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Recording an Audit Trail

Recording an Audit Trail helps the Assessor [►The Assessor's Role], the Candidate, the Internal Verifier (IV) and the External Verifier (EV).

It is formalised by the use of an Evidence Tracking Sheet for each Unit – centres may know this document by another name.

Evidence Tracking Sheet [►Evidence Tracking Sheet (PDF)]

It is also of vital importance that the Audit Trail is recorded on the evidence itself – referring to the PIs and K&U covered.

Example of PI and K&U referencing [►Evidence 002 - Support others (PDF)]

The evidence could be Observation [►Observation], Professional Discussion [►Professional Discussion ], Work Product [►Work Product], Witness Testimony [►Witness Testimony] or Questions [►Questioning].

It is important that evidence is signed and dated by Assessors and candidates. This helps prove authenticity and also competence over time.

Where audio or video footage is used for Observation, Questioning, Professional Discussion or Witness Testimony a record should be taken of the points in the recording where specific PIs and K&U are covered.

The onus is on the candidate/centre to demonstrate where PIs and K&U have been met therefore it is in everyone’s interests that this is clearly and accurately recorded.

Pro-formas and SQA Website

There are a number of Pro-formas available within the SQA Candidate Portfolio that can be used to establish an Audit Trail:

Witness Status List [►Witness signatory list]
Assessment Plan Template [►Assessment plan]
Evidence Gathering Form [►Evidence gathering]
Tracking Forms for Each Unit (Example) [►Unit tracking form]

Candidate Portfolios and Candidate Guidance documents are available on the SVQ Business and Administration web page [See link in Toolbox], as are the Units, Assessment Strategy, Internal Assessment Reports and other supporting documentation.

Checking the SVQ Business and Administration web page on a regular basis is very worthwhile as it is regularly updated with useful information and announcements regarding Network Events, changes to Standards, SCQF Credit Rating etc.