Assessment Guidance for Mentors ... - downloads.opito.com

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Assessment Guidance for Mentors,

Expert Witnesses (EW),

Assessors and Internal Verifiers

OIL & GAS TECHNICAL

PROGRAMME (OGTAP)


Amendments Register

Page Amendment


Contents

1.0 Introduction 5

1.1 General Information 5

1.2 Key Assessment Approaches 6

2.0 Roles of Key Personnel 7

2.1 Mentor 7

2.2 Expert Witness (EW) 8

2.2.1 Briefing Guidelines for Expert Witnesses 9

2.3 Assessor 10

2.4 Internal Verifier 11

2.5 Assessor/Internal Verifier Qualifications and CPD Requirements 13

2.6 OPITO Reviewers 13

3.0 Assessment Organisational Chart 15

4.0 Assessment Materials 16

5.0 Planning the Training 17

6.0 Delivering the Training 18

7.0 Assessing Competence 19

7.1 Observation 19

7.2 Product Evaluation 19

7.3 Questions 19

7.4 Personal Statements 20

7.5 Witness Testimonies 20

7.6 Simulation 21

7.7 Final Summary Reports 21

8 Guidance on Requirements for Contents of Trainee Maintenance Technician Portfolios 22

8.1 Process Engineering Maintenance Activity Items and Unit Selection 22

8.2. Training and PEM SVQ Portfolio Folders 22

9 Guidance on Requirements for Contents of Trainee Process Technician Portfolios 25

9.1 Process Operations Hydrocarbons (POH) Award Structure 25

9.2. Training and POH SVQ Portfolio Folders 27

Appendix 1 - Trainee Technician Assessment and IV Process 29

Appendix 2 - Assessor Information Form 30


Appendix 3 - Expert Witness Registration Form 31

Appendix 4 - Internal Verifier Information Form 32

Appendix 5- Exemplar Assessment Plan 33

Appendix 6 - Exemplar Trainee Personal Statement 34

Appendix 7 - Exemplar Expert Witness Observation Report 36

Appendix 8 - Exemplar Expert Witness Summary Feedback Report 37

Appendix 9 - Exemplar Assessor Observation Report 38

Appendix 10 - Exemplar Assessor Final Summary Report 39

Appendix 11 – Exemplar Interim Internal Verifier Report 40

Appendix 12 - Exemplar Internal Verifier Final Summary Report 42

Appendix 13- Exemplar Witness Testimony 44

Appendix 14 - Exemplar Records of Questions & Answers 45

Appendix 15 – OPITO Reviewers Checklist for POH Portfolios 47

Appendix 16 – OPITO Reviewers Checklist for PEM Portfolios 48

Appendix 17 – Assessor Feedback Report 48


1.0 Introduction

1.1 General Information

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 that they have been involved in and build an evidence portfolio of work experience.

This ensures that trainees follow their training plans and provide the necessary evidence to assist

Assessors make a decision as to the competence of the trainee.

Assessment is about making judgements of a candidate’s competence against a national standard and

collecting evidence to confirm that the standard has been met.

As a Mentor, Expert Witness (EW), Assessor or Internal Verifier, you have a key role in the training and

assessment process, and the purpose of this document is to help you understand how you can

maximise your contribution to the process.

The workplace is a new experience for most Trainees and they may initially be overwhelmed by the

complexity of the working environment. The role of experienced colleagues in the workplace is 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 Witnesses, Assessors and Internal Verifiers understand the

requirements of the Training and Assessment Programme and the specific SVQ Standards that

competences will be assessed against.

Trainees are provided with a handbook entitled ‘Programme Operation’. This handbook provides

detailed information of the Training and Assessment Programme and gives guidance on how the

evidence of competence should be generated and presented to an Assessor. Mentors, EWs, Assessors

and Internal Verifiers should refer to the trainee’s copy of this handbook as necessary. Trainees are also

provided with a CD which contains the ‘Unit Standards’ for either the Process Engineering Maintenance

(PEM) or Process Operations: Hydrocarbons (POH) Level 3 SVQs

Assessors have to interpret standards and judge candidate performance competently and consistently.

They must be involved at all stages of the assessment process. The assessment process will cover

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 must ensure that there is sufficient

evidence to fully cover performance and knowledge statements for all units.

Assessors will require support and input from Mentors and in some cases, Expert Witnesses (EWs) to

assist them make appropriate assessment decisions. This document will provide detailed guidance on

the roles and responsibilities of Mentors, Expert Witnesses, Assessors and Internal Verifiers.

Internal verification is necessary to ensure the integrity and quality assurance of the assessment

process. Internal verifiers ensure consistency of the assessment process by the assessor for different


types of candidate and ensure standardisation of assessment decisions between assessors. Internal

Verifiers must be entirely familiar with the standards against which assessments are to be carried out,

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.

1.2 Key Assessment Approaches

To meet the requirements of the OPITO Assessment and Verification Strategy the following key

assessment approaches must be adhered to:

The main means of assessment should be direct observation by competent Assessors while

Candidates perform tasks in the workplace. (Where this is not feasible an Expert Witness

can be utilised. Refer to Section 2.2)

Safe working practices and effective working relationships should form part of assessment

checklists when assessing Candidates’ performance

Observation should be supported by questioning to ensure that Candidates have the

required knowledge and understanding

Product evidence (e.g. workplace documents and job records) can be used to provide

evidence of work carried out – this could include work already completed

Additional supporting evidence could include witness testimony from individuals who can

provide informed feedback on the performance of Candidates

Assessments should reflect normal work activities, wherever possible

Assessments can be integrated across different Units, Elements and Performance Criteria

Simulation must only be used when it is not practical and/or safe to obtain direct evidence

of Candidates’ performance and when expressly indicated by individual POH or PEM

Standards


2.0 Roles of Key Personnel

2.1 Mentor

MENTORS must be allocated to trainees and will have a key role in the training process acting as the

direct training supervisor for trainees.

