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TAE40116

Certificate IV in Training and Assessment

Assessment Cluster

Learner Guide

Version 1.1 Produced 21 October 2017

Copyright © 2017 Compliant Learning Resources. All rights reserved. No part of this publication may be reproduced or distributed in any form or by any means or stored in a database or retrieval system other than pursuant to the terms of the

Copyright Act 1968 (Commonwealth), without the prior written permission of Compliant Learning Resources

Learner Guide Version No. 1.1 Produced 21 October 2017 Page 2 © Inspire Education Pty Ltd

Version control & document history

Date Summary of modifications made Version

2 October 2017 Version 1 final produced following

assessment validation. v 1.0

21 October 2017

Version 1.1 final produced following editor’s review.

 Minor changes made in wording and formatting

v 1.1

Learner Guide Version No. 1.1 Produced 21 October 2017 © Inspire Education Pty Ltd Page 3

TABLE OF CONTENTS

This is an interactive table of contents. If you are viewing this document in Acrobat, clicking on a heading will transfer you to that page. If you have this document open in Word, you will need to hold down the Control key while clicking for this to work.

TABLE OF CONTENTS ................................................................... 3

LEARNER GUIDE ........................................................................ 6 About this Unit of Study Introduction ............................................................. 7

INTRODUCTION ......................................................................... 13

I. INTRODUCTION TO COMPETENCY-BASED ASSESSMENT .................. 14 What is Assessment? ........................................................................................... 14

Competency-based Assessment ...................................................................................................... 14

Competency Standards ..................................................................................................................... 15

a. Structure of Competency Standards ............................................................................................. 15

b. Who Can Conduct CBA? .............................................................................................................. 18

c. Assessor Responsibilities ............................................................................................................. 19

d. How to Remain Current as an Assessor ...................................................................................... 19

e. Code of Practice for Assessors ..................................................................................................... 20

Key Aspects of Competency-Based Assessment .......................................... 22 CBA is Client-Focused ..................................................................................................................... 22

CBA is Criteria-Referenced .............................................................................................................. 25

CBA is Evidence-Based .................................................................................................................... 26

How to Make Quality Assessments ................................................................. 28 Principles of Assessment ................................................................................................................. 28

Dimensions of Competency ............................................................................................................. 30

How Are the Dimensions of Competency Applied to the Assessment Process? .............................31

How Are the Dimensions of Competency Applied in Developing Assessment Tools? .................. 33

Assessment Pathways ......................................................................................... 34 Training and Assessment Pathway .................................................................................................. 34

Assessment-only Pathway ............................................................................................................... 35

II. USING TRAINING PACKAGES AND COMPETENCY STANDARDS ....... 36 Training packages ................................................................................................ 36 Endorsed and Non-Endorsed Components of Training packages .......... 36 Using Training Packages as the Basis for Assessments ............................. 37

Unpacking Units of Competency ..................................................................................................... 37

Contextualisation ............................................................................................................................. 39

III. LANGUAGE, LITERACY, AND NUMERACY IN ASSESSMENT .......... 41 Language, Literacy, and Numeracy ................................................................ 41 Special Needs of Learners ................................................................................. 41 Supporting Learners with LLN Needs ............................................................ 42 Kinds of LLN Specialist Support ...................................................................... 43

In-House LLN Specialist Support ................................................................................................... 43

External LLN Specialist Support ..................................................................................................... 43

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Where can LLN practitioners and resources be found? ................................................................. 44

Evaluating LLN Support in Assessments....................................................... 44

IV. PLAN ASSESSMENT ACTIVITIES AND PROCESSES ..................... 46 Planning for the assessment ............................................................................. 46 Assessment Plan ................................................................................................... 47 Step 1: Determine the Assessment Approach ............................................... 47 Step 2: Prepare the Assessment Plan ............................................................. 52

Select Assessment Methods and Identify Assessment Procedures ................................................ 55

Document the Assessment Plan ...................................................................................................... 62

Step 3: Identify Modification and Contextualisation Requirements ..... 64

V. DESIGN AND DEVELOP ASSESSMENT TOOLS ......................... 65 Assessment Tools ................................................................................................. 65 Assessment Instruments ................................................................................... 65 Steps to Take in Designing and Developing Assessment Tools ............... 66

Step 1: Determine the Focus of the Assessment Tool ..................................................................... 66

Step 2: Design the Assessment Tool ................................................................................................ 73

Step 3: Develop the Assessment Tool .............................................................................................. 76

Step 4: Review and Trial the Assessment Tool ............................................................................... 80

Step 5: Finalising the Assessment Tool ........................................................................................... 85

VI. ASSESS COMPETENCE ........................................................ 87 1. Legislative Requirements in Assessment .................................................. 87

Requirements for all Trainers and Assessors .................................................................................. 87

Requirements Relevant to Assessment ........................................................................................... 88

Code of Practice for Assessors ......................................................................................................... 90

2. Addressing WHS Responsibilities in Assessment .................................. 91 Reporting Requirements for Hazards and Incidents ...................................................................... 92

Emergency Procedures .................................................................................................................... 93

Safe Use and Maintenance of Relevant Equipment ........................................................................ 94

Procedures for the Use of Personal Protective Equipment ............................................................. 96

Sources of WHS Information .......................................................................................................... 99

3. Assessing Competence ................................................................................. 100 Step 1: Prepare for the assessment and brief the learner ............................................................. 100

Step 2: Gather quality evidence ...................................................................................................... 101

Step 3: Support the learner ............................................................................................................ 101

Other access and equity issues can include:.................................................................................. 104

Cultural Sensitivity in Assessment ................................................................................................ 104

Inclusive Strategies ......................................................................................................................... 110

Equipment and Resources Available for Learners with Special Needs ......................................... 111

Specialist Support Services ............................................................................................................. 111

Guiding Learners Through the RPL Process .................................................................................. 112

Step 4: Make the Assessment Decision and Give the Learner Feedback ...................................... 113

Strategic Approach to Making Assessment Decisions ................................................................... 115

Step 5: Record and report the assessment decision ....................................................................... 117

Step 6: Review the assessment process ......................................................................................... 120

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PARTICIPANT FEEDBACK FORM – ASSESSMENT ............................ 121

VII. PARTICIPATE IN ASSESSMENT VALIDATION ........................ 123 1. Who Can Participate in Assessment Validation? .................................. 124

Assessor Obligations in Validation ................................................................................................ 124

Code of Professional Practice ........................................................................................................ 126

2. Assessment Validations ............................................................................... 127 Components of Assessment Tools ................................................................................................. 128

Critical Aspects of Validation ........................................................................................................ 129

a. Validating Assessment Processes .............................................................................................. 129

b. Validating Assessment Methods ............................................................................................... 130

c. Validating Assessment Products ................................................................................................. 131

How Are the Principles of Assessment Applied in Validation? ..................................................... 131

How are the Rules of Evidence Applied in Validation? ................................................................ 133

3. Steps to Take: Participating in Assessment Validation ....................... 133 Communication Methods .............................................................................................................. 133

Communication Modes ................................................................................................................. 134

Step 1: Prepare for Validation ........................................................................ 134 Step 2: Participate in Validation Process .................................................... 138

a. Issue Type and Action ................................................................................................................ 142

b. Foundation Skills ........................................................................................................................ 147

Step 3: Contribute to Validation Outcomes ................................................ 150

ANSWERS TO ACTIVITIES .......................................................... 151

BIBLIOGRAPHY .................................................................. 155

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LEARNER GUIDE

Description

TAEASS401 Plan Assessment activities and processes

This unit describes the skills and knowledge required to plan the assessment process,

including recognition of prior learning (RPL), in a competency-based assessment

system.

It applies to individuals with assessment planning responsibilities. In planning

activities and processes, individuals are required to identify the components of

assessment tools, analyse and interpret assessment tools, and develop assessment

instruments (also known as assessment tasks) and assessment plans.

Click here for more details

TAEASS403 Participate in Assessment Validation

This unit describes the skills and knowledge required to participate in an assessment

validation process.

It applies to assessors and workplace supervisors with assessment validation

responsibilities participating in, but not necessarily leading, the process.

Click here for more details

TAEASS502 Design and Develop Assessment Tools

This unit describes the skills and knowledge required to design and develop

assessment tools used to guide collection of quality evidence, including application in

formative, summative and recognition of prior learning (RPL) assessment.

It applies to experienced practitioners responsible for the development and/or

delivery of training and assessment products and services.

Click here for more details

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About this Unit of Study Introduction

As a worker, a trainee, or a future worker you want to enjoy your work and become

known as a valuable team member. This unit of competency will help you acquire the

knowledge and skills to work effectively as an individual and in groups. It will give you

the basis to contribute to the goals of the organisation which employs you.

It is essential that you begin your training by becoming familiar with the industry

standards to which organisations must conform.

These units of competency introduce you to some of the key issues and responsibilities

of workers and organisations in this area. The units also provide you with

opportunities to develop the competencies necessary for employees to operate as team

members.

This Learner Guide Covers

Assessment Cluster

A. Introduction to competency-based assessment

B. Using training packages and competency standards

C. Plan assessment activities and processes

D. Design and develop assessment tools

E. Assess competence

F. Participate in assessment validation

Learning Program

As you progress through this unit of study, you will develop skills in locating and

understanding an organisation’s policies and procedures. You will build up a sound

knowledge of the industry standards within which organisations must operate. You

will become more aware of the effect that your own skills in dealing with people have

on your success or otherwise in the workplace. Knowledge of your skills and

capabilities will help you make informed choices about your further study and career

options.

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Additional Learning Support

To obtain additional support you may:

 Search for other resources. You may find books, journals, videos and other

materials which provide additional information about topics in this unit.

 Search for other resources in your local library. Most libraries keep

information about government departments and other organisations,

services and programs. The librarian should be able to help you locate such

resources.

 Contact information services such as Infolink, Equal Opportunity

Commission, Commissioner of Workplace Agreements, Union

organisations, and public relations and information services provided by

various government departments. Many of these services are listed in the

telephone directory.

 Contact your facilitator.

Facilitation

Your training organisation will provide you with a facilitator. Your facilitator will play

an active role in supporting your learning. Your facilitator will help you any time

during working hours to assist with:

 How and when to make contact,

 what you need to do to complete this unit of study, and

 what support will be provided.

Here are some of the things your facilitator may do to make your studies easier:

 Give you a clear visual timetable of events for the semester or term in which

you are enrolled, including any deadlines for assessments.

 Provide you with online webinar times and availability.

 Use ‘action sheets’ to remind you about tasks you need to complete and

updates on websites.

 Make themselves available by telephone for support discussion and provide

you with industry updates by email where applicable.

 Keep in touch with you during your studies.

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Flexible Learning

Studying to become a competent worker is an interesting and exciting thing to do. You

will learn about current issues in this area. You will establish relationships with other

students, fellow workers, and clients. You will learn about your own ideas, attitudes,

and values. You will also have fun. (Most of the time!)

At other times, studying can seem overwhelming and impossibly demanding,

particularly when you have an assignment to do and you aren’t sure how to tackle it,

your family and friends want you to spend time with them, or a movie you want to see

is on television.

Sometimes being a student can be hard.

Here are some ideas to help you through the hard times. To study effectively, you need

space, resources, and time.

Space

Try to set up a place at home or at work where:

1. You can keep your study materials,

2. you can be reasonably quiet and free from interruptions, and

3. you can be reasonably comfortable, with good lighting, seating, and a flat

surface for writing.

If it is impossible for you to set up a study space, perhaps you could use your local

library. You will not be able to store your study materials there, but you will have quiet,

a desk and chair, and easy access to the other facilities.

Study Resources

The most basic resources you will need are:

1. A chair

2. A desk or table

3. A computer with Internet access

4. A reading lamp or good light

5. A folder or file to keep your notes and study materials together

6. Materials to record information (pen and paper or notebooks, or a computer

and printer)

7. Reference materials, including a dictionary

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Do not forget that other people can be valuable study resources. Your fellow workers,

work supervisor, other students, your facilitator, your local librarian, and workers in

this area can also help you.

Time

It is important to plan your study time. Work out a time that suits you and plan around

it. Most people find that studying, in short, concentrated blocks of time (an hour or

two) at regular intervals (daily, every second day, once a week) is more effective than

trying to cram a lot of learning into a whole day. You need time to ‘digest’ the

information in one section before you move on to the next and everyone needs regular

breaks from study to avoid overload. Be realistic in allocating time for study. Look at

what is required for the unit and look at your other commitments.

Make up a study timetable and stick to it. Build in ‘deadlines’ and set yourself goals for

completing study tasks. Allow time for reading and completing activities. Remember

that it is the quality of the time you spend studying rather than the quantity that is

important.

Study Strategies

Different people have different learning

‘styles’. Some people learn best by listening

or repeating things out loud. Some learn

best by ‘doing’, some by reading and

making notes. Assess your own learning

style, and try to identify any barriers to

learning which might affect you. Are you

easily distracted? Are you afraid you will

fail? Are you taking study too seriously?

Not seriously enough? Do you have

supportive friends and family?

Here are some ideas for effective study strategies:

Make notes. This often helps you to remember new or unfamiliar information. Do

not worry about spelling or neatness, as long as you can read your own notes. Keep

your notes with the rest of your study materials and add to them as you go. Use pictures

and diagrams if this helps.

Underline key words when you are reading the materials in this Learner Guide. (Do

not underline things in other people’s books.) This also helps you to remember

important points.

Talk to other people (fellow workers, fellow students, friends, family, or your

facilitator) about what you are learning. As well as help you clarify and understand

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new ideas, talking also gives you a chance to find out extra information and to get fresh

ideas and different points of view.

Using this Learner Guide

A Learner Guide is just that, a guide to help you learn. A Learner Guide is not a

textbook. Your Learner Guide will:

1. Describe the skills you need to demonstrate to achieve competency for this unit.

2. Provide information and knowledge to help you develop your skills.

3. Provide you with structured learning activities to help you absorb knowledge

and information and practice your skills.

4. Direct you to other sources of additional knowledge and information about

topics for this unit.

How to Get the Most Out of Your Learner Guide

Read through the information in the Learner Guide carefully. Make sure you

understand the material.

Some sections are quite long and cover complex ideas and information. If you come

across anything you do not understand:

1. Talk to your facilitator.

2. Research the area using the books and materials listed under Resources.

3. Discuss the issue with other people (your workplace supervisor, fellow workers,

fellow students).

4. Try to relate the information presented in this Learner Guide to your own

experience and to what you already know.

5. Ask yourself questions as you go. For example, ‘Have I seen this happening

anywhere?’ ‘Could this apply to me?’ ‘What if...’ This will help you to ‘make

sense’ of new material, and to build on your existing knowledge.

6. Talk to people about your study. Talking is a great way to reinforce what you

are learning.

7. Make notes.

8. Work through the activities. Even if you are tempted to skip some activities, do

them anyway. They are there for a reason and even if you already have the

knowledge or skills relating to a particular activity, doing them will help to

reinforce what you already know. If you do not understand an activity, think

carefully about the way the questions or instructions are phrased. Read the

section again to see if you can make sense of it. If you are still confused, contact

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your facilitator or discuss the activity with other students, fellow workers or

with your workplace supervisor.

Learning Checkpoints

This Learner Guide contains learning checkpoints which are represented by the

following icons:

Checkpoint! Let’s Review

Further Reading

Further Reading directs you to external resources that are highly recommended for

you to read. They also contain additional questions to facilitate supplementary

learning and to guide you to relate what you have read in real life.

Checkpoint! Let’s Review contains review questions for you to answer on your own

to ensure that you have learned key points from the relevant section. If you have a hard

time answering these questions, do not worry. You can always revisit chapters and take

another shot at these review questions.

Additional Research, Reading, and Note-Taking

If you are using the additional references and resources suggested in the Learner Guide

to take your knowledge a step further, there are a few simple things to keep in mind to

make this kind of research easier.

Always make a note of the author’s name, the title of the book or article, the edition,

when it was published, where it was published, and the name of the publisher. This

includes online articles. If you are taking notes about specific ideas or information, you

will need to note down the page number as well. This is called the reference

information. You will need this for some assessment tasks, and it will help you to find

the book again if you need to.

Keep your notes short and to the point. Relate your notes to the material in your

Learner Guide. Put things into your own words. This will give you a better

understanding of the material.

Start off with a question you want answered when you are exploring additional

resource materials. This will structure your reading and save you time.

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INTRODUCTION

Welcome to your Learner Guide for the TAE40116 Assessment Cluster!

The VET system is a flexible system of education that is client-focused, industry-

informed and nationally-recognised. It delivers quality education to its clients and

provides industries with a workforce equipped with the right knowledge and skills.

This Learner Guide is your introduction to

developing assessment tools, assessing

competence, and participating in validation

activities. In this cluster, you will learn how

to gather evidence to determine your

learners’ competence, support your learners

through the assessment process, develop

your own assessment tools, and participate in

assessment validation.

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I. INTRODUCTION TO COMPETENCY-BASED

ASSESSMENT

What is Assessment?

As a broad definition, assessment is the process of making and recording judgements

about a learner’s skills and knowledge and determining if competency has been

achieved. It also confirms if a person is able to perform to the standard expected in the

workplace, as defined by relevant competency standards from a training package or by

the learning outcomes of a VET-accredited course.

There are many forms of assessment. Some of which include assessments in schools,

higher education, and sports which commonly use norm-referenced assessments

while workplace assessments use the competency-based form of assessments.

Competency-based Assessment

The Standards for RTOs 2015 defines assessment as:

‘The process of collecting evidence and making judgements on whether competency

has been achieved; to confirm that an individual can perform to the standard

required in the workplace, as specified in a training package or a VET-accredited

course.’

(Source: Guide to Developing Assessment Tools)

VET follows an assessment system that allows the trainers and assessors to work with

learners to collect evidence of competence, using the benchmarks provided by the

units of competency. In VET, assessment is focused on what learners can do and

whether their performance meets the criteria specified by industry in the competency

standards. Assessments in VET are reflective of the environment that the learner will

encounter in the workplace.

In competency–based assessment (CBA), learners are assessed against competency

standards and are assessed as either: Competent or Not Yet Competent. This

allows assessors to identify gaps between the skills students have and the skills

industries have identified that they need, ensuring that VET graduates are properly

equipped with the knowledge and skills they require to join the workforce upon

completion.

Competent

•When the person has demonstrated and achieved all required competencies.

Not Yet Competent

•When as person has partially addressed required competencies but has the opportunity to demonstrate them again.

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CBA is very different from the method used in schools because it is less focused on the

amount of time students spend in training sessions and focuses instead on

physical evidence of a student’s ability to demonstrate competence in

specific areas. This also allows for flexible training delivery because students can

work on knowledge components independently, if they choose, and present practical

evidence under the supervision of a qualified trainer or assessor.

Competency Standards

In CBA, students are trained and assessed against competency standards. Competency

standards define requirements for effective workplace performance in a discrete area

of work, work function, activity, or process. They outline the minimum standard in

assessments. They are identified in training packages through units of competency

that are designed to meet the needs of industries. The units of competency detail the

tasks, skills, knowledge, and attributes students must be able to demonstrate upon

completion of the unit or a qualification.

a. Structure of Competency Standards

Below is an outline of the structure of competency standards or unit/s of

competency and what each field contains. This is taken from the Standards for

Training Packages 2012.

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(Source: Standards for Training Packages 2012)

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How are these applied in competency-based assessment activities?

Application Information found in this section could be used as guidance in

contextualising the assessment to suit relevant work roles.

Elements

Information found in this section could be used to determine

the key outcomes of the unit in the context of the relevant

workplace function

Performance

Criteria

Information found in this section could be used to define the

required level of performance to which the completion of the

outcomes (elements) must be assessed against.

Foundation

Skills

Information found in this section could be used in setting the

LLN requirements for the course.

Performance

Evidence

Information found in this section could be used in setting the

actual, or simulated assessments, to be conducted for the

course.

