor Observation Report

Appendix 9 Exemplar Expert Witness Advisor Summary Feedback Report

Appendix 10 Exemplar Assessor Observation Report

Appendix 11 Exemplar Assessor Final Summary Report

Appendix 12 Exemplar Interim Internal Verifier Report

Appendix 13 Exemplar IV Final Summary Report

Appendix 14 Exemplar Witness Testimony (For use by witness’ other than the EWA)

Appendix 15 Exemplar Record of Questions & Answers

NOTE: These examples are provided in this document for information only. Forms from the trainee technicians work books should always be used to ensure that the latest version is used.

5.0 Planning the Training

This section is a summary of the detailed information contained in the following Appendices:

Appendix 13 - Guidance on Requirements for Contents of Trainee Maintenance Technician Portfolios

Appendix 14 - Guidance on Requirements for Contents of Trainee Process Technician Portfolios

Trainees will arrive at the workplace with suitable PPE, two Handbooks: ‘Programme Operation’ and ‘Building your Evidence Portfolio’, a CD containing the Unit Standards, report forms etc. Trainees will be provided with evidence folders to be used as follows:

Trainee Maintenance Technicians

1 Training Portfolio to be used to retain copies of all relevant training evidence including activity reports not referenced in the SVQ Portfolio

2 SVQ Portfolio to be used to retain all relevant SVQ documentation and evidence. All evidence retained in this portfolio must be cross referenced to the appropriate SVQ standards.

Trainee Process Technicians

1 A single portfolio to be used to retain copies of all relevant training evidence with all relevant SVQ documentation and evidence retained in a separate section. All evidence retained in SVQ section must be cross referenced to the appropriate SVQ standards.

Following site induction, the Mentor and the Trainee will meet together to commence planning the Training Programme. The plan will require to be structured and flexible, and reviewed regularly to ensure that the trainees achieve the required outcomes of the UOGITT scheme.

At this meeting the Trainees will inform their Mentors of their training/education to date and will confirm the occupation/discipline they are to follow. This being established, the Training Plan will be drawn up. The activities listed on the Plan must conform to the requirements of the scheme and will depend on the facilities/ plant/equipment/systems & processes available on-site and the tasks likely to be undertaken. Examples of the Proforma to be used in the production of the Training Plan are included in the handbook ‘Programme Operation’ provided to the trainees.


6.0 Delivering the Training

Mentors and other experienced personnel involved in delivering the training should have an empathy with the Trainees and be able to communicate effectively with them. They should establish a rapport with the Trainee and be approachable. The Trainee should be able to ask questions of a technical nature and expect to be given relevant and meaningful answers.

The training being delivered should reflect the activities agreed in the Training Plan and the nature and scope of the work must ensure that the Trainee has opportunities to gather evidence relevant to the competences required by the SVQ Standards.

The Mentor must monitor the delivery of training against the Training Plan activities to ensure that the Plan is being achieved. Where it is proving difficult for a planned activity to be realised, this should be identified at an early stage in the training and the Training Plan amended accordingly.

It should be noted that the time allocations presented on the Training Plan are estimates, by the Mentor, of the amount of time the Trainee needs to be exposed to an activity to achieve competence. This time period need not be delivered in one block but may be spread throughout the training period as relevant tasks present themselves.

Trainees should be given clear instructions relating to each task including:

• An explanation of the purpose and the operation of the item of plant/equipment/system. • A demonstration of how to operate and/or maintain the item • A step-by-step instruction on how to execute the task

In addition to this the Mentor should question the Trainee to ensure that they know and understand the process and should confirm by observation that the Trainee is able to perform the task to the required standard of competence.

The tasks allocated to the Trainee should increase in complexity and demand over time.

7.0 Assessing Competence

Competence can only be judged from evidence provided by trainees that meets the standards defined in the relevant Level 3 SVQ. Although assessors will review material from additional activities carried out by maintenance technician trainees, it may well be that there is insufficient evidence of competence arising from some of the ‘training activities’. Assessors must ensure that the evidence provided reflects the trainee’s competence and not just the achievement of a training programme.

Various methods may be used by assessors to assess competence over the range of ‘Activity Items’ trainees have listed in their Training Plan. Some of the most commonly used methods are:

• Observation • Product evaluation • Questioning • Personal statements • Witness testimony • Simulation

7.1 Observation

Observation is considered to be the most valid and reliable method of assessment. It can be undertaken by the Assessor:


• Working alongside the Trainee OR • Arranging to visit the Trainee when the work activities occur naturally OR • Arranging for work activities to take place with an EWA carrying out the observations

NOTE: Refer to Appendix 10 for an example of an Observation Report

7.2 Product Evaluation

Product Evaluation may be used as an assessment method where evidence in the form of products of work is available for inspection. The nature of this evidence can vary widely depending on what the task entails, but examples of product evidence include Risk Assessments, Work Permits, Isolation Certificates, Maintenance History Records, Daily logs, Reports, Hand-over documents etc.

7.3 Questions

The Assessor will use Questioning as an essential part of the assessment process to show that the Trainee can meet the knowledge specifications for the N/SVQs. The required knowledge and understanding is specified for each Unit.

Much of the Trainee’s knowledge and understanding will be apparent from what is done or produced as part of the work activities, but this will not always be the case, and questioning can be a useful way of confirming knowledge and understanding.

The Assessor may ask questions in a variety of ways, such as oral questions, short answer written questions, and multiple-choice.

The Questions asked by an Assessor and the answers given by the Trainee should be recorded on the Proforma provided in the ‘Programme Operations Handbook’.

NOTE: Refer to Appendix 12 for examples of question and answer formats.

7.4 Personal Statements

Personal Statements are reports produced by the Trainees giving a detailed description of each activity they complete as they gain experience towards competence on a particular Unit.

Personal Statements should record what was done, how it was carried it out and why it was decided to do the work in this particular way.