Mentors must have extensive knowledge and experience of the tasks and equipment that trainees will

be working on and be able to provide advice and guidance as they progress through their training and

assessment programme. Mentors must meet regularly 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 Plan. The plan will include

time allocations and its purpose is to allow comparison of the trainee’s actual progress over the training

period against the agreed planned schedule and achievement targets. Mentors must 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 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 must also liaise 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 induction and relevant emergency response

training

Ensure that trainees have knowledge of the general rules and practices applying to the site

Understand the requirements of the SVQ

Plan with the Trainee a programme of training to cover an appropriate range of tasks,

processes and equipment

Ensure that appropriate tasks are assigned to trainees

Ensure that trainees are given instruction in the skills and knowledge applying to the tasks,

processes and equipment in question

Supervise the work of trainees and provide support and feedback

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 tasks independently and be

formally assessed in them

Maintain a close and effective working relationship with the trainee’s assessor and EW

where applicable

Ensure that the site 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 (Refer to section 2.5). These

meetings are essential and provide 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 review meetings.

2.2 Expert Witness (EW)

In exceptional circumstances, where it is not possible or practical to have a qualified Assessor in the

same location as a Candidate for all required observations, it may be possible for the qualified Assessor

to use an Expert Witness to support the assessment process by carrying out required on-the-job

observations on the Assessor’s behalf.

Sponsoring organisations are required to provide Expert Witnesses (EW) who are occupationally

competent and who will work with the trainee and assist with the process of observing the trainee in

the work place. Mentors may also act as Expert Witnesses.

The following extract from the OPITO SVQ Competence Assessment and Verification Strategy document

provides a summary of the minimum requirements for an EW and the assessment process with EW

involvement.

An Expert Witness must have demonstrable relevant experience in the discipline area in

which the Candidate is being assessed and have a minimum of two years post qualification

experience

An Expert Witness must be registered and details of relevant experience must be available

for review by External Verifiers/Auditors at External Verification Visits/Audits

An Expert Witness must participate in a briefing session with a qualified Assessor/IV to

ensure that they are familiar with the Assessment Plan, Standard being assessed and the

role of an Expert Witness – evidence of the briefing processes must be available for review

by External Verifiers/Auditors at External Verification Visits/Audits

An Expert Witness will carry out observations on behalf of and coordinated by a trained Assessor. An

Expert Witness’s main responsibilities are to:

participate in a briefing session with a qualified Assessor/IV to ensure that they are familiar

with the Assessment Plan, Standard being assessed and the role of an Expert Witness

agree a time with the Candidate for the observation to take place and advise the Assessor,

where possible

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

record any questions asked during the observation to support or authenticate the

Candidate’s work

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

Where on-the-job observations are carried out by an Expert Witness, a qualified Assessor must continue

to be responsible for all other assessment activities, including assessment planning, providing feedback,

review of product evidence and questioning to confirm that all knowledge requirements have been

met.

The Assessor must 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. It is the responsibility of

the Assessor to make sure that any testimony from an Expert Witness is reliable and technically valid.

2.2.1 Briefing Guidelines for Expert Witnesses

All Expert Witnesses must participate in a face to face briefing/coaching 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.

Briefings for Expert Witnesses should be conducted by an experienced Assessor or Internal Verifier.

As a minimum, the following key points must be covered in briefing/coaching sessions with Expert

Witnesses.

Assessing competence against occupational standards

What does competence mean?

What is a Standard?

An overview of the specific standards against which the Expert Witness will conduct

observations

How does assessment relate to the Standard?

What are the specific requirements for observing on-the-job competences for the

Standard(s) the Candidate is being assessed against?

Carrying out observations

What can be assessed by observation?

How to prepare for observation

Good practice during observations

Recording observations and providing supporting evidence

Recording observations and comments


Confirming that job paperwork is available and confirms the activities and that the

paperwork can be attributed to the Candidate

Providing a clear recommendation to the Assessor on the Candidate’s performance and

ability to carry out the task/activity

2.3 Assessor

Assessors’ responsibilities are to:

plan and manage the assessment process

carry out assessments of Candidates’ performance against the relevant Standard

ensure that Candidates’ evidence is relevant, valid, authentic, reliable, current, equitable,

fair and sufficient

make a judgement as to the competence of the Candidates

record assessment decisions and give candidate feedback (see appendix 17)

Submit portfolios for interim and final internal verification reviews. (For POH and PEM SVQs,

assessors should use the OPITO Reviewers Checklists (Appendices 15 & 16) prior to

submitting portfolios for internal verification)

Conduct and record face to face briefings/coaching sessions with Expert Witnesses (where

utilised) 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.

Assessors must be competent and qualified to carry out the assessment process – they must meet the

following minimum requirements:

be technically competent in the discipline area of the Standards they are assessing against.

This could be demonstrated in a number of ways:

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 a recognised Assessor qualification (e.g. L&D9DI, A1, D32, D33) and be operating to the

requirements of the current Standards for trained Assessors

fully understand the requirements defined in the Standard(s) for which they are carrying out

the assessment process

comply with the required assessment and internal verification processes and quality

procedures for the Standard

comply with the requirements for recording assessment decisions for the Standard

liaise with other Assessors and Internal Verifier(s) to ensure a consistent approach to

assessment is maintained

have a minimum of 2 years post qualification experience.