Knowledge

Evidence

Information found in this section could be used in setting the

knowledge assessments to be conducted for the course.

Assessment

Conditions

Information found in this section could be used in setting the

requirements for the course.

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b. Who Can Conduct CBA?

Only well-qualified assessors may conduct competency-based assessments in the

Australian VET sector. Assessors have the following roles and responsibilities:

Assessor Roles

The roles and duties of assessors vary depending on their job role and tasks. They

may include some or all of the following (see next page):

Further Reading

For more in-depth reading on how to meet trainer and assessor requirements, click on the link below:

Meeting Trainer and Assessor Requirements

• This involes working in collaboration with the main assessor, cadidate, and other stakeholders to contriute in collecting evidence for assessment or in the assessment process.

Contributing to Assessment

• This involves working with the learner and other stakeholders to plan and organise assessments activities in the training and assessment, and/or RPL assessment pathways.

Planning Assessment Activities and Processes

• This involves working with the learner and other stakeholders to conduct assessments activities in the training and assessment, and/or RPL assessment pathways.

Assessing Competence

• This involves working with the learner and other relevant stakeholders to design and develop assessment tools and instruments in the training and assessment, and/or RPL assessment pathways.

Designing and developing Assessment Tools

• This involves working in collaboration with relevant stakeholders such as co-assessors to prepare for validation, partificate in validation of assessment tools, and contribute to validation outcomes.

Participating in Assessment Validations

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c. Assessor Responsibilities

As an assessor, you are tasked with various duties but whatever specific role you

may have, you need to fulfill these three (3) main responsibilities:

d. How to Remain Current as an Assessor

In addition to having the right qualification, assessors must ensure that they

remain current in their knowledge and skills in assessment practices and in the

industry. Below are some steps that can help assessors ensure their currency.

Be Qualified

• Ensure that you have the necessary assessor and industry skills and experience.

• Ensure that you have the required qualification as an assessor and in the industry.

Be Current

• Ensure that you are up-to-date with the latest trends and developments in your industry and in assessment practices.

• Ensure that there is continuous developement in your VET knowledge and skills.

Be Professional

• Ensure that you exercise the guidelines set out by the Code of Practice of Assessors.

• Perform the duties of an assessor and comply with the principle of assessment.

Step 3 - Continue to Develop

Continue to develope competence in assessing

Continue to be up-to-date with industry skills and knowledge

Step 2 - Stay ‘Current’

Have professional developement in assessing

Have professional development in your industry

Step 1 - Get the right Qualification and Experience

Get qualified as an assessor. Get the qualification, skills, and

experience required by your industry.

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e. Code of Practice for Assessors

The writers of the TAE10 training package developed a code of practice for

assessors based on the code of practice developed by the US-based National

Council for Measurement in Education (NCME). Although this was made with the

previous TAE training package, this code of practice is still applicable to assessors

holding the current training and assessment qualification:

1. The differing needs and requirements of the learners, the local enterprise/s

and/or industry are identified and handled with sensitivity.

2. Potential forms of conflict of interest in the assessment process and/or

outcomes are identified and appropriate referrals are made, if necessary.

3. All forms of harassment are avoided throughout the assessment process and

in the review and reporting of assessment outcomes.

4. The rights of learners are protected during and after the assessment process.

5. Learners are made aware of their rights and processes of appeal.

6. Irrelevant personal or interpersonal factors that are have no impact on the

assessment of competence must not influence the assessment outcomes.

7. Evidence is verified against the Rules of Evidence.

8. Any assessment decisions should be based on available evidence that can be

produced and verified by another assessor.

9. Assessments are conducted within the boundaries of the assessment system

policies and procedures.

10. Formal agreement is obtained from learners and the assessor that the

assessment was carried out in accordance with agreed procedures.

11. Assessment systems and tools are consistent with equal opportunity

legislation.

12. Learners are informed of all assessment reporting processes prior to the

assessment.

13. Learners are informed of all known potential consequences of assessment

decisions prior to the assessment.

14. Confidentiality is maintained regarding assessment decisions/outcomes

and records of individual assessment outcomes, which identify personal

details, are only released with the written permission of the learner/s.

15. Assessment outcomes are used consistently for the purposes explained to

learners.

16. Self-assessments are periodically conducted to ensure current competence

against the TAE10 Training and Education training package competency

standards.

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17. Professional development opportunities are identified and sought.

18. Opportunities for networking amongst assessors are created and

maintained.

19. Opportunities are created for technical assistance in planning, conducting

and reviewing assessment practice and participating in assessment

validation.

Checkpoint! Let’s Review

1. What form of assessment does the Australian VET sector use?

2. List at least 3 possible roles of an assessor.

Activity 1

1. How do the Standards for RTOs define competency-based assessment?

2. What are the two (2) outcomes in CBA?

1.

2.

To view the answers to this activity, click here.

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Key Aspects of Competency-Based Assessment

The VET system, being a flexible system of education, follows a competency-based

form of assessment. It is client-focused, criteria referenced and evidence based.

CBA is Client-Focused

The VET sector takes on a client-focused

approach to training and assessment. This

means that the learner’s needs are considered

throughout the assessment process which

includes planning, organising, conducting, and

validation of the assessments. They are also

considered in the development or

contextualisation of assessment tools and

instruments. CBA promotes the client-focused

approach, which includes:

a. CBA is a Participatory Process

In CBA, learners and assessors are partners; the learner is involved in the process.

This partnership allows the learners to discuss their assessment needs and

negotiate an assessment approach that would suit them while ensuring that the

assessment requirements are still properly addressed.

b. Choice to be Assessed

As part of the participatory process, learners can choose whether or not they want

to be assessed. Before they make their decision, they must consider the possible

benefits of choosing to be assessed and the consequences of not submitting their

work for assessment.

Should I Be Assessed?

YES NO

You may attain a nationally-

recognised qualification, skill set,

or statement of attainment.

You may NOT get formally

recognised for your skills and

knowledge.

You may get a pay raise if you

achieve the qualification, skill set,

or statement of attainment. ☐

If your workplace requires an

assessment, choosing not to be

assessed may affect your

employment. ☐ Your marketability may increase.

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c. Choice of Assessment Pathway

Learners should be able to negotiate a suitable assessment pathway, while

assessors must ensure that they discuss different assessment options with the

learners and guide them through the process of determining the best pathway for

their needs. There are three (3) pathways a learner can choose from:

Pathway 1 Training and Assessment Pathway

- Combines both training and assessment

Pathway 2

Assessment-only Pathway

- Only requires the learner to be assessed, where training is

not required

Pathway 3 A Combination of Pathway 1 and Pathway 2

d. CBA Should Reflect Realistic Working Conditions

Assessments can either occur in the workplace or in a simulated workplace

environment. Assessments that occur in the workplace usually follow requirements

that reflect a context familiar to the learner. If the assessment happens in a

simulated setting, the assessment conditions and requirements should be able to

reflect real working conditions, or conditions similar to the learner’s workplace.

e. Reasonable Adjustments

Reasonable adjustment refers to the modification of materials, equipment, or

environment to cater to any special needs that learners might have. This can

include:

Learners with disabilities and/or LLN needs, or

learners from different cultural backgrounds who cannot speak or read English

fluently yet, and the like.

These adjustments promote equal educational opportunities for all learners from

different walks of life.

In assessment, reasonable adjustment is any modification/s made to the

assessment process to address the special needs of a learner and help them

complete the assessment. However, reasonable adjustment must not affect the

outcomes of the assessment or lower competency standards for the learner.

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The following considerations may need to be made to address a learner’s

reasonable adjustment needs:

(Source: TAE10, TAEASS301B)

Taking into account learner’s language, literacy, and numeracy requirements

Providing personal support services, such as arranging for:

•Member of the community to accompany the learner

•Reader

•Interpreter

•Attendant carer

•Scribe

Using adaptive technology or special equipment

Providing flexible assessment sessions to allow for such things as fatigue or administering of medication

Format of assessment materials, such as:

-- In Braille

-- In first language

-- Use of auditape or videotape

Making adjustments to the physical environment

Revising proposed assessment methods and instruments

Considering age and gender

Considering cultural beliefs, traditional practices and religious observances.

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There are two (2) principles that serve as the basis of reasonable adjustment in

assessment. These are:

1. Inclusive Practice - Where trainers use a range of assessment tools and

strategies to meet individual needs and provide learning experiences that

take into account differing learning styles or preferences while recognising

the differences among learners and ensuring no one is excluded.

2. Universal Design- Universal design in VET means designing assessment

tools and strategies to be accessible and useable by learners with widely

different backgrounds and abilities.

f. Learners’ Rights and Responsibilities

CBA should ensure that learners’ rights and responsibilities are protected.

These include:

The right to choose whether or not to be assessed.

The right to appeal the assessment decision.

The right to confidential assessment records.

Responsibility to submit authentic evidence.

Checkpoint! Let’s Review

1. Name the three (3) key aspects of CBA.

2. What considerations must be made to meet a learner’s reasonable adjustment needs?

CBA is Criteria-Referenced

CBA is a form of criteria-referenced assessment. In criteria-referenced

assessments, the learner’s performance is assessed against a set of criteria. In CBA,

the criteria are the units of competency.

Criteria-referenced assessment differs from norm-referenced assessment. Norm-

referenced assessments are designed to rank student performance on a scale. One

way of doing this is by comparing a learner’s performance with the performance of

other learners. For this reason, norm-referenced assessments have become a

competitive process.

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Further Reading For more in-depth reading on Criteria- vs Norm-referenced assessments, click on the link below:

Norm-Referenced vs. Criterion-Referenced Tests

CBA is Evidence-Based

CBA requires the collection of evidence to help assessors make judgements on the

performance of the learner.

Evidence

Evidence is the proof a learner provides to demonstrate their competence. It is

gathered and matched against the competency standards to make accurate

assessment decisions.

Evidence in CBA

In CBA, the learners have the responsibility to provide authentic evidence of their

performance. Assessors are responsible for assisting the learners in identifying

evidence that meets the requirements of a competency standard and the rules of

evidence. Assessors must only base their assessment decisions on the evidence

submitted by the learner.

Rules of Evidence

To ensure that assessment decisions are based on quality evidence, assessors must

follow the rules of evidence. These rules guide the assessor in gathering and

analysing evidence submitted by the learner.

For evidence to be deemed as ‘quality’ evidence, it must be (see next page):

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Note that the rules of evidence must also be followed and applied when designing

and developing assessment tools and in conducting assessment validations.

The standards for RTOs define the rules of evidence as:

(Source: Users Guide to the Standards for RTOs)

Valid

• The assessor is assured that the learner has the skills, knowledge, and attributes as described in the module or unit of competency and associated assessment requirements.

Sufficient

• The assessor is assured that the quality, quantity, and relevance of the assessment evidence enables a judgement to be made of a learner’s competency.

Authentic

• The assessor is assured that the evidence presented for assessment is the learner’s own work.

Current

• The assessor is assured that the assessment evidence demonstrates current competency. This requires the assessment evidence to be from the present or very recent past.

•The evidence relates to the unit of competency

•It addresses the elements and performance criteria

•It demonstrate skills and knowledge as described in the competency standard .

Valid

•Demonstrates competence over a period of time

•Demonstrates repeatable competence

•Complies with language, literacy, and numeracy levels that match the requirement in performing the tasks.

Sufficient

•Demonstrates the learners current skills and knowledge

•Complies with current standardsCurrent

•Must be proven to be the work of the learner.

•Be able to be verified as genuine. Authentic

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How to Make Quality Assessments

It is essential for assessors to know how to make quality assessments. To do this, they

must have a sound understanding of the principles of assessment. These principles are

used to guide all stages and aspects of the assessment process.

Principles of Assessment

All assessments made, must reflect the principles of assessment. To meet the

principles, assessors must ensure the following:

Planning and organising assessments should adhere to the principles of

assessment.

Assessment tools and instruments must be designed and developed

according to the principles of assessment.

Conduct assessments in accordance with the principles of assessment.

Assessments are validated to ensure that planning, organising, developing,

and conducting of assessments adhere to the principles of assessment.

The principles of assessment are outlined for you on the pages that follow.

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Validity Assessment is valid when the process assesses what it aims to assess. This means that judgement of competence is based on the evidence provided and assessed against the unit of competency.

The outcomes and performance requrements of a competency standard is addressed by the assessment.

It requires that the broad skills and knowledge essetial to competent perfomarnce are addressed by the assessment requirements.

It also requires assessment of knowledge and skills is integrated with their practical application.

Reliability "Evidence presented for assessment is consistently interpreted and assessment results are comparable irrespective of the assessor conducting the assessment."- ASQA, SRTO15

This is achieved when assessors share a common interpretation of the units being assessed.

The use of clear and well-defined benchmarks for assessments allows assessors to have consistent assessment results.

Assessors must diligently follow benchmarks in the assessment process.

Continue to review own and other’s assessment decision through moderation and validation activities.

Fairness The assessment is fair when the learners’ needs are consideredthroughout the process, while ensuring that they are informed of the assessment process.

Fairness also allows the learners to appeal and challenge the assessment result and be reassessed if necessary.

Reasonable adjustment may be applied where appropaite, taking into account the needs of the learner.

Assessors must diligently follow benchmarks in the assessment process.

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Further Reading For more information on the principles of assessment, access the User Guide to the Standards for RTOs here:

Standards for RTOs

Dimensions of Competency

A person is considered competent when he/she is able to apply the skills and

knowledge to complete a task in the workplace. The dimensions of competency

guide the assessment of a learner’s ability to perform as expected in the workplace.

This aspect also improves the quality of the assessment.

There are four (4) dimensions of competency that represent the different aspects

of work performance, these are:

Task Skills Task

Management Skills

Contingency Management

Skills

Job/Role Environment

Skills

Flexibility The assessment process is flexible if it considers the various needs of the parties involved in it.

Competecnies held by the candiate must be assessed regardless of how or where they have been acquired.

Assessors must be able to draw from a range of assessment methods and use those that are approprirate to the learner, the context of the assessment and the unit of competency.

Note that flexibility only applies to the assessment process and not to the competency standards.

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Task Skills

Completing an individual task, to an expected standard within the workplace.

For example, preparing a presentation for your supervisor following your

department’s style guide.

Task Management Skills

Managing multiple tasks at the same time to complete a whole work activity.

For example, holding a meeting that involves:

Reserving the venue,

preparing refreshments,

preparing projectors or laptops,

sending out agendas and invitations to the relevant parties,

confirming attendance,

printing out documents for attendees, and

finally holding the meeting.

Contingency Management Skills

Responding to problems or issues that arise in the workplace or while completing

a task.

For example, your supervisor requested a printed copy of an important document

you are working on. As you are printing it out, the printer sends a notification to

your computer that its toner has run out and cannot finish the job. After heading

to the supply closet for a replacement, you install it following the manufacturer’s

instructions and WHS guidelines and continue printing the document.

Job/Role Environment Skills

Involves demonstrating the ability to deal with responsibilities and expectations of

the workplace, including working with others. This may involve interacting with

colleagues or following particular office policies.

For example, following your workplace’s corporate dress code policy.

How Are the Dimensions of Competency Applied to the Assessment Process?

When determining the competency of a learner, the assessor should read and

analyse the relevant competency standards (unit/s of competency) and answer the

following questions:

What are the task skills associated with the work activity involved in this unit?

What are the task management skills associated with the work activity involved

in this unit?

What are the contingency management skills associated with the work activity

involved in this unit?

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What are the job role/environment skills associated with the work activity

involved in this unit?

Tasks skills are usually easily identified in units of competency, while the other

skills must be inferred. It is important that task management, contingency

management, and job/role environment skills involved in the work task are

considered when assessing the learner. The example below is an extract from

BSBITU201 - Produce Simple Word Processed Documents. It outlines how the four

(4) dimensions of competency are incorporated in the unit:

BSBITU201 Produce Simple Word Processed Documents

Elements Performance Criteria

1. Prepare to produce

documents

1.1 Use safe work practices to ensure ergonomic, work organisation, energy, and resource conservation requirements are met.

1.2 Identify document purpose, audience, and presentation requirements and clarify with relevant personnel as required.

1.3 Identify organisational and task requirements for document layout and design.

2. Produce documents

2.1 Format document using appropriate software functions to adjust page layout to meet information requirements, in accordance with organisational style and presentation requirements.

2.2 Use system features to identify and manipulate screen display options and controls.

2.3 Use manuals, user documentation, and online help to overcome problems with document presentation and production.

3. Finalise documents

3.1 Ensure final document is previewed, checked, adjusted, and printed in accordance with organisational and task requirements. 3.2 Ensure document is prepared within designated timelines and organisational requirements. 3.3 Name and store document in accordance with organisational requirements and exit application without information loss/damage.

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Task Skills Task Management Skills

This requires performance of the task/s to

the required standard as described in the

unit of competency and expected in the

workplace.

Captures the skills used as people plan and

integrate a number of potentially different

tasks to achieve a complete work outcome.

Assessor must gather evidence that the

learner can do the individual task/s as well

as the whole task.

The learners must produce evidence that

they are able to accomplish a series of tasks

and meet deadlines.

BSBITU201 task skills involve the ability to

produce a simple Word-processed

document.

BSBITU201 task management skills involve:

 Arranging work schedules efficiently.

 Carrying out tasks simultaneously.

- Following PC 1.1 while going through

each element.

- Reading through necessary

information while continuously

adding input in the document.

Contingency Management Skills Job/Role Environment Skills

The requirement to respond to

irregularities and breakdowns in routines.

The requirement to deal with the

responsibilities and expectations of the work

environment

The learners must produce evidence of

their ability to deal with problems and

issues that arise in the workplace.

The learner must demonstrate their

adaptability and ability to work with other

personnel.

BSBITU201

The assessor could identify whether the

learner has:

 Solved issues and problems as stated in

PC 2.3.

 Confidently answered the following

questions:

- What if the software malfunctions?

- What if the software lacks features to

meet formatting requirements?

BSBITU201

The assessor could identify whether the

learner has:

 Followed workplace requirements and

standard (Elements 1-3).

 Worked and communicated effectively

with relevant people (PC 1.2).

How Are the Dimensions of Competency Applied in Developing Assessment Tools?

There are many ways the dimensions of competency can be applied in the

development of assessment tools. Below are some examples:

Task Skills

Assessment task/s must be designed according to relevant work activities

completed to the required standard. The learners must be able to perform the

individual actions as well as the whole task.

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Tasks Management Skills

Provide assessment tasks that follow a sequence of activities to complete a whole

work activity. Ensure that the learners are working efficiently to meet deadlines,

handle simultaneous activities, and progress smoothly between tasks.

Contingency Management Skills

Assessment task/s must account for any problems and issues that are relevant to

the learners’ workplace. This will help the assessor determine their ability to cope

with problems that may turn up as they are completing work tasks.

Job/Role Environment Skills

Assessment task/s must consider the responsibilities and expectations relevant to

the learner’s work role and/or industry.

Assessment Pathways

Assessment pathways refer to the ‘route’ learners take to have their competence

assessed or recognised. In the VET sector, there are two (2) possible assessment

pathways that can be undertaken.

Training and Assessment Pathway

This pathway is chosen by learners who want to be trained first and then be

assessed in the relevant competency standard. In a training and assessment

pathway, three (3) forms of assessment may take place:

Diagnostic Assessment - This happens before the training, to identify

training needs and the learner’s needs. This could include pre-tests and LLN

evaluations.

Formative Assessments - This form of assessment occurs as the learner

progresses through the training. It gauges the learner’s acquired skills and

knowledge after a section of the training. This also helps the trainer on how

to proceed with the training activities.

Summative Assessment - This is done at the end of the training or after the

training has concluded. The purpose of this assessment is to holistically

assess a learner’s ability to perform the skills and knowledge acquired

during the training through realistic working conditions.

The illustration on the next page is a visual representation of the training and

assessment process.

