Passenger Transport Operative Specification - ST0339

Introduction

This document sets out the requirements for Railway Competence Group (RCG)’s independent End-point Assessment (EPA) for the Passenger Transport Operative (PTO) Level 2 apprenticeship standard, ST0339/V1.2.

This EPA specification explains the requirements for determining whether an apprentice has developed the knowledge, skills and behaviours required of a competent PTO within their selected occupational option.

The PTO apprenticeship is a core and options standard. Every apprentice must be trained and assessed against the core knowledge, skills and behaviours and one of the following occupational options:

• Ticketing Operative

• Onboard or Station Operative

• Dispatch Operative

The detail in this specification is relevant to apprentices, employers, training providers, independent assessors, internal quality assurers and RCG staff. It provides information about the assessment requirements and the respective roles and responsibilities of those involved in the EPA process.

The apprenticeship comprises two stages:

• On-programme stage, during which the apprentice develops the knowledge, skills and behaviours of the occupational standard and compiles a portfolio of evidence.

• EPA stage.

Full-time apprentices will typically spend 12 months on-programme before gateway. The EPA period is typically three months from confirmation that all gateway requirements have been met.

On-programme

The on-programme stage develops the underpinning knowledge, skills and behaviours of a PTO apprentice in the core standard and their selected option.

During the on-programme period the apprentice will:

• undertake training and workplace development relevant to the occupational standard;

• develop competence against the core KSBs and one selected option;

• complete English and mathematics requirements in line with the apprenticeship funding rules; and

• compile a portfolio of evidence to underpin the interview assessment method.

The portfolio should be developed throughout the on-programme period and must be sufficiently broad to support assessment of the KSBs allocated to the interview underpinned by the portfolio.

Gateway Review

Before undertaking EPA, the employer must be satisfied that the apprentice is working at or above the level of the occupational standard for their selected option. The employer may take advice from the training provider, but the gateway decision is ultimately the employer’s responsibility.

RCG will confirm that all required gateway evidence has been provided and accepted before the EPA period starts.

As part of gateway, the following requirements must be met:

• The employer confirms that the apprentice is working at or above the occupational standard for the selected option.

• English and mathematics requirements have been met in accordance with the requirements applicable to the apprenticeship and current funding rules.

• A portfolio of evidence has been submitted to underpin the interview.

• The employer provides any workplace-specific policies, requirements and/or instructions needed for the observation at least two weeks before the apprentice is assessed.

For apprentices subject to any applicable statutory or funding-rule exceptions, the relevant English and mathematics requirements must be applied in accordance with the current apprenticeship rules.

Portfolio of evidence requirements

The portfolio of evidence must be compiled during the on-programme period and should typically contain 10 discrete pieces of evidence.

Evidence must be clearly mapped to the KSBs assessed through the interview underpinned by the portfolio. A qualitative approach should be used; one piece of evidence may support more than one KSB.

Suitable evidence may include:

• workplace documentation or records;

• workplace policies and procedures, where these demonstrate the apprentice’s application of requirements;

• witness statements, including customer feedback where applicable;

• annotated photographs; and

• video clips, with a maximum combined duration of 10 minutes, where the apprentice is visible and identifiable.

The portfolio must not include reflective accounts or self-assessment as evidence. Employer contributions should relate to direct observation of performance rather than opinion.

The portfolio evidence must be valid and attributable to the apprentice. The portfolio should contain a declaration from the apprentice and employer confirming authenticity.

The portfolio is not directly assessed or graded. The independent assessor uses it to prepare for and support the interview.

Gateway administration

The employer must complete and sign the Gateway Declaration confirming that gateway requirements have been met.

RCG’s Apprenticeship Assessment Manager (AAM) will check that all required gateway evidence has been received and accepted before the apprentice is released into EPA. Where ACE360 is used for this standard, the gateway record, portfolio and associated evidence should be checked and managed within that system.

Once gateway requirements have been satisfied, RCG will deliver the EPA in line with the timings and requirements of the approved assessment plan.

Retakes and Resits

Apprentices who fail one or more assessment methods may be offered a re-sit or re-take at the employer’s discretion.

• A re-sit does not require further learning.

• A re-take requires further learning before the assessment is attempted again.