Personal Statements must be written in such a way that it is obvious which parts refer to each Performance Statement for each specific Unit being covered.

It is not necessary for a Personal Statement to cover the whole task from start to finish, as evidence may have already been provided for part of the activity in another ‘Statement’ e.g. for maintenance units, the preparation work (Units 13, 69 and 70). For instance, if the task involves the removal and replacement of components (Units 72 and 73), then the report should only follow the guidelines given for these Units. Great detail about the preparatory work carried out is not required in this instance since this will be covered when writing ‘Statements’ for the tasks used to satisfy Units 13, 69, 70. The report should only detail information relevant to the Unit/s it is intended to cover.

A Proforma for Personal Statements is provided in the ‘Programme Operations Handbook’ issued to all trainees.

NOTE: Refer to Appendix 7 for an example of a personal statement


7.5 Witness Testimonies

Witness Testimonies are reports produced by technically competent persons who have observed the Trainee undertake a particular activity. These accounts may be used to support the Trainee’s ‘Personal Statement’.

The value placed on a Witness Testimony by an Assessor will depend on the knowledge, expertise and credibility of the person providing the testimony.

A Witness Testimony alone is unlikely to be sufficient in itself for a competency decision to be made, and the Assessor would normally supplement this by asking questions of the Trainee.

Witness Testimonies must be capable of being authenticated. To authenticate a Witness Testimony, a record must be available showing clearly the name and status of the Witness, their relationship to the Trainee, (e.g. supervisor, client) their contact details and the date.

A Proforma for Witness Testimonies is provided in the ‘Programme Operations Handbook’ issued to all trainees.

NOTE: Refer to Appendix 11 for an example of a witness testimony.

7.6 Simulation

Simulation is any structured assessment exercise involving a specific task which reproduces real-life situations. The Assessor must ensure that any ‘Simulated’ assessment exercise is carried out under conditions which reflect a ‘realistic work environment’ and activity characteristics as closely as possible.

Assessors should refer to the OPITO Assessment and Verification Strategy for more information on the use of simulation.

7.7 Final Summary Reports

The final action of EWAs, Assessors and Internal Verifiers will be to provide written final summary reports.

EWA Summary Feedback Reports should outline how the observations etc have been carried out, provide an overview of the trainee’s development and state the EWA’s recommendations to the assessor. (Appendix 9)

Assessor Reports should provide an overview of the trainee’s development during the training period and of the assessment process used, i.e. direct observation, inspection of work etc. The reports should also state the Assessor’s final conclusion on the trainee’s competence (Appendix 11)

Internal Verifier Reports should provide an overview of how the assessment process was carried out throughout. The IV will also comment on the content of the Evidence Portfolio in relation to the referencing of evidence, the organisation and labelling of the document itself and the ease with which evidence is traceable. It should also state whether or not the IV agrees with the assessor’s judgement. (Appendix 12)


Appendix 1 - Expert Witness Advisor Strategy Document

Expert Witness Advisor Strategy

Assessment is the process of determining a Candidate’s competence against national standards (i.e. skills defined by the National Occupational Standards). The assessment process involves observing a Candidate carrying out normal work activities, reviewing associated job paperwork and assessing a Candidate’s knowledge through questioning.

Typically it would be expected that all assessment activities would be carried out by qualified a Assessor. A qualified Assessor would be expected to have achieved a national qualification such as A1, L&D9DI or D33.

Where it is not possible or practical to have a qualified Assessor in the same location as a Candidate, the following strategy outlines how Expert Witnesses can be used to support the assessment process by carrying out on the job observations. The requirements for an Expert Witness are outlined in the following paragraphs.

1 Observations would be carried out by an Expert Witness with a qualified Assessor continuing to be responsible for assessment planning, providing feedback and for all other assessment activities e.g. review of paperwork, knowledge questioning.

2 An Expert Witness would be required to:

• be a discipline expert with typically a minimum of 2 years relevant experience; • register or be already registered with OPITO; • participate in briefing session with Assessor; • agree a time with the Candidate for the observation to take place and advise the Assessor; • observe the Candidate carrying out normal work tasks/activities; • record details of each task/activity observed and confirm its completion according to the

required standard; • authenticate any supporting documentation/job paperwork (for example, a Candidate’s name

may not always appear on the job paperwork so his/her involvement should be confirmed); • comment on the Candidate’s technical ability, knowledge of equipment, team work, safe

working practices, etc; • make a recommendation to the Assessor on the Candidate’s ability to carry out the

task/activity,( EWA Final Summary Report Appendix9)

3 The Assessor will review all the evidence provided by the Candidate, including the observation by the Expert Witness, and make a judgement on the competence of the Candidate.

Expert Witnesses

Expert Witnesses are discipline experts who would generally be expected to have a minimum of 2 years relevant experience. Expert Witness CVs should be available for review by the External Verifier.

It is the responsibility of the Sponsor Organisations to ensure that all Expert Witnesses participate in a briefing/coaching session to ensure that they are familiar with the standards and qualification being assessed and that they understand their role to observe candidates and record observations and comments.


Expert Witness Strategy (Continued)

The following are some key points which must be covered in briefing/coaching sessions with Expert Witnesses.

1 Assessing competence against occupational standards

• What does competence mean? • What is an occupational standard? • How does assessment relate to the standard? • The specific standards and qualification to be used for the observation.

2 Carrying out observations

• What can be assessed by observation? • How to prepare for observation. • Good practice during observations.

3 Making recommendations and providing supporting evidence

• Confirming that job paperwork is available, can confirm the activities and that these can be attributed to the Candidate.

• Use of reports to record observations made and any comments. • Providing a clear recommendation to the Assessor on the Candidate’s performance and

ability to carry out the task/activity.