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Assessment-only Pathway

In an assessment-only pathway, learners are assessed without going through the

training process. This commonly conducted through recognition of prior learning

(RPL).

Recognition of Prior Learning (RPL)

RPL is the process of recognising the knowledge and skills a learner may have

already have gained through work or life experiences and can lead to a

qualification.

It is defined in the VET Glossary as:

‘An assessment process that assesses an individual’s non-formal and informal learning to determine the extent to which that individual has achieved the

required learning outcomes, competency outcomes, or standards, for entry to and/or partial or total completion of a qualification.’

(Source: VET Glossary)

Diagnostic

Assessment

Summative Assessment

Formative assessment

Formative assessment

Formative assessment

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II. USING TRAINING PACKAGES AND COMPETENCY

STANDARDS

Training packages

Training packages outline the knowledge and skills individuals must be able to

perform in the workplace. It is a set of industry benchmarks for nationally recognised

vocational outcomes through endorsed standards and qualifications. They are used as

basis for most programs delivered and assessed in the VET sector.

Training packages look at the skills expected of a competent individual, rather than

the learning or assessment process. This allows trainers and assessors to customise

their learning and assessment strategies to address the needs of their learners. They

set out the competencies, but do not prescribe how the training should be delivered or

how the assessment should be conducted.

Endorsed and Non-Endorsed Components of Training packages

Training packages consist of both endorsed and non-endorsed components. The

information in the table below has been adapted from the TAE Training and Education

training package implementation guide.

Endorsed Components

Qualifications

Consists of core and elective units of competency combined into meaningful groups to meet workplace roles and aligned to vocational qualification levels identified in the Australian Qualifications Framework (AQF). They provide a standard level of knowledge and skill required in the industry for each AQF level.

Units of Competency

Set the outcome and level of performance required in the assessment. They specify the standards of performance required in the workplace and describe the work outcomes and skills required by the industry. They provide a benchmark for the skills and knowledge a person must be able to demonstrate to meet competency. Each unit of competency is identified by the combination of its code and title

Assessment Requirements

Provide guidance on how assessment tasks can be developed and contextualisied to meet the assessment requirements. They specify the performance evidence, knowledge evidence and conditions for assessment for each unit of competency. They provide guidance on the industry’s preferred approach to assessment of required knowledge and skills relevant to the unit.

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The endorsed components above are the essential parts of a training package that are

subject to quality assurance to ensure that they meet industry requirements.

Non-endorsed Components

Non-endorsed components of unit/s of competency can be helpful in delivering

training and conducting assessment. Often, these non-endorsed components will have

helpful information that is not published with the unit. These include:

Credit Arrangements

Specify details of existing credit

arrangements between vocational and higher

education qualifications in accordance with

the AQF.

Skill Sets

Are groups of endorsed units of competency

that address a defined industry need or

licencing or regulatory requirement.

Companion Volumes

Provide support for delivery and assessment,

includes implementation guides and are

usually published and updated by SSOs to the

training.gov.au website.

User Guides Provide information about specific

components – context.

Further Reading For more in-depth reading on training packages, click on the link below:

Training packages

Using Training Packages as the Basis for Assessments

The assessment process in the VET system is based on standards set by training

packages and/or accredited courses. It is important for assessors to know how to use

these standards and ensure that quality assessments are conducted.

Unpacking Units of Competency

When developing assessment activities, assessors must ensure that the units of

competency are brought into the context of the learner and the training. To achieve

this, assessors should work through the following steps:

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Step 1: Establish the Context

The assessment processes and requirements must reflect realistic working

conditions. The context of the learner must be described and considered when

using training packages as basis for the assessment and developing the activities

involved in the assessment process. This means that when planning, organising,

and/or developing a learning or assessment activity, trainers/assessors must:

Consider the competency standards to be achieved, and

identify how the competency standards are practised/applied in the learner’s

workplace.

Through these steps, the assessor will be able to determine information specific to

the workplace or local industry that the competency applies to. This includes

relevant processes, standard operating procedures and policies, and

documentation. Establishing the context will also allow other assessors to identify

how this unit of competency or cluster of competencies is delivered and assessed.

For example, training/assessment location, assessment methods, workplace

schedules etc.

Step 2: Consider the Learner’s Characteristics and Needs

Using a client-focused approach, assessments in the VET system must always

consider the needs of the learners when planning, organising, and/or developing

the assessment process.

This will allow assessors to select the appropriate method/s for evidence collection

and identify possible barriers that need to be addressed so that the learner will have

a fair opportunity to prove their competence in a work task.

Step 3: Analyse the Unit of Competency

After establishing the context of the assessment and the characteristics of

learner/s, the assessor must now gain an overview of the unit of competency as the

basis for the assessment. To do this, we need to know how units of competency are

structured.

Click here to review the structure of units of competency.

Each unit of competence addresses one (1) workplace task. It outlines the

processes, procedures, and tasks that a learner is expected to know and perform to

the standard expected of them in their workplace.

The information provided in each component of a unit of competency will tell us

which evidence is required to demonstrate competency.

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Unit component What it tells us

Elements The tasks the learner will need to address

through the assessment activity.

Performance Criteria

The specific learning outcomes to be used when

developing the assessment and it tells us how

well each element must be performed to achieve

competence.

Foundation Skills

The necessary language, literacy, numeracy, and

employment skills that are required for

competent performance. This aids the

trainers/assessors and developers in designing

and delivering assessment activities and

assessment tools.

Performance Evidence The skills needed for the task to be performed

successfully as part of the assessment.

Knowledge Evidence

Knowledge that the learner should have in order

to safely and effectively perform the work task

described, whether through completion of

practical activities or by answering questions.

Assessment Conditions The range of conditions in which the task may be

assessed, including guidelines for assessors.

To ensure that a unit of competency translates well into the assessment activities,

assessors must decide the methods they will use to gather the required evidence

and design a competency-based assessment plan and related tools, to measure the

competence of a learner.

Contextualisation

Training and assessment activities, processes, and requirements must reflect

realistic working conditions. It is in these conditions that we consider the client’s

‘context’. Contextualisation is the adjustment or modification of units of

competency, to suit the learner’s needs. This is possible because units of

competency are often described with generic language which allows assessor to

replace them with terminologies specific to the ‘context’ of the clients.

Guidelines for Contextualisation RTOs may contextualise units of competency to reflect local skill needs. Contextualisation could involve additions or amendments to the unit of competency, to suit delivery methods, learner profiles, or specific enterprise requirements.

Any contextualisation must ensure the integrity of the outcome of the unit of competency is maintained.

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Industry requirements, as described in training or job specifications, can be used to contextualise a unit of competency.

(Source: TAE V2 Companion Volume Implementation Guide)

In addition, any contextualisation of units of competency must be within the bounds of the following advice. In contextualising units of competency, RTOs:

 Must not remove or add to the number and content of elements and

performance criteria.

 May add specific industry terminology to performance criteria where

this does not distort or narrow the competency outcomes.

 May make amendments and additions to the range statement as long

as such changes do not diminish the breadth of application of the

competency and reduce its portability.

 May add detail to the evidence guide in areas such as the critical aspects

of evidence or resources and infrastructure required, where these

expand the breadth of the competency but do not limit its use. (Source: TAE10 Training package)

Checkpoint! Let’s Review

1. What are the three (3) endorsed-components of a training package?

2. Identify the two (2) assessment pathways in the VET system.

Activity 2

Below is an excerpt from the unit of competency template. Fill in the missing

information to complete the excerpt.

Unit Code

The unit code contains the three (3) alpha characters

identifying the training package, followed by alpha and/or

numeric characters. It must comply with the length specified

in the AVETMIS Standard (no more than 12 characters).

The title concisely describes the unit outcome.

It must comply with the length specified in the AVETMIS

Standard (no more than 100 characters)

Application

To view the answers to this activity, click here.

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III. LANGUAGE, LITERACY, AND NUMERACY IN

ASSESSMENT

Language, Literacy, and Numeracy

As defined in the Design Cluster Learner Guide, LLN

skills are the skills necessary to read, write,

communicate and use mathematics at work and in

our everyday lives, which is also critical to participate

effectively in society.

When planning, organising and conducting the

assessment process, assessors must take into account

the LLN needs of their learners. It is important that

any assessment tasks are applicable to how that task will be performed in the

workplace while considering the specific needs of the learner.

In the Design Cluster, you also learned how to identify the LLN levels of learners and

identify their LLN needs. This is when assessors select specific assessment strategies

that can support the learners as they undertake assessment. This is to ensure that all

learners are given a fair chance to prove their competence despite their special needs.

Special Needs of Learners

As a trainer and assessor, it is important that you understand the barriers to learning

This knowledge will help you to address those barriers and effectively support your

learner. The table below list some of the barriers to learning and strategies a trainer

can adapt to remove the barrier or support the learner through it.

Barriers to Learning Strategies or Considerations

Foundation skills in the training

specification are significantly higher

than the learners’ current skills.

Strategies to develop learners’

underpinning foundation skills may be

needed.

Reading and writing requirements of

course materials are at a higher level

than the learners’ current skills.

Instructional techniques, for example,

independent study/workbooks, may be

inappropriate and need revision.

Training delivery is largely oral

instruction and learners include those

with poor oral communication skills

in English.

Oral communication may need to be

supplemented with written materials.

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Assessment methods require higher

level LLN skills than are required or

are mismatched to assessment of

competence.

Assessment tools, e.g. the use of

multiple choice questions to assess a

practical skill should be replaced with

practical demonstration.

Assessments are not culturally

appropriate.

If learner’s language, educational

history, and understanding of the

context of assessment are not

considered, the result of an assessment

can be flawed.

Delivery methods don’t support

practical skill development.

Delivery plan may need to include access

to simulated or real workplace

environments.

This is a modified document based on materials prepared by Innovation and Business Skills Australia Ltd, the original of which can be found on the IBSA website http://www.ibsa.org.au.

Supporting Learners with LLN Needs

There are many ways assessors can support learners throughout the assessment

process. It is important for an assessor to select the most appropriate assessment

strategies that can allow the learners to take the assessment, while still having a fair

chance to satisfactory results as with other learners without LLN needs.

An example would be a learner who has limited reading and writing skills; if you need

to assess his/her ability to communicate with customers, a better approach would be

to adjust the assessment strategy or approach by:

Give the instructions to the learner verbally as well as written.

Have the learner complete a customer service role-play to assess their

communication skills.

Record the assessment result using an observation checklist.

Provide a scribe to the learner, if he/she will be required to answer written

assessments.

By following this approach, the learner is not disadvantaged by unnecessary LLN

expectations that are not required to complete the assessment task competently. This

new assessment strategy also appropriately assesses the skill of communication.

When an aspect of an assessment process is adapted or modified, this is considered as

a reasonable adjustment. Just remember that any reasonable adjustment maintains

the integrity of the assessment outcome, while still supporting the individual’s LLN

support needs.

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Further Reading

To access the guide on reasonable adjustment for VET practitioners click here: Reasonable adjustment in teaching, learning, and assessment

for learners with disability

Kinds of LLN Specialist Support

To assist learners with LLN needs, assessors access various kinds of LLN specialist

support to help them in providing appropriate and effective support.

In-House LLN Specialist Support

Some organisations have in-house staff that provide LLN specialist support

services. These support services may include:

Mentoring - The LLN specialist works with the trainer to increase their

knowledge and skills in supporting learners with LLN difficulties.

Team-teaching - The LLN specialist works alongside the trainer to assist

learners with LLN difficulties.

Joint planning - The LLN specialist assists the trainer with planning training

and assessment strategies for a learner or learner group with LLN

difficulties.

Individual support - The LLN specialist works with the learner, one-on-one,

to improve the LLN levels of the learner.

Organisations committed to improving the LLN skills of their training staff will

often provide opportunities for their staff to enhance their LLN skills by:

Conducting moderation meetings to discuss issues, strategies, and resources.

Inviting guest speakers with LLN expertise to workshop issues with training

staff.

Conducting regular staff meetings where expertise and support strategies are

shared.

Providing professional development opportunities.

External LLN Specialist Support

Trainers and assessors will need to access external LLN specialist support where

they do not have the necessary skills or expertise in-house. There are several ways

that specialist support may be accessed, including:

Partnerships with other RTOs, and

engaging specialist consultants who offer LLN services.

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Where can LLN practitioners and resources be found?

Reading Writing Hotline (1300 6 555 06)

Commonwealth Government-funded programs such as the Adult Migrant

English Program, and Skills for Education and Employment

Translating and Interpreting Service (TIS National), Department of

Immigration and Citizenship (DIAC)

TAFE English as a Second Language (ESL) and general education departments

Regionally-based Local Learning and Employment Networks (LLENs)

Adult Community Education (ACE) providers

National- and State-based professional associations, like the Australian Council

for Adult Literacy

Further Reading

For more information on LLN specialist practitioners you can access these links:

Australian Government Programs Adult Migrant English Program

Skills for Education and Employment Australian Council for Adult Literacy LLN & Foundation Skills Publications

Evaluating LLN Support in Assessments

Trainers and assessors who embrace best practice in

LLN support are always developing their knowledge

and understanding of LLN requirements in their

industry and relevant training packages. They are

continually looking for ways to better support their

learners, improve their LLN levels skills and assist

them in achieving their vocational outcomes.

The first step to evaluating the success of your LLN support strategies in training and

assessment is to collect feedback. It is helpful to collect feedback from a variety of

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sources for a well-rounded understanding of your performance from a range of

perspectives.

Feedback can be collected through:

Learner/Employer Satisfaction Surveys - Have the learner/employer give

feedback on your training and assessment approach.

Validation Meetings - Attend validation meetings with staff and LLN specialists

to review delivery and assessment strategies, as well as resources and

assessment tools.

Consulting with an LLN specialist - Engage an LLN specialist to review and

evaluate your training and assessment approach and provide

recommendations.

Once you have collected your feedback and data, you can analyse this information by

doing a simple strengths and weaknesses analysis. One of the many ways you

can do this is by:

1. Create two (2) columns, one for strengths and one for weaknesses.

2. Review your data by asking the following questions:

What were the strengths in my LLN support approach?

o What worked well?

o What were the advantages of your approach?

What were the weaknesses in my LLN support approach?

o What didn’t work well?

o What could you improve?

Now that you know your strengths and weakness, you can use the weaknesses column

to decide what adjustments need to be made and the strengths column to further build

on “what works” for future training and assessment planning.

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IV. PLAN ASSESSMENT ACTIVITIES AND

PROCESSES

Planning for the assessment

The assessment process begins with the creation of an assessment plan. This

document clarifies the steps and procedures within the process, that guides the

assessor, learner, and other stakeholders. The plan always allows for the assessment

to be consistent and reliable.

The illustration below shows the stages of planning, organising, and developing

assessments.

Determine the Assessment

Approach

Identify the purpose, pathway (training and

assessment or RPL), and benchmarks (unit of

competency).

Prepare the Assessment Plan

 Analyse units of competency and

assessment requirements and

determine the evidence required.

 Select assessment methods,

instruments, and procedures to

support the collection of evidence.

 Develop the assessment plan and

confirm with relevant stakeholders

Identify Modification and

Contextualisation Requirements

 Identify contextualisation needs based on

learner’s context.

 Check advice provided by the training

package or course developer relevant to

identified contextualisation needs.

 Review existing assessment tools and

identify necessary modifications to

address identified contextualisation

needs.

 Determine opportunities for integrated

assessment activities and record any

changes required to assessment tools.

Develop the Assessment

Tools and Instruments

 Analyse available assessment tools

and instruments.

 Develop simple assessment

instruments based on requirements

and ensure that instructions are

clear.

 Map assessment instruments against

competency standards requirements.

 Trial draft assessment instruments

and confirm it they meet required

standards.

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Assessment Plan

The assessment plan is the planning document that guides the assessment process. It

determines the what, when, where, and how of the assessment. It usually includes the

following information:

Note that an assessment plan may address a unit or a cluster of units of competency.

It is developed via training and assessment pathway or for RPL.

Step 1: Determine the Assessment Approach

It is essential for the preparation of the assessment plan, that you determine the

assessment approach first. You can achieve this once you’ve found out all the necessary

information and details that are involved in the assessment process.

To determine the assessment approach, you can ask the following questions

Who is will be assessed?

What is the purpose of the assessment?

What

• Assessment context

• Assessment purpose

• Assessment pathway (training and assessment or RPL)

• Unit of comptency assessed

• Assessment tools to be used

• Necessary equipment to be used

When

• Assessment date and time

Where

• Assessment venue or location

How

• Assesment methods

• Requirements for competent results

• Relevant people involved in the assessment

• Special needs support strategies

• OHS consisderations

• Other logistic concerns

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What is the context of the assessment?

Who is involved in the assessment?

What are the legal, organisational, and

ethical requirements that apply to

assessment?

What benchmarks will be used?

What other things do I need to know

about the assessment?

Who’s the learner to be assessed?

The learner is the individual for whom the assessment is

being planned and organised. It is also possible for the

learner to be a specific group of people.

It is necessary for the assessor to identify the learners’

characteristics and needs that may impact the

assessment process. This allows the assessor to tailor the

assessment plan to cater to the identified needs.

If your learner/s is from a broad target group (e.g. TAFE

students), you should identify their general overall

characteristics and needs. This allows for the plan to

have flexibility and apply reasonable adjustments when

necessary.

What is the purpose of the assessment?

The purpose of the assessment helps identify the appropriate assessment methods and

instruments that can address the specified requirements. Usually, the purpose of the

assessment is relevant to the ‘application’ field for the unit of competency.

The purpose of the assessment may be any of the following:

Recognising current existing competence of learners.

Determining if competence has been achieved following learning.

Establishing learner progress towards achievement of competence.

Determining language, literacy, and numeracy needs of learners.

Certifying competence through a qualification or statement of attainment.

Licencing or regulatory requirements.

What is the context of the assessment?

The context determines how the assessment should be approached. The following

should be considered for this:

Workplace environment – In what setting will the assessment be carried out?

Is it a real or simulated workplace environment?

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Collection of evidence – What are the opportunities to collect evidence? Can

evidence be gathered in a number of situations? Can the learner/s provide

evidence?

Assessment pathway – What assessment pathway should be taken for the

assessment? (Training and assessment or RPL)

What benchmarks are to be used?

Benchmarks would refer to the ‘standards’ or ‘criteria’ against which the learner is

assessed or prior learning recognised. It may include the following:

Competency standard/unit of competency

Assessment criteria of course curricula

Performance specifications of an enterprise or industry

Product specifications

Who is involved in the assessment?

The assessor should determine any additional personnel required for the assessment,

at the earliest possible time. This will allow the assessor to prepare other resource

requirements before the assessment. The following stakeholders need to be identified

immediately and be informed of the assessment process:

Trainer or dedicated assessor; the one who will conduct the assessment.

Persons who may be required to contribute to the assessment in some way:

o A workplace supervisor or other third party to provide third-party evidence

of competence in the workplace.

o A specialist support person to provide assistance to the learner throughout

the assessment (e.g. interpreter).

Other stakeholders who may need to be informed of the assessment may include, but

are not limited to:

The client organisation

Supervisors or managers of the learner/s

People who deliver training that leads towards the assessment

Technical/subject experts

Training and assessment coordinators or other administration staff

Industry regulators

Employee and employer representatives

Members of professional associations

A Commonwealth department official/Centrelink personnel/caseworker

Australian apprenticeships personnel.

What are the legal, organisational, and ethical requirements of the

assessment?

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After you have identified the stakeholders that need to be informed of the assessment

plan, you must ensure that the whole assessment process follows legal, organisational,

and ethical requirements for the assessment.