A supportive action plan should be agreed to prepare the apprentice for a re-sit or re-take.

The timescale must be agreed between the employer and RCG. Under ST0339/V1.2:

• a re-sit is typically taken within one month of EPA outcome notification;

• a re-take is typically taken within two months of EPA outcome notification; and

• all failed assessment methods must be re-sat/re-taken within five months of the EPA outcome notification, otherwise the entire EPA must be re-sat/re-taken.

Re-sits and re-takes are not available solely to improve a Pass to a Distinction grade.

Where an assessment method is re-sat or re-taken, the maximum overall EPA grade is normally Pass, unless RCG determines that exceptional circumstances apply.

Please also refer to RCG’s Resit Policy.

EPA

The EPA consists of two discrete assessment methods. They may be delivered in any order, and the result of one method does not need to be known before the other begins.

Both assessment methods must be passed for successful completion of the apprenticeship.

RCG will be responsible for coordinating and carrying out the EPA. RCG will appoint appropriately qualified and experienced independent assessors to conduct the EPA in accordance with this specification, the approved assessment plan and applicable regulatory requirements.

RCG assessors must be independent of the apprentice and must not have been involved in the apprentice’s on-programme training or assessment in a way that compromises impartiality. A conflict-of-interest declaration must be completed before the EPA. If a conflict is identified, the EPA will not proceed until a suitably independent assessor is appointed.

Successful achievement of the EPA will demonstrate that the apprentice has met the occupational standard for PTO within their selected option.

Observation with Questions

The observation with questions is a holistic practical assessment carried out by an RCG assessor.

The apprentice must be observed undertaking their normal work in normal working conditions. Simulation is not permitted for this assessment method.

Duration

The observation with questions will take 75 minutes in total:

• 50 minutes observation; followed by

• 25 minutes questioning.

The independent assessor may increase the total time by up to 10% where necessary to allow the apprentice to complete a task or complete a response.

The observation should not be split, except for necessary comfort breaks or movement between assessment locations. Breaks do not count towards the assessment time and must be managed in line with assessment security and malpractice requirements.

Only one apprentice may be observed by an independent assessor at any one time.

Observation activities

All apprentices must be observed completing the following core activities:

• utilisation of tools, including relevant travel equipment and systems;

• communication methods; and

• directing passenger techniques.

In addition, the apprentice must be observed completing the activities relevant to their selected option.

Option 1 - Ticketing Operative

The observation must include:

• supporting customer journey planning; and

• cash handling.

Option 2 - Onboard or Station Operative

The observation must include:

• taking action to maintain passenger services in accordance with operator requirements.

Option 3 - Dispatch Operative

The observation must include:

• monitoring safety in a live transportation environment, such as a train, bus, tram or coach station; and

• receiving and dispatching transport services into the station.

Questions

Questions must be asked after the observation.

The RCG assessor will ask a minimum of five questions and will use the full questioning time available to allow the apprentice to demonstrate occupational competence.

The assessor will use the approved RCG question bank as the source for questioning and may tailor questions and ask suitable follow-up questions in line with RCG assessor training and standardisation requirements.

Questioning may also be used, where necessary, to assess KSBs allocated to this method that did not occur naturally during the observation. This should be kept to a minimum.

The assessor must record:

• activities observed;

• KSBs demonstrated;

• questions asked;

• apprentice responses; and

• the assessment judgement.

Assessment location

The observation should normally take place in the apprentice’s workplace.

The employer must make the necessary tools, equipment, systems and materials available for the apprentice to complete their normal duties.

RCG will ensure that the assessment venue provides sufficient opportunity for the apprentice to demonstrate all pass criteria relevant to the core and their selected option. If the assessment takes place away from the apprentice’s normal workplace, the apprentice must be given appropriate time to familiarise themselves with the environment before assessment begins.

Observation question bank and specification

RCG will maintain:

• Standard specification

• a question bank of sufficient size to minimise predictability;

• assessor guidance and grading guidance;

• administration materials;

• standardisation and moderation materials; and

• apprentice and employer guidance.

The question bank and Standard specification must be reviewed regularly and at least annually to ensure continued fitness for purpose.

A different set of questions will be used for re-sits and re-takes.

Interview Underpinned by Portfolio

The interview underpinned by portfolio is a structured assessment conducted and assessed by an RCG assessor.