Details of Assessor competence and experience must be available for review by Awarding Bodies/Audit

Organisations, as relevant

Assessors must maintain the currency of their skills:

Assessors must participate in regular updates / training / Continuous Professional

Development (CPD) activities relating to their technical discipline, standards assessed and

assessment practices – typically, as a minimum, on an annual basis

Assessors who have not carried out any assessments for a period of 2 years or more for the

standards against which they will be assessing Candidates, must undertake refresher

training before carrying out any assessment activities. This refresher training must ensure

that they are fully conversant with the criteria defined in the Standards they will be

assessing against and, where relevant, the current version of the Assessor qualification

Additional notes on the requirements for Assessors:

Assessors will be required to demonstrate technical competence for the specific POH or

PEM qualification being assessed

should an Assessor also act as an Internal Verifier, the Assessor cannot take any part in the

verification of the Candidates that they have assessed – this must be done by a different

Internal Verifier

Assessors who are in training can undertake assessments but all assessments against POH

and PEM Standards must be reviewed by a qualified Assessor or an Internal Verifier acting

as an Assessor. Where an Internal Verifier is performing the Assessor role, that Internal

Verifier cannot take any part in the internal verification process relating to that candidate.

This must be carried out by a different Internal Verifier. Assessors in training would be

expected to complete their own Assessor qualification within a year of their involvement in

the assessment process

Where an EW is utilised, the assessor or Internal Verifier must deliver a face to face

briefing/coaching session to ensure that the EW is familiar with the Standard(s) being

assessed and that they understand their role to observe the Candidate and record

observations and comments.( Refer to section 2.2.1)

2.4 Internal Verifier

Internal Verifiers’ main responsibilities are to:

ensure the quality and consistency of assessment decisions made by the Assessors, it is an

SQA requirement that there is evidence of interim and final verification and recorded on

appropriate forms (see appendices 11 and 12)

ensure that the assessment process complies with required quality assurance systems

provide feedback to Assessors on the judgements they have made about Candidates’

competence

Internal Verifiers must be competent and qualified to carry out the verification process – they must

meet the following minimum requirements:


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 a recognised Internal Verifier’s qualification (e.g. L&D11, V1, D34) and be operating to

the requirements of the current Standards for trained Internal Verifiers

fully understand the content of, and the assessment requirements for, the Standard(s) for

which they have responsibility for verifying

fully internally verify the assessment process in line with the Approved Centre’s IV Sampling

Strategy – including interim verification; (Refer to example Interim and Final Verification

Reports in Appendices 11 &12. Also refer to OPITO Reviewers Checklists for POH and PEM

Portfolios in Appendices 15 & 16)

provide feedback, advice and support to Assessors

comply with the internal verification processes and quality procedures for the Standard(s);

maintain records of internal verification activities for the Standards

conduct and/or participate in standardisation activities to ensure a consistent approach to

assessment is maintained

participate in, and support, their organisation’s internal quality systems and ensure that any

corrective actions and recommendations required following internal audits are carried out

in a timely manner

Details of Internal Verifier competence and experience must be available for review by Awarding

Bodies/Audit Organisations, as relevant.

The Internal Verifier may also carry out the following additional activities, in accordance with their

organisation’s and, where relevant, the Awarding Body/Audit Organisation’s quality systems:

implement an appeals procedure to settle any disputes between Candidates and Assessors

facilitate, or contribute to, the induction, training and development of Assessors

participate in, and support, external quality audits and ensure that any corrective actions

and recommendations required following the audits are carried out in a timely manner

Internal Verifiers must maintain the currency of their skills:

Internal Verifiers must participate in regular updates / training / Continuous Professional

Development (CPD) activities – typically on a minimum of an annual basis, CPD records

should be submitted to OPITO on an annual basis.

Internal Verifiers who have not carried out any verification for a period of 2 year or more

must undertake refresher training before carrying out any internal verification activities.

This refresher training must ensure that they are fully conversant with the Standards they

will be internally verifying and, if relevant, the current version of the Internal Verifier

qualification


Additional notes on the deployment of Internal Verifiers:

Internal Verifiers would normally be expected to complete an Assessor qualification and

have been carrying out assessments for a minimum of 6 months before going on to become

an Internal Verifier

should an Internal Verifier also act as an Assessor, the Internal Verifier cannot take any part

in the verification of the Candidate that they have assessed – this must be done by a

different Internal Verifier

should Internal Verifiers undertake Candidate assessments, they must meet all the

requirements outlined above for an Assessor

should an Internal Verifier with sufficient occupational expertise in the broad discipline area

not be available, internal verification could be carried out by an experienced Internal

Verifier from a related discipline (e.g. another maintenance or process related discipline).

Alternatively, specific approval could be sought from an Awarding Body/Organisation and/or

External Verifier/Auditor for the use of an experienced Internal Verifier from a related

discipline

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 Assessor/Internal Verifier Qualifications and CPD Requirements

It is an essential requirement of SQA that all assessors and internal verifiers involved in the delivery of

SVQs are occupationally competent and have appropriate assessor/IV qualifications.

All assessors and IVs involved in the SVQs for trainee technicians must be registered with OPITO by

completing the Assessor or IV Information Forms as appropriate. Refer to Appendices 2 & 4 for copies

of these forms.

It is also a requirement from SQA that all assessors and IVs involved in the delivery of SVQs submit

CPD Records annually. OPITO hold a register of current CPD records for all assessors and IVs involved

with trainee technicians assessments and will require that updated records are submitted annually.

2.6 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 OGTAP Focal Point. The Focal Point may then advise that the reviewer communicates

direct with the assessor and EW 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 document titled ‘Programme Operation

Handbook’ 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.

EW/Mentor

EW/Mentor

Candidate

C

Candidate

D

Assessor

Assessor

Candidate

B

Candidate

A

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 (EW) who will provide an interface between the candidate and the assessor.