Appendix 2 - Trainee Technician Assessment and IV

1. Assessor Briefs EWA/Mentor and TraineeSTART 2. Assessor Conducts

Briefing with Trainee

3A. Assessor Agrees Assessment Plans with

EWA/Mentor and Trainee

3B. EWA/Mentor Agree Assessment Plans with Trainee and Assessor

3C. Trainee Agrees Assessment Plans with

EWA/Mentor and Assessor

4 Trainee Gathers Evidence with Observations by EWA

5. EWA Writes up Observation Reports for

Trainee’s Portfolio

6. Trainee Writes up Personal Statements and

Builds Portfolio

7. Assessor Provides Interim Review of Portfolio

8. IV Carries out Interim Review of Portfolio 9. IV Provides Feedback to

Assessor

10. Assessor Provides Feedback to Candidate and

EWA/Mentor

11. EWA Carries out any Further Observations Arising

from Assessor Feedback

12. Trainee Updates Portfolio as Identified by

Assessor Feedback

13 Trainee Gathers Remaining Evidence with

Observations by EWA

14. Assessor Meets with Trainee and Completes

Final Assessment of Portfolio

Trainee Submits Portfolio to OPITO Reviewer for Review Prior to Submission for Final

Assessment by Assessor

15. Assessor Signs off Assessment

16. Assessor Submits portfolio for Internal

verification

17. IV Carries out Final Internal verification of

Portfolio

18. OPITO Reviewer Carries out Final Check

FINISH

Trainee Technician Assessment & IV Process

Trainee Submits Portfolio to OPITO Reviewer for Quarterly

Reviews

Process


Appendix 3 - Assessor Information Form

Assessor Information Form

Full Name Date of Birth Current Employer Assessor Qualifications

Centre to see proof of certificates Other Relevant Qualifications

Details of Occupational Competence as required by the Assessment Strategy

Details of Continuous Professional Development (CPD)

If you hold previous versions of Assessor qualifications such as D32/D33 or A1 please show CPD in relation to achieving knowledge/ experience of current Assessor Standards

Occupational areas(s) you will be assessing

Assessor: I am satisfied that the information I have provided on this form is correct and I submit my relevant certificates with this form

Signed: ______________________ Printed: __________________ Dated: _________

OPITO Representative: I have checked that the information given on this form is accurate

Signed: _____________________ Printed: ___________________ Dated: __________


Appendix 4 - Expert Witness Registration Form

Expert Witness Registration Form

Full Name Date of Birth Current Employer Discipline you will be Witnessing

Final Assessment will be carried out

A B

In-House Assessor

External Assessor (Please State)

Discipline Relevant Qualifications

Other Relevant Qualifications

Details of Occupational Competence


Occupational Areas in which you have worked

I am satisfied that the information I have provided on this form is correct and I submit my relevant certificates with this form

Signed: ______________________ Printed: __________________ Dated: _________

OPITO Representative: I have checked that the information given on this form is accurate

Signed: _____________________ Printed: ___________________ Dated: __________

Discipline Approved: Mechanical, Electrical, Instrument, Process


Appendix 5 - Internal Verifier Information Form

Internal Verifier Information Form

Full Name Date of Birth Current Employer Verifier Qualification(s)

Centre to see proof of certificates Other Relevant Qualifications

Details of Occupational Competence as required by the Assessment Strategy


If you hold previous versions of IV qualifications such as D34 or V1 please show CPD in relation to achieving knowledge/ experience of current IV Standards

Occupational areas(s) you will be verifying

Verifier: I am satisfied that the information I have provided on this form is correct and I submit my relevant

certificates with this form Signed: ______________________ Printed: __________________ Dated: _________ OPITO Representative: I have checked that the information given on this form is accurate Signed: ______________________ Printed: __________________ Date: _________


Appendix 6 - Exemplar Assessment Plan

Units: 13, 69 & 70 Elements: Activities Performance Criteria Method of

Assessment/Sources Of evidence

Date of assessment

Evidence already available

Links to other Performance Criteria

Preparing the work area, equipment and materials in order to carry out the maintenance of plant and equipment

13 (2), (3), (4), (7) 13 (1) 13 (1), (5), (6)

Observation Witness Testimony Work Permit

24/10/2011 Ref 66 (1) Ref 68 (2)

69 (1), (2), (3), (6), 70 (1), (2), (3, (4) 69 (1), a, 70 (1) 69 (1), (4), (5), 70 (1), (5)

Questioning for knowledge and understanding not apparent from performance to be identified from 2nd review

13 (1), (6) Questions 26/10/2011 69 (1), (6); 70 (1), (6)

Assessor/EWA Name(s)

David White (Assessor)

Assessor/EWA Signature(s)

David White 1ST Review Date 22/10/2011

Trainee’s Name

Duncan Campbell Trainee’s Signature Duncan Campbell 2ND Review Date N/A

Date of agreement

20/10/2011 Date of completion 26/10/2011


Appendix 7 - Exemplar Trainee Personal Statement

Evidence Ref No. A1-1 Plant/Equipment Activity Item No: A1 Title: Diesel Engines

Date of Activity

Evidence Index number

Details of statement Links to other Evidence (enter numbers)

Unit, Performance Criteria covered

21/10/11 A1-1 This statement provides evidence of my Competence to ‘Adjust mechanical plant and Equipment to meet operational requirements’. This was achieved by carrying out the task of adjusting the speed control on an emergency generator diesel engine. I carried out a task risk assessment which was reviewed by the Area Authority following discussions with myself. The risk assessment highlighted the hazards of working with heavy mechanical plant and the need to prepare the work site and to wear personal protective clothing A work permit was then issued I obtained specifications from the Vendor’s maintenance manual for this engine, to ensure that I had the correct information and settings for this task including the manufacturer’s recommended speed. Since I am not yet considered competent to carryout detailed maintenance work on the plant, my only task here was to check the speed control mechanism and adjust it as required. To do this I started the engine and allowed it to run for five minutes before checking the idling speed. This is the procedure stated in the Vendor’s Manual. I noted that the speed was about 100 rpm faster than the recommended 1000 rpm, so I adjusted the throttle control mechanism until the speed was at the correct 1000 rpm. As requested in the maintenance manual, I allowed the engine to run for another 5 minutes before checking the speed again to ensure that the adjustment was correct. During this 5 minute period, the speed crept back up to the original 1100 rpm; therefore I attempted to adjust the throttle mechanism once again. During this operation I noticed that the threads on the adjusting screw were worn this being the likely reason that the adjustment was slipping. I replaced the adjusting screw, adjusted the speed to 1000 rpm and observed over a further 5 minute test period. The speed was held constant at 1000rpm.