Such requirements may include the following:

Quality assurance systems Reporting, recording, and retrieval

systems for assessment, including RPL

Business and performance plans Assessment system policies and

procedures

Access and equity policies and

procedures Assessment strategy requirements

Collaborative and partnership

arrangements Registration scope

Defined resource parameters Human resources policies and

procedures

Mutual recognition arrangements

Legal requirements, including:

Anti-discrimination

Equal employment opportunity

Job role, responsibilities and

conditions

Relevant industry codes of practice

Confidentiality and privacy

requirements

Industrial relations systems and

processes, awards, and enterprise

agreements

OHS considerations, including:

Ensuring OHS requirements are

adhered to during the assessment

process

Identifying and reporting OHS

hazards and concerns to relevant

personnel.

Australian Quality Training Framework

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Relevant Information

Assessment Strategies – The assessment strategy provides the general approach that

will be used to assess an entire qualification.

You must identify if an existing assessment strategy is available. This is available

through the training and assessment strategy document (TAS).

From this assessment strategy, you are able to derive assessment plans that will be

used to assess a unit or cluster of units of competency. This means that the assessment

plan can immediately be prepared.

Note that since a qualification will contain a number of units, an assessment strategy

may also involve a number of assessment plans.

If no assessment strategy is available, you will create an assessment plan from scratch

and ensure that it reflects the principles of assessment.

WHS issues to be considered – A healthy and safe assessment is a priority for the RTO

and the assessor.

When planning and organising assessment, steps should be taken to ensure the

physical and emotional safety of:

Assessment Strategy (for an entire qualification)

Assessment Plan

(For one unit or a cluster of units from

the qualifcation)

Assessment Plan

(For one unit or a cluster of units from

the qualifcation)

Assessment Plan

(For one unit or a cluster of units from

the qualifcation)

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The learner

The learner organisation

Customers, clients, and other stakeholders

Here are some simple steps an assessor may take to ensure a healthy and safe

assessment:

Physical safety

Conduct assessment in a simulated workplace environment when

necessary. Do this if the task to be assessed is dangerous when performed in the real

workplace. An assessment in the actual workplace may follow after the simulated one.

Assess once learner at a time. This allows you to focus and work closely with the

learner and intervene immediately if safety is compromised.

Identify any special requirements from the learner prior to the

assessment. This includes knowing if the learner has any allergies or other physical

or intellectual conditions that may require some assistance or support, to ensure a

healthy and safe assessment.

Emotional safety

Step 2: Prepare the Assessment Plan

At this stage, you must have answered all the questions in Step 1 and identified all the

needed information. You may now start preparing the assessment plan.

You would need to do the following:

Analyse units of competency and assessment requirements and determine the

evidence required.

Select assessment methods, instruments, and procedures to support the collection

of evidence.

Conduct the assessment in a

private and, when possible, a

familiar environment, that is free

from unnecessary spectators.

Ensure that the learner is given sufficient time to prepare for the assessment.

Support the learner

throughout the assessment.

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Develop the assessment plan and confirm with relevant stakeholders.

Analysing Units of Competency

You have already identified the benchmark for the assessment. This would most likely

be a unit of competency. An analysis of the unit would be needed so you can identify

what kinds of evidence you need to gather to prove the competence of the learner on

the performance task.

Review the section ‘Using Training packages as Basis for Assessment’ for details

on how to unpack units of competency.

Once you have analysed the unit of competency, you also need to consider the learners

and their context. Discuss with the stakeholders involved and know if the learners will

be able to produce specific examples of evidence which satisfy the evidence

requirements of the competency standard.

Determine the Evidence Required

This step requires your understanding of the following:

Quality evidence

Types of evidence

What is ‘Quality Evidence?’

Assessors make a decision of competence through quality evidence. Such evidence

must show the learner’s skills, knowledge, and attitude required in performing the

task, as well as the ability to consistently perform the task that reflects realistic working

conditions.

Quality evidence must also follow the rules of evidence.

Types of Evidence

Different kinds of evidence provide a range of how strong the evidence can be when

used as a basis for an assessment decision.

There are three (3) types of evidence:

Direct Evidence Indirect Evidence Supplementary Evidence

Strongest Least strong

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Direct Evidence – This is collected when the assessor directly and actually observes

the learner perform a specific task.

This would include the observation of activities in real work conditions or in simulated

ones, by watching video recordings or listening to audio tapes of the learner’s

performance. Oral questioning and demonstrations can also be used to gather direct

evidence.

When planning for the assessment, it is important to identify at least one form of direct

evidence to be provided by the learner.

Indirect Evidence – This is collected when the task cannot be performed in a

workplace. This includes a learner’s work that can be reviewed or examined by the

assessor.

The ‘evidence’ here may include finished products, a role-play, written assignments or

tests, and a portfolio of previous work performed.

Supplementary Evidence – This is any additional evidence presented to assessors

or may be required by the assessment. This requires the assessor to carefully infer the

learner’s performance through information provided by a third party.

This can be obtained through interviews, testing, and third-party reports such as

testimonials from supervisors, colleagues and/or clients, reports from employers,

work diaries, or other evidence of training.

Examples of Evidence

Product

Example:

Completed workplace documents that

prove product is finished according to

specification and work is completed on

time.

These are examples of

products finished in the

workplace.

Process

Example:

Completed workplace documents such

as a record or documentation of the

steps taken to complete the process,

which shows that correct procedure

were followed.

Evidence that shows how the

learner was able to undertake a

process in the workplace.

Required Knowledge and Skills

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Proof that the learner has the

knowledge and skills necessary

to perform the task.

Example:

Responses to written assessments and

results from demonstration of

performance tasks

Select Assessment Methods and Identify Assessment Procedures

Assessment is covered in great depth in the assessment requirements of each of the

units of competencies. However, developers should be aware and remember that

planning the assessments is a vital part of the development process.

A learning and assessment pathway is a combination of planned and sequenced

learning experiences and assessment opportunities, which enables an individual to

develop and achieve the defined criteria/learning outcomes.

IBSA developed a document that lists different assessment methods and tools and

brief descriptions of each. The table below has been taken directly from the IBSA

Appendix to TAEASS401B.

Assessment method

Description Examples of appropriate use

Tools

Observation in workplace

Applicant undertakes real work activities at the workplace and demonstrates processes and/or the steps to produce products.

To demonstrate job specific skills, e.g.

receptionist, taking telephone calls, greeting clients, personnel officer conducting interview.

Can be used to provide RPL evidence.

Instruction to learners and assessors

Observation checklist

Description of competent performance

Observation in simulated work environment

As above, except the workplace situation is simulated.

Job specific skills are applied off-the-job, e.g.

training kitchen, college workshop, industry training centre.

Instructions to learners and assessors

Observation checklist

Description of competent performance

Fault-finding Product is given to applicant to analyse for errors or problems. Can be written or practical.

Identify why the engine does not work.

Identify the inaccuracies in meeting minutes and correct them.

Assessor observation checklist

Learner checklist (with diagrams if needed)

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Assessment method

Description Examples of appropriate use

Tools

Role-play Participants are assigned roles and a scenario to enact potential responses to situations. Clear guidelines are required for all participants. Assessor must also undertake a considered role in briefing, debriefing.

Exploration of potential responses to situation, e.g.

meeting procedures, leadership techniques, conflict resolution, client complaint, management techniques.

Instructions to learners and assessors

Scenario and outline of roles and key steps or issues to be covered

Construction of role-play

Applicant designs own role-play to demonstrate issues and responses. Requires applicant to consider potential scenarios and responses. Guidelines for design of role-play needed.

As above, except learner develops roles and scenarios.

Could be useful at higher AQF levels.

Instructions to learners and assessors

Boundaries, rules, and guidance for the scenarios and roles to be constructed

Games Formats such as quiz shows, board games such as Monopoly, Scruples, etc. can be adapted to specific areas, to enable participants to explore potential options, difficulties, short cuts, etc.

Problem-solving and decision-making in management, small business, etc. e.g.

management techniques, running a restaurant, the travel game.

Instructions to learners and assessors, including clear purpose for assessment, e.g. formative assessment

Game construction As above. In this case, the learners design and construct the game themselves. This further enables learners to identify and analyse the situation being applied to the game.

As above.

Could be used at higher AQF levels.

Instructions to learners and assessors

Information on format/s to be used and purposes to be achieved through game

Verbal questioning Assessor asks questions relevant to required underpinning knowledge and contingency skills.

Useful for drawing out knowledge, especially if learner has difficulty with literacy or where written questions are too formal.

Useful in formative assessment to check progress.

List of set questions or bank of questions from which assessors select questions

Corresponding answers (key aspects)

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Assessment method

Description Examples of appropriate use

Tools

Verbal presentation to assessor

Learner is given a topic and time to research and prepare. The learner then presents his/her findings or argument or evidence to the assessor. The assessor may question the applicant to obtain further information.

Presentations may be accompanied by multimedia or PowerPoint slides.

May be suitable alternative to essay for a student with a disability or writing difficulties.

Requires basic research and communication skills.

Instructions to learners and assessors

Checklist for assessors or key areas to be covered

Verbal presentation to assessor and audience

As above. In this case, the presentation occurs in an environment where others are present, e.g. formal meeting, classroom, workplace, staff development.

Presentations may be accompanied by multimedia or PowerPoint slides.

Useful addition to tasks. Allows further elaboration and discussion.

Instructions to learners and assessors

Checklist for assessors or key areas to be covered

Formal oral examination

Verbal question and answer. The learner does not receive topics prior to the oral presentation.

May be suitable where writing difficulties are evident (and are not a skill requirement) or where learner is more comfortable with verbal questioning.

Higher AQF level.

Instructions to learners and assessors

List of questions

Checklist for assessors on key areas to be answered

Oral examination with panel

As above. Assessment is made by a panel.

As above.

Higher AQF level.

Instructions to learners and assessors

List of questions

checklist for assessors on key areas to be answered

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Assessment method

Description Examples of appropriate use

Tools

Interview The applicant discusses issues in an interview situation, either one-on-one or in a panel. Normally highly structured.

Appropriate where learner is the best source of information about skills or process. Allows interaction, exploration and clarification of points e.g. ethics, values and attitudes, establish capacity to handle unforeseen situations, predict and evaluate.

Recognition.

Higher AQF level.

Instructions to learners and assessors

List of questions

Suggested answers

Debate Learners are required to formally debate a given topic. The topic chosen assumes that there are arguments for and against. Applicants require guidelines for debating and time to work in teams to prepare arguments.

Group of applicants. Assesses ability to formulate, present, analyse, and defend arguments.

Higher AQF level.

Instructions to learners and assessors

Guidelines for debating including preparation required

Production of audio/ visual and other multimedia application

Applicant demonstrates range of skills in video format. Video is then analysed with applicant, assessor or audience. Video skills may be required.

Can be useful in practical demonstrations where movement or steps are completed quickly, or access/

observation is restricted. Can also be used in discussion-based formats.

Instructions to learners and assessors

Arrangements for recording video

Observation checklist

Production of slide tape series

Applicant demonstrates knowledge of area by both photographic (slides) and oral (tape) techniques.

Specifically useful if applicant wishes to illustrate use of equipment which is generally inaccessible.

Instructions to learners and assessors

Technical advice on tape production

Production of audio

Applicant responds to topic by making an audio recording. This can be done in an environment chosen by applicant. This reduces options of responding to questions.

Applicant who lacks confidence may prefer this to an oral presentation to panel, or an individual assessor.

Instructions to learners and assessors

Technical advice on production

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Assessment method

Description Examples of appropriate use

Tools

Group discussion Group selects, or are assigned, a topic which usually requires analysis or problem- solving. Questions for consideration and outcomes to be defined. The group may require guidance in group processes, e.g. allocation of roles/tasks.

Useful for assessing work in a group situation, leadership skills, and interpersonal interaction.

May indicate the way ideas are formulated, analysed, debated, and substantiated.

Instructions to learners and assessors

Questions for consideration and outcomes expected

Checklist for observation if used

Formal examination

Examination questions set by an independent body. Learner required to attend examination room, work independently, and complete tasks within time limits. No prior knowledge of questions. Assessed independently.

Formal industry or educational requirements.

Appropriate where assessment is focusing on ability to recall facts or knowledge in formal, time controlled situations.

Instruction to learners and assessors

Procedure for examination

Short-answer test Questions set by an independent body that require one paragraph answers. Generally, open questions. Administered in formal environment. No prior knowledge of tasks. Assessed independently.

Testing where clear and finite tasks can be set.

Instruction to learners and assessors

Formatted questions

Answer sheet

Take home examination

As above. Learner is allowed to complete the assessment tasks in own environment. Access to resources permissible, e.g. library.

Appropriate where process is being tested (e.g. analysis, expression, research techniques).

Instruction to learners and assessors

Examination questions

Open book test or examination

As above. Learner is allowed to take text books, references to the exam room.

Appropriate where applicant’s ability to use resources is being explored. Appropriate where recall is not primary focus.

Instruction to learners and assessors

Test questions

Answer sheet

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Assessment method

Description Examples of appropriate use

Tools

Multiple-choice answer test

Bank of questions set. Each question gives several optional answers. Applicant is required to select the best answer to the question from choices provided.

Appropriate where clear, correct answers are required.

Appropriate where testing of knowledge only is required.

Requires technical knowledge to devise tests.

Instruction to learners and assessors

Multiple-choice test

Answer sheet and marking scheme

Essay Topic is set by assessor. Applicant is required to write a descriptive response to the topic.

Appropriate where a specific issue needs to be explored and applicant’s ability to develop argument is considered suitable to higher AQF.

Instruction to learners and assessors

Essay question/topic/s – might be a choice

Free choice essay Learner designs own topic. Then writes a descriptive response to the subject.

As above. Also allows greater range of specific topic choices. May be useful where knowledge of a general situation can be evaluated.

Suitable to higher AQF.

Instruction to learners and assessors

Project (can also include a work- based project)

The subject is set by the assessor and completed over a period of time. May involve a product e.g. designing something or problem-solving.

The subject can relate to the learners’ workplace.

Useful where learner is expected to have a degree of independence and work towards an outcome. Allows wide range of skills and knowledge to be demonstrated.

Instructions to learners and assessors

Clear outline of project expectations, outcomes to be produced, timelines to be met

Assessor checklist for making judgement.

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Assessment method

Description Examples of appropriate use

Tools

Documents Assessment based on documentation of prior experiences e.g.

Certificates, letter of verification, course information.

Useful where documented information is available to indicate or confirm.

Certificate received for training or experiences completed either as a total course, or individual units/subjects.

Letters from supervisor, employer etc., who can confirm achievement of skills or experience.

Course information which sets out the content of the subjects or units attempted or completed.

Often used in recognition of prior learning.

Instruction to learners and assessors including procedures for original documents and authentication

List of type of documents to be collected

Third party reports Report from:

supervisor

manager

customers

suppliers

peers

Confirmation of consistent performance over time and in a range of contexts.

Confirmation of learner’s application and adaptation of simple and complex procedures.

Often used in recognition of prior learning.

Instruction to learners and assessors

Template or questions for third party to answer/provide response

Self-assessment Self-assessment against performance criteria e.g. outlines of work experience, curriculum vitae, personal development activities, reflections in diary or journal.

Used as a starting point for recognition of prior learning. Use as formative assessment tool and can be used to judge readiness for final assessment.

Instruction to learners and assessors

Variety of approaches including short answer, case study responses

Training records Training outcomes mapped to competency standards in the relevant training package.

Recognition of prior learning.

Instruction to learners and assessors on how to access records

Template for recording relevant information

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Assessment method

Description Examples of appropriate use

Tools

Portfolio Collection of material that relates to the evidence requirements, e.g. examples of work, journal entries, designs, workplace documents.

Recognition of prior learning

Presentation of project outcomes

Instruction to learners and assessors

Checklist for inclusions or list of expected contents

Online and distance options

Use of technology to overcome distance issues, time considerations, or convenience:

Video/teleconferencin

g

Social media tools

Virtual classroom

May be appropriate for distance learners or those for whom other options are unduly inconvenient

Instructions to learners and assessors

Checklist for assessors or key areas to be covered

(Source: Assessment methods and tools)

Note that when selecting the appropriate assessment method and tools, consider the

context in which the assessment will take place. Make sure that the assessment will be

able to gather evidence of competence that reflects real work conditions. You must also

consider the resources required and costs associated with your chosen methods.

Document the Assessment Plan

At this stage, you should have all the necessary information to accomplish the

assessment plan. The assessment plan on its own can serve as a checklist to guide you

if there is still some missing information that you need to identify.

Below you will find a completed assessment plan that covers all the needed

information for an assessment process.

Assessment to be conducted

for: Skye Young

Assessment date:

August 20, 2017

Unit/s to be assessed:

BSBADM405 - Organise Meetings

Assessment time:

10 AM

Assessment facilitator:

Molly McKinlay Assessment

venue: CPPTI Training Centre

Background of Assessment

Purpose of assessment: Guidance: Consider the purpose of the student for taking the assessment To demonstrate the skills and knowledge required to organise meetings, including making arrangements, liaising with participants, and developing and distributing meeting minutes.

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Context of assessment: Guidance: Consider how the assessment will be administered to the learner, the venue, the assessment requirements, etc. Conditions for assessment must be typical of those experienced in the workplace and include access to office equipment and resources.

Applicable industry or workplace standards for

assessment:

Guidance: Consider any specific requirements from the industry that are relevant to the unit as applied to a work role None apply

Assessment requirements: Guidance: Outline specific assessment requirements that must be addressed by the assessment Organise meetings, distribute necessary documentation, develop and distribute meeting minutes within predetermined time frames. Specific mapping can be found in separate documentation.

Evidence requirements for the assessment:

Guidance: Identify evidence needed to demonstrate competence, according to the unit of competency and assessment requirements Meeting minutes. Third-party confirmation

Amendments required to address identified

contextualisation needs: No amendments required on the assessment tool.

Assessment Plan

Assessment pathway: Training and assessment Recognition of prior learning

Special needs: None

Reasonable adjustment: None required

Assessment methods: Direct observation Third-party evidence

Product based methods Others:

Portfolio Others:

Questioning Others:

Specialist support: None required

Comments/ Additional instructions:

Note that after documenting the assessment plan, you need to discuss it with relevant

stakeholders such as the learner and the workplace supervisor, to confirm if the

assessment process is agreeable and meets the principles of assessment. Once you

have accomplished the assessment plan, you are now ready to design and develop the

assessment tools and the instruments that you’ll use to gather, assess, and record

evidence. This will be discussed in detail in the next chapter.

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Step 3: Identify Modification and Contextualisation Requirements

To cap off the assessment plan, you must ensure that contextualisation requirements

are identified and modifications are allowed if necessary.

First: Use information from the learner and, where relevant, the learner’s workplace,

to identify contextualisation needs.

Analyse your learner’s information and, if necessary, communicate with the learner’s

workplace supervisor to identify if there are any contextualisation needs or conditions

that would require specific adjustments to the assessment process.

Second: Check advice provided by the training package or course developer relevant

to identified contextualisation needs.

Review the training package details and accompanying documents and look for

available guidelines on how contextualisation should be applied when assessing the

unit of competency you have selected.

You may also communicate with the organisation/s that developed the training

package or accredited course you are using (e.g. SSOs and private entities/developers).

Third: Analyse existing assessment tools and record amendments required to address

identified contextualisation needs.

Once you have identified the contextualisation needs of your assessment based on the

two (2) steps above, review existing assessment tools and determine if any

amendments would be needed to address the contextualisation needs. You may review

the “Contextualisation” section of this Learner Guide to help you select the best way to

modify your assessments.

Fourth: Determine opportunities for integrated assessment activities and record any

changes required for assessment tools.

The last step to take would be to implement the modifications selected and determine

how assessment activities can be integrated to address the contextualisation needs. It’s

ideal to document the changes that you made and record them to keep track of the

modifications of the assessment instruments. Indicating version controls in your

document can also help to keep track of any changes you made.