(Refer to Section 2.2 for more detail on the EW role). It is likely that the Mentor and the EW 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, EWs, 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, EW, 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.


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 2 Assessor Information Form

Appendix 3 Expert Witness Registration Form

Appendix 4 Internal Verifier Information Form

Appendix 5 Exemplar Assessment Plan

Appendix 6 Exemplar Trainee Personal Statement

Appendix 7 Exemplar Expert Witness Observation Report

Appendix 8 Exemplar Expert Witness Summary Feedback Report

Appendix 9 Exemplar Assessor Observation Report

Appendix 10 Exemplar Assessor Final Summary Report

Appendix 11 Exemplar Interim Internal Verifier Report

Appendix 12 Exemplar IV Final Summary Report

Appendix 13 Exemplar Witness Testimony (For use by witness’ other than the EW)

Appendix 14 Exemplar Record of Questions & Answers

Appendix 15 OPITO Checklist PEM

Appendix 16 OPITO Checklist POH

Appendix 17 Exemplar assessor feedback record

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 Sections in this

document:

Section 8 - Guidance on Requirements for Contents of Trainee Maintenance Technician Portfolios

Section 9 - Guidance on Requirements for Contents of Trainee Process Technician Portfolios

Trainees will arrive at the workplace with suitable PPE, Programme Operation Handbook, a CD

containing the Unit Standards, report forms etc. Trainees will be provided with evidence folders to be

used as follows:

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.

Following site induction, the Mentor and the Trainee will meet together to commence planning the

Training Programme. The plan must be structured and flexible, and reviewed regularly to ensure that

trainees achieve the required outcomes of the OGTAP scheme.

At these meetings, Trainees will inform their Mentors of their training/education to date and 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 Programme Operation Handbook provided to the trainees.


6.0 Delivering the Training

Mentors and other appropriately experienced personnel involved in delivering the training must

demonstrate support to the Trainees and be able to communicate effectively with them. They should

establish a rapport with the Trainee and be approachable at all times. The Trainee must 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 carried out, this should

be identified at an early stage in the training and the Training Plan should be amended accordingly.

It should be noted that the time allocations presented on the Training Plan are the Mentor’s

recommendations 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 must 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

Have access to sources of relevant underpinning knowledge

In addition to this the Mentor must question the Trainee to ensure that they know and understand the

process and must 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 process and 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 ‘Processes’ and

‘Activity Items’ trainees have listed in their Training Plan. Some of the most commonly used methods

are:

Direct Observation

Product evaluation

Questioning

Personal statements

Witness testimony

Simulation

7.1 Observation

Direct observation is considered to be the most valid and reliable method of assessment. It must be

undertaken by the Assessor:

Working alongside the Trainee OR

Arranging to visit the Trainee when work activities occur naturally OR

If necessary, arranging for work activities to take place with an EW carrying out the

observations

NOTE: Refer to Appendix 9 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. To be valid,

products of work must include reference to the candidate’s participation in the task.

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 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 questions.

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 14 for examples of question and answer formats.

7.4 Personal Statements

Personal Statements or Activity Reports 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 6 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 13 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 EWs, Assessors and Internal Verifiers will be to provide written final summary

reports.

EW Summary Feedback Reports should outline how the observations etc have been carried out, provide

an overview of the trainee’s development and state the EW’s recommendations to the assessor.

(Appendix 8)

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 10)

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 11 & 12)


8 Guidance on Requirements for Contents of Trainee Maintenance Technician

Portfolios

8.1 Process Engineering Maintenance Activity Items and Unit Selection

During the ‘Work Placement’ phase of the trainee technician programme, maintenance technician

trainees undertaking the Level 3 PEM SVQ 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, OGTAP 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 and Units for each discipline is available in the Programme Operation Handbook 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.

8.2. Training and PEM 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

Should 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 EW 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


SECTION 1:

All relevant candidate information, signature sheets, EW, Assessor and IV information

forms, copies of Assessor and IV’s relevant qualifications, record of EWA briefing, 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 EW 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/EW Feedback Reports (including summary feedback report from EW/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


9 Guidance on Requirements for Contents of Trainee Process Technician Portfolios

9.1 Process Operations Hydrocarbons (POH) Award Structure

During the ‘Work Placement’ phase of the trainee technician programme, process technician trainees

undertaking the Level 3 POH SVQ are required to produce a Training and Assessment Plan aligned to the

Units and Process Groups that form the Award Structure.

NOTE 1: Full detailed description of the Award Structure is provided in the Programme Operations Handbook issued by OPITO to trainee process technicians.

The following extract from the Programme Operations Handbook provides a brief overview of how the

Level 3 POH SVQ is structured.

The following tables provide details of the Unit titles and Process Groupings for the SVQ POH Level 3.

Each of the 30 individual processes listed in the table are effectively a Unit from the POH Standards.

All Units have five Elements with the same titles, each of which define the performance and knowledge

requirements which are specific to the particular Unit. The five Elements are:

Element 1 Start up the process

Element 2 Operate and monitor the process

Element 3 Shut down the process

Element 4 Isolate and reinstate the process

Element 5 Comply with HSE and safe systems of work

A minimum of EIGHT Units is required to achieve the full Process Operations: Hydrocarbons award.

Options on the qualification route selecting Unit processes from Groups A & B are provided in the

Programme Operations Handbook.

The 30 processes are listed in two Groups which indicate the range of Units that trainees must complete

to achieve the award.

To gain the Award trainees must prove their competence in a total of EIGHT Units which will include a

minimum of FIVE from Group A and a further THREE units from either Group A or B.