A1.1a (Risk Assessment), A1-1b (Work Permit) A1.1c (Page from Vendor manual) A1.1d (Job Card) A1.1c (Page from vendor manual)

71 71 (1) 71 (1) 71 (2) 71 (3) 71 (4) 71 (5)


Exemplar Personal Statement (cont)

Plant/Equipment Activity Item No: A1 Title: Diesel Engines Date of Activity

Evidence Index number

Details of statement Links to other Evidence (enter numbers)

Unit, Performance Criteria covered

21/10/11 A1-1 After completing the task, I made sure that the work site was tidy and that no tools or materials were left in the area. I also cancelled the work permit I outlined the task in the daily log and recorded my findings and the test results in the maintenance history records. I made mention in both these documents that I had problems with the adjusting screw and had to replace it and that this resolved the problem

A1.1e (Copy of maintenance history report) A1.1f (Copy of daily log)

71 (1) 71 (6/7) 71 (6/7)

Signed: (Trainee) Duncan Campbell Signed: (Mentor) David Gannon

Date: 23/10/2011 Date: 23/10/2011

Assessment Statements:

a. I confirm that I observed this activity and that this is an accurate report.

ASSESSOR Sig/Date

EWA Sig/Date

MENTOR Sig/ Date

George Black

23/10/2010

(b) I did not observe this activity, however I am satisfied that this is an accurate account.

David White David Gannon

24/11/2010 23/10/2011

Note: If the Mentors are also the EWA or Assessor, then it is only necessary for them to sign in the EWA or Assessor box as appropriate.

Evidence Ref No. A1-1


Appendix 8 - Exemplar Expert Witness Advisor Observation Report

N/SVQ title and level: Process Engineering Maintenance Level 3 Trainee’s name: Duncan Campbell Activity Area: A2.1 (a.c. Motors) Index no. of other evidence which this report relates to (if any):

Units(s): 26/27 (Remove and Replace Components) Date of evidence 18 November 2011 Name of Expert Witness: James White Designation/relationship to Trainee:

Maintenance Supervisor

Details of report: I observed Duncan undertaking the maintenance task of dismantling, inspecting and reassembling a three phase squirrel cage motor on.18 Nov 2010 Duncan prepared the worksite for the maintenance activities by assembling all the tools and equipment the he would require to carry out the maintenance task and by ensuring that the work area was free from all hazards as identified by the risk assessment previously carried out. He ensured that any potential dangers were minimised and that he was fully equipped for the task (26 (1/26 (1)). Duncan used various diagrams to establish how the motor was constructed and the layout of its component parts. He took great care in establishing the alignment of the motor frame in order to that it might be reassembled in its original orientation (26 (2)). Duncan looked for the inclusion of capacitors, springs or other energy storing devices and was aware of the need to discharge these before progressing with the work. He determined that no energy storing devices were present (26 (3)). Using the correct tools, equipment and techniques, Duncan dismantled the motor. (26 (4)/(5)) He inspected the rotor, the fan blade, the bearings, the wiring connections and the terminal block (26 (6)) and noted that the terminal block had split into two sections, one of which was loose within the terminal box. He obtained a replacement block from the stores and fitted it within the terminal box. (27 (2)/(3)) He reinstated the wiring to the motor terminals as required and disposed of the damaged block in accordance with operating instructions.(26 (8) After a final inspection, he reinstated all components using the correct tools, equipment and techniques.(27 (5)) He made the necessary adjustments and tested the motor before finally re-commissioning it (27 (6). Duncan wrote up the task in the maintenance history record and the daily maintenance log(26 (9)/27 (8)) I can confirm the candidate’s evidence is authentic and accurate and recommend to the Assessor that he is competent in the elements covered by this report Signed by Expert Witness: James White Date: 18/11/2011 Expert Witness (please tick the appropriate box):

Holds SQA approved assessor qualification

Is familiar with the SVQ standards to which the candidate is working

OPITO Approved


Appendix 9 - Exemplar Expert Witness Advisor Summary Feedback Report

The EWA should use this summary feedback report to make recommendations to the Assessor

N/SVQ title and level: Process Engineering Maintenance Level 3 Trainee’s name: Duncan Campbell Activity Area(s): A2.1 (AC Motors); B2.2 (Electrical Dist Systems; B4.1

(Lighting Equipment) Index no. of other evidence which this report relates to (if any):

Unit(s): 26/27 (Remove and Replace Components) Date of evidence 18 November 2011 Name of Expert Witness: James White Designation/relationship to Trainee:

Maintenance Supervisor

Details/recommendations of feedback: I have observed Duncan carrying out three tasks involving the removal and replacement of components on an AC motor, electrical distribution system and lighting equipment. I have reviewed Duncan’s personal statements and all supporting evidence he has provided and I am satisfied that he has met the required standard to perform this type of activity unsupervised. Duncan has carried out three separate tasks to complete Units 26 and 27 and has consistently demonstrated that he has the capability to do this type of work. Authenticity Statement I confirm that all the evidence provided for these Units is authentic and traceable to the candidate. Signed by Expert Witness Advisor: James White Date: 18/11/2011


Appendix 10 - Exemplar Assessor Observation Report

Unit(s): 13 Assessor: David White Trainee: Duncan Campbell Date of observation: 31/10/2011 Evidence index number: B 3.1 Skills/activities observed: Performance