Checkpoint! Let’s Review

1. Which of the steps above asks you to identify the relevant stakeholder to be involved in the assessment?

2. What assessment instruments can be chosen when using the questioning assessment method?

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V. DESIGN AND DEVELOP ASSESSMENT TOOLS

Assessment instruments are documents used to gather and record evidence provided

by a learner. These instruments make use of the assessment methods identified in step

two (2) of planning and organising assessment. It is in these instruments, also, that

the necessary modifications are implemented as stated in step three (3).

Before we discuss this further, we need to clarify, first, the difference between

assessment tools and assessment instruments.

Assessment Tools

Assessment tools are the documents needed to gather, assess, and record evidence

used by assessors in making judgements about whether learners have achieved

competency.

An assessment tool is composed of all documentation needed to assess competence,

which includes the assessment instruments and incorporates more than one

method of assessment.

Detailed steps on how to develop assessment tools will be discussed further on the next

pages.

Assessment Instruments

An assessment instrument is part of an assessment tool. These are documents that use

methods of assessments and allow assessors to gather evidence, used in making

assessment decisions.

An assessment instrument commonly contains:

Instructions for the learners and assessors on how to use the instrument.

Specific requirements for the assessment (optional).

The instrument itself.

Visualising the relationship on an assessment tool with the assessment instruments

will look like this:

ASSESSMENT TOOL

Assessment

Instrument 1 (e.g. Written

assessment)

Assessment

Instrument 2 (e.g. Observation

checklist)

Assessment

Instrument 3 (e.g. Third-party

report)

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Steps to Take in Designing and Developing Assessment Tools

Step 1: Determine the Focus of the Assessment Tool

The assessment tool must be designed to fulfil the learning objectives; to conduct

an assessment within the context of the learner and purpose of the assessment. The

first step to take in designing this is looking at the assessment plan.

From the assessment plan, you can identify the following:

The learner or target group of learners

Purpose of the assessment

The context of the assessment

The benchmark requirements (unit of

competency)

Industry requirements

Relevant contextualisation guidelines

You also need to look at other relevant documents,

such as assessment policies and procedures, that may

provide information to guide the development of the

assessment plan.

Once you have accessed the details above, you must

interpret them to identify the best approach to take in developing the assessment

tools.

The relationship between assessment tools and the assessment context

The assessment context helps determine if an assessment tool is suitable for a

learner or a learner group. It can help clarify the target group and purpose of the

assessment tool being developed. Learners assessed with assessment tools that

replicate their workplace context, usually perform better than if they were given an

assessment tool set in an unfamiliar context.

Unpacking the Unit of Competency

Access and analyse the unit of competency and related assessment requirements

to be assessed. Try to ‘visualise’ what a ‘competent’ learner should be (i.e. think of

the tasks that a competent person would be able to do in the workplace, based on

the standards). Select the possible assessment methods that you think you can use

to assess the unit.

Conduct an assessment mapping by using an Evidence Matrix document.

Assessment mapping is a process where you ensure that the assessment methods

and tools you selected in the assessment plan, will address all the unit

requirements.

See the example below of an assessment mapping:

BSBCMM201 – Communicate in the Workplace

Assessment Method:

Questioning

Assessment

instrument 1:

Written assessment

Assessment Method:

Questioning

Assessment

instrument 2:

Oral questionnaire

Assessment Method:

Direct observation

Assessment

instrument 3:

Observation checklist

Element 1 –Gather, convey and receive information and ideas

1.1 Collect information to achieve work responsibilities from appropriate

sources

1.2 Use method/s and/or equipment to communicate appropriate ideas and information to the audience

1.3 Use effective listening and speaking skills in verbal communication

1.4 Seek input from internal and external sources to develop and refine new ideas and approaches

1.5 Respond to instructions or enquiries promptly and in accordance

with organisational requirements

Element 2 – Complete workplace documentation and correspondence

2.1

Present written information and ideas in clear and concise language to

ensure the intended meaning of correspondence is understood by the recipient

2.2 Draft and present correspondence within designated time lines

2.3 Ensure presentation of written information meets organisational standards of style, format, and accuracy

2.4 Complete workplace forms and documentation in a clear, concise, and

easy to read format

Element 3 –Communicate in a way that responds positively to individual differences

3.1 Value all individuals and treat them with respect, courtesy, and

sensitivity

3.2 Take into consideration cultural differences in all verbal and non-verbal communication

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BSBCMM201 – Communicate in the Workplace

Assessment Method:

Questioning

Assessment

instrument 1:

Written assessment

Assessment Method:

Questioning

Assessment

instrument 2:

Oral questionnaire

Assessment Method:

Direct observation

Assessment

instrument 3:

Observation checklist

3.3 Use communication to develop and maintain positive relationships, mutual trust, and confidence

3.4 Make efforts to use basic strategies to overcome language barriers

3.5 Ensure that behaviour is consistent with legislative requirements, enterprise guidelines, and/or social protocols

Performance Evidence

PE1 Communicate information and ideas verbally and non-verbally, taking cultural differences and language barriers into consideration

PE2

Produce written material, used routinely in day to day work, which is clear, concise, and effectively convey the intended meaning to the

recipient

PE3 Complete workplace forms

PE4 Use style, format, and level of accuracy appropriate to the type of written material

Knowledge Evidence

To complete the unit requirements safely and effectively, the individual

must:

KE1

 Identify any organisational policies, plans, and procedures which detail the organisation’s standards or protocols for

workplace communication

KE2  Describe different communication styles

KE3  Outline barriers to communication

Foundation Skills

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BSBCMM201 – Communicate in the Workplace

Assessment Method:

Questioning

Assessment

instrument 1:

Written assessment

Assessment Method:

Questioning

Assessment

instrument 2:

Oral questionnaire

Assessment Method:

Direct observation

Assessment

instrument 3:

Observation checklist

Skill Performance criteria

Description

Learning 1.4 Seeks advice from others to

implement strategies to improve

knowledge or skills

Reading 1.1, 1.4,

1.5, 2.3,

2.4

Reviews textual information to

identify and interpret

communication requirements and

organisational standards

Writing 1.2, 1.5,

2.1, 2.2,

2.3, 2.4

Develops simple written texts using

appropriate grammar, spelling, and

punctuation in accordance with

organisational formats

Completes workplace forms and

texts in accordance with

organisational conventions and

legislative requirements

Oral Communication 1.1, 1.2,

1.3, 1.4,

1.5, 3.3,

3.4

Explains ideas and requirements

clearly and listens carefully to

verbal instructions and discussions

Asks questions to confirm

understanding

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BSBCMM201 – Communicate in the Workplace

Assessment Method:

Questioning

Assessment

instrument 1:

Written assessment

Assessment Method:

Questioning

Assessment

instrument 2:

Oral questionnaire

Assessment Method:

Direct observation

Assessment

instrument 3:

Observation checklist

Navigate the World of

work

1.5, 2.3,

3.5

Understands responsibilities of role

and complies with legislative,

regulatory and organisational

requirements

Interact with others 1.2, 1.4,

1.5, 3.1,

3.2, 3.3,

3.4

Recognises common cultural and

other differences of people in the

work context and makes

adjustments to accommodate the

differences

Follows accepted communication

practices and protocols to assist in

building and maintaining positive

working relationships

Get the work done 1.1, 1.2,

1.4,1.5,

2.1-2.4

Plans and implements routine tasks

and workload, making limited

decisions on sequencing, timing,

and collaboration

Seeks assistance in setting

priorities

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BSBCMM201 – Communicate in the Workplace

Assessment Method:

Questioning

Assessment

instrument 1:

Written assessment

Assessment Method:

Questioning

Assessment

instrument 2:

Oral questionnaire

Assessment Method:

Direct observation

Assessment

instrument 3:

Observation checklist

Uses digital technology to find,

record, or communicate basic

information

Planning for an assessment also requires consideration of the AQF level of the

unit/s the assessment is based on. The AQF, or Australian Qualifications

Framework, establishes the quality of Australian qualifications. It is a national

policy for regulated qualifications in the Australian education and training system.

This stipulates that individuals gaining competency in any AQF level should meet

the national standards prescribed to that level. Therefore, you must keep in mind

that the assessment tools you develop should not just assess the skills, knowledge,

and competencies specified in the unit requirements, but also assess the

corresponding AQF level prescribed.

Step 2: Design the Assessment Tool

Once you have gathered all the needed information, collate them in a document so

you can have a clear picture of how the assessment tool would be formed.

It is important to note that the assessment tool must include an assessment method

which will allow learners to apply for recognition of current competency.

Note that recognition of current competency (RCC) only applies if a client has

previously successfully completed the requirements for a unit of competency or

module and is now required to be reassessed to ensure that the competence is being

maintained.

(Source: AVETMISS data element definitions)

You should also consider the ways the assessment instruments should be

administered. This includes the length of the assessment and how it will be

administered (e.g. one-on-one assessment). Assessment tool development

templates can help you identify all the necessary information.

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Learner Information

Name of Learner: Skye Young Date Completed: August 23, 2017

Unit Code: BSBADM405

Unit Title: Organise meetings

Part I: Assessment Tool Focus Guide Notes

Target group of learners

Guidance: List and describe the target group of learners that will be completing this assessment tool

Skye Young is 22 years old and just recently graduated from university. Has no special and/or learning needs. She is working as an executive assistant in a legal firm.

Purpose of the assessment tool

Guidance: Determine the specific skills and knowledge assessed by the tool

The tool will assess the learner’s skills and knowledge in organising meetings, including making arrangements, liaising with participants, and developing and distributing relevant documentation to participants.

Assessment pathway

Guidance: Select the pathway appropriate for the client requirements

☐ RPL

☒ Training and assessment

If client would like to be assessed through RPL, identify the evidence the learner can present. Select all that apply.

☐ Statement of Attainment

☐ References from former employers

☐ References from clients

☐ Work Samples (please specify)

________________________

________________________

________________________

☐ Others (please specify)

________________________

________________________

________________________

Context in which the assessment tool will be

used

Guidance: Determine the environment in which the assessment will be carried out, including real or simulated workplace

Skye’s workplace.

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Industry contacts

Guidance: List at least two (2) industry contacts, individuals or organisations, to conduct industry consultations with.

Jon Locke – PCW consultant Brayden Fielder – PCW senior consultant

Industry requirements

Guidelines: List specific application/s of the unit relevant to the industry requirements

None apply.

Contextualisation guidelines

Guidance: Refer to relevant training package or accredited course contextualisation guidelines

From the BSB Implementation Guide: RTOs may contextualise units of competency to reflect local skill needs. Contextualisation could involve additions or amendments to the unit of competency to suit particular delivery methods, learner profiles, or specific enterprise requirements. Any contextualisation must ensure the integrity of the outcome of the unit of competency is maintained. Industry requirements, as described in training or job specifications, can be used to contextualise a unit of competency.

Other related documentation to inform

assessment tool development

Guidance: May include but are not limited to: Information from the competency standards about: - resources required for assessment - assessment context - appropriate assessment methods

Assessment must ensure access to the following:  Organisational policies and procedures  Information about WHS requirements  Computer user and system information  Relevant workplace documentation and resources including

style guides and user manuals  Industry relevant legislation and codes of practice  A suitable workspace that includes a personal computer with

industry relevant software  A printer.

Methods of assessment used to assess practical skills and knowledge will include:

 Producing documents following relevant organisational policies and procedures

 Formatting documents that follow organisational style guides

Part 2: Assessment Tool Design

Assessment methods Assessment instruments Assessment context

☒ Creating documents Learner instructions

Workplace Learner will be required to

submit a copy of the meeting minutes and other relevant

documentation prepared for the meeting

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☐ Simulation

☐ Case study

☐ Projects

☐ Reflection

☒ Observation Assessor instructions

Observation chart

Workplace Learner will be required to

complete a series of tasks while being observed

☒ Questioning Knowledge questions (written) Knowledge questions (verbal)

Written knowledge questions (multiple-choice)

Verbal examination

☐ Scenario-based questions

☒ Others Participant instructions

Workplace Third-party report to be

completed by participants and recipients of relevant

documentation

Step 3: Develop the Assessment Tool

You are now ready to develop the assessment tool. Your first step would be to

analyse any existing assessment instruments and determine its suitability for use.

If an existing instrument can be used, identify if any modification is required to

suit the purpose and context of the assessment process you have planned.

Develop Assessment Instruments

If there are no existing assessment instruments or if the available assessment

instruments can’t be used for the assessment, you are now tasked to develop

specific assessment instruments. The assessment instruments may be developed

by the assessor, the resource development department of the organisation, or an

external organisation.

There are some points to consider when developing assessment instruments. Make

sure the assessment instruments:

Support the collection of evidence that meets the rules of evidence

Meet the required standard

Meet the specific workplace and/or learner needs

Meet the rules of evidence

Note that assessment tools must be able to gather evidence that is:

Valid - Address the unit of competency and other assessment requirements.

Sufficient- Enables you to decide about competence over time and in different

situations.

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Current - Be able to gather evidence based on recent experience.

Authentic - Can confirm that it is the learner’s own work they submitted.

In developing an assessment instrument, make sure you focus on the:

Content – Ensure that the assessment instrument fully addresses the

requirements of the unit of competency that considers the learner’s context.

Structure – Ensure that the assessment instrument is easy to use and has clear

instructions and details.

Examples of Assessment Instruments

Knowledge Test

Knowledge tests are usually made up of questions that test a learner’s knowledge

of a specific topic. These can be conducted as a written test or an oral test, where

the assessor will record the learner’s responses. An example of this is the

knowledge or theory tests your relevant State or Territory department/authority

requires all car, motorcycle, or heavy vehicle licence applicants to take.

The screenshot below is taken from the Practice Driver Knowledge Test

administered in NSW.

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Observation Sheet

Observation sheets are documents that help a qualified observer or assessor

document how a learner demonstrated their competence in a specific skill or task.

These list assessment criteria that learners must meet. On the following page is an

observation sheet you will be assessed against in the Delivery Cluster Assessment

Workbook.

Third-Party Report

This document is received from a third party, confirming that they observed the

learner’s competence. The individual completing the report must be able to

determine the level of the learner’s skill, like their workplace supervisor and

provide accurate information to the learner. The sample third-party report

template (on the next page) is taken from the RPL assessment toolkit for CHC30113

- Certificate III in Early Childhood Education and Care, published by the

Department of Education and Training.

(Source: Template for Third Party Report)

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Templates

Templates are usually blank forms for the learner or participant to complete. They

can be helpful in collecting specific information from the learner. For example, the

example above is a third-party report template and has fields that ask for specific

responses like the workplace representative’s name and employer.

Evidence Portfolio Evidence portfolios are usually a checklist of different documents learners are

asked to submit to demonstrate their competence. Learners completing

assessments through the recognition of prior learning pathways are required to

submit a portfolio that contains samples of their work that can help them

demonstrate their ability to meet the performance criteria or performance evidence

of a unit of competency. The checklist below is an example of an evidence portfolio

learners completing assessment through the assessment pathway are asked to

submit. This is one of the evidence checklists in your Delivery Cluster Assessment

Workbook.

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Giving Instructions

When developing instructions for the assessment tools:

Define and document clear and specific procedures instructing assessor and

learner on the administration and use of assessment instruments.

Consider the requirements of assessment system policies and procedures,

address storage and retrieval needs, and review evaluation and version

control procedures as part of this process.

Check and confirm that draft assessment instruments meet required standards

and specific workplace/learner needs and record outcomes of checks.

Step 4: Review and Trial the Assessment Tool

After developing the assessment tool, you need to ensure that it is meeting all the

requirements and identify if amendments would be necessary before finalising it.

There are some simple steps you can take to do a review process.

The first thing you need to do is to review the draft assessment tool against a

criteria checklist. This step should be taken before you show it to other

stakeholders for trial.

You can review the assessment tool with the review form linked for you below:

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Assessment Tool Review Form

You might notice that this form is similar to the first few pages of the validation

reporting tool we will be looking at in Chapter VII. This form can also assist you in

your review of the assessment tool because it acts as a checklist; going over each

major component and what information is required for each.

For any areas in the assessment tools that needs adjustment, you may proceed with

the amendments where necessary. Ensure that version control is noted in the

assessment tool to keep track of the changes and improvements made to it.

Version control is a record keeping system that allows us to identify the most recent

version of the document and keep track of the changes applied to it.

Example:

Version number:

Version 1, version 2, etc.

Version letter:

Version A, version B, etc.

Date of release:

Release date: 10 Mar. 2017

The assessment tool can be reviewed by other trainers and assessors who many not

be industry experts but who have current skills and knowledge in vocational

training, learning and assessment (including competency-based training and

assessment) and check whether:

The tools will address all assessment requirements of the training package or

accredited course.

The level of difficulty is appropriate to the unit or module.

The tools will enable effective collection of evidence.

You have provided clear instructions which can be easily understood by the

learner, third party, and assessor.

Trialling the Assessment Tool

Next, you will trial the assessment tool by piloting it in a real or simulated

assessment condition. This will involve other relevant people or stakeholders who

may act as the learner and/or the assessor. Trialling the tool before it is used by

learners tests the effectiveness of the tool without affecting a learner. When

trialling a tool, select a group of individuals who have similar characteristics to, and

levels of ability of, the target learner group. The findings of the trial will help predict

whether the tool will:

Be cost effective to implement

Be engaging to the learner

Produce valid, authentic, current, and sufficient evidence

What type of people can be part of assessment trial?

There are two (2) kinds of possible learners that can participate in the assessment

trial:

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1. People who are not actual assessment learners – These maybe the

client/s, other staff in your organisation, your supervisor, etc., who are

willing to go through the assessment process.

2. People who are actual assessment learner - these are the students

undertaking an assessment in your organisation. Make sure that they are

informed that the instruments are being piloted and encourage them to

provide feedback and ask questions if needed.

Who should be the assessor for the assessment trial?

Any assessor nominated to administer the assessment tool should participate in

the trial as the assessor. This would be the best scenario for the trial but may be

affected by possible logistical reasons.

After the assessment trial, feedback from all the people involved should be

gathered, collated, and analysed. You may collect feedback through :

Ask them to fill out an assessment review checklist

Conduct an interview after the trial

Once the assessment tool has been trialled and feedback has been collected, you

should analyse all the information and make amendments and improvements

where necessary.

Make sure to save a new version of the assessment tool before making any

amendments. Version control is necessary when making improvements to the

assessment tool and to the assessment instruments.

Evaluation Methods and Tools

There are several evaluation methods and tools available to assessors that can

assist them in their trial and review of the drafted assessment tools. Some of these

include, but are not limited to:

Participant Feedback Forms

There are different types of forms assessors can use to collect feedback from

their participants, these can include:

Paper-based feedback forms

These are feedback forms distributed after the participants complete the

trialled assessment tools. Paper-based feedback forms distributed right

after the trial is a good way of collecting timely feedback.

Online surveys

Online surveys are good for collecting anonymous feedback from your

participants. To ensure that their responses are timely, send out links to

the survey as close to the end of the presentation as possible. You can

also send out links with time-bound access to ensure that participants

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access them at the soonest possible opportunity. There are different

online survey tools that are available for use, some of these include:

Google Forms

Google Forms lets you customise your survey and automatically collates

responses for you. It is a free tool that you can access with a Google

account. It can also be used for things like creating quiz sheets, collecting

information, etc. Google Forms can be accessed through a desktop

browser or on mobile platforms.

Survey Monkey

Survey Monkey is another popular survey tool. Like Google Forms, it is

customisable and collates responses for you. They offer a basic account

for free but limits the user to ten (10) questions and one hundred (100)

responses per survey.

(Source: Gathering Feedback from Students)

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One-on-one Interviews

One-on-one interviews with the participants is another way of evaluating the

assessment tool trial. When asking for feedback about the tool, ask specific

questions. One-on-one interviews with colleagues can also help you get candid

feedback about the assessment tool.

For example, a participant tells you that they didn’t understand the instructions

given in one of the assessment items. You ask them what they felt made the

instructions difficult to understand. Asking specific questions will get you the

answers you require to improve the assessment tool you trialled.