The interview assesses competence against KSBs allocated to this assessment method. It is particularly suited to KSBs that may not occur predictably or regularly in the workplace.

The portfolio is used to support the interview but is not directly assessed or graded.

Duration

The interview will last 60 minutes.

The independent assessor may increase the time by up to 10% to allow the apprentice to complete their final answer.

Questioning

The interview will contain a minimum of 10 questions.

The assessor will use a combination of questions from RCG’s approved question bank and suitable questions generated in accordance with RCG’s training and standardisation process.

Questions will be open and competence-based. Follow-up questions may be asked to seek clarification and allow the assessor to make a valid judgement against the grading descriptors.

The interview will cover all relevant core topics and the topic associated with the apprentice’s selected option.

Core interview topics for all apprentices

• Preparing for work.

• Legislative, procedural and operator requirements.

• Customer diversity and customer requirements.

• Identifying possible incidents and responding to incidents/emergencies.

• Working in differing conditions and supporting others.

• Performance standards.

Option-specific interview topics

Option 1 - Ticketing Operative

• Promoting sales.

Option 2 - Onboard or Station Operative

• Checking tickets.

Option 3 - Dispatch Operative

• Vehicle turnaround and emergencies.

Portfolio use during the interview

The RCG assessor will have at least two weeks to review the portfolio in advance of the interview.

The apprentice must be given at least two weeks’ notice of the date and time of the interview.

The apprentice will have access to their portfolio during the interview if required. They may refer to and illustrate their answers using evidence from the portfolio, but the assessor must grade the evidence generated through the interview, not the portfolio itself.

The assessor will record:

• questions asked;

• apprentice responses;

• KSBs demonstrated; and

• the grading judgement.

Assessment location

The interview will take place in a quiet environment free from distractions or influence.

It may take place:

• at the employer’s premises;

• at another suitable location determined by RCG; or

• by video conference.

Where delivered remotely, RCG have controls in place to verify the apprentice’s identity and ensure that the apprentice is not being aided.

Interview question bank

RCG maintains a secure question bank of sufficient size to prevent predictability. It will be reviewed regularly and at least annually.

Questions will be varied while still allowing consistent assessment of the relevant KSBs and grading descriptors.

A different set of questions must be used for re-sits and re-takes.

Marking

RCG is responsible for carrying out the EPA and ensuring that all assessment decisions are made by competent independent assessors.

The independent assessor is responsible for the preliminary grade for each assessment method.

Marking and grading guidance will be provided for both assessment methods and must be used consistently with the approved grading descriptors.

Where ACE360 is used, the preliminary grade and supporting assessment evidence will be recorded against each EPA component. RCG’s designated delivery or quality lead will complete the required verification and finalisation process in accordance with internal quality assurance arrangements.

Independence

Both assessment methods require independent assessment and judgement.

RCG will maintain independence and impartiality by appointing assessors who are independent of the apprentice and the apprentice’s employer and who have not been involved in the apprentice’s training in a way that could create a conflict of interest.

RCG is responsible for the recruitment, training, standardisation, performance monitoring and ongoing competence of independent assessors delivering PTO EPA.

Any appeal against the outcome of EPA grading will be managed under RCG’s Complaints and Appeals Policy.

End-Point Grading

The two assessment methods are graded as follows:

Observation with Questions

Available grades:

• Fail

• Pass

There is no distinction grade for the observation with questions. To achieve a pass, the apprentice must meet all pass descriptors relevant to the core and their selected option.

Interview Underpinned by Portfolio

Available grades:

• Fail

• Pass

• Distinction

To achieve a pass, the apprentice must meet all pass descriptors relevant to the core and their selected option.

To achieve a distinction, the apprentice must meet:

• all pass descriptors;

• all core distinction descriptors; and

• all distinction descriptors for their selected option.

Overall grading

Grades from the two assessment methods are combined as follows:

The observation is deliberately graded pass/fail because it tests competent performance in a regulated, safety-critical transport environment. The distinction is available through the interview, where the apprentice can demonstrate the higher-level grading descriptors associated with the relevant KSBs.

See RCG’s Grading and Feedback Policy for internal grading, feedback and verification arrangements.