Criteria Candidate preparing the work area for the maintenance of gas compressor CX0301A The candidate ensured that the work environment was suitable for the work activities to be undertaken by inspecting the work site and discussing the task with the Area Authority. A risk assessment was conducted by the candidate and control measures recommended included that the area be barriered off to ensure that there were no other conflicting activities being carried out at this time. It was also identified by the candidate that the work could not commence until access scaffolding was erected; therefore a request was made to the Area Authority to have this done. These control measures were reviewed by the candidate and discussed and agreed with the Area Authority prior to a work permit being issued to him. Completion of the preparations was recorded in the Daily Log and referenced in the work permit. The candidate ensured that temporary lighting facilities were available and that the plant air system was operational in the work location. The candidate worked safely at all times and wore the appropriate PPE for the task. He also complied with appropriate health and safety procedures and adhered to regulations regarding risk assessment and work permit requirements. This observation was supported by a witness testimony from the candidate’s supervisor who testified that the candidate maintained this approach to working safely on all occasions.

(2), (4), (5) (7) (6) (3) (1)

Knowledge and understanding apparent from this observation: The candidate’s knowledge of the PTW system, Risk Assessment procedure and Operational Work Instructions were apparent from the way that he used them. His awareness of other health and safety requirements and issues demonstrated his knowledge and understanding of relevant regulations and guidelines Other Units to which this evidence may contribute: 11, 69,70 Assessor’s comments and feedback to candidate Sufficient performance evidence was provided during this observation to meet all the assessment criteria for this Element. Although some knowledge evidence was demonstrated during this observation, it will be necessary to conduct a questioning session to obtain further knowledge evidence. Assessor’s signature: David White Date: 31/10/2011

Trainee’s signature: Duncan Campbell Date: 31/10/2011


Appendix 11 - Exemplar Assessor Final Summary Report

N/SVQ title and level: Process Engineering Maintenance Level 3

Trainee’s name: James Jack

Work Discipline Electrical

Work Site: Charlie Alpha

Date of Report 18 November 2010

Assessor: George Ferguson

OPITO Approved (date) 15/01/2006

Assessment Summary:

During his 24 months as an electrical trainee on ‘Charlie Alpha’, James followed the ‘Award Route’ A1, A2, A4, B2, B3, C1 and C2.

These work activities were assessed by a range of means, the majority being by direct observation by myself. The Award Route activities are used as a vehicle to assess the Unit Standards of the programme and the requirements of these Standards were rigorously observed.

Unit 11: ‘Work safely, minimize risk and comply with emergency procedures’ provides an example of a Unit which cannot be assessed by direct observation since it refers to Shut-down and Evacuation procedures. This Unit was assessed by ‘Simulation’.

The Expert Witness Advisor provided valuable reports in assessment areas where I personally was not able to attend and I was able to make good use of these in making assessment judgments.

I am satisfied that James Jack, Electrical Trainee, Charlie Alpha installation, has satisfied ALL the assessment requirements of his training programme and is, in my opinion deemed to be competent as a Process Engineering Maintenance Technician: Electrical at Level 3

Assessor Signature: George Ferguson Print: GEORGE FERGUSON Date: 18/11/2010


Appendix 12 – Exemplar Interim Internal Verifier Report





Date of Report 4th May 2010

Internal Verifier: Andrew McGregor


Internal Verification Summary:

James Jack has just completed 18 months of his 24 months training as an Electrical Process Engineering Maintenance Technician and has had specific training in the ‘Award Route’ areas of A2, A4, B2, C1 and is currently training on A1, B3 and C2.

To date his assessor has assessed him fully on A2 and has started assessing him on C2. The assessments are thorough and have been carried out by George Ferguson a qualified Assessor, whom is registered with OPITO. To date I am confident that the Assessments are authentic and reflect accurately the competence levels of this trainee.

Jacks training folder is already comprehensive well laid out and well referenced and although his Assessment Folder is in its early stages it already seems to be of a similar standard with all evidence reports and supporting documentation clearly referenced using an easy-to-follow system.

Assessment Plans and observation reports were apparent, detailed and well referenced with good feedback to the candidate

I am completely satisfied that all the requirements of the OPITO Internal Verification system have been met by this candidate and his assessor. I am also aware that the assessor has already briefed David Campbell who will act as an EWA to supplement the periods when the assessor cannot make it to site. David is already registered with OPITO as an EWA and is currently carrying out this role successfully for a number of OPITO trainees. Therefore I see this as a good addition to the process and am happy with the assessment process to date and have no actions or recommendations at this point.

Verifier Signature: Andrew McGregor Print: ANDREW McGREGOR Date: 04/05/2010


Appendix 13 - Exemplar Internal Verifier Final Summary Report





Date of Report 18 November 2010

Internal Verifier: Andrew McGregor


Internal Verification Summary:

James Jack has just completed his 24 months training as an Electrical Process Engineering Maintenance Technician and has had specific training in the ‘Award Route’ areas of A1, A2, A4, B2, B3, C1 and C2.

The assessments were thorough and were carried out by an authorised and qualified Assessor. Good use was made of the Expert Witness Advisor who contributed significantly to a number of the assessment exercises. I am confident that the Assessments are authentic and reflect accurately the competence levels of this trainee.

With regard to his ‘Evidence Portfolio’, two folders were submitted for scrutiny and these were correctly labelled on both the side panel and the front of each folder.

The folders were well organised, with all evidence reports and supporting documentation clearly referenced using an easy-to-follow system.

Evidence was submitted for each of the Unit Standards and Work Activities and these were found to be entirely relevant to the work being carried out. The evidence references were clearly traceable and authentic.

I am completely satisfied that all the requirements of the OPITO Internal Verification system have been met by this candidate and that his Evidence Portfolio is passed to the next stage in the Documentation process.