When conducting an interview, you can use a checklist or template that can help

guide and structure your conversation with the participant. This will also help

you ensure that you have all the information you need to review the assessment

tool.

Critical Friends

Critical friends are defined as:

‘A trusted person who asks provocative questions provides data to be

examined through another lens and offers a critique of a person’s work as a

friend. A critical friend takes the time to fully understand the context of the

work presented and the outcomes that the person or group is working

toward.’

They must be someone that you trust and have a strong relationship with.

Ideally, the learner and the critical friend have a 20-minute meeting following

this process:

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(Source: Through the Lens of a Critical Friend)

Regardless of the methods or tools, you choose to evaluate the assessment tool

with, the information can only be useful if carefully analysed for review.

There are three (3) things that MUST be done with the results collated from your

chosen evaluation tool/s:

1. The feedback must be summarised

2. The feedback must be analysed

3. The feedback must be acted upon

Step 5: Finalising the Assessment Tool

Now that you have made the final amendments and improvements to the assessment

tool, you are ready to finalise the tool.

To do this, you need to review your organisation’s assessment system policies and

procedures and ensure that the assessment tool follows the appropriate format

required.

Once you have ensured that the assessment tool is properly formatted, you may file it

in accordance with your organisation’s policies and procedures.

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Assessment systems policies and procedures may include:

Assessment records, data and

information management

Recognition of current competency,

RPL and credit arrangements

Assessor needs, qualifications, and

maintenance of currency

Assessment reporting

procedures

Assessment appeals

Learner grievances and complaints

Validation Evaluation and

internal audit Costs and resourcing

Access and equity, and reasonable

adjustment

Partnership arrangements

Links with human resource or

industrial relations systems

Links with overall quality management

system

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VI. ASSESS COMPETENCE

Competency is defined as:

‘the capability to apply or use the set of related knowledge, skills, and abilities

required to successfully perform ‘critical work functions’ or tasks in a defined work

setting. Competence is a measure of both proven skills and proven knowledge.’

Assessing competence can be done by collecting evidence of a learner’s skills and

knowledge that they could have acquired through the following:

Training (both on and off the job)

Experience

Structured learning (Source: What is competency and how is it assessed?)

1. Legislative Requirements in Assessment

Requirements for all Trainers and Assessors

ASQA requires all trainers and assessors to have:

Training and assessment must only be conducted by individuals with:

(Source: Meeting trainer and assessor requirements)

•Vocational competencies at least to the level being delivered and assessed

•Current industry skills directly relevant to the

training and assessment being provided

•Current knowledge and skills in vocational

training and learning that informs their training and

assessment

Certificate IV in Training and Assessment

(TAE40110 or TAE40116), or its successor

A diploma or higher level qualification in adult

education

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Requirements Relevant to Assessment

Clauses 1.8 to 1.12 from the Standards for RTOs apply to assessment. The following information about the clauses is taken from the

User’s Guide to the Standards for RTOs. Clause 1.9 to 1.11 outline the requirements for RTOs to conduct assessment validation.

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(Source: Users Guide to Standards for RTOs)

Further Reading For more information on Clauses 1.8 to 1.12, you can access the User’s Guide to the Standards for RTOs here:

User’s Guide to the Standards for RTOs

Code of Practice for Assessors

Below is a copy of the code of practice outlined in the TAE10 - Training and Education

training package. This is based on the international code developed by the US National

Council for Measurement in Edcuation.

This code of practice is for assessors to practice professional, responsible, and ethical

assessment practice.

The differing needs and requirements of the learners, the local enterprises and/or

industry are identified and handled with sensitivity.

Potential forms of conflict of interest in the assessment process and/or outcomes

are identified and appropriate referrals are made, if necessary.

All forms of harassment are avoided throughout the assessment process and in the

review and reporting of assessment outcomes.

The rights of learners are protected during and after the assessment process.

Learners are made aware of their rights and processes of appeal.

Personal or interpersonal factors that are irrelevant to the assessment of

competence must not influence the assessment outcomes.

Evidence is verified against the rules of evidence.

Assessment decisions are based on available evidence that can be produced and

verified by another assessor.

Assessments are conducted within the boundaries of the assessment system

policies and procedures.

Formal agreement is obtained from learners and the assessor, that the assessment

was carried out in accordance with agreed procedures.

Assessment systems and tools are consistent with equal opportunity legislation.

Learners are informed of all assessment reporting processes, prior to the

assessment.

Learners are informed of all known potential consequences of assessment

decisions, prior to the assessment.

Confidentiality is maintained regarding assessment decisions/outcomes and

records of individual assessment outcomes, which identify personal details, are

only released with the written permission of the learner/s.

Assessment outcomes are used consistently for the purposes explained to learners.

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Self-assessments are periodically conducted to ensure current competence against

TAE10 - Training and Education training package competency standards.

Professional development opportunities are identified and sought.

Opportunities for networking among assessors are created and maintained.

Opportunities are created for technical assistance in planning, conducting, and

reviewing assessment practice and participating in validation.

(Source: TAE10 Training and Education)

Further Reading For more information on trainer and assessor requirements access the ASQA fact sheet here:

Meeting trainer and assessor requirements

For more information on the code of practice for assessors, access the TAE10 - Training and Education training package here:

TAE10 Training and Education

2. Addressing WHS Responsibilities in Assessment

Notifiable incidents include:

…that took place in the workplace while doing work-related tasks. These relate to

employees, contractors, or members of the public.

What does the WHS law require you to do when a notifiable incident occurs?

The death of a person

A ‘serious injury or illness’

A ‘dangerous incident’

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(Source: Incident Notification Information Sheet)

Reporting Requirements for Hazards and Incidents

Having reporting procedures in place can help management identify and address any

hazards and incidents in the workplace. Each organisation should have their own

policies and procedures for hazard and incident reporting. They may vary but generally

require the following information:

Who reported the hazard and/or incident?

Time and date the report was filed.

The hazard and/or incident.

Everyone, including learners, management, ancillary staff, trainers and assessors, and

workers at all levels, must report any damage, accidents or incidents that occur in a

learning environment. A hazard and/or incident report form must be completed as

soon as possible after noticing a hazard or accident/incident occurring. Below is a

sample Hazard/Incident Report form published by SafeWork NSW.

Report the incident to the regulator

immediately after becoming aware that it

happened.

If the regulator asks, submit written

notification within 48 hours of the request.

Preserve the incident site until an inspector

arrives or directs otherwise (subject to

some exceptions).

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.(Source: Why do you need Safety Reporting Procedures)

Emergency Procedures

Persons conducting a business or undertaking (PCBUs) are required to develop

emergency plans for their employees and other individuals that they conduct business

with. According to SafeWork Australia, emergency procedures include:

Effective responses to emergencies

Evacuation procedures

Notifying emergency service organisations

at the earliest opportunity

Medical treatment and assistance

Effective communication between the person

authorised to coordiante the emergency response

and all people at the workplace

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These emergency procedures may vary from organisation to organisation, before

commencing training and/or assessment, access and review these. All relevant

personnel must be adequately trained to respond to emergencies. Training activities

can include, but are not limited to:

(Source: Emergency Plans Fact Sheet)

Safe Use and Maintenance of Relevant Equipment

The use of machinery and equipment in the workplace may put users at risk of

mechanical, non-mechanical, and access hazards.

Mechanical hazards

Mechanical hazards are from machinery and equipment with moving parts, this

motion can cause injury to those exposed to or those who use them. The following, are

things you should consider when assessing machinery and equipment for mechanical

hazards:

Practising evacuations

Identifying assesmbly points

Locating emergency equipment

First aid arrangements

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Non-mechanical hazards

Non-mechanical hazards are those associated with the use of machinery and

equipment, such as exposure to dust, harmful gasses, chemical emissions, noise, and

so on. When assessing machinery and equipment for non-mechanical hazards you

should consider how they affect the area around them.

Access hazards

Access hazards are those associated with accessing machinery and equipment. For

example, people that work in water and sewage operations may have to crawl through

tight spaces to access water lines that need maintenance. To ensure the workers’ safety,

they must be provided with ways to access tools and equipment safely. Below are

things you should consider when assessing machinery and equipment for access

hazards (these are from the Guide to Machinery and Equipment Safety published by

the Queensland Government):

Mechanical hazards

Can the moving parts be

reached by people?

Can the machinery and

equipment eject objects

that may strike people and

cause harm?

Do the machinery and

equpiment have moving

parts that can reach people?

Are mobile machinery and

equipment operated in areas where

people can gain access?

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Who will be working on or around the machinery and equipment.

People who are required to work in enclosed areas where the atmosphere could be

harmful, such as pits, tanks, or storage vessels.

What equipment or materials need to be carried to undertake the task.

Where and when are access required for operation, maintenance, and cleaning.

How will people gain safe access (walkway, gantry, elevated work platform, or

ladder).

What work will be carried out during access.

Will people be near or exposed to an unidentified mechanical or non-mechanical

hazard at the time of access.

Have workers and contractors discussed how they intend to gain access and what

equipment and work platform, or structure, is best for the task at hand.

If these hazards cannot be eliminated completely, risk control measures may be put in

place to reduce workers’ exposure to the hazards. These can include physical guards

and barriers, fault detection systems, wearing personal protective equipment (PPE),

platform installation, provisions for fall-arrest harnesses, and so on.

(Source: Guide to machinery and equipment safety)

Machinery and equipment should:

(Source: Machinery and equipment)

Further Reading For more information, you can access the Guide to Machinery and Equipment Safety here:

Guide to machinery and equipment safety

Procedures for the Use of Personal Protective Equipment

The information provided to you below has been adapted from SafeWork Australia.

PPE is defined as:

‘anything used or worn to minimise risk to workers’ health and safety.’

be maintained by competent personnel,

undergo regular maintenance and

checks, and

be maintained according to

manufacturer’s instructions

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These can include:

Note that PPEs should only be used as:

A last resort

A temporary measure

Back-up for other control measures that have been set in place

Employees have the responsibility to ensure that when they are provided with PPE by

their employer and are required to wear PPE, they must:

(Source: PPE)

PPE should be provided to learners if it is required. The RTO in charge of the training

and assessment must provide learners and employees with PPE where necessary.

The assessor must ensure that:

Personal protective equipment (PPE) is used properly in accordance with the

manufacturer’s instructions.

PPE fits correctly and is reasonably comfortable for the worker who is to use or

wear it.

•boots •ear plugs •face masks •gloves

•goggles •hard hats •high visibility

clothing •respirators

•safety harnesses

•safety shoes •sunscreen

use or wear PPE in accordance with any information, training or reasonable instruction provide by the employer so far as they are reasonably able,

not intentionally misuse or damange the PPE, and

inform the business of any damage, defect or need to clean or decontaminate any of the PPE, if they become aware of it.

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PPE does not interfere with any medical conditions of the worker using the PPE.

Workers are instructed and trained in how to use, maintain, and store the PPE.

Appropriate signs are used to remind workers where PPE must be worn.

Periodic assessments are carried out to ensure PPE is used properly and is effective.

Procedures for the use of PPE may also vary across organisations and industries. It is

best to access and review procedures relevant to you or your learner, before

commencing training and assessment. However, generally, the procedures for

applying PPE include the following steps:

1. Risk assessments

Before providing employees with PPE, the employer, or other relevant

personnel in charge of WHS, must conduct a risk assessment to determine if no

other controls can be enforced to ensure their personnel’s safety. If it is

determined that no other safety measures can be used, then PPE should be

provided.

2. Wear PPE according to governmental, organisational, industry, or

manufacturer’s specifications

Some organisations, departments, industries, and manufacturers will have

recommended techniques and procedures for wearing PPE. Some examples

include:

The Australian

Government’s

Department of Health

suggests the following

order for wearing PPE

to avoid the spread of

infectious disease (see

image to the right).

(Source: How to fit and

remove personal

protective equipment in

the correct order)

On the following page

is a diagram of the

correct use of PPE in

handling asbestos,

published by the

Queensland

government.

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(Source: Preparation before commencing the task)

Personal protective equipment (PPE) must be maintained, repaired, or replaced, so it

continues to minimise the risk to the worker who uses it.

This includes by ensuring the equipment is:

Clean and hygienic, and

in good working order.

The PPE must be maintained to ensure, so far as is reasonably practicable, that it is

used for the duration of the training.

Further Reading For more information on the use of PPE you can visit SafeWork Australia’s website here:

SafeWork Australia

Sources of WHS Information

Publications can be found online through websites like safeworkaustralia.gov.au,

who leads the development of national policy to improve work health and safety and

workers’ compensation arrangements across Australia, and State or Territory

managed sites like worksafe.vic.gov.au and commerce.wa.gov.au/WorkSafe. You

can also access the Model WHS Regulations and Model WHS Act for more information

on WHS. The model WHS Act forms the basis of the WHS acts enforced across

Australia to harmonise the WHS law. The model WHS Regulations set out more

detailed requirements to support duties in the model WHS Act.

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Codes of practice are published as practical guides to help groups or individuals meet

the standards outlined in the WHS Act. Each one covers a specific issue within an

industry/industry. Codes of practice apply to anyone with a ‘duty of care’ in the area

they cover.

Some of the codes of practice are:

First aid in the workplace

How to manage work health and safety risks

Managing the risk of falls in the workplace

Work health and safety consultation, coordination, and cooperation

Electrical safety code of practice

Note that codes of practice are not legally binding in all States and Territories. Check

with the WHS authority in your State/Territory to determine which codes of practice

apply to your area.

In the workplace, sources of WHS information typically include:

Staff handbook

WHS policies and procedures

Material safety data sheets and registers

WHS reports including, workplace inspections, hazard and incident reports,

technical reports, consultations, and observations.

3. Assessing Competence

Step 1: Prepare for the assessment and brief the learner

To prepare for the assessment, you must access and review all documentation relevant

to the learner’s assessment. This includes:

Assessment plans

Organisational policies and procedures

Unit/s of competency, accredited courses, or other benchmarks to be used for the

assessment

Assessment tools relevant to the assessment

You must also inform the learner about the assessment plan and brief them on the

details of their assessment.

Reviewing the documentation relevant to the learner’s assessment will assist you in

gathering and arranging the material and physical resources required beforehand.

These can include the pre-agreed assessment tools and instruments, specialist

support, equipment, and so on.

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Step 2: Gather quality evidence

As discussed in an earlier chapter, there are different types of evidence. Click here to

review them:

Types of Evidence

Regardless of the type of evidence collected, assessors must ensure that the principles

of assessment and rules of evidence must be applied when gathering evidence. Click

here to review how these can be applied in assessment:

Principles of Assessment

Rules of Evidence

Step 3: Support the learner

Assessment is an important part of the learning process. It does not only help the

assessor determine the learner’s competence but can also promote learning for the

learner. To promote effective assessment, trainers and assessors will need to:

(Source: What is Assessment for Learning?)

Supporting the learner for assessment begins during training. Trainers provide their

learners with support by giving them examples of competent performance, to ensure

that they are able to demonstrate the same during assessment and are empowered to

improve their own performance.

Assessors can further support the learner by addressing their support needs and

fostering a good professional relationship with them. The following are some

Explain the learning outcomes to the learners and check their understanding.

Demonstrate the assessment criteria the learners are required to meet and help them recognise when they have achieved that standard.

Give effective feedback on assessment decisions, so that learners know how to improve.

Demonstrate satisfactory performance and make it obvious to learners, so that they believe that they can improve on their past performance.

Provide regular opportunities for teachers and learners to reflect on the last performance and review learners’ progress.

Develop learners’ self-assessment skills, so that they can recognise what aspects of their own work need to improve.

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considerations the assessor should keep in mind to ensure that the learner is properly

supported during their assessment.

Access and Equity Considerations in Assessment

Access and equity are the policies and approaches that ensure that vocational

education and training is responsive to the diverse needs of all its clients. Through

the implementation of these policies and approaches, the benefits of participating

in vocational education and training are available to everyone on an equitable

basis.

Access and equity is a commitment to ensuring that the principles and

requirements of Anti-Discrimination and Harassment legislation are embedded

into its policies, procedures, and practices.

Some of the key principles that learners and instructors should be aware of, and

are required to raise, are as follows:

Any language barriers that may exist

Any literacy or numeracy difficulties

Any learning problems, e.g. difficulty understanding any new or unusual term

or concepts

All learners should have the opportunity to address any issues with the instructor

privately so as not to cause any embarrassment. It is important that assessors are

interested and willing to assist learners in any way possible.

Seven Principles of Access and Equity

The Access and Equity (A&E) strategy was first introduced in 1985, as a

fundamental part of the federal government’s social justice strategy. The 1985

policy focused on the issues confronting people from a non-English speaking

background. In 1989, the A&E strategy was formally extended to include people

from indigenous backgrounds. The double disadvantage faced by women and

people with disabilities was also highlighted.

The Charter of Public Service in a Culturally Diverse Society has set out the seven

(7) principles of access and equity. They are:

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(Source: Access & Equity Guide)

Anti-Discrimination

This means to ensure that all participants have equitable access to the benefits of

training and assessment.

Efforts should be made to ensure that no person is discriminated against, excluded

from participating in, or alienated on the grounds of, any of the following:

Gender Marital status

•Access to assessment should be equal for everyone who is entitled to them and should be free of any form of discrimination irrespective of a person’s country of birth, language, culture, race, or religion.

3. Access

•Assessments should be designed and delivered on the basis of fair treatment of clients who are eligible to receive them.

4. Equity

•Assessors should inform their learners about the methods and types of assessment they will be given. They must also inform learners about the outcomes of their assessment.

5. Communication

•Assessors should be sensitive to the needs and requirements of their learners from diverse linguistic and cultural backgrounds and responsive, as far as practicable, to the particular circumstances of individuals.

6. Responsiveness

•Assesors should be ‘results oriented’ and focused on meeting the needs of clients from all backgrounds.

7. Effectiveness

•Assessors should optimise the use of available assessment resources that meet the needs of clients.

1. Efficiency

•Assessors should have reporting mechanisms in place, for their learners, which ensures they are accountable for implementing the charter principles and access and equity principles in general.

2. Accountability

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Pregnancy Breast feeding

Race Religion

Trade union activity Political belief

Culture Linguistic background

Impairment Lawful sexual activity

Parental status Age

Harassment

Harassment legislation is by far the most ambiguous of all of the areas identified

above. The definition itself is one with an enormous scope for interpretation.

‘Harassment is unwelcome, uninvited, or unwanted conduct’ and;

‘Behaviour that would be considered unacceptable to a reasonable person’

By virtue of its own definition, each member of the community may interpret this

legislation in a different way. What is acceptable to one member, may not be

acceptable to another. In relation to participation in training and assessment

activities, it is reasonable to expect trainers/facilitators will conduct themselves in

a manner unlikely to offend most the community.

Other access and equity issues can include:

Fair recruitment

Fair access to workplace opportunities and benefits

‘Fairer go’ for previously disadvantaged groups

Management accountability

Staff responsibilities and rights

Cultural Sensitivity in Assessment

The following are good practice principles for teaching across cultures.

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(Source: Good Practice Principles)

These principles are meant to be flexible and can be adjusted to meet different

contexts. These can guide assessors in their culturally sensitive practice of

assessment.

Further Reading For more information on the good practice principles, access the full document here:

Good Practice Principles in Practice: Teaching Across

Cultures

Effective Communication Skills

Effective communication skills in the training context, refer to the questioning and

listening skills of the trainer and/or assessor. These along with the proper use of

interpersonal skills can help the assessor build a professional relationship with

their learners, that encourages two-way feedback and sensitivity to their individual

differences.

Questioning

Asking the right questions can help assessors gauge their

learners’ knowledge and understanding of the

assessment criteria they are being assessed against. It

can also help trainers get their learners to express their

opinions and help them build rapport with their

learners. Below are the different kinds of questions that

trainers and/or assessors can ask their learners.