Trainees must discuss options with their Mentor/EW and Assessor for assistance in choosing the most

appropriate Units covering processes available in their specific work place location.

Group A

Unit No Unit Title

1.1 Operate an Oil and Gas Process (Tanker Loading - Oil)

1.2 Operate an Oil and Gas Process (Storage Tank -Oil)

1.3 Operate an Oil and Gas Process (Tanker Loading -Liquefied Gas)

1.4 Operate an Oil and Gas Process (Storage Tank - Liquefied Gas)


1.5 Operate an Oil and Gas Process (Gas Compression)

1.6 Operate an Oil and Gas Process (Gas Fractionation)

1.7 Operate an Oil and Gas Process (NGL Systems)

1.8 Operate an Oil and Gas Process (Gas Treatment)

1.9 Operate an Oil and Gas Process (Gas and Liquid Inlet Facilities)

1.10 Operate an Oil and Gas Process (Produced Water Treatment)

1.11 Operate an Oil and Gas Process (Vent and Flare System)

1.12 Operate an Oil and Gas Process (Pigging and Sphering Operations)

1.13 Operate an Oil and Gas Process (Crude Oil Stabilisation)

1.14 Operate an Oil and Gas Process (Well Products Separation)

Group B

Unit No Unit Title

2.1 Operate an Oil and Gas Process (Wellheads)

2.2 Operate an Oil and Gas Process (Well Integrity)

2.3 Operate an Oil and Gas Process (Water Injection)

2.4 Operate an Oil and Gas Process (Metering Systems)

2.5 Operate an Oil and Gas Process (Drain Systems)

2.6 Operate an Oil and Gas Process (Nitrogen Generation)

2.7 Operate an Oil and Gas Process (Chemical Injection)

2.8 Operate an Oil and Gas Process (Fuel Gas Supply)

2.9 Operate an Oil and Gas Process (Diesel Distribution)

2.10 Operate an Oil and Gas Process (Heating, Ventilation and Air Conditioning) (HVAC)

2.11 Operate an Oil and Gas Process (Instrument and Service Air Supply)

2.12 Operate an Oil and Gas Process (Water Systems)

2.13 Operate an Oil and Gas Process (Hydraulic Control Systems)

2.14 Operate an Oil and Gas Process (Heating Medium Supply)

2.15 Operate an Oil and Gas Process (Power Generation)

2.16 Operate an Oil and Gas Process (Testing Emergency Safety Systems)

To meet the requirements of the SVQ and the OPITO assessment strategy the following assessment

conditions must be met:

A minimum of one Observation must be carried out for each unit

Over the (minimum) of 8 Observation, each of the 4 main elements: E1,E2,E3&E4 must be

assessed at least once with observation included


It is expected that E5- HSE & Safe Systems of Work will be assessed and recorded within

each of the 8 Observations

It is expected that S3- Working Relationships will be observed where possible over the 8

Observations but a minimum of 3 times would be required

A minimum of a third of Knowledge Points should be covered by Knowledge Questions and

those not covered by Knowledge Questions must have other evidence referenced to it.

Evidence must confirm that the unit processes selected have been operated on a minimum

of 3 times over a time period of a minimum of 3 months

9.2. Training and POH SVQ Portfolio Folders

Folder 1 - Training Portfolio


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 Units in the selected Process Groups not required for the SVQ

Portfolio

NOTE 1: Section 2 shall be assessed to the same standard as the SVQ with the EW 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


SECTION 1:

All relevant candidate information, signature sheets, EW, Assessor and IV information

forms, copies of Assessor and IV’s relevant qualifications, record of EWA briefing (if

relevant), 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

POH Level 3 SVQ. Examples of assessment material in the form of reports, testimonies and

supporting evidence are:

Assessment Plans

Observation Reports (written by EW 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)

NOTE 1: Evidence must ensure that all the required types of isolations and reinstatements have been successfully carried out

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

Assessor/EW Feedback Reports (including summary feedback report from EW/Assessor

where used)

Records of Underpinning knowledge questionnaires specific to the selected activity items

NOTE 2: Assessment material and evidence must meet the SVQ requirements for a sufficient number of assessment occasions to cover each of the 8 units selected by the candidate. The assessment occasions for the 8 units must be drawn across the range of a minimum of FIVE to be taken from Group A and a further THREE units from either Group A or B.

NOTE 3: 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 4: 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 1 - Trainee Technician Assessment and IV Process

1. Assessor Briefs EW/

Mentor and TraineeSTART

2. Assessor Conducts

Briefing with Trainee

3A. Assessor Agrees

Assessment Plans with EW/

Mentor and Trainee

3B. EW/Mentor Agree

Assessment Plans with

Trainee and Assessor

3C. Trainee Agrees

Assessment Plans with EW/

Mentor and Assessor

4 Trainee Gathers Evidence

with Observations by EW

5. EW 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 Portfolio9. IV Provides Feedback to

Assessor

10. Assessor Provides

Feedback to Candidate and

EW/Mentor

11. EW 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 EW

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

Revision 3 – February 2017 Page 30 of 50

©OPITO

Appendix 2 - 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 A1 or D32/D33 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: __________


©OPITO

Appendix 3 - 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


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


©OPITO

Appendix 4 - Internal Verifier Information Form

Internal Verifier Information Form

Full Name

Date of Birth

Current Employer

Verifier Qualification(s) Centre to see proof of certificates


Details of Occupational Competence as required by the Assessment Strategy


If you hold previous versions of IV qualifications such as V1or D34 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 5- 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

24/10/2016

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 26/10/2016 69 (1), (6); 70 (1), (6)

Assessor/EW

Name(s)

David White (Assessor) Assessor/EW

Signature(s) David White 1ST Review Date 22/10/2016

Trainee’s

Name

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

Date of

agreement

20/10/2016 Date of completion 26/10/2016


Appendix 6 - 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

Check and Adjust Speed Control of Emergency

Generator

Links to other

Evidence

(enter

numbers)

Unit,

Performance

Criteria

covered

21/10/16 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 carry

out 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

21/10/16 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: 23/10/2016 Date: 23/10/2016

Assessment Statements:

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

ASSESSOR

Sig/Date

EW

Sig/Date

MENTOR

Sig/ Date

George Black

23/10/2016

(b) I did not observe this

activity, however I am

satisfied that this is an

accurate account.