Verifier Signature: Andrew McGregor Print: ANDREW McGREGOR Date: 18/11/2010


Appendix 14- Exemplar Witness Testimony

This form is not for use by the EWA who would normally use an EWA Observation Report


Trainee’s name: Duncan Campbell

Evidence index no: A2.1 (a.c.Motors)

Index no. of other evidence which this testimony relates to (if any):

Unit(s): 26/27 (Remove and Replace Components)

Date of evidence 18 November 2011

Name of witness: William Hood

Designation/relationship to Trainee:

Maintenance Team Leader (Immediate line Supervisor)

Details of testimony:

I have worked with Duncan as his Maintenance Team Leader for over one and a half years, and can testify to all the following statements: I myself have over 20 years working in electrical maintenance in the offshore industry.

Duncan is a conscientious worker who understands the technical aspects of his role and is always keen to learn the correct techniques and maintenance methods.

Health and safety is a key feature of all his work and this was evident during this maintenance exercise on dismantling, inspecting and rebuilding a three phase squirrel cage induction motor (26 (1)/27 (1)).

During this maintenance activity, Duncan used the Vendor’s manual and exploded view diagrams to establish the layout of the component parts of the motor. He was also able to make alignment marks on the frame of the machine in order that it is put back together in its original orientation (26 (2))

Duncan was aware of the inclusion of capacitors and springs in certain types of motor and paid particular attention to the possible inclusion of such items when dismantling this machine. He determined that no energy storing devices were present.(26 (3))

Duncan dismantled the motor using the correct tools and equipment. (26 (4/5)) He inspected the Rotor, the fan blade, the bearings, the wiring connections and the terminal block (26 (6)). It was noted that the terminal block had split into two sections, one of which was loose within the terminal box. A replacement block was obtained from the stores and fitted. (27 (2)/(3)) The wiring was reinstated to the motor terminals as required. The damaged block was disposed of in accordance with standing instructions.(26 (8)) After a final inspection, all components were reinstated using the correct tools and techniques.(27 (5)) All necessary adjustments were made and the motor tested before finally being re-commissioned (27 (6))

The work was written up in the maintenance history record and the daily maintenance log (26 (9)/27 (8))

I can confirm the candidate’s evidence is authentic and accurate.

Signed by witness: William Hood Date: 18/11/2011

Witness (please tick the appropriate box):

Holds SQA approved assessor qualification

Is familiar with the SVQ standards to which the candidate is working


Appendix 15 - Exemplar Record of Questions & Answers

Unit (Maintenance) Unit 10 - Minimise Risks to Life, Property and the Environment

Element(s)

Evidence index number 21

Circumstances of assessment Candidate was being assessed whilst carrying out planned maintenance procedures (Unit 66) on a gas compressor. The opportunity was also taken to assess the candidate for Unit 10. However it was not obvious from observation that there was sufficient evidence of the candidate’s knowledge and understanding of how to ‘identify hazards, assess the risks involved, minimise the risks by implementing control measures and providing on-going monitoring’. The candidate gave oral answers to the following questions which were asked at the time of the assessment. Appropriate Performance Criteria are indicated against each question.

List of questions and candidate’s responses

Q What formally recorded procedures/systems are available to assist you to identify hazards and assess risks in the workplace? (Performance Criteria 1, 5)

A The Safe Systems of Work procedures provide a formal ‘electronic’ risk assessment procedure which must be completed prior to any task commencing.

Q Explain how this procedure is utilised to identify hazards and assess risks associated with carrying out a maintenance procedure on a gas compressor. (Performance Criteria 2, 3, 6)

A I would first of all complete a ‘Jobsite Check sheet’ by visiting the worksite to identify any hazards. I would then use this information to assess the risks associated with these hazards and identify and implement appropriate precautions and control measures. I would use the information provided on the Risk Assessment document to ensure that all precautions and control measures were applied prior to commencement and maintained throughout the task.

Q What particular hazards are associated with using electrically-powered tools for this task and what control measures would be implemented to reduce risks? (Performance Criteria 2, 3)

A Hazards: Sparks from non-intrinsically safe equipment could be an ignition source if gas were present. Poorly maintained equipment could have a potential for causing electrical shock. Control Measures: A portable gas monitor would need to be at the worksite at all times. All tools and equipment to be examined daily/before use and defects rectified immediately. Refer to Safe Operating Procedure 504: Portable electrically-operated equipment. Equipment to be isolated when left unattended.

Q How would you inform all those who are affected of the risk control measures in place and clarify any implications for them as required? (Performance Criteria 4, 5)

A Discuss the Risk Assessment at the ‘tool box talk’ and have all relevant personnel read and sign the risk assessment .

Assessor’s signature George Ferguson

Date 31/08/2011

Candidate’s signature Keith Campbell Date 31/08/2011


Example 2 (Level 3 SVQ) Unit 11 Work Safely, Minimise Risk and Comply with Emergency Procedures

This Unit requires that candidates have a working knowledge and understanding ‘of the evacuation procedures from the work site to a safe area’. Again, some evidence of this knowledge may have been demonstrated during observations, but you might still need to ask some questions, such as:

Question 1 If you are working in the gas compression module/area and an alarm is sounded indicating that there is a gas release in that location, what action would you take?

Answer 1 Make the work site safe, evacuate to the assigned assembly point/muster station and await further announcements/instructions.

Question 2 Where would you find information on emergency evacuation procedures?

Answer 2 The answer to this question would be site-specific. However, an example would be the ‘Emergency Response Stations Bill’ which is available on offshore installations.


Appendix 16 - Guidance on Requirements for Contents of Trainee Maintenance Technician Portfolios

1. Trainee Maintenance Technician - Training and Assessment Plan

During the ‘Work Placement’ phase of the trainee technician programme, maintenance technician trainees are required to produce a Training and Assessment Plan aligned to:

• The seven selected ‘Activity Items’ specific to their maintenance discipline which relate to the systems and equipment available within their placement facility. These will be selected and agreed between the trainee and the mentor.