Focus on learners Respect and adjust

for delivery

Provide context- specific information

and support

Facilitate meaningful intercultural dialogue

and engagement

Be adaptable, flexible, and responsive to

evidence

Prepare students for life in a globalised

world

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Open and Closed Questions

Open questions are good for getting longer or in-depth responses like opinions,

descriptions, knowledge, and so on.

For example:

How do you buy concert tickets online?

Why are the dogs barking?

Why are you reading that manual?

Closed questions are good for getting shorter responses like yes, no, or specific

answers.

For example:

Do you live in Melbourne?

Did you take the train today?

What is 15 divided by 5?

Funnel Questions

This method of questioning can help the trainer funnel, quite literally, the learners’

responses. Funnel questions are good for getting specific detail and building

rapport with others.

This type of questioning is often used by detectives when speaking to witnesses.

Here the trainer begins by asking closed questions, moves on to probing questions

and then to open questions, to get as much detail from the learner as possible.

Probing Questions

Probing questions are also good for getting specific details and can assist the trainer

in clarifying:

The learner’s responses.

OPEN QUESTIONS

PROBING QUESTIONS

CLOSED QUESTIONS

CHECK

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Their own understanding.

Asking these types of questions are also an effective method of collecting more

information and personal thoughts and/or feelings.

For example:

Q: Where did you go on holiday?

A: Malaysia.

Q: Where in Malaysia?

A: Kuala Lumpur.

Q: How long did you stay there?

A: Five days.

Q: What hotel did you stay in?

A: The Palm Hotel

Q: What were the best spots you visited there?

A: It’s hard to choose, I went to so many places. I enjoyed shopping in China Town; I got a lot of great deals there. The Batu Caves were really interesting too! The devotees would pierce themselves as a tribute to their gods.

The first few questions gather general information about the trip, but the last

question asks for a response with more thought, this is the probing question.

Leading Questions

Leading questions are good for leading the

learner to a specific response you are looking

for. However, this type of questioning is

often closed and are therefore answered by a

simple yes or no, or a short factual response.

Leading questions can be asked in several

ways, for example:

Adding a personal appeal to agree with the trainer, for example:

That was a good movie, wasn’t it?

Phrasing the question so that the learner’s response is to agree, for example:

Shall we take the train instead?

Giving the learner options that the trainer is happy with, for example:

(Consider that you want to go to a Japanese restaurant)

Would you prefer to go to the Japanese restaurant on Kent Street or the

one on George Street?

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Listening

Listening is an important aspect of communicating with your learner. Below are

some barriers to listening that you need to be aware of:

Trying to listen to multiple conversations at the same time.

Lack of interest in the topic.

Lack of focus.

Feeling ill, tired, uncomfortable, etc.

Biases.

Signs of Ineffective Listening

Changing the topic.

Selective listening.

Daydreaming.

Advising.

Interpersonal skills

Ensuring that the learner’s assessment runs smoothly requires the use of the

appropriate interpersonal skills. These interpersonal skills include:

(Source: Interpersonal skills)

Leadership - Successfully influencing a group to achieve a specific outcome.

Networking - Creating relationships and maintaining contact with others. This

interpersonal skill includes communication skills.

Communication skills

Leadership

•Mentoring

•Decision-making

•Delegation

•Motivating others

Networking

•Self confidence

•Effective communication

Teamwork

•Mentoring

•Decision-making

•Delegation

•Collaboration

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a. Verbal communication

Good verbal communication skills are necessary for getting your thoughts

and ideas across loud and clear. This includes using vocabulary appropriate

for your audience, understandable pronunciation and being as clear and

concise as possible.

b. Non-verbal communication

Being aware of your non-verbal communication, or body language can help

you communicate a clear message to your learners. An awareness of this can

also help you determine if your learners are receptive to the information you

are delivering, or if they are feeling frustrated or disengaged.

c. Listening

To successfully communicate with others, you need to listen to what they

have to say. Being an active and engaged listener will give the impression

that you are interested in what others have to say.

Active listening includes:

Clarifying

Providing feedback

Acknowledging what has been said to you

Teamwork - Working with others for a common goal or outcome.

Further Reading For more information on interpersonal skills follow the link:

Interpersonal Skills

Checkpoint! Let’s Review

1. Name three (3) kinds of questions. 2. What are the interpersonal skills discussed in this

chapter?

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Catering to Learners with Special Needs

The Australian VET system caters to a diverse range of clients and as an assessor,

you must support the assessment of learners with varied needs and backgrounds.

This includes implementing inclusive strategies and providing learners with the

necessary support services and resources they require to successfully participate in

assessment.

Inclusive Strategies

Inclusive strategies help learners with disabilities participate in the same learning

experiences as learners without disabilities. This can be done by adjusting the

delivery of training or assessment, without altering how these are marked.

Adjustments to teaching, learning, and assessment can be grouped as:

Timing – The amount of time allocated to the learner:

Providing extra time to read written text or write responses.

Providing time to use specialised equipment or technology.

Providing frequent breaks.

Scheduling – When the assessment takes place, adjustments are made to:

Make way for health procedures or medication schedules.

Overcome distractions.

Reduce anxiety and frustration.

Setting – Where the assessment takes place, adjustments are made to:

Overcome distractions.

Overcome sensory issues.

Reduce anxiety and frustration.

Presentation – How an assessment is presented to the learner:

Supporting sensory needs.

Reduce anxiety and frustration.

Provide support with the literacy requirements of the assessment.

Response – How the learner is expected to respond to the assessment:

Meet student needs related to physical and sensory barriers that prevent the

demonstration of achievement.

Different inclusive strategies can be combined in the learner’s training and

assessment.

(Source: Inclusive strategies: What are they?)

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Equipment and Resources Available for Learners with Special Needs

The equipment available to learners will special needs, can include:

Hearing aids

Augmentative and alternative communication devices

Magnification aids

Specialised computer accessories

Assistive software (voice recognition and screen reading software)

The resources available to learners with special needs can include:

Modified assessment material (large print, simplified, and so on).

Computers, tablets, and other electronic devices with specialised applications.

Specialist Support Services

Specialist support services can also be accessed to ensure that learners are given

equal opportunity to participate in assessment. These can include:

Specialist support providers may vary, it is best to do research on what is available

for you and your learners in your area. Note that any specialist support services you

access for learners must be in accordance with the contents of their assessment

plan/s. (Source: Skills Disability Support)

Australian Sign Language (Auslan)

interpreters

Language translators

Language courses

Disability coaches Mentors Teacher aides

Special provision for assessment

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Recognition of Prior Learning

In competency-based training and assessment, competencies are recognised

regardless of how they were acquired. Recognition of Prior Learning (RPL) is a

method of assessment where individuals are awarded credits for skills or learning

outcomes they have already achieved. This method of assessment recognises that

learners may come from a variety of backgrounds and might have already gained

relevant skills in their workplace or life experience, without full qualifications.

Individuals can be awarded full credits for a qualification, or credits for some units

of competencies. Students with relevant skills can choose to undergo RPL

assessment to fast-track their training. However, learners are still encouraged to

undergo further training to maintain the currency of their knowledge and skills.

Purpose

To asses a learner’s relevant prior learning (including

formal, informal, and non-formal learning) to determine

competence against competency standards.

Context

The context of RPL assessments is to review relevant

previous or current work or training experience, to assess

competence, i.e. no training is required.

Below are some examples of evidence that can be submitted for RPL Assessment:

Portfoilo of evidence.

Workplace documents completed by the learner.

Observation record completed by a qualified assessor for the learner.

Third-party report confirming that the learner completes specific tasks in the

workplace.

Further Reading

For more information on Recognition of Prior Learning, access the AQF RPL explanation here:

Recognition of Prior Learning: An Explanation

Guiding Learners Through the RPL Process

The RPL process helps learner apply for the recognition of the skills they acquired

or developed through industry and work experience. The following are the

assessor’s roles in guiding RPL learners. You must also note that the information

outlined for you below is a rough guide only. Policies and procedures relating to

RPL assessment may vary, it is best to check with your organisation to determine

these.

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(Source: Assessor Guide to Recognition of Prior Learning)

Step 4: Make the Assessment Decision and Give the Learner Feedback

Making Assessment Decisions

Assessment decisions should always be made following the details agreed upon in

the assessment plan. When making assessment decisions, assessors should only

look at the evidence collected from the learners. Assessment decisions must be

made because:

They enable assessors to determine the learners’ level of performance, identify

gaps in learners’ knowledge and skills, and determine how training may be

modified to meet their needs

They provide learners with information on their progress and possible

achievements.

They provide RTOs with information for assessment reporting and certification

purposes.

They provide licencing and regulatory authorities with confirmation of

competency required for industrial licencing purposes.

(Source: Making assessment decisions)

• Provide learners with an overview of what recognition is, the process involved , and the qualifications available and potentially relevant units of competency.

• Interview the potential learner/s to help them think about their relevant experience and motivation.

• Encourage the learner and, if required, help them make decisions about qualifications/competencies that might be relevant.

• Help the learner identify support in their workplace or among friends employed in a similar context.

• Ask the learner to consider the likelihood of employer cooperation in the assessment process.

Assessor’s Role When Working with RPL Learners

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Assessment decisions should:

(Source: Assessment in the VET sector)

Be regularly moderated and validated.

Involve the evaluation of valid, sufficient, current, and authentic evidence to enable professional judgements to be made about whether competence has been achieved.

Reflect the requirements of the unit of competency, including any prerequisite and co-requisite units of competency.

Reflect achievement of relevant employability skills.

Provide learners with constructive feedback and guidance.

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Strategic Approach to Making Assessment Decisions

On the next page is a strategic approach you can take when making assessment

decisions, these have been adapted from Improving Assessment Practice: Making

Assessment Decisions.

Read the unit/s of competency, identify the evidence requirements, decide how and by whom the evidence will be collected, and arrange for the evidence to be collected.

Check the quality of evidence against the principles and rules of evidence. In considering the evidence, check that the learner has demonstrated competent performance over time - this also indicates that the evidence is sufficient.

Identify the pieces of evidence that give a clear indication of competence and use this evidence to make a judgement on whether the learner is competent. A judgement always involves consideration of more than one piece of evidence.

Review the remaining evidence to confirm or challenge the judgement.

Work with other assessors, representatives of relevant industry advisory bodies, or professional or industry associations and networks to validate the assessment judgement and the basis on which it was made.

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Giving Feedback

Giving feedback can be an effective way of improving learner performance.

Thorough feedback can help the learner identify what they are doing correctly and

what they need to improve on. Note that your feedback should always be facts about

the learner’s performance and not opinions about the learner. Your feedback

should:

Be clear

It must clearly state what the learner did well and what they can improve

on. The language used must be plain and easy to understand to avoid any

misunderstandings between the trainer and learner.

Be timely

Ideally, feedback should be given to the learner immediately after they

complete a task, assessment, or other proof of learning. This is the most

effective time to give the learner feedback because they can still relate their

trainer’s feedback with the learning task/activity.

Reference specific goals/objectives

The feedback given to the learner must address specific goals or objectives

that have been set for the learning activity or session. You can ask yourself

the following questions to guide your feedback:

Did the learner meet the learning objective/s for the session/activity?

o If yes, how did the learner meet the learning objective/s?

o If no, what could the learner have done to meet the learning

objective/s?

Be constructive

Your feedback must explain what the learner has done well and what they

need to improve. Structuring your feedback in a constructive way can

provide the learner with the encouragement to continue improving their

practice. You can use the sandwich method to guide your feedback:

compliment, correct, compliment.

Where possible give the learner instructions on how to improve their

performance, you can also offer feedback to the learner by giving them

suggestions or offering solutions.

(Source: Giving Student Feedback)

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Step 5: Record and report the assessment decision

Assessment outcomes should always be recorded promptly and accurately.

Additionally, assessors should also be mindful of their organisation’s assessment

recording policies and procedures, as well as confidentiality standards. Note that all

information collected by the organisation must be handled in accordance with the

Privacy Act.

Privacy Act

The Privacy Act details how private information should be handled. This includes, but

is not limited to:

An individual’s name,

signature,

address,

telephone number,

date of birth,

medical records,

bank account details, and

commentary or opinion about them. (Source: Privacy Act)

Maintaining Learner Records

The Australian Skills Quality Authority (ASQA) published a general direction on

the retention requirements for completed student assessment items. These state

that RTOs must securely retain all completed student assessments for their

students for a period of six (6) months, from when the student was judged as

competent, and produce these documents in full during audit.

Additionally, if an RTO participates

in training and assessment

activities, such as training and

assessment conducted under a

government-funded agreement,

RTOs must also comply with the

retention requirements stated in

their contract. Note that

qualifications, units of competency,

or accredited courses that have

regulated/licenced outcomes, may

have their own record-keeping

requirements.

For Western Australia (WA) and Victoria (VIC), the AQTF requires RTOs to

maintain copies of their client’s records, including records of student results,

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qualifications and Statements of Attainment, for thirty (30) years. Records for

audit, including attendance records, records of assessment, assessment tools and

instruments, RPL records, policies and procedures, and financial records, should

be kept for five (5) years.

Some organisations may have their own requirements for record-keeping. You are

responsible for accessing and complying with these as a trainer.

(Source: General Direction – Retention requirements for completed student assessment items;

TAC Guideline on Records Management)

Reporting

RTOs are required to have record management systems or databases that link to

the Unique Student Identifier (USI) system, according to AVETMISS recording

guidelines. RTOs also have the responsibility to keep their students’ USIs safe and

secure.

USI

A Unique Student Identifier (USI) is a number created for students enrolled in

nationally-recognised training. A USI issued to a student will give them access to

their online transcript through www.usi.gov.au This online transcript outlines the

units a student has completed, the outcomes of training they already completed,

and the qualifications they have received.

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www.usi.gov.au is a simplified way of maintaining and accessing training records

for both RTOs and their clients. It integrates data from vocational training

delivered through the following:

VET-in-schools (VETiS)

TAFE

Employer-delivered training

Apprenticeship programs

RTOs

This system can help streamline the process for credit transfers and RPL

assessments because all the relevant data is linked together under the student’s

USI. It can also be useful if your original documents, from training completed from

January 1, 2015, onwards, can no longer be retrieved.

(Source: Training Organisations)

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Step 6: Review the assessment process

Reviewing the assessment process can help you determine what you can do to improve

your practice in the future. Note that you must document and record your review of

the assessment process according to any policies and procedures you have in place in

your organisation.

To help facilitate your review, you can collect feedback from learners and other

relevant personnel, by giving out paper-based or electronic feedback forms (through

Google Forms, Survey Monkey, or other online form providers). To ensure that you get

the most out of the feedback you collect, you can consider the following:

Ask for specific feedback

When collecting feedback, it is best to ask for specific information from your

respondents. You can lead your learners to give you specific feedback by asking

probing questions or asking for examples where possible. For instance, you ask the

question: ‘What part of the presentation did you like least, and why?’ Asking why will

lead the respondent to give you specific feedback about that part of the presentation.

Specific feedback can help you determine parts of your presentation that can be

improved in the future.

Timely

Asking for timely feedback ensures that the learners’ opinions are accurate and

specific.

Ask your colleagues for feedback

Apart from your learners, you can also ask your colleagues to give you feedback on

your presentation. Your peers or supervisor/s can also provide you with feedback that

can help improve your presentation.

(Source: How to Get the Feedback You Need)

A sample feedback form is provided for you on the page that follows.

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Participant Feedback Form – Assessment

Assessor:

Learner:

Competency standard:

Assessment:

Date:

Rating

S tro

n g

ly

A g

re e

A g

re e

D isa

g re

e

S tro

n g

ly

D isa

g re

e

Comments

The assessor was prepared to

conduct the assessment.

The assessor briefed me prior to

the assessment.

I understood how the assessment

was to be conducted.

I understood what was required

of me to gain a satisfactory result

in the assessment.

I understood my rights and

responsibilities regarding the

assessment.

I had sufficient time to complete

the assessment.

There were adequate resources

to complete the assessment.

The assessor was respectful of my

individual needs.

The assessor provided

constructive feedback on my

performance.

Do you have any other

comments or feedback?

Declaration

I declare that the information I have provided above is an accurate and a true

reflection of my feedback of the assessment I have been asked to trial.

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Learner’s Name: Signature

Learner’s Contact Number:

Date:

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VII. PARTICIPATE IN ASSESSMENT VALIDATION

Validation is defined in the VET Glossary as:

‘A process involving assessors working in collaboration to review, compare and

evaluate their assessment process and their assessment outcomes against the same

competency standard. This includes validating assessment methods/tools and

collected evidence and the interpretation of that evidence to make a judgement of

competence, in relation to the same unit/s of competency.’

(Source: VET Glossary)

Validating assessment tools help RTOs ensure that their assessment of their learners’

competence is valid, reliable, sufficient, current, and authentic. This process can also

assist RTOs in reviewing their assessment systems and determining improvements

they can implement for future practice.

RTOs must have documentation that outlines the following:

RTOs must develop validation schedules. Validation schedules are essentially plans

for when a training product, within a RTOs scope of registration, will be validated.

ASQA requires that training products be validated at least once within a five-year

period. Additionally, at least half of the training products offered by the RTO must be

validated within its first three (3) years. ASQA may require more frequent validation

for certain training products.

(Source: Conducting validation)

Further Reading For more information on ASQA’s requirements on the frequency of validation, access the Conducting Validation fact sheet here:

Conducting validation

Who will lead and participate in the

validation activities

Which training products will be the

focus of the validation

When assessment validation will occur

How the outcomes of those activities

will be documented and acted upon

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1. Who Can Participate in Assessment Validation?

Generally, individuals who hold the following qualifications can participate in

assessment validation:

Additionally, these participants can be employees of the RTO conducting validation or

external validators.

(Source: Conducting validation)

Assessor Obligations in Validation

Trainers and assessors that have delivered or currently deliver the training packages

being validated:

Assessors are also obligated to comply with Clauses 1.11 and 1.25 of the Standards for

RTOs, brief descriptions for each clause are provided for you below.

Vocational competencies and current industry skills

relevant to the assessment being

validated

Current knowledge and skills in vocational

teaching and learning

TAE40110 in Training and Assessment, or its successor, or the

TAESS00001 Assessor Skills Set, or its successor

Can participate in the validation process, as

part of a team.

Cannot conduct the validation on their

own.

Cannot determine the validation outcome for

any assessment judgements they

made.

Cannot be the lead validator in the

assessment team.

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(Source: Conducting validation; Users Guide to the Standards for RTOs)

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Code of Professional Practice

This set of codes of professional practice can act as guidance for conducting

assessment validation within the VET setting. These are:

(Source: Validation and Implementation Guide)

•The purpose, process, and implications of the validation should be transparent to all relevant stakeholders.

Transparent

•A representative sample should be used to validate assessment tools and judgements.

Representative

•Information regarding individuals and providers must be treated with sensitivity and discretion. Confidentiality should be observed in relation to the identity of the assessors and learners.

Confidential

•Validation should form an integral, rather than separate part, of the assessment process. It should provide constructive feedback, which leads to continuous improvement.

Educative

•Validation must be demonstrably fair, equitably applied, and unbiased.

Equitable

•Any assessment includes a margin of error. The way in which evidence is gathered and interpreted against the standards, will vary. The challenge is to limit the variation to acceptable proportions. Validation enables the variation to be identified and limited to what is tolerable.

Tolerable

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Further Reading For more information on the code of professional practice for validation and moderation view the document published by the National Quality Council here:

A code of professional practice for validation and moderation

2. Assessment Validations

Assessment validations are carried out to:

Ensure that assessment strategies meet the needs of the learners, and

ensure that assessment processes, assessment resources, and assessment

outcomes follow the principles of assessment and the rules of evidence.

Assessment validation can be carried out before, during, or after an assessment is

administered by the client. The table below outlines the stages of assessment and their

corresponding validation approaches and reasons for validation.