David White David Gannon 24/11/2016 23/10/2016

Note: If the Mentors are also the EW or Assessor, then it is only necessary for them to sign in the EW

or Assessor box as appropriate.

Evidence Ref No. A1-1


Appendix 7 - Exemplar Expert Witness Observation Report

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

Trainee’s name: Duncan Campbell

Activity Area: A2. (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 2016

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 2016

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 (1/27 (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: 18/11/2016

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 8 - Exemplar Expert Witness Summary Feedback Report

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



Activity Area(s): A2. (AC Motors); B2. (Electrical Dist Systems; B4.

(Lighting Equipment)

Index no. of other evidence which

this report relates to (if any):

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


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: James White Date: 18/11/2016


Appendix 9 - Exemplar Assessor Observation Report

Unit(s):13

Assessor: David White

Trainee: Duncan Campbell Date of observation: 31/10/2016

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: 31/10/2016

Trainee’s signature: Duncan Campbell Date: 31/10/2016


Appendix 10 - Exemplar Assessor Final Summary Report


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 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: 18/11/2016


Appendix 11 – Exemplar Interim Internal Verifier Report

INTERNAL QUALITY ASSURANCE FEEDBACK REPORT

Information on personnel and standards

Internal Verifier Name Roy Graham IV Qualification D34

Assessor Name Steven Laurence Assessor Qualification

Registered with OPITO?

L&D11

Yes/No/NA

EW Name Matt Cox Registered with OPITO? Yes/No/NA

Candidate Name Euan Craigie SQA Registration No 040115848

Interim or Final

Review?

Interim Review Date 16 September 2016

Award/

Standards

SVQ Processing Operations : Hydrocarbons – Level 3

Units Unit 1.5 Operate an Oil and Gas Process (Gas Compression)

Unit 1.14 - Operate an Oil and Gas Process (Well Products Separation)

Unit 2.4 - Operate an Oil and Gas Process (Metering Systems)

Unit 2.12 - Operate an Oil and Gas Process (Water Systems)

IQA Checklist (Only covers assessment activities for above processes)

If answer to any of the following topics is NO, then details must be provided in the

IQA Report Details

YES NO N/A

1. Is there evidence that the Assessors/EWs are occupationally competent

2. Assessment plans produced and signed by candidate and assessor

3. Assessor feedback provided and signed by candidate and assessor

4. All assessment documentation completed correctly and signed

5. All assessment tools (checklists, questionnaires, witness testimonies, etc.)

valid, authentic, reliable and current

6. Sufficient evidence provided to meet the standards

7. All performance criteria met

8. All knowledge criteria met

9. The Scope or Range has been covered where this is a requirement

10. All evidence clearly cross referenced to the standards


Assessment Methods/Evidence Utilised

Observations Personal Statements/Reports Witness testimonies

Q&A Professional Discussions Products of work

Simulation Accredited prior

learning/experience

Other (provide details)

IQA Report Details

All evidence produced by the candidate during this review was 100% verified against OPITO Checklist

requirements.

The assessment process for the 4 Units covered so far is fairly good, however, there are a few areas to be

addressed and these are categorised and identified as follows:

Knowledge Assessment Checklists for each Unit should ideally be completed before performance

assessments are carried out, or at the same time. Only Unit 2.12 has knowledge assessment completed

at this time.

Registers of Supporting Evidence only list evidence related to the Personal Statements. They should also

list all other evidence produced for an assessment activity against the stated Process Reference. The

register should include Assessor Observation Reports, Witness Testimonies, Knowledge Questionnaires,

etc.

All Personal Statements should be signed by the assessor to state whether or not he observed the

activity. If the activity was not observed by the assessor, he should sign that he is satisfied that it is an

accurate report of the activity.

Reference Item 6 in the OPITO Checklist, the following ISSOW documents need to be authenticated by

the assessor or other appropriate persons to confirm that the candidate participated in the activity.

Personal Statement 1.5.1 Evidence 1.2.1a

Personal Statement 2.4.1 Evidence 2.2.1c & 2.2.1h

Feedback/Actions

In general the quality of the portfolio contents is very good, however, the actions identified above should be

addressed for the assessments to date and taken into consideration for the remaining assessment activities.

Please contact me if you require to discuss any of this report further, or require further assistance.

Signatures

IV Signature: Roy Graham Date: 16/09/2016

Assessor Signature: Steven Laurence Date: 29/09/2016

Close Out

This section to be completed if any actions assigned from IQA Report

I confirm that all actions as detailed in this interim report have been addressed and closed out.



Appendix 12 - Exemplar Internal Verifier Final Summary Report

INTERNAL QUALITY ASSURANCE FEEDBACK REPORT

Information on personnel and standards

Internal Verifier Name Roy Graham IV Qualification D34

Assessor Name Steven Laurence Assessor Qualification

Registered with OPITO?

L&D11

Yes/No/NA

EW Name Matt Cox Registered with OPITO? Yes/No/NA

Candidate Name Euan Craigie SQA Registration No 040115848

Interim or Final

Review?