• The 8 mandatory and 4 optional Units from the Level 3 PEM SVQ Standards. The 4 optional Units will also be selected and agreed between the trainee and the mentor.

NOTE 1: Mandatory units 10, 11 & 12 are common to all three disciplines and are categorised as the ‘Three Generic Units’. The remaining five mandatory units and the four optional units for each discipline are categorised as the ‘Nine Technical Units’.

Over the entire two year training period, UOGITT trainees will be required to produce evidence of carrying out maintenance activities on all seven selected Activity Items fully covering each of the 9 Technical Units selected by the candidate. A maximum of 4 Units can be covered by any one maintenance activity.

NOTE 2: Detailed information on the Activity Items for each discipline is available in the documents titled ‘Programme Operation Handbook’ and ‘Building Your SVQ Evidence Portfolio’ issued by OPITO to trainees.

The SVQ requirements are that evidence is provided from a minimum of three separate assessment activities for each of the 9 Technical Units selected. The three assessment activities for each unit must be from three different Activity Items from the seven selected. Again, a maximum of 4 Units can be covered by any one maintenance activity report.

2. Training and SVQ Portfolio Folders

Two portfolios will require to be maintained in two separate folders to document training progress and SVQ assessment progress as follows:

Folder 1 - Training Portfolio which will be compiled as follows:

SECTION 1:

• All training related documents and material

• Safety Reports for the 3 Safety Assignments completed by the trainee

SECTION 2:

• Personal Reports covering all Performance Criteria for all 12 units across each of the 7 Activity areas and the relevant supporting evidence.

NOTE 1: Section 2 shall be assessed to the same standard as the SVQ with the EWA and Assessor signing off the assessment material to confirm trainee competence as appropriate.

NOTE 2: It is not necessary for internal verification to be carried on the contents of Folder 1. The focus for internal verification should be on the SVQ evidence contained in Folder 2.


Folder 2 – SVQ Portfolio which will be compiled as follows:

SECTION 1:

• All relevant candidate information, signature sheets, EWA, Assessor and IV information forms, Unit Progress Record, Unit Achievement Records, Assessor and IV Final Statements, etc.

SECTION 2:

• Copies of all assessment material and evidence produced by trainees for the appropriate PEM Level 3 SVQ. Examples of assessment material in the form of reports, testimonies and supporting evidence are:

− Assessment Plans

− Observation Reports (written by EWA or assessor)

− Personal Reports (activity reports written by trainee)

− Witness Testimonies

− Risk Assessments (trainee involvement in producing or using RA must be obvious)

− Work Permits (trainee involvement in permit raising/issue/revalidation/cancelling/etc. must be obvious)

− Isolation Certificates (trainee involvement in either creating or using isolation certificates must be obvious)

− Daily and handover logs (trainee involvement in providing input must be obvious)

− Assessor/EWA Feedback Reports (including summary feedback report from EWA/Assessor where used)

− Underpinning knowledge questionnaires specific to the selected activity items

NOTE 1: Assessment material and evidence must meet the SVQ requirements for a minimum of 3 assessment occasions for each of the 9 technical units selected by the candidate. The 3 assessment occasions for each unit must be drawn across the range of the 7 activity items that candidates selected from three Activity Groups (A/B/C).

NOTE 2: To ensure that SQA internal verification requirements are met, the Internal Verifier should provide 100% verification of the SVQ assessment material and evidence contained in Folder 2.

• Once trainees commence their SVQ, the assessor may review evidence from Folder 1 - Training Portfolio to determine if it can be utilised as evidence for the SVQ.

NOTE 3: Evidence produced from group or team activities is only valid when it clearly relates to the trainee’s specific and individual contribution to the activity, and not to the general outcome.

• Any evidence in Folder 1 identified as meeting the SVQ standards can be transferred into Folder 2 – SVQ Portfolio ensuring that it is cross referenced to the SVQ Standards as appropriate.

• Where evidence is removed from Folder 1 to Folder 2 it should be clearly referenced in Folder 1 where this evidence is now located.

• Only evidence directly referenced to the SVQ standards should be retained in the SVQ Portfolio.

• Any evidence or documents that are not cross referenced to the SVQ Standards must be removed and retained in the Training Portfolio if appropriate.


Appendix 17 - Guidance on Requirements for Contents of Trainee Process Technician Portfolios

1. Trainee Process Technician - Training and Assessment Plan

During the ‘Work Placement’ phase of the trainee technician programme, process technician trainees are required to produce a Training and Assessment Plan aligned to:

• The selected ‘Qualification Route’ which relates to the systems and processes available within their placement facility and complete portfolios to document the following activities

• The 7 mandatory Units from the Level 3 POH SVQ Standards

NOTE: Units C2, C5 & C7 are categorised as the ‘Three Generic Units’. The remaining four units (PT3.1, PT3.2, PT3.3 and PT3.4) are categorised as the ‘Four Technical Units’.

There are SEVEN Scope Systems from which trainees must select FOUR that are available in the location that they are placed. The SEVEN Scope Systems are as follows:

Table 1 Scope Systems

System Ref

Scope System

1. Wells 2. Oil Storage/Discharge Process 3. Gas Process 4. Oil/Gas Process and Export 5. Water Injection 6. Metering 7. Utilities

The FOUR out of the SEVEN Scope Systems selected MUST include Processes (Refer to Table 3) from at least TWO of the Systems, Ref Nos. 2, 3 and 4 of the above table. These will initially be selected and agreed between the trainee and the mentor. Input from the EWA and the Assessor may be sought if this is both practical and possible.

Over the entire training period, UOGITT trainees will be required to produce evidence of carrying out process operator activities on all four selected Scope Systems fully covering each of the 4 Technical Units PT3.1, PT3.2, PT3.3 & PT3.4.