Stages of assessment Reason for validation Potential approaches to

validation

Before assessment

Review the design of

assessment activities.

Review the design of the

assessment activities

against the assessment

principles.

Review the evidence

guides and assessment

tools

Review the evidence

guides and assessment

instruments against the

rules of evidence.

Review if the assessment

addresses all

requirements of the units

by evaluating the

competency mapping.

Review the benchmarks

Review if the benchmarks

adequately reflect

competent performance.

During assessment Review the assessment

and assessment process

Review the assessment

process as it is being

undertaken by the

learner.

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Review the suitability of

resources to the

assessment process.

Review the assessor’s

performance

Review the assessor’s

judgement of the learner’s

performance to determine

consistency in their

practice.

After assessment

Review the reporting and

record management

procedures.

Review the reporting and

record management

procedures to ensure

compliance with internal

and mandated reporting

and recording

requirements.

Review the learner’s

performance and

assessment decisions

made.

Review the assessment

decisions made to ensure

that the there is a

tolerable margin of error

in judging learner

competence.

Review the assessment

tasks and processes

Review the assessment

tasks and process against

the needs of a learner

group to ensure that their

needs were met during

assessment.

(Source: When should assessment validation occur?)

Components of Assessment Tools

The following are components of assessment tools. The definitions of each are adapted

from ASQA’s Guide to Developing Assessment Tools.

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(Source: Guide to developing assessment tools)

Further Reading For more information on the components of assessment tools, access ASQA’s Guide to Developing Assessment Tools here:

Guide to Developing Assessment Tools

Critical Aspects of Validation

a. Validating Assessment Processes

The assessment process is defined in the VET Glossary as,

‘the series of key steps in the assessment cycle, including agreeing on outcomes with

stakeholders and learners, design and development of measures, tools and

instruments, use of tools, and evaluation of results of assessment for the purpose of

continuous improvement of the assessment process.’

(Source: VET Glossary)

Context and conditions of assessment

•The context and conditions of assessment clarify the target group and purpose of the tool and is recorded in instructions for the assessor, the learner, and any contributing third party.

Task to be administered to the student

•The instructions assessors provide to the student, should outline the tasks through which the learners can demonstrate competency. These instructions will prompt the learner to say, do, write, or create something.

An outline of the evidence to be gathered from the learner

•Apart from informing the learner what they need to do in the assessment, assessors will also have to explain what evidence they need to provide in response to the tasks.

Evidence criteria used to judge the quality of performance

•The evidence criteria are also referred to as the ‘assessment decision-making rules’. These are the rules used to make judgements about whether competency has been achieved.

Administration, recording and reporting reqiurements

•RTOs must retain and produce in full at audit, all completed student assessment items for each learner for a period of six (6) months since the judgement of competence has been made. RTOs must also retain sufficient data to reissue AQF certification for a period of 30 years.

•When recording evidence of assessment, assessors and learners MUST be informed of the adminstration, recording, and reporting requirements relevant to the assessment tool.

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Assessment processes can refer to the process surrounding assessment, from

planning, all the way down to making, reporting, and recording the assessment

decision. The assessment process can be validated by going through the assessment

plan and checking if it was followed during the learner’s assessment. One of the

ways validation is conducted is by observation, where an observer is present during

the assessment process. At the end of the observation period, the observer and

assessor meet to review the process.

Reviewing the assessment process can also determine if the assessment tools

produce the intended evidence required by the competency standards. Evidence

documents are reviewed for validity, reliability, sufficiency, currency, and

authenticity (rules of evidence).

Reviewing the assessment practice includes reviewing the assessment tools for:

Compliance with the assessment requirements of the relevant training product.

Compliance with the principles of assessment.

Facilitates gathering assessment evidence that complies with the rules of

evidence.

Relevance to the contexts and conditions of assessment.

Providing students and assessors clear instructions, explaining the procedures

to complete the assessment activities.

Provision of reasonable adjustment options for the learners.

Provision of clear benchmarks to guide the assessors in making a judgement

and recording the outcomes of the assessment.

Adherence to the requirements of the RTO’s assessment process.

Relevance to industry standards and practices.

b. Validating Assessment Methods

The validation of assessment methods looks at how evidence is gathered for

assessment. Assessment methods are validated by monitoring the assessor’s

implementation of these tools, checking to see if these are implemented according

to the rules of evidence.

Assessment methods can be validated by observing how assessment tools are being

administered. This will help ensure that the evidence collected from the learners,

accurately reflect the unit/s of competency they are applying for and the learner’s

competence. The validation of evidence gathering methods should be conducted

throughout the assessment process and not just after the assessment tools have

already been administered. Assessors can monitor learner feedback, appeals, and

complaints to determine if the assessment tools, or the process of administering

them, are problematic. This will also allow them to modify the process of gathering

evidence before making assessment judgements and determine opportunities for

their own further training.

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c. Validating Assessment Products

Assessment products are all the materials and/or documentation produced as a

result of the assessment process. This can include:

Assessment tools

Assessment instruments

Assessment plans

Post-assessment validation

Assessment process

In this chapter, we are going to look at how assessment tools and instruments are

validated.

Post-assessment validations look at a sample of learner-completed and assessor-

marked assessment tools. This type of validation generally looks at the assessor

guide benchmarks and the assessment decisions made for the tool. This type of

validation can help assessors standardise how they make their assessment

judgements. Reviewing assessments judgments determines if the evidence

collected through the assessment process:

Comply with the assessment requirements of the relevant training product,

demonstrate that the assessment was conducted in accordance with the

principles of assessment, and

meets the rules of evidence.

How Are the Principles of Assessment Applied in Validation?

Principle Application

Fairness

Assessment process must consider individual learner’s needs.

Where possible assessments are reviewed and it is ensured that

reasonable adjustments are applied where appropriate.

Flexibility

Assessment process and assessment tools must:

Reflect the learner’s needs,

assess competencies held by the learner no matter how or

where they have been acquired, and

draw from a range of assessment methods and use those

that are appropriate to the context, the unit of

competency and associated assessment requirements,

and the individual.

Validity

Assessment process and assessment tools must:

Cover the broad range of skills and knowledge that are

essential to competent performance,

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integrate assessment of knowledge and skills with their

practical application,

provide evidence that allows the learner to provide that

he/she could demonstrate these skills and knowledge

in other similar situations, and

facilitate judgement of competence that is based on

evidence of learner performance, aligned to the unit/s

of competency and associated assessment

requirements.

Reliability

Assessment process and assessment tools must facilitate

consistent interpretation of evidence and consistent assessment

results, irrespective of the assessor conducting the assessment.

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How are the Rules of Evidence Applied in Validation?

Rules Application in Validation

Validity

Ensure that evidence is directly related to the competency

being assessed.

Ensure there is a direct relationship between the assessment

tasks or activities learners undertake, the evidence

presented, and the assessment requirements.

Sufficiency Ensure enough evidence is gathered to make a valid judgement

of competence or otherwise.

Authenticity

Ensure that evidence gathered ‘belongs’ to the learner being

assessed and provides evidence of that person’s skills and

knowledge.

Currency

Ensure that evidence gathered is recent enough to show the

learner is competent at the time you make an assessment

decision.

3. Steps to Take: Participating in Assessment Validation

Active participation in assessment validation will require you to communicate with

relevant personnel through pre-agreed communication methods and modes.

Communication Methods

The following are some methods of communication that you should be aware of during

your validation:

(Source: The Care Certificate, Standard 6)

Verbal communication

Body language Gestures

Facial expressions

Written communication

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Communication Modes

Email - Email is one of the many modes of communication in the workplace. One of

the benefits of communicating through email is that it helps you secure detailed copies

of your conversation.

Face-to-face - Communicating face-to-face is great for lengthy discussions like

meetings and moderations. This mode of communication can also help participants

understand the tone of the conversation because they can read each other’s body

language, facial expressions, and other gestures.

Phone calls - Phone calls are usually the mode of choice for confirming details and

follow-up requests. Phone calls are also appropriate for ensuring a quick response.

Step 1: Prepare for Validation

When preparing for validation, you should meet with other members of the validation

team to discuss and confirm the details of the assessment, which includes the purpose,

context, and scope of the validation.

Purpose/s of Validation

There are many reasons why validation is undertaken, these can include (see next

page):

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To address an identified area of risk in assessment practice and quality.

To demonstrate compliance with the AQF and Standards for RTOs.

To ensure assessments meet the unit/s of competency and other assessment benchmarks.

To provide evidence for external audit.

To provide evidence for internal audit.

To improve assessment practices.

To evaluate the quality of assessment tools.

To provide professional development.

To increase assessor confidence.

To determine whether different assessors using the same tools, collect the same types and levels of evidence.

To determine whether different assessors interpret the same evidence similarly.

To determine whether assessment decisions reflect the principles of assessment and rules of evidence.

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Context/s of Validation

The context/s of validation may be:

What is the difference between internal and external validation?

Internal validation refers to the comparison of assessment tools and evidence

collected, to make a judgement for issuing a qualification within an RTO. The

process helps ensure that assessors working across a number of sites, or different

industry areas within the RTO, are applying consistent standards and making

consistent judgements. Internal validation is carried out primarily by staff from

within the RTO, but should also include stakeholder representation.

Once an internal validation process is established, an RTO may build links with

others assessing in the same industry area. This can be done through contact with

another local RTO, the relevant industry representative/s, or professional or

industry associations and networks. In RTOs where there are very small numbers

of learners being assessed against a particular training package, the RTO could

identify other RTOs delivering the same courses and establish a validation process

with them.

External validation refers to a process established across an industry area or across

a number of RTOs. An external assessment validation system can provide an

opportunity for assessors from different organisations to exchange information

about the assessment methods they are using and reach consensus about the

validity of their approaches.

External validation also helps assessors working across the industry to apply

consistent standards and make consistent judgements during the assessment

process. It’s also an excellent way to make sure assessors have up-to-date

information about what is happening in their industry area.

Internal to the organisation, e.g. same

site or across sites

Rxternal to the organisation, e.g. in a industry, region, city,

state, assessor network

Through licensing or similar body

With co-assessors

With peers/colleagues from other training and/or assessment

organisations

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Validation may also involve specialist assessors, external validators and

representatives of the relevant industry training advisory body, or professional or

industry associations and networks.

Scope of Validation

The scope of validation generally depends on the purpose and context of the

validation. Let’s take a look at the following example:

Scenario

Maurycy Tomaszewski is an assessor employed with Cascade Peak Performance

Training Institute. He is participating in the validation for the qualification:

BSB40215 - Certificate IV in Business

Maurycy is reviewing the details of the assessment validation to prepare for his

meeting with the rest of the validation team. The details of the assessment can

be found below.

Cascade Peak Performance Training Institute (CPPTI) is conducting an internal

validation for the qualification BSB40215 - Certificate IV in Business.

Maurycy is assigned to validate CPPTI’s Assessor Guide for the unit

BSBADM405 - Organise Meetings.

CPPTI are conducting the validation as scheduled. This is part of their regular

validation and review process.

From the scenario above we can determine the purpose, context, and scope of the

validation. These are outlined in the table provided for you below:

Purpose The validation for BSB40215 - Certificate IV in Business is

scheduled as part of their regular validation and review process.

Context Internal validation

Scope The qualification BSB40215 - Certificate IV in Business.

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Arrange Materials for the Validation

Materials relevant to the validation process can include:

Step 2: Participate in Validation Process

Participating in the validation process will require you to analyse the relevant unit of

competency and prepare any relevant documentation. Let’s take a look at the scenario

below:

Scenario

Maurycy Tomaszewski is preparing to validate the unit BSBADM405 - Organise

Meetings. He gathers the documents relevant to the validation, this includes:

Assessor guide

Mapping document

Validation reporting tool

The unit of competency from TGA

The NQC published a set of templates for validation and moderation as a supplement

to the implementation guide they published the same year. This includes a checklist

for the assessor to determine if the assessment tool meets any administrative,

decision-making, reporting, and recording conditions. The validation report form,

linked for you above, includes similar content. A small part of the NQC checklist can

be found on the next page.

Assessment tools Samples of

collected evidence

Documentation outlining the basis

of assessment decisions

Reports/records of assessment

decisions

Validation templates

Validation checklists

Assessment exemplars and

competency standards

Sampling techniques

Banks of assessment tools

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Validating Assessments

Let’s try to validate some assessment items from BSBACD405 together. The image

below is the first knowledge assessment, it is mapped to knowledge evidence (KE) 1.0.

Now let’s look at KE1.0 in our assessment mapping tool:

The KE requires to the learner to describe culturally appropriate communication

techniques, a plural requirement. Now let’s go back to knowledge assessment #1.

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The knowledge assessment only requires the learner to describe one (1) culturally appropriate communication technique and does

not meet the plural requirement. Now let’s say that this is the only knowledge assessment mapped to KE1.0, this is a mapping gap. A

gap means that the assessment requirement outlined in the unit of competency was not met by the assessment tool. You can note this

in the ‘Met or Gap?’ section of your assessment mapping tool. (See next page)

You can leave these notes in your assessment mapping and transfer them into your validation report tool, after completing your

validation of the assessment tool. An example of a completed report for KE1.0 can be found below.

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a. Issue Type and Action

You will notice to the right of the issues regarding the unit of competency and

compliance, there is another column for the issue type and action. Selecting the

place holder text: ‘Select Issue and Action’ will reveal three (3) options:

Critical – Immediate rectification required

Moderate – Add to continuous improvement register

Minor – Add to continuous improvement register

The table below will give you a brief overview of what you can tag as a critical,

moderate, or minor issue.

Critical

Performance Evidence (PE), KE, and Performance Criteria

(PC) are not addressed in the assessment tool.

Mapped as full in the assessment tool but is only a partial,

or isn’t mapped at all.

No benchmarks, or insufficient benchmarks.

The foundation skill is not met in the assessment tool.

Moderate

Confusing student instructions and benchmarks.

Version control not consistent throughout the document.

No wrong answers for multiple choice knowledge

assessments.

Miss-mapping (when an assessment item is mapped to the

wrong PC, PE, or KE, or when an assessment item is

mapped as partial but should be fully mapped).

The foundation skill is met, either partially or fully, in a

task, but is not mapped in the assessment tool.

Minor

Minor grammatical errors.

Spelling errors.

Typos.

Formatting errors.

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Let’s validate another assessment item together. The following assessment item is

the first step of the practical assessment for the unit BSBADM405 - Organise

Meetings and it is mapped to Performance Criteria (PC) 1.1.

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Now let’s take a look at PC1.1 in the assessment mapping tool:

The PC requires the learner to identify the type and purpose of the meeting being organised, the task above asks the learner to do

just that. So, you can mark this as met if we look at the PC on its own. But you might notice next to the Practical Assessment

column, you will also find a Foundation Skills column. Let’s look at the description of the foundation skill ‘Get the work done’ for

this unit.

Let’s take another look at the first task of the practical assessment,

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As you can see, the individual that developed this assessment tool did not include mapping for the foundation skill mapped to

PC1.1. Now let’s compare the task, to the description of the foundation skills:

Apply formal processes when planning complex tasks.

Producing plans with logically sequenced steps, reflecting an awareness of time constraints.

Understand the purposes, specific functions and key features of common digital systems and tools and operates them

effectively to complete routine tasks.

It can help to break down the requirements in each bullet point.

For instance, the first bullet point requires the learner to ‘apply formal processes when planning complex tasks’.

Did the task ask the learner to apply formal processes in planning for this step? No. Did the learner produce a plan for this step?

No.

Now let’s take a look at the third bullet point: ‘Understand the purposes, specific functions and key features of common digital

systems and tools and operates them effectively to complete routine tasks’.

Did the task explicitly ask the learner to use digital tools? No. So, this task does not meet its foundation skill. You can record this

in your assessment mapping tool as a gap. The entry for this in your validation report can be:

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Now, let’s say for example, that practice assessment task 1 was rectified following

the outcome of the validation as:

The task is now mapped partially to foundation skill 7.0, which for this unit, is ‘Get

the work done’.

Note that your organisation may map the foundation skills differently. This is the

format we will be using for this Learner Guide and in your assessment workbook.

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b. Foundation Skills

Newer units published on training.gov.au, include a table like the one shown below. It maps PCs against the different foundation

skills, with a description of what a learner must demonstrate to be competent in each one.

Each foundation skill is marked with a number to demonstrate how they are mapped in this Learner Guide and in your Assessment

Workbook. Reading is mapped as FS1.0. We also apply partial mapping in the Assessor Guide, like we did for practical assessment

task 1.

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Further Reading For more information on the NQC’s Validation and Moderation Implementation Guide click here:

Implementation Guide

Activity 3

Validation Activity

The link below will give you access to the BSBADM405 Assessor Guide excerpt.

Validate the assessment items against the PCs, PEs, and KEs they are mapped to.

Remember to validate these against the relevant foundation skills.

Complete the Validation Report Tool excerpt provided for you on the following

page.

Links:

BSBADM405 Assessor Guide Excerpt

BSBADM405 Mapping Tool

To view the answers to this activity, click here.

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Validation Report Issues arising in regards to Units of Competency and Compliance Select Issue Type and Action

Select Issue and Action

Select Issue and Action

Select Issue and Action

Select Issue and Action

Select Issue and Action

Select Issue and Action

Select Issue and Action

Select Issue and Action

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Step 3: Contribute to Validation Outcomes

After completing your validation of the assessment tool, you may be asked to

participate in a meeting where assessors will have the opportunity to compare and

discuss the outcomes of the validation or the assessment process. Generally,

completing the assessment tool validation will lead you to make recommendations for

the improvement of the tool and to the assessment processes or outcomes.

You will also be required to complete documentation that proves that the validation

happened. Evidence that validation has been conducted can include:

• Records of meetings where validation is covered e.g. agendas, minutes, action plans

• Feedback from clients, e.g. learner and/or employer satisfaction surveys, notes recording feedback from face-to-face or telephone interviews

• Names, position desciptions, and qualifications of specialist or lead assessors

• Outcomes of the validation

• Records of professional development activities that focus on improving assessment strategies

• Examples of materials used in reviewing, comparing, and evaluating tools, e.g. quality criteria, review checklists

Evidence that validation has been conducted

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ANSWERS TO ACTIVITIES

Activity 1

1. How do the Standards for RTOs define competency-based assessment?

2. What are the two (2) outcomes in CBA?

1. The Standards for RTOs define CBA as: ‘The process of collecting evidence and making judgements on whether competency has been achieved, to confirm that an individual can perform to the standard required in the workplace, as specified in a training package or a VET accredited course.’

2. Competent Not yet competent

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Activity 2

Below is an excerpt from the unit of competency template. Fill in the missing

information to complete the excerpt.

Unit Code

The unit code contains the three (3) alpha characters

identifying the training package, followed by alpha and/or

numeric characters. It must comply with the length specified

in the AVETMIS Standard (no more than 12 characters).

Unit Title

The title concisely describes the unit outcome.

It must comply with the length specified in the AVETMIS

Standard (no more than 100 characters).

Application

The application section briefly describes how the unit is practically

applied in the industry and in what context(s) the unit may be

applied. It Includes:

 A summary statement of unit content,

 focused, useful information on how and where the unit of

competency could be practically applied and who might use

it, and

 the unit of competency’s relationship to any licensing,

legislative, regulatory, or certification requirements. Where

no requirements exist, insert: No licensing, legislative or

certification requirements apply to this unit at the time of

publication.

Prerequisite Unit List any unit(s) in which the learner must be deemed competent

prior to the determination of competency in this unit.

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Activity 3

Validation Activity

The link below will give you access to the BSBADM405 Assessor Guide excerpt.

Validate the assessment items against the PCs, PEs, and KEs they are mapped to.

Remember to validate these against the relevant foundation skills.

Complete the Validation Report Tool excerpt provided for you on the following

page.

Links:

BSBADM405 Completed Mapping Tool

BSBADM405 Mapping Tool

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End of Document