Final Review Date 28 July 2016

Award/Standards

Process Operations: Hydrocarbons Level 3

Units Unit 2.1 - Operate an Oil and Gas Process (Wellheads)

Unit 2.2 - Operate an Oil and Gas Process (Well Integrity)

Unit 1.5 - Operate an Oil and Gas Process (Gas Compression)

Unit 1.8 - Operate an Oil and Gas Process (Gas Treatment)

Unit 1.10 - Operate an Oil and Gas Process (Produced Water Treatment)

Unit 1.14 - Operate an Oil and Gas Process (Well Products Separation)

Unit 1.11 - Operate an Oil and Gas Process (Vent and Flare Systems)

Unit 2.12 - Operate an Oil and Gas Process (Water Systems)

IQA Checklist

If answer to any of the following topics is NO, then details must be provided in the

IQA Report Details

YES NO N/A

1. Is there evidence that the Assessors/EWs are occupationally competent

2. Assessment plans produced and signed by candidate and assessor

3. Assessor feedback provided and signed by candidate and assessor

4. All assessment documentation completed correctly and signed

5. All assessment tools (checklists, questionnaires, witness testimonies, etc.)

valid, authentic, reliable and current

6. Sufficient evidence provided to meet the standards

7. All performance criteria met

8. All knowledge criteria met

9. The Scope or Range has been covered where this is a requirement

10. All evidence clearly cross referenced to the standards


Assessment Methods/Evidence Utilised

Observations Personal Statements/Reports Witness testimonies

Q&A Professional Discussions Products of work

Simulation Accredited prior

learning/experience

Other (provide details)

IQA Report Details

Comments:

Euan Craigie has just completed his 24 months training as a Production Technician trainee on ‘Galway Alpha’. Euan followed the ‘Award Route’ by choosing six Units from Group 1 and two Units from Group 2.

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.

Feedback/Actions

Comments:

Signatures


Assessor Signature: Steven Laurence Date: 31/07/2016

Close Out

This section to be completed if any actions assigned from IQA Report

I confirm that all actions as detailed in this report have been addressed and closed out.

IV Signature: Date:


Appendix 13- Exemplar Witness Testimony

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



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

Index no. of other evidence

which this testimony relates to (if

any):

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


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: 18/11/2016

Witness (please tick the appropriate box):

Holds SQA approved assessor qualification

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


Appendix 14 - Exemplar Records of Questions & Answers

PEM 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 31/08/2016

Candidate’s signature Keith Campbell Date 31/08/2016


RECORD OF QUESTIONS AND CANDIDATE’S ANSWERS

POH Unit: 1.5 Element(s) 1.5.4 & 1.5.5

Evidence index number: 1.5KQ

Circumstances of assessment:

Candidate was being assessed whilst Isolating a process (Gas Compression) (Element 1.5.4) by isolating an export gas compressor in preparation for maintenance. The opportunity was also taken to assess the candidate on Element 1.5.5 however it was not obvious from observation that there was sufficient evidence of the candidate’s knowledge and understanding of K3 ‘Safe Systems of Work. The candidate gave oral answers to the following questions which were asked at the time of the assessment. Appropriate Knowledge Criteria references are indicated against each question.

List of questions and candidate’s responses: Y N

Q1:

A:

With regard to ‘the implications of health, safety and environmental legislation’, provide some examples of control measures regarding the hazards associated with hazardous materials you might consider in your risk assessment/procedure for isolating a gas compressor. (K3.1)

I would consider the need for COSHH Assessments to be available; containment of hazardous materials released when depressurising and draining hydrocarbon liquids and seal/lube oil; implementing segregation of waste procedures when dealing with any spillages; and requirements for PPE.

Q2:

A:

What formally recorded procedures/systems are available to assist you identify hazards and assess risks in the workplace? (K3.2; K3.3)

The Safe Systems of Work (SSOW) procedures provide a formal ‘electronic’ risk assessment and permit to work procedure which must be completed prior to any task commencing.

Q3:

A:

Explain how the SSOW procedure is utilised to identify hazards and assess risks associated with carrying out isolations on a gas compressor. ( K3.2; K3.3)

I would first of all carry out a ‘Pre-job Inspection’ 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.

Q4:

A:

What potential environmental hazards could occur during the operation of isolating a gas compressor? (K4)

Potential environmental hazards would be identified as part of the risk assessment process. These would include the potential for unplanned release of hydrocarbons into the atmosphere whilst carrying out venting & purging operations. Also the potential for release of lube or seal oil during the isolation and preparation for maintenance.

Assessor’s signature: Steven LaurenceDate: 31/03/2016

Trainee’s signature: Euan Craigie Date: 31/03/2016


Appendix 15 – OPITO Reviewers Checklist for POH Portfolios

Please make sure that you can check off all points below you must take the appropriate steps to make sure that all items are checked off.

Tick when complete

1 Trainee details form completed fully and accurately and must have SQA number.

2 Trainee to insert copies of assessor, IV and EWA (if used) information forms and copies of assessor and internal verifier certificates. Assessor, IV and EW (if used) must be registered with OPITO. Assessor D32 + D33, A1, or L&D9DI. Verifier D34, V1, L&D11.

3 Completion of training plan, highlighting performance and knowledge assessed areas. To be signed by both trainee and mentor. Training period to add up to 24 months.

4 Authenticity statement form signed and dated by trainee and assessor

5 Unit Progress Record to be completed and signed by assessor and internal verifier

6 Personal Statements and overview reports. Mentor’s signature and trainee’s signature and dates. Dates to correspond with report date. Ensure that personal statements and evidence etc. justify the performance standards of the units. If trainees name is not on the evidence, mentor to write statement “I can confirm that xxxxxxxx did participate in this activity” then sign and date. Date to correspond with date task was completed. Assessor/EW must authenticate evidence. Highlight your name on evidence.