Certification process

Following successful completion and final verification of the EPA, RCG’s Apprenticeship Assessment Manager will complete the certification process through the approved apprenticeship certification arrangements.

Where ACE360 is used, assessment evidence and final grades will be stored and facilitated through ACE360, and the certification request will be progressed using the applicable apprenticeship service functionality/API.

Please refer to RCG’s Certification Policy for the controlled process.

Delivery Arrangements

Observation Delivery - Workplace

Prior to the observation, RCG will confirm with the employer that:

• the workplace and timing provide sufficient opportunity to demonstrate the required core and option-specific activities;

• relevant workplace policies, instructions and procedures have been provided to RCG at least two weeks before assessment;

• the apprentice will be carrying out normal duties under normal working conditions;

• simulation will not be required;

• the required tools, equipment and systems will be available and operational;

• the assessment can be carried out safely without the assessor interfering with normal operations; and

• any local access, induction, PPE, security or competence requirements for the assessor have been arranged.

The assessor must remain as unobtrusive as possible throughout the observation.

Questions should be held until the end of the observed activity, except where an immediate intervention is necessary for safety or to manage an assessment incident.

Remote Interview Delivery

Where the interview underpinned by portfolio is delivered remotely, the apprentice should be sent a pre-assessment checklist containing the requirements they must action before joining the assessment.

The checklist should include, as applicable:

• computer or device has adequate charge or is connected to power;

• reliable internet connection is available;

• Microsoft Teams or other approved video-conferencing software is working correctly;

• photographic ID is available;

• assessment room is well lit and free from avoidable distractions;

• apprentice is alone unless a reasonable adjustment has been formally approved;

• unauthorised devices and materials are out of sight;

• the apprentice has access to the portfolio of evidence; and

• any approved reasonable adjustments have been confirmed in advance.

Introductions and ID Verification

At the start of a remotely delivered interview, the assessor must complete the approved assessor checklist. This should include:

• software and connection check;

• apprentice identity verification;

• confirmation that the assessment environment is appropriate;

• confirmation that the apprentice has access to their portfolio;

• confirmation of any reasonable adjustments;

• conflict-of-interest declaration; and

• confirmation that the apprentice understands the assessment format and conditions.

Any ID records or screenshots retained must be handled in accordance with RCG data protection and retention requirements.

Briefing

Before each assessment method begins, the assessor must brief the apprentice on:

• the purpose and format of the assessment;

• the assessment duration and permitted 10% extension;

• how questions will be used;

• permitted materials;

• confidentiality and malpractice requirements;

• what to do in the event of a technical, operational or safety interruption;

• reasonable adjustment arrangements, where applicable; and

• how the outcome will be communicated.

Conflict of Interest

Please refer to RCG’s Conflicts of Interest Policy.

Permitted Materials and Equipment

Observation with Questions

The apprentice may use the normal tools, equipment, systems, documentation and workplace resources that would ordinarily be available when completing the observed duties, subject to the assessment plan and local safety requirements.

The employer must provide relevant workplace policies, procedures, requirements and instructions where these are referenced by the grading descriptors.

Interview Underpinned by Portfolio

The apprentice must have access to their submitted portfolio of evidence during the interview.

The portfolio may be used to support and illustrate answers but is not directly assessed.

No unauthorised notes, prepared answers or third-party assistance are permitted.

Monitoring

For a remotely delivered interview, the assessor should continuously monitor the assessment through video and audio in accordance with RCG remote-assessment procedures.

If the assessor suspects that the apprentice is receiving unauthorised assistance, using unapproved materials or otherwise breaching assessment conditions, the assessor must follow RCG malpractice and assessment incident procedures.

For workplace observations, the assessor must monitor the apprentice without creating additional operational risk or interfering with normal work.

Confidentiality

Apprentices must not copy, photograph, record, distribute or retain confidential assessment questions or assessor materials.

Apprentices must be reminded not to discuss secure assessment content with other apprentices.

RCG staff and assessors must maintain the security of question banks, grading materials, apprentice evidence and assessment records in accordance with organisational policies and regulatory requirements.

Appeals Procedure

If an apprentice, employer or training provider believes that the apprentice has been treated unfairly or that an assessment decision has not been made in accordance with the approved process, they may appeal the decision under RCG’s Complaints and Appeals Policy.