Trainees must also demonstrate competence in the three generic Units C2, C5 and C7. Evidence for these Units will generally be created and gathered during assessment activities for the technical units.

The SVQ requirements are that evidence is provided from a mixture of performance and knowledge evidence as illustrated in the following table.


Table 2 Assessment Requirements

System Ref

Scope System No. of System

Processes

No. of Processes

to be Assessed

No. of Processes for ‘Performance’ and ‘Knowledge’

Assessment

No. of Processes for ‘Knowledge’

Only Assessment

1. Wells 2 2 1 1 2. Oil

Storage/Discharge Process

2 2 1 1

3. Gas Process 7 4 1 3 4. Oil/Gas Process

and Export 6 4 1 3

5. Water Injection 3 3 1 2 6. Metering 3 2 1 1 7. Utilities 13 7 2 5

Each of the seven Scope Systems listed in Table 2 are made up of various Processes as per following Table 3. The trainee and mentor must select processes available at their placement facility.

Table 3 Scope Systems and their Processes

System Ref.

Scope System Process Ref.

Process

1. Wells 1.1 Operating Wells 1.2 Managing Well Integrity

2. Oil Storage/ Discharge Process

2.1 Discharging to Tankers 2.2 Managing Storage Tankers

3. Gas Process 3.1 Compressing Hydrocarbon Gas 3.2 Dehydrating Gas 3.3 Fractionating Gas 3.4 Providing Fuel Gas 3.5 Recovering NGL 3.6 Removing Gaseous Impurities (CO2, H2S) 3.7 Separating Liquids from Incoming Gas

4. Oil/Gas Process and Export

4.1 Disposing of Produced Water 4.2 Operating Drain and Vent Systems 4.3 Pipeline Pigging Operations 4.4 Producing Stabilised Hydrocarbon Fluid 4.5 Separating Well Products 4.6 Export

5. Water Injection 5.1 De-aerating Water 5.2 Filtering Water 5.3 Injecting Water

6. Metering 6.1 Metering Condensate and Oil to Fiscal Standards 6.2 Metering Gas to Fiscal Standards 6.3 Allocation Metering


Table 3 Scope Systems and their Processes (Contd)

System Ref.

Scope System Process Ref.

Process

7. Utilities 7.1 Disposing of Waste Water 7.2 Generating Electrical Power 7.3 Generating Nitrogen 7.4 Operating Chemical Injection 7.5 Operating Gas Turbines, Steam Turbines and

Diesel Prime Movers 7.6 Providing Chlorine 7.7 Providing Diesel 7.8 Providing Heat (Hot Oil and/or Hot Water) 7.9 Providing Heating, Ventilation and Air Conditioning

(HVAC) 7.10 Providing Instrument and Service Air 7.11 Providing Steam 7.12 Providing Water 7.13 Testing Fire and Gas and ESD Systems

Table 4 below provides an example of Systems & Processes that a trainee and mentor might select to be assessed for the SVQ. This table also illustrates what types of evidence may be used for the different processes.

P&K Performance and knowledge evidence required

K only Knowledge only evidence required

NOTE: Full details of the assessment process are provided in the POH Programme Operation Document issued to all process technician trainees.

Table 4 Example of Selected Systems & Processes to be Assessed for the SVQ

System Ref.

Scope System Process

Ref.

Process Type of Evidence

1 Wells 1.1 Operating Wells P&K 1.2 Managing Well Integrity K only

3 Gas Process 3.1 Compressing Hydrocarbon Gas P&K 3.2 Dehydrating Gas K only 3.4 Providing Fuel Gas K only 3.7 Separating Liquids from Incoming Gas K only

4 Oil/Gas Process and Export

4.1 Disposing of Produced Water K only 4.2 Operating Drain and Vent Systems K only 4.3 Pipeline Pigging Operations K only 4.5 Separating Well Products P&K

6 Metering 6.1 Metering Condensate and Oil to Fiscal Standards

P&K

6.2 Metering Gas to Fiscal Standards K only


2. Training and SVQ Portfolio Folder Trainees must provide a portfolio to document training and SVQ assessment progress as follows:

SECTION 1:

• All training related documents and material

• Safety Reports for the 3 Safety Assignments completed by the trainee

SECTION 2: • All relevant candidate information, signature sheets, EWA, Assessor and IV information forms,

Unit Progress Record, Unit Achievement Records, Assessor and IV Final Statements, etc to meet the requirements of the POH Level 3 SVQ.

SECTION 3:

• Split into sub sections for each of the selected Scope Systems for the POH Level 3 SVQ.

• Copies of all SVQ assessment material and evidence produced by trainees. Examples of assessment material in the form of reports, testimonies and supporting evidence are:

− Assessment Plans

− Observation Reports (written by EWA or assessor)

− Personal Reports (Activity Reports written by trainee)

− Witness Testimonies

− Risk Assessments (trainee involvement in producing or using RA must be obvious)

− Work Permits (trainee involvement in permit raising/issue/revalidation/cancelling/etc. must be obvious)

− Isolation Certificates (trainee involvement in either creating or using isolation certificates must be obvious)

− Technical overviews

− Daily and handover logs (trainee involvement in providing input must be obvious)

− Assessor/EWA Feedback Reports (including summary feedback report from EWA/Assessor)

− Knowledge and Understanding Questionnaires specific to the selected systems and processes

NOTE: Evidence produced from group or team activities is only valid when it clearly relates to the trainee’s specific and individual contribution to the activity, and not to the general outcome.

• Only evidence directly referenced to the SVQ standards should be retained in Section 3 of the Portfolio.

• Any evidence or documents that are not cross referenced to the SVQ Standards must be removed and retained in Section 1 of the portfolio if appropriate.

• All evidence relating to a specific Personal Statement (activity report) must be cross referenced to that report.


assessment guidance for mentors expert witness · pdf fileassessment guidance for mentors ....

Documents