7 Performance assessment checklists to be referenced and signed and dated by the Assessor and Internal Verifier. Assessor and IV numbers to be on checklists.

8 Register of supporting evidence to be completed for activity reports.

9 Knowledge Questions – There must be indication the assessor has checked each question; this can be by an individual tick or an initial at the bottom of each page with the final page having the assessors’ signature and date. Trainee name must also be shown on question paper. At least a third of Knowledge points to be covered by Q & A. All K & U areas to be covered at least once and be specific to knowledge statements.

10 Sample Signatures - Ensure that the Assessor, EW and Internal Verifier signs sample signatures page and provide contact details. (email/phone)

11 Performance matrix must be completed accurately.

12 Evidence of assessor feedback

13 Assessor’s observation records and assessment plans to be included for fully assessed processes and they must be signed and dated by the trainee, assessor and EW if used. Observation reports should show performance standards assessed.

14 Assessor’s Final Summary Report and EW Final Summary Report (if used) is included, signed and dated. (Final Report)

15 Internal Verifier’s Final Summary Report, ensure this is included, signed and dated. (Summary Statement) Note: Interim Internal Verification must be carried out as the trainee progresses with his portfolio, as required by SQA.

16 Folder’(s) to be labelled, with Name, Qualification, site and company and Numbering i.e. Joe Blogs’, SVQ Level 3 Process Operations, Folder 1 of 2, 2 of 2 etc. both on front cover and spine of folder(s)


Appendix 16 – OPITO Reviewers Checklist for PEM Portfolios

Please make sure that you can check off all points below you must take the appropriate steps to make sure that all items are checked off.

Tick when complete

1 Trainee details form completed fully and accurately and must have your SQA number.

2 Trainee to insert copies of assessor, IV and EW (if used) Registration forms and copies of assessor and internal verifier certificates. Assessor, IV and EW (if used) must be registered with OPITO. Assessor D32 + D33, A1, or L&D9DI. Verifier D34, V1, L&D11.

3 ISSOW permit, statement from mentor if a trainee has not signed on permit. i.e. “I can confirm that xxxxxxxxx did participate in this activity” Then statement signed and dated by mentor. Highlight your name as it appears on evidence. Ensure that Assessor/Mentor has authenticated evidence.

4 Completion of Training Plan signed and dated by both Trainee and Mentor. Training period to add up to 24 months,

5 Authenticity statement form signed and dated by trainee and assessor

6 Unit Progress Record – all units must be signed off by assessor showing date completed.

7 Assessment Unit Activity Reference Record – completed to show 3 pieces of evidence for each unit.

8 Evidence Index, must be completed. Ideally 1 per activity. Internal Verifier to sign and date each section for each piece of evidence.

9 Personal Statements, Mentor’s signature and Trainee’s signature and dates. Dates to correspond with report date. Ensure that personal statements, evidence etc. justify the performance statement/knowledge points. All personal statements in assessment folder to be signed and dated by assessor.

10 Unit Achievement Records, Ensure the Unit Achievement Record Confirmation Sheet of each UAR is signed and dated by Trainee, Assessor and EW if required. Ensure that Personal Statements, evidence etc., justify the performance statement/knowledge points.

11 Knowledge Questions – There must be indication the assessor has checked each question; this can be by an individual tick or an initial at the bottom of each page with the final page having the assessors’ signature and date. Trainee name must also be shown on question paper. At least a third of Knowledge points to be covered by Q & A. All K & U areas to be covered at least once and be specific to knowledge statements.

12 Sample Signatures - Ensure that the Assessor, EW and Internal Verifier signs sample signatures page and provide contact details. (email/phone)

13 Assessment plans completed and signed by assessor, trainee and EW if used, Observations Reports should show performance statements observed. Record of assessor feedback

14 Assessor’s Final Summary Report and EW Final Summary Report (if used) is included, signed and dated. (Final Report)

15 Internal Verifier’s Final Summary Report, ensure this is included, signed and dated. (Summary Statement) Note: Interim Internal Verification must be carried out as the trainee progresses with his portfolio, as required by SQA.

16 EW’s, Assessors (must be of the same discipline as trainee) and Internal Verifiers must be registered with OPITO

17 Folder(s), to be labelled as follows on both the front cover and spine. Name, Qualification, Discipline and numbering. Also state the Sponsoring Company and Worksite Location, i.e. Joe Blogs’, SVQ Level 3 Engineering Maintenance (Electrical) Folder 1 of 2 Sponsoring Company Name, and Worksite Location


Appendix 17 – Assessor Feedback

Assessor Feedback Report Number Assessor Name: Candidate Name:

Qualification:

Reference Number of Evidence Checked

Evidence is: Valid: Y/N Authentic: Y/N Reliable: Y/N Equitable: Y/N Practicable: Y/N Current: Y/N Fair: Y/N

Underpinning Knowledge Completed: Y/N Observation Completed: Y/N Evidence Cross Referenced to SQA Standards: Y/N

Feedback/Further Action Required

Assessor Signature: Date

Candidate Signature: Date

Valid – Appropriate assessment methods/instruments have been applied. Reliable - Clearly defined standards of performance were use during the assessment. Equitable – Assessment is accessible to all candidates who have the potential to achieve. Fair - Assessments have been objectively devised/selected and are free for barriers to achievement. Assessment practice must ensure that all candidates have equal opportunities to succeed. Practicable – Assessments have been carried out effectively and efficiently. Authentic - evidence


Documents

Assessment Guidance for Mentors ... - downloads.opito.com